“international journal of scientific and innovative research vol.2, issue1 (january- june) 2014”

VOLUME – 1, ISSUE – 1 (JANUARY - JUNE) 2013

Editorial

I am happy to convey that second issue of third volume of "International Journal of Scientific and

Innovative Research (IJSIR)", a bi-annual journal has been published by Sky Institute, Lucknow in an

effort to promote multidisciplinary scientific and innovative research of societal benefit. This journal

covers all branches of science, technology, engineering, health, agriculture and management.

Research articles in the field of education are also encouraged in order to promote educational

technology aiming at improvement in present educational system. As research and development (R &

D) has been playing a significant role in overall development of society, continuous multidisciplinary

innovative research in science and technology is needed to address the challenges in context to

changing environmental conditions in the present era of gradual increase in industrial and

technological advancement at global level. Efforts should be made to develop eco-friendly

technologies in order to provide solutions for developing socially, economically and culturally

sustainable society.

The present issue of International Journal of Scientific and Innovative Research (IJSIR) contains 6

research papers I articles covering different areas of science and technology. All these papers are well

written and informative in content. I express my sincere thanks and gratefulness to Mr.Mohit Bajpai,

Chairman, Sky Institute, Lucknow (U.P.), India for his support in publishing it. I express my thanks to

members of Committee for Editorial Assistance Dr. B.C.Tripathi, Dr. Pankaj Verma, Shri Sanjay

Pandey, Shri Sanjay Dixit and Mr. Shamshul Hasan Khan for their hard work and devotion in giving

the final shape to the journal. I am thankful to all faculty members, scientists and research scholars of

different universities, research organizations and technical institutions for contributing their research

articles for publication in the present issue of the journal. The help provided by faculty members and

supporting staff of Sky Institute in publishing the present volume of the journal is also acknowledged. I

hope scientists, academicians and young researchers will be greatly benefited by this publication for

their research work.

I request humbly to the readers and contributors of our journal to continue encouraging us for regular

publication of the journal. Any suggestion and comment for the improvement in the quality of the

journal are always welcome.

Dr. B. R. Pandey

Editor-in-Chief

International Journal of Scientific and Innovative Research 2014; 2(1): 281-285,

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DR. B.R. PANDEY

DIRECTOR (RESEARCH)SKY INSTITUTE, KURSI ROAD, LUCKNOW, U.P, INDIA

FORMER JOINT DIRECTOR, COUNCIL OF SCIENCE & TECHNOLOGY, UP, LUCKNOW

(DEPARTMENT OF SCIENCE AND TECHNOLOGY, UP GOVERNMENT), INDIA

FORMER PROFESSOR, INTERNATIONAL INSTITUTE OF HERBAL MEDICINE (IIHM), LUCKNOW, U.P., INDIA

E-MAIL ID: [email protected], MOBILE-: 9794849800

Dr. B.C.TripathiAssistant Prof.

Deptt. of Education,

Rama P.G. College,

Chinhat, Lucknow,

Uttar Pradesh

Dr. Pankaj VermaSenior Research Fellow,

Deptt. of Oral & Maxillofacial Surgery,

Faculty of Dental Sciences,

K.G. Medical University,

Lucknow, Uttar Pradesh

Shri Sanjay Pandey Assistant Prof.

National Institute of

Fashion Technology,

Raebareli,

Uttar Pradesh

Shri Ashish TiwariResearch Scholar,

Sai Nath University,

Ranchi,

Jharkhand

ADVISORY BOARD

EDITOR-IN-CHIEF

COMMITTEE FOR EDITORIAL ASSISTANCE

Prof.(Dr.)S. P. OjhaFormer Vice Chancellor, CCS Meerut University, Meerut, Uttar Pradesh

Prof.(Dr.)V.K. SrivastavaFormer Prof & Head, Deptt. of Community Medicine

King George Medical University, Lucknow.

Former Director, Integral Institute of Medical Sciences & Research,

Integral University, Lucknow

Former Vice -Chancellor,

Texila American University, Georgetown, Guyana, South America

Prof.(Dr.) M.I. KhanProf & Head, Deptt. of Mechanical Engg.,

Integral University, Lucknow, Uttar Pradesh

Prof. (Dr.) S.K. AvasthiFormer Director, H.B.T.I., Kanpur, Uttar Pradesh

Prof.(Dr.) Amrika SinghProf & Head (Chemistry), Deptt. of Applied Sciences,

Institute of Engg. & Technology, Sitapur Road, Lucknow, Uttar Pradesh

Prof.(Dr.) U.N. DwivediProf & Ex- Head, Deptt of Biochemistry, Former Pro- Vice Chancellor,

Former Dean, Faculty of Science, University of Lucknow, Lucknow, U.P.

Prof.(Dr.) U.K. MisraHead, Deptt. of Neurology, Ex Dean,

Sanjay Gandhi Post Graduate Institute of Medical Sciences, Lucknow, U.P.

Dr. A.K. GuptaFormer Deputy Director General,

Indian Council of Medical Research (ICMR), Ansari Nagar, New Delhi

Prof.(Dr.) V.K.TondonFormer Prof & Head, Deptt. of Chemistry, Ex- Dean Faculty of Science,

University of Lucknow, Lucknow, Uttar Pradesh

Prof. (Dr.) Amod Kumar Tiwari,Prof.- Director, Bhabha Institute of Engg.& Technology, Kanpur, U.P.

Prof.(Dr.) Chandra Dhar DwivediFormer Prof. & Chairman, Deptt. of Pharmaceutical Sciences, College of

Pharmacy, South Dakota State University, Borokings, South Dakota, USA

Prof.(Dr.) Vimal KishoreProf. & Chairman, Deptt. of Basic Pharmaceutical Sciences,

Xevier College of Pharmacy, University of Louisiana, 7325,

Palmetto Street New Orlens, Louisiana USA

Prof .(Dr.) M.C. Pant,Former Director,

R. M. L. Institute of Medical Sciences, Lucknow and Prof. & Head,

Deptt. of Radiotherapy, K. G. Medical University, Lucknow, Uttar Pradesh

Prof. (Dr.) S.P. SinghFormer Prof & Head, Deptt. of Pharmacology,

G. S. V. M. Medical College, Kanpur, Uttar Pradesh

Prof. (Dr.) R. L. SinghProf & Head, Department of Biochemistry & Coordinator Biotechnology

Program , Dr. R. M. L. University Faizabad, Uttar Pradesh

Dr. Sarita VermaHead, Deptt. of Home Sci., Mahila P.G. College, Kanpur, Uttar Pradesh

Prof. (Dr.) S.K.AgarwalPro. & Ex-Head, Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.

Dr. Bharat SahDirector,

National Institute of Fashion Technology, Raebareli, Uttar Pradesh

Prof.(Dr.)N.S. VermaProf., Deptt. of Physiology,

K. G. Medical University, Lucknow, Uttar Pradesh

Prof.(Dr.)A.K. TripathiProf. & Head, Deptt. of Clinical Hematology & Medical Oncology,

K. G. Medical University, Lucknow, Uttar Pradesh

Prof.(Dr.)C.M. PandeyProf. & Head, Deptt. of Biostatistics & Health Informatics,

Sanjay Gandhi Post Graduate Institute of Medical Sciences, Lucknow,

Uttar Pradesh

Dr. Rupesh ChaturvediAssociate Prof., School of Biotechnology,

Jawaharlal Nehru University, New Delhi, Former Asstt. Prof., Deptt. of

Pharmaceutical Sciences , College of Pharmacy, Vanderbilt University,

Tennessee, USA

Dr. S.SinhaAsstt. Prof. Deptt. of Internal Medicine, CD University,

C. David Giffen School of Medi., University of California, Los Angeles, USA

Dr. K.RamanPrincipal Scientist, Martek Biosciences Corporation,

6480 Dobbin Road, Columbia, MD 21045, USA

Dr. P.K.AgarwalEditor –in – Chief, Natural Product Communication,

Natural Product Inc 7963, Anderson Park Lane West Terville, OH, USA

Dr. R.K.Singh,Chief Scientist, Division of Toxicology, CSIR-Central Drug Research

Institute, Jankipuram Extension, Lucknow, Uttar Pradesh

Dr. Mohd. TariqueProf., Deptt of Physical Edu., Lucknow University, Lucknow, Uttar Pradesh

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EDITORIAL BOARD

Prof.(Dr.) Y.B. TripathiProf. & Head, Deptt. of Medicinal Chemistry,Institute of Medical Sciences,Banaras Hindu University Varanasi, Uttar Pradesh

Prof.(Dr.) R.K. SinghProf. & Head , Deptt. of Biochemistry, Shri Guru Ram RaiInstitute of Medical& Health Sciences, Dehradun, Uttarakhand & Former Prof. & Head,Department of Biochemistry, K. G. Medical University , Lucknow, U.P.

Prof. (Dr.) R.S.DiwediFormer Director, National Research Centre for Groundnut (NRCG) , ICAR,Junagarh, Gujarat & Former Principal Scientist – Head, Deptt. of PlantPhysiology, Indian Institute of Sugarcane Research, Lucknow, Uttar Pradesh

Prof. (Dr.) Nuzhat HusainProf. & Head , Deptt of Pathology & Acting Director, R. M. L. Institute ofMedical Sciences, Lucknow,Uttar Pradesh

Prof. (Dr.) Amita JainProf. Deptt. of Microbiology, K.G. Medical University, Lucknow, U.P.

Dr. Sudhir MahrotraAssociate Prof., Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.

Prof. (Dr.) Vibha SinghProf., Deptt. of Oral & Maxillofacial Surgery, Faculty of Dental Sciences,K. G. Medical University, Lucknow, Uttar Pradesh

Prof. (Dr.) U.S. PalProf. & Head, Deptt. of Oral & Maxillofacial Surgery, Faculty of DentalSciences, K. G. Medical University, Lucknow, Uttar Pradesh

Prof. (Dr. ) K.K. PantProf. & Head , Deptt. of Pharmacology & Therapeutics,K. G. Medical University, Lucknow, Uttar Pradesh

Dr. C.M.K.TripathiFormer Deputy Director & Head, Division of Fermentation Technology, CSIR-Central Drug Research Institute , Lucknow, Uttar Pradesh

Dr. R.D. TripathiChief Scientist & ProfessorPlant Ecology & Environmental Science Division,Uttar Pradesh CSIR-National Botanical Research Institute, Lucknow, U.P.

Prof.(Dr.) Ashwani K. SrivastavProf. & Head, Deptt. of Biosciences, Integral University,Lucknow,Former Senior Scientist, Birbal Sbahani Institute Paleobotany, Lucknow, U.P.

Prof.(Dr.) L. PandeyProf. & Head , Postgraduate Deptt . of Physics,Former Dean, Faculty ofScience, Rani Durgawati University, Jabalpur, Madhya Pradesh, India

Prof .(Dr.) Bali RamProf., Deptt. of Chemistry, Banaras Hindu University, Varanasi, Uttar Pradesh

Prof.(Dr.) J.P.N.RaiProf.& Head, Deptt. of Environmental Sciences, G.B. Pant University of Agr. &Technology, Pant Nagar, Uttarakhand

Prof.(Dr. )R. S. DubeyProf. & Head, Deptt. of Biochemistry, Banaras Hindu University, Varanasi, U.P.

Prof. (Dr.) OmkarDeptt. of Zoology, Lucknow University, Lucknow, Uttar Pradesh

Prof.(Dr.) Sudhir KumarProf., Deptt. of Zoology, Lucknow University, Lucknow, Uttar Pradesh

Prof.(Dr.) Naveen KhareProf., Deptt. of Chemistry, Lucknow University, Lucknow, Uttar Pradesh

Prof.(Dr.) S. M. NatuProf., Deptt. of Pathalogy,K.G. Medical University, Lucknow, Uttar Pradesh

Dr. Kusum Lata Mishra,In-charge, Coagulation Laboratory, Deptt. of Pathology,

K.G. Medical University, Lucknow, Uttar Pradesh

Prof.(Dr.)V.K. Sharma,Prof., Deptt. of Chemistry, Lucknow University, Uttar Pradesh

Prof.(Dr.) R.K. ShuklaProf., Deptt. of Physics, Lucknow University, Lucknow Uttar Pradesh

Prof.(Dr.)Anil GaurProf., Deptt. of Biotechnology & Genetic Engg., G.B. Pant University of Agr.& Technology, Pant Nagar, Uttarakhand

Dr. Mahesh PalPrincipal Scientist ,Phytochemistry Division, CSIR- National BotanicalResearch Institute, Lucknow, Uttar Pradesh

Dr. Vinod SinghAssoc. Prof. & Head, Deptt. of Microbiology, Baruktulla University, Bhopal,Madhya Pradesh

Dr. K.K.VermaAssoc. Prof., Deptt. of Physics & Electronics.Dr. R. M. L. Awadh University ,Faizabad,Uttar Pradesh

Dr. Atul GuptaSenior Scientist, CSIR- Central Institute of Medicinal & Aromatic Plants,Lucknow, Uttar Pradesh

Dr. Saudan Singh,Senior Principal Scientist,CSIR- Central Institute of Medicinal & AromaticPlants , Lucknow, Uttar Pradesh

Dr. S.K.TiwariSenior Principal Scientist ,CSIR- National Botanical Research Institute,Lucknow, Uttar Pradesh

Dr. Shivani Pandey,Asstt. Prof., Deptt. of Biochemistry,K.G.Medical University, Lucknow, U.P.

Dr. B.C. Yadav,Lucknow Associate Prof. & Coordinator, Deptt. of Applied Physics, School forPhysical Sciences, Babasaheb Bhimrao Ambedkar University, Lucknow, U.P.

Dr. Anchal Srivastava,Prof., Deptt of Physics, Lucknow University,Lucknow, Uttar Pradesh

Dr. Shalini BariarAsstt. Professor, Durga Devi Saraf Institute of Management, Mumbai, India

Dr.A.K.PandeyPrincipal Scientist, National Bureau of Fish Genetic Resources,Lucknow, U.P.

Dr.S.K.PandeyG.M. LML Factory, Kanpur Uttar Pradesh

Dr. Suneet Kumar Awasthi,Asst. Prof ,Deptt.of PhysicsJ.P. University, Noida, Uttar Pradesh

Dr.G. N. PandeyAsst. Prof, Deptt. of Physics Amity University, Noida ,Uttar Pradesh

Dr. Mukesh VermaAsst. Prof., Deptt. of Physical Education, Dr. R.M.L. Avadh University,Faizabad, Uttar Pradesh

Dr. Abhay Singh,Head, Physical Education, Delhi Public School, Lucknow Uttar Pradesh

Dr. Santosh GaurAsst. Prof. Deptt. of Physical Education, Jawahar Lal Nehru P.G. College,Barabanki, Uttar Pradesh

Dr.Sanjeev Kumar JhaSenior Scientist, DEOACC Patna

Dr. Shivlok SinghScientist, DEOACC, Lucknow, Uttar Pradesh

Dr. Anurag Tripathi,Asstt . Prof. , Deptt. of Electrical Engg., Institute of Engg. & Technology,Sitapur Road, Lucknow, Uttar Pradesh

Prof. V.P.SharmaSenior Principal Scientist, CSIR-Indian Institute of Toxicology Research,Lucknow, Uttar Pradesh

Dr. Krishna GopalFormer Deputy Director & Head , Aquatic Toxicology Division, CSIR- IndianInstitute of Toxicology Research, Lucknow, Uttar Pradesh

Dr. S.P. ShuklaProf. , Deptt. of Civil Engg., Institute of Engg. & Technology, Sitapur Road ,Lucknow, Uttar Pradesh

Dr. Ajay MishraAssociate Prof. , Deptt. of Geology, Lucknow University, Lucknow , U. P.

Dr. Ashutosh SinghProf., Deptt. of Chemistry,Saket P.G. College, Ayodhya, Faizabad, U. P.

Dr. S.K. SinghPrincipal, Gita College of Education , Nimbari, Panipat, Haryana

Shri Sudesh BhatAdvisor (Education), Sky Institute, Lucknow, Uttar Pradesh

Dr. Krishna GopalAsst. Prof., Deptt. of English,Rama University, Kanpur, Uttar Pradesh

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ABOUT EDITOR-IN- CHIEF : DR. B. R. PANDEY

Dr. B. R. Pandey is a well known academician and scientist with brilliant academic career and

research accomplishments . He has done M.Sc. ( organic chemistry) from Banaras Hindu University,

Varanasi, India in the year 1972. He has done PhD in Medicinal Chemistry under the guidance of world

renowned Biochemist & Medicinal Chemist, Professor S.S. Parmar , Professor of Medicinal Chemistry &

Chemical Pharmacology, Department of Pharmacology & Therapeutics, K. G. Medical College, Lucknow

( Presently K. G. Medical University), Faculty of Medicine, University of Lucknow, Lucknow, India in the

year 1976. Dr. Pandey has all throughout first class educational qualifications and his research interest

covers medicinal chemistry, biochemical pharmacology, neurochemistry, neuro-toxicology, environmental

chemistry, herbal medicine & natural products. He is having extensive research experience of more than 40

years and published several research papers in peer reviewed journals of international repute. His research

particularly on the studies of central nervous system acting drugs and anti-inflammatory drugs and their

biochemical mode of action using animal models and enzymes such as monoamine oxidase, acetylcholine

esterase, purine catabolizing enzymes , proteolytic enzymes, membrane stabilizing enzymes, respiratory

enzymes, microsomal enzymes etc. has been well recognized as evidenced by his research publications .

Further, his research on developing herbal medicines has been found very useful in prevention and treatment

of chronic diseases and other refractory diseases for which modern system of medicine have no permanent

cure. He has worked on the position of Joint Director, Council of Science & Technology, U.P., Lucknow,

Department of Science & Technology, Uttar Pradesh Government, India from the year 1979 to 2011, where

he successfully executed several R & D projects in various disciplines of Science & Technology including

chemical & pharmaceutical sciences, medical sciences, biological sciences, environmental sciences etc.

During his tenure as Joint Director, he has been instrumental in launching and implementing important

schemes: Young Scientists Scheme, Young Scientist Visiting Fellowship Scheme, Establishment of Centre

of Excellence- Encephalitis Research Centre of Excellence in Sanjay Gandhi Post Graduate Institute of

Medical Sciences ( SGPGIMS), Lucknow , U. P. India ; Centre of Excellence in Materials Science ( nano

materials) in Z. H. College of Engg. & Technology, Aligarh Muslim University, Aligarh, U.P. India,

Establishment of Patent Information Centre in the premises of Council of Science & Technology , U.P. He

has also worked on the post of Secretary ( as additional charge ) , Council of Science & Technology, U.P.

several times and functioned as Administrative Head of the Organization. Prior to taking over the position

of Joint Director, Council of Science & Technology, U.P. in the year 1979, he has worked as Junior Research

Fellow/ Senior Research Fellow ( Council of Scientific & Industrial Research, New Delhi ), Assistant

Research Officer ( Jawaharlal Nehru Laboratory of Molecular Biology) at Department of Pharmacology

& Therapeutics, K. G. Medical College ( presently K. G. Medical University), Faculty of Medicine, University

of Lucknow, Lucknow, India from the year 1972 to 1979 and involved in multidisciplinary biomedical

research leading to drug development . He has worked as Visiting Scientist / Faculty in the Department of

Physiology, School of Medicine, University of North Dakota, Grand Forks, North Dakota, USA and also

visited scientific institutions in Sweden, U.K. and U.S.A. under Training Program on Capacity Building in

Environmental Research Management (World Bank Funding Project). After his superannuation in the year

2011, he has been associated with International Institute of Herbal Medicine (IIHM), Lucknow, India as

Professor and is presently associated with Sky Institute, Lucknow , India as Director ( Research) and

involved in programs related to higher education and research of scientific & technological fields. He has

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organized several national and international conferences. He has actively participated in national and

international conferences, symposia and workshops and presented research papers and chaired scientific /

technical sessions. He is life member and fellow of many scientific societies such as National Academy of

Sciences India , Society of Toxicology of India, Indian Academy of Neurosciences, Bioved Research

Society India, International Society for Herbal Medicine (ISHM), Society of Biological Sciences and Rural

Development, India. He has been member of several scientific expert committees/ advisory committees to

evaluate scientific research proposals. Dr. Pandey has been actively associated with various universities

and institutions in India as examiner for conducting graduate, post graduate and doctoral level examinations

in disciplines like chemical sciences, pharmaceutical sciences, biochemical sciences, biotechnology and

allied areas and member of Board of Studies for the academic development in the department. He has been

approved research supervisor for guiding research in chemistry, biotechnology and related areas from various

universities of India leading to PhD Degree. In view of his vast research and administrative experience and

broad R & D vision, Dr. Pandey has been associated with International Journal of Scientific & Innovative

Research (IJSIR) as Editor-in-Chief.

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FROM THE DESK OF CHAIRMAN, SKY INSTITUTE

It is my privilege to state that I have great desire to contribute to the

development of our country and to bring about social transformation through

education, higher learning and research. This inner feeling prompted me to

establish Sky Institute in Lucknow (Uttar Pradesh), the city known for its rich

cultural heritage and vibrant academic institutions of higher learning. Sky

Institute, since its inception in the year 2006, has been functioning to impart

various educational and training courses with a vision to improving lives

through education, research and innovation. The institute provides a professional learning

environment that acts as a catalyst, for the exponential growth of student as well as extracurricular

abilities. It conducts regular courses as well as distance learning courses at the level of under graduate

and post graduate followed by research courses leading to M Phil and PhD in all subjects in association

with universities recognized by University Grants Commission (UGC), the Distance Education

Council (DEC), Association of Indian Universities (AIU), Ministry of Human Resource Development

(MHRD), Government of India.

I feel great pleasure to highlight that Sky Institute has started to publish a bi-annual journal

“International Journal of Scientific and Innovative Research (IJSIR)” which encourages to publish

research articles in all branches of science, technology ,engineering, health, agriculture and

management. Research articles in the field of education are also considered in order to improve

educational standard in educational institutions with innovative technologies. First volume of the

journal has been successfully published. The present issue of second volume of the journal contains

useful and informative research articles which may be interesting to readers and educational and

research organizations. The association of eminent faculty and scientists of reputed organizations

with our journal is highly appreciable.

I call upon all the students who are willing to join various programs/courses being run at Sky

Institute in association with selected universities, to strive hard to gain knowledge, transform it into

skills with right attitude and inculcate the habit of learning, which will drive them to self directed

learning.

My best wishes to all the aspiring students.

Mohit Bajpai

Chairman

Sky Institute

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CONTENTS PAGE

SIGNIFICANCE OF ASCORBATE IN TRANS-PLASMA MEMBRANE ELECTRON 1TRANSPORT IN HEALTH AND DISEASE OF HUMANS: REVIEWVarsha Shukla, Babita Singh, A.A.Mahdi, Shivani Pandey

AGGRESSIVE FIBROMATOSIS OF MANDIBLE: 12A CASE REPORT AND LITERATURE REVIEWNimisha Singh, Vibha Singh, Satish Dhasmana, Ridhi Jaiswal, Gagan Mehta

POLYALTHIA LONGIFOLIA AND ITS PHARMACOLOGICAL ACTIVITIES : REVIEW 17Prateek Dixit, Tripti Mishra, Mahesh Pal, T. S. Rana and D. K. Upreti

USE OF GENE THERAPY TO CURE AIDS 26Sudhir Mehrotra, Khushwant Singh, Pushkar Singh Rawat

A REVIEW ON SYNTHESIS, FABRICATION AND PROPERTIES OF 41NANOSTRUCTURED PURE AND DOPED TIN OXIDE FILMSB.C. Yadav, Raksha Dixit and Satyendra Singh

MINIMIZATION OF CONTACT TIME FOR TWO-STAGE BATCH 58ADSORBER DESIGN USING SECOND-ORDER KINETIC MODELFOR ADSORPTION OF METHYLENE BLUE (MB) ON USED TEA LEAVESS.P. Shukla, A. Singh, Lalji Dwivedi, K J. Sharma, D.S. Bhargava, R. Shukla,

N.B. Singh, V.P. Yadav, Markandeya

PROBLEM ANALYSIS DIAGRAM DECLARATIONS OF COMPILER TECHNIQUE 67FOR APPLICATIONS OF C/C++ PROGRAMMINGRohit Saxena, Deepak Singh, Amod Tiwari

A HIGH FIDELITY VERSION OF A THREE PHASE INDUCTION MOTOR 71MODEL USING MATLAB/SIMULINKSHarish Kumar Mishra, Anurag Tripathi

GREEN WALL: A METHODOLOGY FOR SUSTAINABLE 78DEVELOPMENT USING GREEN COMPUTINGAnkit Kumar Srivastava, Neeraj Kumar Tiwari and Bineet Kumar Gupta

BIOCONTROL : AN OVERVIEW 83Kalpana Singh

ECO-DEVELOPED SOCIETIES: A HOPE FOR THE FUTURE GENERATION 90Monika Raghuvanshi

GREEN MARKETING AS A SOCIETAL CONCEPT 97Monika Raghuvanshi

FORENSIC INSECTS FACILITATE ECOLOGICAL RECYCLING 105Sunita Rawat, Reema Sonker and Kalpana Singh

DESIGN AND DEVELOPMENT OF AN ALGORITHM FOR ASSESSMENT OF 107THE LEARNING STYLE OF SOFTWARE ENGINEERING STUDENTSAnkita, K P Yadav

A STUDY OF VARIOUS WORMS AND THEIR DETECTION SCHEMES 115Sucheta, K P Yadav

SURVEY AND ANALYSIS OF CURRENT WEB USAGE MINING SYSTEM AND TECHNOLOGIES 123Vignesh V., K. Krishnamoorthy

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STUDY OF DATA MINING ALGORITHM IN CLOUD COMPUTING 129USING MAP REDUCE FRAMEWORKE. Gajendran, K P Yadav

A DHT ORIENTED PEER TO PEER NETWORK WITH NEW HASH FUNCTION 136Vivek Saini, K P Yadav

PERFORMANCE ANALYSIS OF RELIABILITY GROWTH 142MODELS USING SUPERVISED LEARNING TECHNIQUESG Sarvanan, K Krishnamoorthy

STUDY AND ANALYSIS OF SINGLE POINT CUTTING TOOL UNDER VARIABLE RAKE ANGLE 150Deepak Bhardwaj, B. Kumar

QUALITY FUNCTION DEPLOYMENT (QFD): A CASE STUDY 158Satish Chander Garg, B. Kumar

MANUFACTURING QUALITY 169Rohitash Kumar Kaushik, B Kumar

A COMPARATIVE STUDY ON EMISSIONS FROM TWO STROKE COPPER COATED 173SPARK IGNITION ENGINE WITH ALCOHOLS WITH CATALYTIC CONVERTERN L Maharaja, B. Kumar

OPTIMAL POWER FLOW BY PARTICLE SWARM 179OPTIMIZATION FOR REACTIVE LOSS MINIMIZATIONG. Sridhar, Radhe Shyam Jha ‘Rajesh’

INDUSTRIAL POLLUTION AND RELATED LEGISLATIONS IN INDIA 186M.I.Khan, Niaz Ahmed Siddiqui

CARBON TRADING : SUSTAINABLE DEVELOPMENT WITH 196POTENTIAL WEALTHImran Farooq, Kamlesh Kumar Shukla

SOCIAL MEDIA AND ITS ROLE IN BRAND BUILDING 206Shalini Bariar

IMPORTANCE OF LIFE INSURANCE IN MEETING OUT FINANCIAL NEEDS AND 210SECURITY IN CURRENT SCENARIO WITH CHALLENGES AND EMERGING TRENDSJyoti Agarwal, S.C. Pandey

FDI IN INDIAN RETAIL SECTOR: ANALYSIS OF COMPETITION IN 216AGRIFOOD SECTORP Nixon Dhas, N P Sharma

SIX SIGMA – DMAIC FRAMEWORK FOR ENHANCING QUALITY IN 226ENGINEERING EDUCATIONAL INSTITUTIONSVikas Singh, N P Sharma

BIO MEDICAL WASTE: A SERIOUS ENVIRONMENTAL CONCERN 232Kushagra Sah, Swapnil Srivastava, Shubham Singh

A CRITICAL STUDY ON FINANCIAL PERFORMANCE OF SIDBI 241Prakash Yadava

ROLE OF GEOGRAPHICAL ENVIRONMENT ON ENVIRONMENTAL 244DEGRADATION COGNITION IN TRIBAL AND NON-TRIBAL ZONESMahendra Singh, Rohtash Malik

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ANALYSIS OF RESPONSIVENESS & ASSURANCE DIMENSIONS OF 248SERVICE QUALITY & CUSTOMER SATISFACTION IN INDIAN AIRLINESRenuka Singh,

A STUDY ON MORAL JUDGMENT ABILITY OF TEENAGERS (14-19 YEAR) 255Sunil Kumar Singh, Manisha Singh

E –GOVERNANCE IN HIGHER EDUCATION 261S.K. Singh, Manisha Singh, Priyanka Singh

WOMEN EDUCATION FOR NATIONAL DEVELOPMENT IN INDIA 267B.C. Tripathi, M. Awasthi, R. Shukla

ROLE OF E-GOVERNANCE TO STRENGTHEN HIGHER EDUCATION SYSTEM IN INDIA 270Charanjeet Kaur, Prem Mehta

GROWTH OF HIGHER EDUCATION IN INDIA DURING THE PERIOD 1950-2005 277Prem Yadav, Prem Mehta

VALUE-BASED EDUCATION: PROFESSIONAL DEVELOPMENT VITAL 281TOWARDS EFFECTIVE INTEGRATIONVinay Kumar, Prem Mehta

AIM, SCOPE & EDITORIAL POLICY OF THE JOURNAL 286

INSTRUCTION TO AUTHORS 287

SUBSCRIPTION FORM 291

UNDERTAKING 292

COVER LETTER 293

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SIGNIFICANCE OF ASCORBATE IN TRANS-PLASMA

MEMBRANE ELECTRON TRANSPORT IN HEALTH AND

DISEASE OF HUMANS: REVIEW

VARSHA SHUKLA, BABITA SINGH, A.A.MAHDI, * SHIVANI PANDEY

Department of Biochemistry, King Gorge’s Medical University, Lucknow, Uttar Predesh, India

*Dr. Shivani Pandey, Assistant Professor, Department of Biochemistry, King Gorge’s Medical University,Lucknow, Uttar Pradesh, India,

email : [email protected]

INTRODUCTION

Transplasma membrane electron transfer(tPMET) systems are responsible for reducingextracellular electron acceptor utilizing cytosolicelectron doners. In humans, NAD(P)H andNADH-dependent systems have beendistinguished. tPMET activities are related to theregulation of vital cellular processes including thebioenergetics, regulation of growth anddifferentiation, apoptosis, pH control andmitogenesis cell signal transduction,antioxidation, and iron/copper metabolism. Inaccordance, deregulation of tPMET is related tovarious human conditions which includes agingand neurodegeneration, macrophage-mediatedLDL oxidation in atherogenesis , diabeticnephropathy and glycolytic cancer progression[1]. A distinction was made between NAD(P)H and

NADH-dependent system, the NAD(P)H-dependent system includes the members of theNox and Duox families [2], where as the NADH-dependent system often referred to as the plasmamembrane NADH: oxidoreductase system orPMOR-this system include at least an NADHoxidase and an NADH: ferricyanide reductaseactivity[3]. By this cells can respond to change inthe redox microenvironment which is responsiblefor regulating several biological functions suchas cell metabolism, proton pumping, activity ofion channels, growth and death. Ascorbatepromotes the availability of iron from numerousfood sources in vivo and in vitro. Ascorbetsupplementation stimulates extracellularferricyanide reduction by several cell types,including K562 cells [4], HL-60 cells and humanerythrocytes.

ABSTRACT

Trans-Plasma membrane electron transport (t-PMET) has been established in the year1960s.This system (t-PMET system) transfer electron across the plasma membrane, whichresults in the net reduction of extracellular oxidants (e.g., ferricyanide) at the cost of intracellularreductants such as NADH and ascorbate. Ascorbate (vitamin C), helps in the protection oforganism against a variety of oxidative agents. Oxidation of ascorbate takes place in two one-electron steps, the first step results in the Ascorbate Free Radical (AFR) formation. AFR can beoxidized further to produce dehydroascorbic acid (DHA) and also two molecules of AFRdisproportionate to form one DHA and one ascorbet molecule. In humans, NAD(P)H- and NADHdependent system have been distinguished. Recent finding suggest that transplasma membraneascorbate/dehydroascorbate cycling enhance NTBI reduction and uptake by humanerythroleukemia (K562) cells. By this phenomenon cell can respond to change in the redoxmicroenvironment which is responsible for regulating several biological functions such as cellmetabolism, proton pumping, and activity of ion channels, growth and death. This review willgive an update on functional significance of ascorbate in t-PMET and emphasis on its correlationto some harmful diseases, such as cancer, abnormal cell death, cardiovascular diseases, aging,obesity, metabolic syndrome etc. and genetically linked pathologies.

Keywords: Dehydroascorbate, ascorbate free redical, K562 cells, vitamin.

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BIOCHEMISTRY OF ASCORBATE

L-ascorbic acid (C6H

8O

6) is the trivial/

common name of Vitamin C. The chemical nameof ascorbate is 2-oxo-L-threo hexono-1,4-lactone-2,3-enediol. L-ascorbic anddehydroascorbic acid are the major dietary formsof vitamin C. The monovalent ascorbate anionundergoes sequential one-electron oxidationsunder physical condition of pH, temperature andoxygen tension [5]. The ‘first oxidation product isrelatively long-lived and electrochemically stableascorbet free radical (AFR; also known as semi-or mono-dehydroascorbate;E’

0= +330mV .The

first oxidation step of ascorbate requires relativelylow levels of circulating redox-active transitionmetals, such as iron and copper [2]. AFR isunreactive with dioxygen dissimilar to other freeradicals and it tends to decay mainly by

disproportionation, the formation of AFR takesplace by reaction of ascorbate with reactiveradical species which tends to inhibit free radical-induced oxidative chain reactions and it isirreversible reaction ; and rapidly AFR reducedback to ascorbate. Further monoelectronicoxidation of AFR produced DHA (E’

0= -210mV)

in the presence of mild oxidant such asferricyanide and /or NTBI species [4]. In theabsence of oxidants, two AFR molecules rapidlyoxidized to form one ascorbate and one DHAmolecule (fig.1). Though oxidation (ordisporportionation) of AFR to DHA requires two-electron reducing capacity of ascorbate, DHA isa structurally labile species which rapidlyundergoes an irreversible hydrolytic reaction alsoknown as ring-opening reaction to form 2,3-diketogulonic acid in plasma with a half-life ofseveral minutes[ 4]

Fig.1. The oxidation products of vitamin C.

These reactions mainly require enzymes,e.g. glutaredoxin, thioredoxin reductase, or AFRreductases, also chemical reduction byglutathione alone has been described. Whenextracellular oxidation occurs, then DHAreduction takes place into the cell. In case oferythrocytes, AFR and DHA can be reducedextracellular by redox enzymes present in theplasma membrane, which require intracellularNADH as a source of reducing equivalents [6].These are evidence of alternative pathway for

the reduction of extracellular ascorbate freeradicals in the erythrocyte (fig.2). The intracellularascorbate provides the reducing equivalents forthe reaction but not NADH, which utilized atransmembrane redox enzyme. This reaction issimilar to the redox process present in theadrenal chromaffine granules. There is possibilityof another, similar, erytherocyte redox systemresponsible for the reduction of AFR. On the otherhand, it is suggested that electrons can betransported to the membrane by small lipid


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soluble molecules like á-tocopherol andcoenzyme Q [7]. DHA degradation results in acomplete loss of the vitamin from human systems–it is a point which is particularly pertinent in thecase of species which lacks gulono-ã-lactoneoxidase activity. In order to overcome the loss ofascorbate, the vitamin must be retainedpredominantly in the two-electron reduced form(i.e. ascorbate) in both intracellular and

extracellular biological fluids. This observationimplies that, human cells possess severalconservative reduction mechanisms formaintaining both intra-and extracellularascorbate . Even cultured cells, which aresupplemented with artificial standard cultureconditions, maintain an extraordinary ability forascorbate regeneration [6].

Fig.2. Model for the Ascorbate-dependent reduction of AFR.

ASCORBATE-STIMULATED PLASMAMEMBRANE FERRICYANIDE REDUCTASE

tPMET activity is present in humanerythrocytes that utilizes intracellular ascorbatewhich acts as major electron donor for reductionof extracellular ferricyanide .After increasingintracellular ascorbate by dehydroascorbate,stimulation of the plasma membrane ferricyanidereductase activity takes place [8].By the additionof ascorbate oxidation the stimulation offerricynade reductase activity is not affected (allextracellular ascorbate is oxidized to form DHAand inhibits direct reduction of ferricyanide byascorbate),therefore intracellular ascorbate actsas an electron donor for reduction of extracellularferricyanide (Lane et al., data not shown).Directaddition of ascorbate could not reproduce thestimulation of reductase activity; hence thesecells do not express significant levels of sodium-ascorbate co-transporters (SVCTs) [9].

CELLULAR DHA UPTAKE

Maximum human cells are able to maintainintracellular ascorbate concentration that isremarkably higher e.g. up to 30-fold in some

cases in comparison to the extracellular fluid orplasma. Although most of the cells maintainoutward-facing concentration gradient by SVCT-mediated ascorbate import [4], low-affinity, high-capacity GLUTs is also a significant contributorto facilitate the diffusion of DHA. An inward-facingDHA gradient is maintained with respect to DHAthrough rapid reduction of imported DHA back toascorbate by the cells; ascorbate is poorsubstrate for GLUT-mediated transport [5].Elevated level of intracellular ascorbate is seenafter loading the K562 cells with DHA. This isinhibited by cytochalasin B. GLUTs is responsiblefor DHA uptake by K562 cells which is evidencedby two pharmacological observations, theaccumulation of intracellular ascorbate isresponse to extracellular DHA inhibited by: i) lowmicro molar concentration of cytochalasin B, butnot the structural analog dihydrochalasin B, thelatter of which shares with cytochalasin B, itsinhibition of cellular motile processes but not thatof facilitated glucose transport [4]; and ii) millimolarconcentrations of the transportable ( but notmetabolizable) D-glucose analog 3-O-methyl-D-glucose, but not the non-transportable glucosestereoisomer L-glucose. Again, primary

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astrocytes demonstrate similar behavior (Laneet al., data not shown).

IRON UPTAKE AND ASCORBATE / DHASHUTTLE

Cellular uptake of NTBI is well evidence, butless well understood in comparison to theclassical transferrine-dependent iron importpathway [9].Cellular uptake of NTBI may beparticularly related to in iron overload diseasessuch as hereditary hemochromatosis,hypotransferrinemia, and thalassemia , in whichplasma iron presents in excess of transferrine-binding capacity [5].By the analysis of ascorbate-mediated stimulation of NTBI reduction anduptake by human erytheroleukemia ( K562) cellsit is found that DHA loading of cells stimulatedboth processes ( viz. 12-and 2-fold, respectively),yet unlike the reduction of ferricyanide- remainedinhibitable by extracellular ascorbate oxidase [9].Furthermore, as cells were able to import iron ina manner inhibitable by cell-impermant ferrousion chelators, the ascorbate-stimulated ironuptake is clearly dependent on the initial adoptionof the ferrous state [8].

This suggests that ascorbate released fromcells- following uptake and reduction of DHA-

mediates direct reduction of ferric to ferrous iron,ferrous iron is then imported ( fig. 3). Subsequentaddition of DHA to control or loaded cells resultedin a dose-dependent stimulation of both ironreduction and uptake that can be inhibited bycytochalasin B, suggesting response-dependence on DHA uptake via GLUTs. Again,these results are basically reproducible withprimary astrocyte cultures [9] .Several possiblecandidates for the cellular export of ascorbatehave been proposed, including exocytosis ofascorbate-containing vesicles, ascorbate-ascorbate homeoexchangers ,connexinhemi-channels and volume-sensitive osmolyteand anion channels (VSOACs) .VSOACpermeability and ascorbate efflux from cells canbe inhibited by generic anion channel inhibitors,such as 4,4’-diisothiocyanatostilbene-2,2’-disulfonic acid (DIDS) and 4-acetamido-4’-isothiocyanatostilbene-2,2’-disulfonic acid(SITS), suggesting that a significant proportionof ascorbate release occurs via this pathway. Ithas been observed that DIDS inhibits ascorbaterelease, ferrireduction and iron uptake to similardegree in K562 cells [4].

COMPOSITION OF T-PMET

The reduction of extracellular moleculestakes place by outward flow of electrons comingfrom cytosolic donors, due to the action of tPMET.Enzyme-mediated and/or shuttle-based electrontransfer is involved in this trans-plasmamembrane flow. (Fig. 5) [10, 11,12].

Identification of several components hasbeen done in last two decades andcharacterization at the molecular andbiochemical level of some of these componentshas been done. Among them, some areexpressed ubiquitously, some are present incertain cell types, some utilize only a subset ofelectron donor and acceptor and some are lessspecific [13].

(A) Electron Donor: From NADH and NADPH,intercellular reducing equivalents may bederived, catabolic reactions are responsible forproduction of first co-enzyme Q, where assynthesis of fatty acid and cholesterol takes placeby the presence of NADPH/NADP+ system, thesereducing equivalent systems are also requiredfor hydroxylation and detoxification reactions.

Fig.3. Ascorbate/DHA shuttling in human NTBIuptake


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Numerous biological functions are affected by theratios of NAD+/NADPH [14, 15].To determine thechanges in these ratio, several biologicaltechniques such as bio-luminescence,chromatography and cycling assays have beendeveloped. These techniques can determine thechange in ratio under both physiological andpathological conditions. As living cells containenzymes, which are able to hydrolyze pyridinenucleotides, technical problems may arise duringtheir extraction and these techniques also havesome limitations, such as concerning sensitivity,reproducibility and interference with otherreducing compounds present in assay buffer[16].

Intercellular substance like flavonoids andascorbate (Asc) have been seen to protect cellsfrom extracellular oxidant stressors, in fact theyare crucial substrates for tPMET activity in redblood cells, erythrocytes may encounter a verityof oxidants that exert detrimental effects.Abundantly present flavonoids in fruits andvegetables are quercetin and myricetin, whichare utilized by erythrocytes and actively promotetPMET activity. Their structure is responsible fortheir ability to act as electron donor, the B ringstructure of catechol is necessary for the reducingactivity of these molecules [17]. Red Blood Cellsare dependent on the intercellular Asc level, asis evident from the observation that the treatmentof erythrocytes with nitroxide free radical Tempol(2, 2, 6, 6,-tetramethyl-4-hydroxypiperidine-N-oxyl) (fig.4) which is responsible for theendogenous Asc depletion (without affectingglutathione or á-tocopherol content) [18], where asinhibition of 80% basal rate of ferricyanidereduction were seen in untreated cells [19,20].Astrocytes show similar situation, in these cellsAsc-dependent tPMET is more important than theNADH-dependent tPMET [21]. There are two

important mechanisms, in which Asc contributesto tPMET, are (i) enzyme-mediated electrontransport, in which electron donor is Asc fortransmembrane oxidoreductases and (ii) nonenzymatic electron transfer, where cells directlyrelease Asc which act as reducing agent thusoxidized to dehydroascorbate (DHA) viaintermediate ascorbyl free radical (AFR) [22,23,24] .DHA further reduced back to Asc by the reductingequivalents coming from cellular metaboliteshuttling/cycling mechanism involving otherredox couple including superoxidedioxygen [25,26],

dihydrolipoic acid/ á-lipoic acid [27,28] and reducedglutathione/cysteine [29].

(B) Electron Acceptor: Oxygen is mostimportant extracellular acceptor which fullyreduced to water with the generation of reactiveoxygen species (ROS) including superoxide (O

2-

) and hydrogen peroxide (H2O

2) which help in the

modulation of specific cellular function and signaltransduction pathway [30]. AFR is anotherphysiological substrate which reduced to Asc [24]

and ferric ion which again reduced to ferrous ion[31], ferrous ion is important for the proximal smallintestinal epithelium, where enterocytes utilizeiron, but before its transportation across themembrane occures it should be reduced.

( C ) Intermediate Electron Carriers:Intermediate electron acceptors are mainly bcytochromes, flavin and vitamin E, but mostwidely used electron shuttle is ubiquinone (orcoenzyme Q [CoQ] ) (Fig.5). It is able to movebetween membrane bi layer and links the cellfrom inside to outside. [32]

FIG. 5. Key components of t-PMET

(D) Enzymes

1. NADPH oxidases

Superoxide families generating NADPHoxidases also named as Nox or Phox i.e.

Fig.4.Structure of 2, 2, 6, 6,-tetramethyl-4-hydroxypiperidine-N-oxyl

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phagocytic oxidases. It includes seven proteins(Nox1 to Nox5 and Duox1 and Doux2) and isbest characterized class of enzymes present intPMET. Nox 2 is the first recognized and mostextensively studied member, expressed inhuman phagocytes and responsible forproduction of superoxide during engulfment ofinvading microbes [33,34].Members of Nox familyare involved in many biological functions suchas signal transduction, host defense,development, angiogenesis, blood pressureregulation and biosynthetic processes[35,36].NADPH acts as electron donor for catalyzing thereduction of oxygen to produce superoxide ,hydrogen per oxide and oxygen with the help ofenzyme superoxide dismutase [SOD]. Hydrogenperoxide so formed acts as second messengermolecule. On the basis of structure, the Noxenzymes are classified into three functionalgroups. They are as follows.

1) Nox 1-4: Nox 2 is the first identified prototypeof this family. Cytochrome b558, is the catalyticpart of Nox 2, it is heterodimer composed oftwo sub nits, namely, p22phox (light chain) andgp91phox (heavy chain) (37). Nox2 is usuallyinactive in resting cells. Nox 1 is expressed incolor epithelial cells primarily and also foundin vascular smooth muscle cells, uterus andprostate [38].p22phox is associated with Nox 1like Nox 2, Nox 1 requires NoxO1 protein anorganizer and NoxA1 protein an activator. Nox3 mRNA is found in foetal tissues, kidney, liver,lung and spleen [39,40] but mainly present ininner ear like Nox 2 and Nox 1, it also requiresp22phox but it does not require organizer andactivator protein for its enzyme activity. Finally,the expression of Nox 4 is higher in kidneyand vascular endothelial cells [11,32]. Nox is ableto produce a functional diamer with p22phox , itcan produce superoxide anions withoutintervention of organism and activator proteinsame like Nox 3.

2).Nox 5: It is found in testis and also expresseditself in T- and B lymphocytes [41]. Nox 5 is alsorelated to the other members of the family. Itsactivity does not require organizer andactivator protein, in this way it differs fromother Nox isoforms but it requires intercellularcalcium concentration and is totally dependon it. In Nox 5 calcium sensitization is archivedby two main mechanisms.

a). The first mechanism involves proteinkinase C –dependent phosphorylation ofThr494 and Ser 498 present in the FADbinding domain.[42]

b). The second mechanism involvescalmodulin binding site present in the NADPHbinding domain. [43]

3) Duox 1and Duox 2: Expression of theseoxidases is mainly found in the membrane ofthyroid glands [43]. They usually produce H

2O

2

rather than O2.They have the basic structure

of gp91phox enzymes [44].Therefore superoxideanions are mainly produced which rapidlyconverted to H

2O

2 by the help of enzyme

dismutase, this process is known asdismutation.They have an additional N-terminal peroxidase like domain present onthe outside membrane. These enzymes arecalcium responsive enzyme. [45]

Biological Function

· Nox 1 plays two important roles: immunedefense and cell proliferation.

· Nox 2 helps in signaling and also involvesin immune defense, it is present in endothelialcells and responsible for endothelial growthfactor and thrombin and also implicate in newblood vessel formation. They are alsoresponsible for tumor cell proliferation.

· Most important function of Nox 3 isparticipation in normal vestibular functions asit is present in the inner ear.

· In kidney Nox 4 helps in oxygen sensing andregulation of erythropoietin synthesis. It alsoacts as an antimicrobial system as it helps indetoxification of urine wastes by releasingROS in glomerular filter.

· Main function of Nox 5 is in testis as itpromotes oxidative changes which areusually associated with sperm capacitationand acrosome reaction.

2. NAD(P)H: quinone oxidoreductase

It is also known as DT-diaphorase or QR1.Itis present in cytosole and is homodimeric flavorprotein. Its enzyme commission number is1.6.99.2. Under oxidative condition it is overexpressed and trans located to plasmamembrane. [46, 47]


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Biological Function

• It is a key enzyme for cellular defense againstROS.

• It shows scavenging activity due to thepresence of NAD(P)H-dependentsuperoxidase.

• It is responsible for ubiquinone cycle andfacilitates in-out transfer of electron [48] and italso produces redox-labile hydroquinone.Therefore it has a complex metabolicpathway for its protective functions.

• It acts as chemo-protective enzyme, as it isable to reduce quinine-imines, nitro- and azo-compounds.

• It helps in detoxification of xenobiotics andprevents cytotoxic and carcinogenic effects[49].

• It is able to modulate oncoprotein stability.

3. Disulfide-thiol exchangers: They belong tothe family of cell surface proteins and exhibithydroquinone (NADH) oxidase activity andprotein disulfide-thiol interchange activity [50].They are also known as ENOX proteins as theyare located outer side of plasma membrane [50].

Biological Function: It possesses two importantbiological functions, first function is to participatein enlargement of cell growth and the secondfunction is that it is the important component ofbiological clock.

4. Voltage-dependent anion-selectivechannels: It represents a family of 30-35 kDaintegral membrane protein. They are located inouter mitochondrial membrane [51].

Biological Function:

· Its major function is to control metabolictrafficking between cytosole andmitochondria by forming pores which arepermeable to low molecular weightmolecules such as ATP, ADP, succinate andcitrate [52].

· They also help in the release of apoptogenicproteins from mitochondria. [53]

5. Duodenal cytochrome b: Dcytb is alsoknown as Cybrd1, it is the member of cytochromeb561 family Dcytb mRNA and protein both areinduced in response to hypoxia and iron

deficiency, they play an important role in ironmetabolism.[31]

Biological Function: It plays an important rolein uptake of dietary nonheme iron.

6. Cytochrome b5 reductase: Its enzyme

commission number is 1.6.2.2, also known asdiaphorase-1 or methemoglobin reductase.

Biological Function

· They are membrane associated enzymespresent in all human cells, it helps in fattyacid chain elongation and desaturation [54, 55],cholesterol synthesis [56] and hydroxylation ofxenobiotics such as hydroxylamine andamidoxime compounds [57].In erythrocytesthey help in maintaining hemoglobin in itsreduced state. [58,59]

PATHOLOGICAL ROLES OF ASCORBATE INT-PMET

Various pathological conditions areregulated by ascorbate in tPMET . These aredescribed below.

Apoptosis

This process is involved in bodyhomeostasis and tissue development. Defect inthe process of apoptosis leads to severaldiseases: Hypotrophy can be caused byexcessive apoptosis; insufficient amount ofapoptosis can cause cancer due to uncontrolledcell proliferation. [60, 61, 62].

ROS generates due to inhibition ofascorbate in t-PMET which leads to pro-oxidantat plasma membrane and promotes apoptosis.

Cancer

Through mitochondrial oxidativephosphorylation, normal tissues derive theirenergy by glucose metabolism and producecarbon dioxide and water. Even in the presenceof oxygen cancer cells convert glucose intolactose rather than pyruvate. This phenomenonis known as Warburg effect [63]. Ascorbate playsan important role in cancer biology .It may perturbkey redox couples which include NAD(P)H/NAD(P)+ and CoQH

2/Co Q ratio, it neutralizes free

radicals before they can damage DNA and initiatetumor growth and or may act as a pro-oxidant

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helping body’s own free radicals to destroytumors in their early stages [64,65]. The t-PMET isuseful for anticancer drug development due toits targeting. Recently Prata et al. reported thatin human leukemic cells the primary site of actionof new anticancer compound is t-PMET such as[ 3 - ( 2 - c h l o r o - 5 - m e t h o x y - 6 - m e t h y l - 3 -indolylmethylene)5-hydroxy-1,3-dihydroindol-2-one,3-[(2,6-dimethylimidazo[2,1-b]-thiazol-5-yl)methylene]-5-methoxy-2-indolinone andguanylhydrazone of 2-chloro-6-(2,5-dimethoxy-4-nitrophenyl) imidazo [2, 1-b] thiazole-5-carbaldehyde] having anti- proliferative activity,therefore for the treatment of leukemia, specifictargeting of t-PMET may be util ized incombination of ascorbate with standardchemotherapeutic drugs. Treatment with ascorbylstearate resulted in concentration-dependentinhibition of cell proliferation cancer cells [66, 67].

The anti-proliferative effect was found to be dueto the arrest of cells in S/G2-M phase of cell cycle,with increased fraction of apoptotic cells.Considerable biochemical and physiologicalevidence suggests that ascorbic acid functionsas a free radical scavenger and inhibits theformation of potentially carcinogenic N-nitrosocompounds from nitrates, nitritess in stomachand thus offers protection against cancer [68–69].

Cardiovascular diseases

t-PMET regulates cardiovascular diseasesby controlling the redox state and so, the redox-dependent signaling pathways in endothelialcells. It has been proved thatHyperhomocysteinemia stimulates ferricyanidereductase activity and cytochrome b5 reductaseexpression, thus forming a potential link betweent-PMET, oxidative stress, and endothelialdysfunction [70]; Jessup’s et.al. found thatenhanced t-PMET activity induces low-densitylipoprotein oxidation [71], thus up regulation of t-PMET may be numbered among atherogenicfactors. Nox1, Nox2 and Nox4 provide newavenues for therapeutic interventions. Regularphysical exercise training has also improvedendothelium dependent vasodilatation, by downregulating Nox subunits, especially gp91phox,p22phox, and Nox4 [72]. A potential protective roleof t-PMET has been reported by Lee at.el.However, a recent meta analysis on the role ofascorbic acid and antioxidant vitamins showed

no evidence of significant benefit in preventionof CHD [73]. Thus, no conclusive evidence isavailable on the possible protective effect ofascorbic acid supplementation on cardiovasculardisease.

Aging

Ascorbate present in t-PMET plays aprotective role by maintaining the optimal levelsof plasma antioxidants. In line with thishypothesis, caloric restriction, a commonintervention able to delay age related oxidativedamage [74], increases the amounts of CoQ10 andá-tocopherol, as well as the activity of severalNAD(P)H oxidoreductases. Hence, up regulationof t-PMET would be useful to decrease oxidativestress and confers an anti-aging, stress resistantphenotype, thus extending life span [75].

Obesity, metabolic syndrome and diabetes

Obesity represents a world wide nutritionalproblem, as it dramatically increased during thepast 20 years. An unbalanced redox state hasbeen implicated as one of the key factors leadingto obesity-associated complications, such as themetabolic syndrome and diabetes. Thus, obesitymay be viewed as a state of chronic oxidativestress, characterized by enhanced levels of ROSand impaired antioxidant defenses. t-PMET islikely to participate in the chronic oxidant/antioxidant unbalance due to presence of vitaminC. Indeed, Nox1, Nox2, and/or Nox4 have beenshown to be implicated in pathways leading tosteatosis and insulin resistance in the liver, aswell as to pancreatic B-cell dysfunction, therebyallowing progression from the metabolicsyndrome to type 2 diabetes [76].

CONCLUSIONS

Cell plasma membranes have complexsignaling systems for regulating cellularmetabolism. Several research studies basicallyconcentrate on enzymatic tPMET systems;however several examples of ‘shuttle- based’tPMET systems have been documented as well,including ascorbate/DHA , dihydrolipoic acid/a-lipoic acid , reduced glutathione/cysteine andsuperoxide dioxygen shuttles. t-PMETunregulated optimal NAD+ level which is requiredfor the production of ATP in glycolysis under lowmitochondrial activity whereas increased activity


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is responsible for superoxide anion and hydrogenper oxide production which enhance cell growthby regulating signaling molecule[1]. As withclassical enzyme-mediated tPMET systems,these ‘shuttle-based’ systems result in the nettransfer of metabolically derived reducingequivalents from the cytoplasmic compartmentto the extracellular space. In the extracellularspace, the fate of these reducing equivalentsdepends on the particular redox couple involved.Many enzymes present in t-PMET have induciblesystems, which are activated by variety ofextracellular effectors such as growth factors,cytokines and hormones, so that oscillation ofROS production serves the need of differenttissues. The example of shuttle-based tPMET istransplasma membrane ascorbate/DHA cycling,which leads to redox change linked to cellmetabolism. Transplasma membrane ascorbateDHA cycling may contribute significantly to NTBIferric reduction prior to ferrous uptake. As anexample, superoxide production at cell surfacemay not be derived from any of NOX isoformaction, non -mitochondrial oxygen consumptionwas inhibited by extracellular NADH in severalglycolytic cancer cell lines [77], whereas the oxygenburst observed in activated platelets andleukocytes was demonstrated to be stimulatedby the presence of exogenous NADH [78].Fromthe involvement of ascorbic acid present in t-PMET in several pathological conditions, it ismandatory to understand, in the future, therelative contribution of each oxidase system toROS generation and shuttle-based t-PMETsystems; this will help us to design noveltherapeutic approaches. Thus, though ascorbicacid was discovered in 17th century and Trans-Plasma membrane electron transport (t-PMET)has been established in the year 1960s, their roleis important in human health and disease, stillremains a mystery [79].

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AGGRESSIVE FIBROMATOSIS OF MANDIBLE:

A CASE REPORT AND LITERATURE REVIEW

NIMISHA SINGH1,* VIBHA SINGH1, SATISH DHASMANA2, RIDHI JAISWAL3, GAGAN MEHTA1

1Department of Oral and Maxillofacial Surgery, K.G. Medical University, Lucknow, Uttar Pradesh, India, 2Department of

Anaesthesia, R.M.L.Institute of Medical Sciences, Lucknow , Uttar Pradesh, India, 3Department of Pathology and

Microbiology, K.G. Medical University, Lucknow, Uttar Pradesh, India

*Address for Correspondence: Dr. Vibha Singh, Professor, Dept.s of Oral and Maxillofacial Surgery,K.G.Medical University, Lucknow, Uttar Pradesh, India,

email: [email protected]

ABSTRACT

Aggressive fibromatosis or desmoid tumor is a benign but locally-aggressive tumor, which mostoften affects the muscles of the shoulder, the pelvic girdle, and the thigh. This tumor has highpotential for loco regional extension. It is very rarely located in the mandible. The differentialdiagnosis with malignant tumors is difficult. Surgery is the first-line treatment. However, alternativetherapies should be considered, especially in children, to avoid mutilating operations. This articlereports a case of aggressive fibromatosis involving mandible in a 13 year old female and literaturereview.

Keywords: Desmoid, Fibromatosis, Mandible.

INTRODUCTION

Desmoid tumors (DT), also calledaggressive fibromatosis (AF), are rareneoplasms, occurring both sporadically and inthe context of familial adenomatous polyposis,also recognized as Gardner ’s syndrome.Fibromatoses are a group of fibrous connectivetissue lesions that are morphologically classifiedas benign neoplasms. They do not usuallydevelop distant metastasis, however, locally theyshow an aggressive and infiltrative behavior. Thelow incidence of this rare tumor presentsproblems in both diagnosis and management.Juvenile aggressive fibromatosis affects infantsand children and requires radical surgery.

Stout[1] first described ‘juvenile fibromatosis’as a non-congenital disease affecting childrenyounger than 16 years. There are two types ofjuvenile aggressive fibromatosis, superficial anddeep. The superficial variant is not aggressive,does not grow faster, and does not invade deeptissues. By contrast, deep fibromatosis is moreaggressive and invades other tissues. Someauthors tend to classify it as a fibroblasticproliferative disorder different from neoplasia [2].

This variant affects young children, especiallythose from 18 months to 3 years old, and femalesin a 3:1 ratio over males[3]. It affects differentregions of the body but especially the neck andface, specifically the tongue and lower jaw [2,3,4,5].This disease is characterized by a massiveinfiltration of muscle, fat tissue, and bone.

The etiology is unknown. Multiple factors arethought to influence pathogenesis includinggenetic, trauma and endocrine factors.Membrane-specific estrogen and progesteronereceptors have been implicated in desmoids inpregnancy and steroid hormones play a vital rolein the dysregulation of fibroblast activity. Loss ofthe Y chromosome and deletion of 5qchromosome may occur [6].

Fibromatosis occurs mostly in the lowerabdominal wall of females during or afterpregnancy [7]. Extra abdominal fibromatosis oftenaffects the muscles of the shoulder and pelvicgirdles. Between 7% and 15% of AFs occur inthe head and neck region, 26% of which arisefrom the soft tissues (including the periosteum)around the mandible [8,9]. Fibromatoses are morecommon in females than males at a ratio of 3:2


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or even higher for the abdominal desmoids [9].

Although fibromatosis can affect any agegroup from neonatal to elderly, it is predominantlya disease of children and young adults. Twentyfive percent of all AFs occur in children under 15years of age[1]. Surgical ablation in this kind oftumor should be radical, as there is a high rateof recurrences after more conservative treatment[5,10,11].

CASE REPORT

A 13 year old femalepresented to OutpatientDepartment of Oral &Maxillofacial Surgery,K.G.Medical University,Lucknow with a firm swelling

Fig 1: Frontal view showinglarge swelling of right lateralmandible.

in the right lateral mandible measuring 11x6 cm,without involvement of skin or gingiva. (Fig. 1)

There was no history of trauma to the faceor neck and no complaints of pain, voice change,or dysphagia. No relevant diseases werereported in the family. A general physicalexamination was normal. Oral and maxillofacialexamination revealed a large swelling of the rightlateral mandible. It extended from the right ramusof the mandible to the left parasymphysealregion, crossing the mid line. The mass was firm,hard, non-pulsating, and measured 11x6 cm. Theswelling obliterated the right buccal sulcus andwas palpable in the floor of the mouth. Theoverlying skin and mucosa were normal. Nocervical lymphadenopathy was present.

The orthopantomograph revealed a radio-lucent lesion with ill-defined borders extendingfrom the right mandibular ramus to the leftparasymphysis (Fig. 2). A CT scan showed atumour arising from the right mandibular ramus,extending to the anterior mandibular body,crossing midline with erosion of the lingual andbuccal cortical plates at some places, andextending towards the floor of the mouth andsubmandibular area (Fig. 3).

Fig 2: OPG showing radio-lucent lesion from the rightmandibular ramus to left parasymphysis.

Fig 3: CT scan showing radiolucent tumor.

The patient underwent an intraoral incisionalbiopsy. Sections show a benign mesenchymaltumor disposed in bundles or fascicles or aninterlacing pattern. The fascicles comprise of ovalto elongated cells having uniform spindle nuclei(Fig. 4a). Collagen formation is seen. At theperiphery several bone trabeculae rimmed byosteoblasts and covered by squamousepithelium are seen (Fig. 4b). The histologicalexamination revealed aggressive fibromatosis.

Fig 4a: Microscopic picture showing mesenchymal tumordisposed in intersecting fascicles.

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Fig 4b: Microscopic picture showing osteoid rimming thetumor tissue.

The patient was planned for surgery undergeneral anaesthesia for radical excision. A rightmandibulectomy was performed via asubmandibular incision (Fig 5, 6). Immediatereconstruction was performed by usingreconstruction plate (Fig. 7).

Fig 5: Exposure of tumor via submandibular approach

Fig 6: Resected tumor mass

Fig 7: Immediate reconstruction of mandible withreconstruction plate

Postoperative healing was uneventful (Fig.8). Naso-enteral feeding was continued for 6days, after which the patient was kept on a liquidoral diet.

Fig 8: Post-operative viewof patient

DISCUSSION

Fibromatosis encompasses a group of softtissue lesions which are characterizedhistologically by fibroblastic proliferation andclinically by the potential to infiltrate locally andto recur after surgical excision, but notmetastasize.

Seper et al. [11] presented a completeliterature of aggressive fibromatosis of themandible reported between 1960 and 2003. Outof 37 published cases, most (89%) underwentsurgical resection with 22% of recurrencesreported after an average follow up of 3.8 years.The tumor is very rare in the maxilla. We knowonly 15 cases that have been reported from1980to now12, 13.

The incidence of these lesions in the headand neck is mentioned as from 9.5% to 50% of


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all desmoids tumors.[14] Within this area, 40%to 80% of the tumors are located in the neck[15].The face is mentioned as the second mostfrequent site for desmoids lesions, withpreponderance in the region of the cheek [15].

Clinically, AF manifests as a painless, firm,rapidly enlarging mass, fixed to underlying boneor soft tissue. Histologically, AFs are tumors withproliferation of mature fibroblasts with long ovoidnuclei without polymorphism. Abundant collagenis present with the neoplastic cells.

Radiographic findings are variable rangingfrom periosteal thickening with ill-definedradiolucency to frank bony destruction. CT andMRI show infiltration of soft and hard tissueboundaries [4].

The osteolysis of the mandible with a largeextra oral swelling but without involvement of themucosal or skin surface could indicate thepresence of a primary osseous lesion. Therefore,AF could be misdiagnosed as desmoplasticfibroma, in particular because it has a similarhistopathol[ogical appearance [16].

Estrogen, progesterone receptors and anti-estrogen binding site studies may be of clinicalimportance, as a therapy with hormonal agentsmight be effective in AF [17].

According to the literature, surgery is themost common treatment of AF in head and neckwith local invasion into the mandible [18,19].Extensive and mutilating resection of a benignneoplasm is a difficult decision. However, thedisease can result in a lethal outcome. Therefore,complete excision of AF with a generous borderof histologically tumor-free tissue is generallyrecommended [3 ,5 ,20]. When bone is involved, thetreatment has to include the affected part of themandible.

Owing to the locally aggressive progressionof AF and patient’s uncompleted growth, thetreatment of head and neck lesions in youngchildren needs multidisciplinary approach. Thetherapy alternatives in AF include Chemotherapy[21] hormonal therapy (antiestrogen), NSAIDtherapy [22]. Radiotherapy is reserved forinoperable disease and chemotherapy may beuseful as an adjunct.

CONCLUSION

Aggressive fibromatosis presents adiagnostic dilemma and may mimic malignancy.The differential diagnosis with malignant tumorsis difficult. Fibromatosis in the maxillofacialregion is a very rare among diverse pathologicconditions, and because of the rarity of this tumor,definite treatment regimen is not established,which may be responsible for a high recurrencerate of these tumors. Surgery is the first-line oftreatment, however, alternative therapies shouldbe considered, especially in children, to avoidmutilating operations.

REFERENCES

1. Stout AP: Juvenile fibromatoses. Cancer 7: 953–978,1954

2. Zachariades N, Papanicolaou S: Juvenile fibromatosis.J Craniomaxillofac Surg 16: 130–135, 1988

3. Hoffman CD, Levant BA, Hall RK: Aggressive infantilefibromatosis: report of a case undergoing spontaneousregression. J Oral Maxillofac Surgery 51: 2043–2047,1993

4. Tullio A, Sesenna E, Raffaini M: Aggressive juvenilefibromatosis. Minerva Stomatol 39: 77–81, 1990

5. De Santis D: Fibromatosis of the mandible : case reportand review of previous publications. Br JOral MaxillofacSurgery 36: 384–388, 1998

6. Meera Satish Ruparelia 1, Daljit K. Dhariwal : Infantilefibromatosis: a case report and review of the literature.Br JOral Maxillofac Surgery 2011

7. Pack GT, Ehrlich HE. Neoplasms of the anteriorabdominal wall with special consideration of desmoidtumours: experience with 391 cases and collectivereview of the literature. Int Abstr Surg 1944;79: 177

8. Reitamo JJ, Scheinin TM, Havry P. The desmoidsyndrome. New aspects in the cause, pathogenesis andtreatment of the desmoids tumor. Am J Surg1986;151:230-7

9. Carr RJ, Zaki GA, Leader MB, Langdon JD. Infantilefibromatosis with involvement of the mandible. Br J OralMaxillofac Surg 1992;30:257-62.

10. Zlotecki RA, Scarborough MT, Morris CG, Berrey BH,Lind DS, Ennekind WF, Markus Jr RB: External beamradiotheraphy for primary and adjuvant managementof aggressive fibromatosis. Int J Radiat Oncol Biol Phys54: 177–181, 2002

11. Seper L, Burger H, Vormoor J, Joos U, Kleinheinz J:Aggressive fibromatosis involving the mandible—casereport and review of the literature. Oral Surg Oral MedOral Pathol Oral Radiol Endod 99: 30–38, 2005

12. Donohue WB, Malexos D, Pham H. Aggressivefibromatosis of the maxilla. Report of a case and reviewof the literature. Oral Surg Oral Med Oral Pathol1990;69:420–6.

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13. Tenglong Hua,, Guangping Jing, Kewen Lv : Aggressivefibromatosis in the maxilla. Br JOral Maxillofac Surgery2009

14. Das Gupta TIC, Brasfield RD, O’Hara J. Extra-abdominal desmoids: a clinicopathological study. AnnSurg 1969; 170:109-21.

15. Conley T, Healey WV, Stout AD. Fibromatosis of thehead and neck. Am J Surg 1966;112:609-14.

16. Addante RR, Laskin JL. Large right mandibular mass.J Oral Maxillofac Surg 1985;43:531-6.

17. Wilcken N, Tattersall MHN. Endocrine therapy fordesmoids tumors. Cancer 1991;68:1384-8.

18. Melrose RJ, Abrams AM. Juvenile fibromatosis affectingthe jaws. Report of 3 cases. Oral Surg Oral Med OralPathol Oral Radiol Endod 1980;49:317-24

19. Akama MK, Chindia ML, Guthua SW, Nyong’o A.Extraabdominal fibromatosis invading the mandible:case report. East Afr Med J 2002;79:49-51

20. Spear MA, Jennings LC, Mankin HJ, Spiro IJ,Springfield DS, Gebhardt MC, et al. Individualizingmanagement of aggressive fibromatoses. Int J RadiatOncol Biol Phys 1998;40:637-45.

21. Azzarelli A, Gronchi A, Bertulli R, Tesoro JD, Baratti D,Pennacchioli E, et al. Low-dose chemotherapy withmethotrexate and vinblastine for patients with advancedaggressive fibromatosis. Cancer 2001;92:1259-64.

22. Lackner H, Urban C, Kerbl R, Schwinger W, Beham A.Noncytotoxic drug therapy in children with unresectable

desmoids tumors. Cancer 1997;80:334-40.


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POLYALTHIA LONGIFOLIA AND ITS PHARMACOLOGICAL

ACTIVITIES : REVIEW

PRATEEK DIXITa, TRIPTI MISHRAa, MAHESH PALa*, T. S. RANAb AND D. K. UPRETIb

*aPhytochemistry Division, CSIR-National Botanical Research Institute, Lucknow 226 001, India, bPlant Diversity,

Systematics and Herbarium Division, CSIR-National Botanical Research Institute, Lucknow 226001, India

*Address for Correspondence : Dr. Mahesh Pal, Principal Scientist, Phytochemistry Division CSIR-NationalBotanical Research Institute, Lucknow 226 001, India

E.mail: [email protected]

ABSTRACT

Polyalthia longifolia var. angustifolia is a member of the Annonaceae family and is a smallmedium-sized tree distributed in many tropical countries around the world, commonly used asornamental street tree due to its effectiveness in combating noise pollution. In traditional andindigenous systems of medicine Polyalthia longifolia has been commonly used in the treatmentof fever, helminthiasis, diabetes and in cardiac problems. Various pharmacological investigationshave shown that Polyalthia longifolia posseses significant biological and pharmacologicalactivities such as antibacterial, antifungal, antitumor, anti-ulcer, antidiabetic and antioxidantproperties. In context of various medicinal importance of P. longifolia, this review is an attemptto compile detailed exploration of all currently available botanical, phytochemical,pharmacological and other ethnomedicinal properties of P. longifolia in an attempt to provide adirection for further research work.

Keywords: Polyalthia longifolia, Phytochemistry, Pharmacological Actions.

INTRODUCTION

Herbs and the humans have a greatrelationship with each other. Plants have beenknown to be used for alleviation andmanagement of diseases since the verybeginning of human civilization. Even at presentday medicinal plants play important roles despitethe tremendous scientific development and holdmuch more hidden treasure to be explored asalmost 80 percent of the human population indeveloping countries is dependent on plantresources for their primary healthcare [1]. Plant-based therapy has been used as a vitalcomponent in traditional medicine systems andalso serves as the main source of inspiration forseveral major pharmaceutical drugs used in thedefence against various diseases. One suchplant Polyalthia longifolia (Order: Magnoliales ;Family : Annonaceae) is an evergreen plantcommonly used as an ornamental street tree dueto its effectiveness in combating noise pollution.Polyalthia longifolia is also known as false

Ashoka, Buddha Tree, Green champa, Indianmast tree, and Indian Fire tree. It exhibitssymmetrical pyramidal growth with willowyweeping pendulous branches and long narrowlanceolate leaves with undulate margins. Thetree is known to grow over 30 ft in height. Intraditional medicines various herbal preparationsare being used for treating dueodenal ulcers. Theplant has been used in traditional system ofmedicine for the treatment of fever, skin diseases,diabetes, hypertension and helminthiasis. Anumber of biologically active compounds havebeen isolated from the plant [2]. The leaves of theplant are aromatic and are generally used fordecoration, while the bark is used as a folkmedicine for the treatment of pyrexia and otherbleeding disorders in India [3]. EthanomedicallyPolyalthia longifolia is a versatile plant which isused to treat rheumatism, menorrhagia, scorpionsting, diabetes, skin disease, hypertension,helminthiasis and also in treatment for thedigestive system [4].

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DISTRIBUTION

The genus Polyalthia includes about 120species occurring mainly in Africa, South andSouth Eastern Asia, Australia, and New Zealand.India has 14 species of Polyalthia [5]. Thedistribution of major Polyalthia species in Indiaare Polyalthia cerasoides Bedd.; a shrub or smalltree, found throughout India, Polyalthia fragransBenth ; a large tree found in Western Ghats andP. longifolia (Sonn.) Thw ; found under cultivationin India. There are two distinct varieties of thisspecies, both found in Maharashtra andelsewhere [6].

PHYTOCHEMISTRY OF POLYALTHIA

LONGIFOLIA

Polyalthia longifolia is very versatile plantdue to its chemical constituents which areresponsible for its various pharmacologicalactions. Literature report of few phytochemicalscreening tests on this plant shows the presenceof saponins, carbohydrates, alkaloids, tannins,resins, steroids, glycosides and flavonoids asmajor phytochemical constituents. Previousstudies on its leaves, bark, roots, root bark, andseeds have revealed various types ofditerpenoids and alkaloids with numerousbiological activities such as anti-inflammatory,antihypertensive, antimicrobial, and cytotoxiceffects.

A new halimane diterpene, 3â,5â,16á-trihydroxyhalima- 13(14)-en-15,16-olide, and anew oxoprotoberberine alkaloid, (-)-8-oxopolyalthiaine, along with 20 knowncompounds, were isolated from a methanolicextract of Polyalthia longifolia var. pendula.These compounds were evaluated for cytotoxicitytoward a small panel of human cell lines [7].

Ethanolic extract of the leaves of P. longifoliavar. pendula showed the presence 16a-hydroxycleroda-3,13(14) Z-dien-15,16-olide asthe active principle, and its metabolite 16-oxocleroda-3, 13(14) Z-dien-15-oic acid as anovel antidyslipidemic agent [8].

H

OH

HO

O

O

OH

Fig 1. 3 ,5 ,16 -t r i h y d r o x y h a l i m a -13(14)-en-15,16-olide

N

H3CO

OH

O

OH

OCH3

OH

H

(-)-8-oxopolyalthiaine

O

O

OH

Fig. 2: 16a-hydroxycleroda-3,13(14)Z-dien-15,16-

olide & its metabolite

Other clerodanes like compounds alsoreported from stem of P.longifolia by otherresearchers are 6á,16-dihydroxycleroda-3,13-dien-15-oic acid, 6á,16-dihydroxycleroda-4(18),13-dien-15-oic acid, and 4á,18â-epoxy-16-hydroxyclerod-13-en-15-oic acid [9] as well as 16-hydroxycleroda-13-ene-15,16-olide-3-one frombark [10]. Isolation of the methanol extract of leavesand berries shows the presence of three newclerodane diterpene from this plant i.e. methyl-16-oxo-cleroda-3,13(14)E-dien-15-oate, 3â,16á-dihydroxy-cleroda-4(18), 13(14)Z-dien-15,16-olide, and solidagonal acid [11]. Later, two otherclerodane diterpenes were obtained from leavesand these were 3á,16 á-dihydroxycleroda-4(18),13(14)Z-dien-15,16-olide and 3â,16 á-dihydroxycleroda-4(18),13(14)Z-dien-15,16-olide[12].

The bark of Polyalthia longifolia has alsobeen reported to contain a new clerodane-type

HO

H

O

O


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gamma hydroxylbutenolide diterpene i.e. (Z)-4-hydroxy-3-(2"6"-hydroxy-5"-(hydroxymethyl)-5",8"a-dimethyloctahydro-1H-spiro[naphthalene-2",2"-oxiran]-1"-yl) ethylidene)dihydro-furan-2(3H)-one [13].

Other than terpenoids the other major groupof chemical from this plant was alkaloid.Azafluorene type of alkaloids are majorly foundin this plant which includes polylongine andpolyfothine [21]. Aporphine alkaloids were alsoobtained which include methylnandigerine-â-N-oxide as well as liriodenine, noroliveroline andoliveroline-â-N-oxide [21, 22].

HO

O

OH

O

O OH

The dimeric clerodane diterpene has alsobeen isolated and two examples of thisbisclerodane compound are Longimide A andLongimide B [14].

Fig. 3: Gamma hydroxy-lbutenolide

COOH

N

O

O

Other than these compounds this plant hasalso been reported to have 5-hydroxy-6-methoxyonychine [15,16], (-)-anonaine [17], (-)-norboldine [18], (+)-norboldine, (-)-norpallidine [19],

(-)-asimilobine, p-hydroxybenzoic acid [20], beta-sitosterol and stigmasterol.

Fig. 4: Longimide B

Fig [5] 5-hydroxy-6-methoxyonychine,

N

H3CO

OH

O

NH

O

O

(-)-anonaine

NH

H

OH

O

O

H

N

O

H3CO

H3CO

CH3

The protoberberine compounds obtainedhas also been identified as (-)-8-oxo-polyalthiaine[23], pendulamine A and pendulamine B [24].

Fig [6] polyfothine

noroliveroline

N

HO

O

OCH3

OH

OCH3

PHARMACOLOGICAL ACTIVITIES OFPOLYALTHIA LONGIFOLIA

(A) Antibacterial activity

Silver nanoparticles of Polyalthia longifolialeaves extract were synthesized along with D-sorbitol. These silver nanoparticles exhibitedexcellent antibacterial activity against thebacterial pathogens Staphylococcus aureus(Gram positive), Escherichia coli, andPseudomonas aeruginosa (Gram negative) [25]and indicated that the synthesized silvernanoparticles have good antibacterial actionagainst Gram-positive organism than Gram-

Fig [7] Pendulamine A

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negative organisms. Results showed that theeffect of antibacterial activity against testorganisms (Escherichia coli, Pseudomonasaeruginosa and Staphylococcus aureus) ishigher in the case of silver nanoparticlessynthesized at 60 ° C (8mm-16.4 mm) comparedto 25 ° C (7.3-14 mm) because of being smallerin size [26].

Leaf extracts of Polyalthia longiflia (Debdaru)treated with different solvents like hexane,methanol and chloroform were subjected to invitro determination of antibacterial activity againstsix tested pathogenic bacteria viz. Bacillussubtilis, Sarcina lutea, Xanthomonas compestris,Escherichia coli, Klebsiella pneumonia andPseudomonas sp. using agar disc diffusionmethod and MIC determination test. The zone ofinhibition against the tested bacteria was foundranging from 21.00 to 44.20mm. The highestzone of inhibition produced by the hexane,methanol and chloroform extracts of Polyalthialongiflia at a concentration of 500ìg/10ìl againstpathogenic bacteria i.e. Sarcina lutea were found41.80mm, 44.20mm and 43.50mm respectively.The MIC values of all extracts against six testedbacteria were almost 15.625 ìg/ 10ìl [27].

Polyalthia longifolia var. angustifolia stembark extracts were evaluated against siximportant pathogenic bacteria viz. Escherichiacoli, Bacillus subtilis, Salmonella typhi, Proteusmirabilis, Pseudomonas aeruginosa, Klebsiellasp.and Staphylococcus aureus. The powderedstem bark extracts were successively extractedwith petroleum ether, chloroform, methanol andwater using Soxhlet apparatus. The antibacterialactivity study was performed by both agar welldiffusion and serial dilution methods. Thepetroleum ether extract was found to exhibithighest activity against all tested bacteria [28]

(B) Antioxidant activity:

The antioxidant activities of the ethanolicextract of Polyalthia longifolia seeds wereassayed using rat liver homogenate. Nitric oxide,ferrous sulphate and carbon tetrachloride-induced lipid scavenging activities were carriedout and showed significant free radicalscavenging activity. The percentage inhibition ofperoxide formation increased in a dose-dependent manner [29].

Methanolic leaf extracts from Polyalthialongifolia were evaluated for in vitro antioxidantactivity for free radical scavenging capacity, usingestablished in vitro models such as ferric-reducing antioxidant power (FRAP), 2,2-diphenyl-1-picryl-hydrazyl (DPPH), hydroxylradical (OH), nitric oxide radical (NO) scavenging,metal chelating, and antilipidperoxidationactivities. The methanolic extracts of P. longifoliaexhibited concentration dependent antiradicalactivity by inhibiting DPPH radical with inhibitoryconcentration 50% (IC50) values of 2.721 ± 0.116mg/mL [30].

The active constituents like quercetin,quecetin-3-O-ß-glucopyranoside and rutin wereisolated from the ethanolic extract of the leavesof the P. Longifolia and shows the antioxidantcapacity determined by their ability to scavengeABTS+ radical cation which was expressed usingTrolox Equivalent Antioxidant Capacity (TEAC)assays [31].

(C) Anti-inflammatory activity

A clerodane diterpenoid 16-hydroxycleroda-3,13(14)E-dien- 15-oic acid from P. longifoliasignificantly inhibited the generation ofsuperoxide anion and the release of elastase informyl L-methionyl-L-leucyl-L-phenylalanine(FMLP) activated human neutrophils in aconcentration-dependent fashion with IC50values of 3.06±0.20 and 3.30±0.48 ìM,respectively [32].

HOOC

H

CH2OH

Fig. 8: 16-hydroxycleroda-3,13(14)E-dien-15-oic acid.

The anti-inflammatory potential of ethanolicand aqueous extracts of P. longifolia leaf in albinowister rats was evaluated using Cotton pelletgranuloma which is a sub-acute anti-inflammatory model. All the extracts were foundto produce significant decrease in the granulomatissue as evident by the decrease in the weightof cotton pellet when compared to the disease


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control. Both ethanolic and aqueous leaf extractsrevealed anti-inflammatory activity comparablewith indomethacin and at dose 300 mg/kg beingthe most active, exhibited maximum anti-inflammatory activity. However, the aqueousextracts showed better anti-inflammatory activitywhen compared to the ethanolic extracts at doseof 200mg/kg body weight [33].

The anti-inflammatory activity of varioussolvent extracts (petroleum ether, hexane,toluene, chloroform, acetone and methanol) ofP. longifolia leaf was evaluated using acuteinflammatory studies in Wistar albino rats.Methanolic extract revealed most potential ant-inflammatory effect hence; three doses ofmethanolic extract (300, 600, 900 mg/kg) wereused to evaluate its potential as an anti-inflammatory agent. The three doses ofmethanolic extract showed anti-inflammatoryactivity comparable to that of the standard(Diclofenac sodium) [34].

(D) Anti-leishmanial Activity

A clerodane diterpene; 16a-Hydroxycleroda-3,13(14)Z-dien-15,16-olide from Polyalthialongifolia was found to be a potentialantileishmanial and non-cytotoxic, as evidencedby long-term survival (>6 months) of treatedanimals. A very rapid and dose-dependent deathoccurred with Compound 1 at concentrationsbetween 2 and 50 mg/ml. The IC50 wascalculated to be 8.04 mg/mL against thereference drug miltefosine [35].

The in vitro antileishmanial activity ofmethanolic extract from P.longifolia leaf wasevaluated against Leismania donovanipromastigotes by in vitro promastigote cell toxicityassay by using MTT [3-4,5-dimethylthiazol-2-yl)-2,5 diphenyltetrazolium bromide]. The extractmarkedly inhibited the growth of L.donovanipromastigotes in vitro in a dose dependentmanner and demonstrated IC

50 value of 4.18 µg/

ml [36].

(E) Antimicrobial Activity

Previously reported clerodane diterpene(16á-hydroxycleroda-3, 13 (14) Z-dien-15, 16-olide) was isolated from Polyalthia longifoliaagainst methicillin-resistant S. aureus through invitro and in vivo assays. Minimum inhibitory

concentration (MIC) of this compound exhibitedsignificant antimicrobial activity (15.625 31.25mg/ml) against reference strain [37].

Methanol extracts of leaves, stem, twigs,green berries, flowers, roots, root-wood and root-bark of Polyalthia longifolia var. pendula, weretested for their antibacterial and antifungalpotentials. Bioassay monitored isolation work onthe methanol extract of leaves and berries whichpossesses promising antibacterial activity withMIC values ranging between 7.8 and 500 ìg/ml[11].

Different P. longifolia leaf extracts like 1, 4-dioxan, methanol and acetone extracts wereinvestigated at two different concentrations fortheir antimicrobial potentiality against 91 clinicallyimportant microbial strains. All the three extractsat 500 ìg/disc concentration were active against95% of the total gram positive bacterial strains.1, 4-Dioxan extract was active against 18.18%of the total gram negative bacterial strains whilemethanolic and acetone extracts were activeagainst 12.72% of the total gram negativebacterial strains [38].

(F) Antifungal Activity

Different solvent extracts viz., petroleumether, benzene, chloroform, methanol andethanol extracts of Polyalthia longifolia weretested for their antifungal activity wherepetroleum ether extract showed highly significantantifungal activity than other solvent extracts [39].

Antifungal activity of aqueous (10-50%concentration) of Polyalthia longifolia were testedagainst ten seed borne fungi of paddy (Oryzasativa. L) in vitro condition. The fungus strain A.alternata recorded a maximum inhibition of92.88% followed by F. solani (87.10%), F.moniliforme (86.40%), D. Halodes (86.07%), F.oxysporum (85.14%), C. lunata (83.33%) and D.tetramera (83.02%) at 50% concentrationcompared to synthetic fungicide, Dithane M-45,Captan, Benlate, Thiram and Bavistin at 2%recommended dosage [40].

The leaf and pericarp aqueous extracts ofP. longifolia were assessed in vitro for inhibitoryactivity against Fusarium oxysporium andPythium aphanidermatum which were isolatedfrom rhizome rot specimen of ginger. The extract

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was found to be active and showed dosedependent antifungal activity [41].

(G) Anti-diabetic activity

Ethanol and chloroform extracts of Polyalthialongifolia showed in vitro inhibitory activity of thetwo enzymes viz. á-amylase and á-glucosidaseand in vivo anti-diabetic activity againststreptozotocin-induced type 1 diabetes mellitusin rats. The IC50 of ethanolic extract for á-amylase was found to be 154.3±2.42 ìg/mlwhereas chloroform was 180.3± 1.35 ìg/ml. Whilethe IC50 values of the ethanol for á- glucosidaseinhibition was found to be 208.7±2.54 ìg/ml andchloroform showed at 271.6±0.85 ìg/ml. Acutetoxicity studies showed that the extracts weresafe at 2000 mg/kg b.w. Both the extracts dosedependently reversed the abnormal changesobserved in untreated diabetic rats and the effectproduced by the ethanol extract was slightlyhigher than the chloroform extract [42].

The petroleum ether extract from Polyalthialongifolia leaves (50, 100, 200 and 300 mg/kg)produced a significant decrease in the bloodglucose level in the model of alloxan-induceddiabetes in rabbits on oral administration [43].

Different solvent n-hexane, ethyl acetate andmethanolic extracts of Polyalthia longifolia barkshowed markedly improved the glucosetolerance in alloxan- induced diabetes in ratswhen compared to normal control and theseextracts at 300mg/kg dose showed reduction inglucose level [44].

The hypoglycemic and antihyperglycemicactivity of various solvent extracts of Polyalthialongifolia var. pendula leaf extracts was evaluatedin alloxan- induced experimental diabetes in rats.Polyalthia longifolia extracts and powderproduced glucose lowering activity. However, theextracts did not modify any of the biochemicalparameter significantly [45].

(H) Antipyretic activity

Polyalthia longifolia methanolic extracts ofthe leaves, stem bark and root were tested fortheir antipyretic activities at doses of 30, 100 and300 mg/kg body weight using LPS-inducedantipyretic activity model. All extracts showedsignificant dose-dependent antipyretic activity. At

300 mg/ kg, all extracts exhibited activities higherthan that of Acetylsalicyclic acid (Aspirin) whosepercentage inhibition of pyrexia was 86%. Theroot extract was the most active with apercentage inhibition of 127.5%, followed by theleaf extract (123.0%) and the stem bark extract(99.2%) [46].

(I) Anti-ulcer activity

The ethanolic extract of polyalthia longifoliawas investigated for anti-ulcer activity againstaspirin plus pylorous ligation induced gastriculcer in rats, HCl – ethanol induced ulcer in miceand water immersion stress induced ulcer at 300mg/kg body weight which showed a significantreduction in gastric volume, free acidity and ulcerindex as compared to control. It also showed89.71 % and 95.3% inhibition in ulcer inhibitionin HCl- ethanol induced ulcer and ulcer protectionindex in stress induced ulcer respectively [47].

Methanolic extract of Polyalthia longifoliashowed gastroprotective potential on ethanol andethanol/HCl induced ulcers at 270 mg/kg and 540mg/kg body weight. The reduction of ulcer indexin treated animals was found to be statisticallysignificant with respect to control animals [48].

(J) Anticancer activity

The ethanolic extract of stem bark ofPolyalthia longifolia was screened for its in vitroand in vivo antitumor activity and extract showedconcentration-dependent cytotoxicity in Ehrlich’sAscites Carcinoma (EAC), Dalton’s asciteslymphoma (DLA), HeLa and MCF-7 cells withIC50 values of 45.77 and 52.52, 25.24 and 50.49ìg/ml respectively [49].

The two new clerodane diterpenes wereisolated from the leaves of Polyalthia longifoliaviz polyalthialdoic acid and 16 á-hydroxy-cleroda-3,13(14)Z-diene-15,16-olide and evaluated fortheir apoptotic potential against human leukemiaHL-60 cells. These compounds inhibited cellproliferation with IC

50 values of 21.8 and 13.7 µM,

respectively [50].

The rare bisclerodane imides Longimide Aand Longimide B were isolated from ethanolicextract of the leaves of Polyalthia longifolia andevaluated for their cytotoxic effects against fourhuman cancer cell lines and found to be most


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active against cervical carcinoma cell lines withIC50 value of 10.03 and 4.12 lg/ml, respectively[51].

(K) Termiticidal activity

Polyalthia longifolia showed termiticidalactivity in comparison to their respective solventextract viz. chloroform, methanol, ethyl acetate,n- hexane, distil led water, at variousconcentrations (0.5%-5% solution). Methanolicextract showed potent termiticidal activity [52].

A significant mortality rate was recorded with5 % chloroform extract of Polyalthia longifoliaalong with Samanea saman, Cassia siamea,Pithecellobium dulce, Eucalyptus camaldulensis,at various concentrations viz 75, 75, 55, 50 and45% mortality occurred respectively [53].

(L) Hepatoprotective activity

Methanolic extract of fruits of Polyalthiyalongifolia was investigated as the potenthepatoprotective agent by in vitro and in vivomethods. In the in vitro study, freshly isolated ratprimary hepatocytes and HepG2 cells wereexposed with CCl

4 along with/without various

concentrations of methanolic extract (125, 250,500 ìg/kg). In the in vivo studies, CCl

4 intoxication

method was used and aspartateaminotransferase (AST), alanineaminotransferase (ALT), alkaline phosphatase(ALP), total bilirubin and total proteins wereestimated and supported with histopathologicalstudies [54].

The methanolic leaf extract of Polyalthiyalongifolia showed a significant hepatoprotectiveactivity when subjected to 300, 600, 900 mg/kgconcentrations and determined its potential asan hepatoprotective agent against diclofenacsodium as the toxicant [55].

CONCLUSION

In this review, we attempted to bring togetherthe phytochemical, pharmacological,toxicological and ethnomedicinal information onPolyalthiya longifolia, a medicinally importantherb used in the traditional system of medicineand an ancient remedy to be explored for noveltherapeutic uses. The survey of the literaturerevealed the presence of various phytochemicalsin Polyalthiya longifolia, which will be lead

compound for novel therapeutic agents. Thesestudies place this indigenous drug as a novelcandidate for bioprospection and drugdevelopment for the treatment of diseases, suchas cancer, infectious diseases, diabetes, andvarious inflammatory conditions. The medicinalapplications of this plant and the countlesspossibilities for investigation still remain inrelatively newer areas of its function. Hence,phytochemicals of this plant will enable to exploitits therapeutic use.

ACKNOWLEDGEMENTS

The authors are thankful to the Director,CSIR-National Botanical Research Institute,Lucknow, India for facilities and encouragements.The authors are also thankful to the Director,CSIR-Central Drug Research Institute, Lucknowfor the encouragements and allowing us to theanticancer activity. The financial supportreceived from Council and Scientific andIndustrial Research, New Delhi under the project‘Bio-prospection PR (BSC0106)’ is dulyacknowledged

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35. Misra P., Sashidhara K.V, Singh S.P., Kumar A., GuptaR., Chaudhaery S.S, Gupta S.S., Majumder H.K.,Saxena A.K., Dube A. 16a-Hydroxycleroda-3,13 (14)Z-dien-15,16-olide from Polyalthia longifolia: a safe andorally active antileishmanial agent. British Journal ofPharmacology. 2010; 159, 1143–1150.

36. Pal D., Bhattacharya S., Baidya P., De K.B., PandeyJ.N., Biswas M. Antileishmanial activity of Polyalthialongifolia leaf extract on the in vitro growth ofLeishmania donovani promastigotes. Global journal ofpharmacology. 2011; 5 (2): 97-100.

37. Gupta V.K, Verma S., Pal A., Srivastava S.K.,Srivastava P.K., Darokar M.P., In vivo efficacy andsynergistic interaction of 16á-hydroxycleroda-3, 13 (14)Z-dien-15, 16-olide, a clerodane diterpene fromPolyalthia longifolia against methicillin-resistantStaphylococcus aureus. Applied Microbiology andBiotechnology. 2013; 97: 9121–9131.

38. Chanda S., Nair R., Antimicrobial Activity of Polyalthialongifolia (Sonn.) Thw. var. Pendula Leaf ExtractsAgainst 91 Clinically Important Pathogenic MicrobialStrains. Chinese Medicine. 2010; 1, 31-38.

39. Satish S., Mohana, D.C., Ranhavendra, M.P.,Raveesha, K.A. Antifungal activity of some plantextracts against important seed borne pathogens ofAspergillus sp. Journal of Agricultural Technology. 2007;3(1): 109-119.

40. Lalitha V., Kiran B., Raveesha K.A., Antifungal Activityof Polyalthia longifolia (Sonn.) Thw. against Seed BorneFungi of Paddy (Oryza sativa. L). Journal of Phytology.2011; 3(5): 04-08.

41. Dileep N., Junaid S., Rakesh K.N, Kekuda T.R., NawazA.S., antifungal activity of leaf and pericarp extract ofPolyalthia longifolia against pathogens causing rhizomerot of ginger. Journal of Science, Technology and ArtsResearch. 2013; 2(1): 56-59.

42. Sivashanmugam A.T., Chatterjee T.K., In vitro and invivo antidiabetic activity of Polyalthia longifolia (Sonner.)Thw. leaves. Oriental Pharmacy and ExpermentalMedicine. 2013; 13:289–300.

43. Laddha G.P., Bavaskar S.R., Baile S., Chaudhari M.Assessment of Anti-Diabetic Bustle of PolyalthiaLongifolia Roxb Journal of Pharmacy Research. 2012,5(3): 1457-1459.

44. Lakshmi A., Rao Y., Bhargavi C., Seelam U. Antidiabeticand Wound Healing Activity of Various Bark Extracts ofPolyalthia longifolia. Asian Journal of PharmaceuticalAnd Clinical Research. 2011; 4 (1): 109-113.

45. Nair R., Shukla V., Chanda S. Assessment of Polyalthialongifolia var. pendula for hypoglycemic andantihyperglycemic activity. Journal of Clinical andDiagnostic Research. 2007; 3:116-121.

46. Annan K., Dickson R.A., Sarpong K., Asare C.,Amponsah K., Woo E. Antipyretic activity of Polyalthialongifolia Benth. & Hook. F. var. pendula (Annonaceae),on lipopolysaccharide-induced fever in rats. Journal ofMedical and Biomedical Sciences. 2013; 2(1): 8-12.

47. Malairajan P., Gopalkrishnan G., Narasimhan S., VeniK. Evalution of anti-ulcer activity of Polyalthia longifolia(Sonn.) Thwaites in experimental animals. IndianJournal of Pharmacology. 2008; 40 (3), 126-128.

48. Chanda S., Baravalia Y., Kaneria M. Protective effectof Polyalthia longifolia var. pendula leaves on ethanoland ethanol/HCl induced ulcer in rats and itsantimicrobial potency. Asian Pacific Journal of TropicalMedicine. 2011; 673-679.

49. Sampath M., Vasanthi M. Isolation, StructuralElucidation of Flavonoids From Polyalthia Longifolia(Sonn.) Thawaites and Evaluation of Antibacterial,Antioxidant and Anticancer Potential. InternationalJournal of Pharmmaceutical Sciences. 2012; 5 (1): 336-341.

50. Sari D.P., Ninomiya M., Efdi M., Santoni A., Ibrahim S.,Tanaka K., Koketsu M. Clerodane Diterpenes isolatedfrom Polyalthia longifolia Induce Apoptosis in HumanLeukemia HL-60 Cells. Journal of Oleo Science. 2013;10 (62): 843-848.

51. Koneni V., Sashidhara A., Suriya P., Kant R., MaulikP.R, Sarkar J., Kanojiya S., Kumar R. Cytotoxiccycloartane triterpene and rare isomeric bisclerodanediterpenes from the leaves of Polyalthia longifolia var.pendula. Bioorganic & Medicinal Chemistry Letters.2010; 20: 5767–5771

52. Rupal A., Savalia V., Narasimhacharya A. Plantextracts as biotermiticides. Electronic Journal ofEnvironmental Sciences. 2011; 4: 73-77.

53. Muhammad S., Ahmed S., Ashfaq M., Shahbaz T.Effect of Leaf and Seed Extracts of Jatropha curcasLinn. on Mortality and Tunneling of SubterraneanTermites, Odontotermes obesus (Ramb.) TermitidaeIsoptera. Pakistan journal of life and social Science.2012; 10(1): 33-38.

54. Rajangam J., Christina A., Evaluation ofHepatoprotective and antioxidant potential ofmethanolic extract of Polyalthiya longifolia fruits. An in-vitro and in–vivo approach. Journal of AppliedPharmaceutical Science. 2013; 3(2): 069-076.

55. Jain A.K., Jain A., Jain A., Jain S., Sikarwar M.S., DubeyS.K. Xanthine Oxidase

56. Inhibitory Activity And Enzyme Kinetics of PolyalthiaLongifolia ( Sonner.) Thw. Leaves Using In-vitro Method.

Plant Archives. 2006; 6: 841-842.

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USE OF GENE THERAPY TO CURE AIDS* SUDHIR MEHROTRA, KHUSHWANT SINGH, PUSHKAR SINGH RAWAT

Department of Biochemistry, University of Lucknow, Lucknow , Uttar Pradesh, India

*Address for Correspondence: Dr. Sudhir Mehrotra, Associate Professor, Deparment of Biochemistry,University of Lucknow, Lucknow, Uttar Pradesh, India ,

Email : [email protected]

ABSTRACT

According to WHO survey in 2010 there are 34 million people who are infected with HIV andattained AIDS. Per year about 1.8 million people dies with AIDS and 2.7 million new peoplebecome infected with HIV. AIDS is a secondary immunodeficiency caused by HIV virus thatbelongs to retroviral family. During AIDS T-cell count in blood falls tremendously below 200cells ìl¯ that results to be fatal in about 2-3 years. HIV can be transmitted from one person toanother by unprotected homosexual or heterosexual sex, by transfusion of blood infected withHIV, by needle sharing between drug or steroid abusers, from mother to child during childbirthor during breast feeding and presence of sexually transmitted diseases (STDs) increase thethreat of HIV infection. During AIDS many opportunistic infections and other immune deficienciesoccur frequently that usually have negligible chances to affect a normal healthy person. It wasfound in Berlin patient of HIV, who was living on HAART, was transplanted with bone marrowfrom a person who was homozygous for CCR5Ä32bp deletion i.e. deletion of one base pair on32 position in CCR5 gene after which patient became resistant to HIV infection. He discontinuedthe HAART therapy and lived like a normal person. Viral particles and viral reservoirs werevanished from his blood. This observation laid the basis for use of gene therapy against AIDS.By modifying stem cells taken from bone marrow in which using gene therapy genes for disruptedCCR5 were inserted in place of normal CCR5 gene and then the cells were re-implanted inbone marrow after which they started producing HIV resistant blood cells. Another observationwas that modifying stem cells to produce interfering RNAs like sense RNA, antisense RNA,ribozymes that interfere in viral replication cycle or host cell function that is required for viralreplication also provided good results to produce anti-HIV immune system. Like HAART inwhich combination of many drugs are used in similar way if many anti-HIV genes are usedsimultaneously to modify stem cells targeting different point in viral life cycle provide betterresults than results acquired by use of single anti-HIV gene to eradicate HIV infection. Althoughgene therapy provided good results against HIV infection but it is still in trial stage and have notbeen used on humans yet.

Keywords: HIV, AIDS, CD4+TCells, HAART, Stem cells etc.

INTRODUCTION

1. HIV (Human Immunodeficiency Virus)

One of the most common secondaryimmunodeficiency is Acquired ImmunodeficiencySyndrome, or AIDS, which results from infectionwith the human immunodeficiency virus (HIV).According to the World Health Organization(WHO), there were 34 million people living withAIDS, with 2.7 million new cases and 1.8 milliondeaths worldwide in the year 2010(Organization,W.H. World health organization: global). HIV

infected patients are symptomized by challengedimmunity of the patient and various opportunisticinfections readily occur to patients. Thosemicroorganisms that healthy individuals canharbor with no ill consequences but can causedisease in those with impaired immune system[1]. In 1983 the virus that causes AIDS wasisolated from the lymph node of an infectedindividual by Montagnier’s group in Paris and wascalled the human immunodeficiency virus or HIVfor short. A second strain of HIV was identified in1986; this was called HIV-2 and the first strain


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was renamed HIV-1 [2].

Some characteristic features of HIV includefollowing:

1) A long latent period

2) Tropism for hematopoietic and the nervoussystem

3) Several immunodeficiency

4) High mutation rate [3].

2. HIV- STRUCTURE AND GENETIC

ORGANISATION

appears as knob and consists of two types ofglycoprotein:

1) gp120 : forms cap of ENV with homo trimer[4]

2) gp41: forms stem of Env with homotrimer.These are transmembrane proteinsand act as anchor for Env protein [5].

gp120 and gp41 are bound non-covalentlyenable HIV to enter CD4+T helper cells usingCD4 a cell surface molecule on TH cell as viralreceptor. These proteins are targeted byresearchers to develop the HIV vaccine [6].

- VIRAL CORE

The genome is surrounded by anucleocapsid consisting of an inner layer ofprotein called p24 and an outer layer of matrixprotein called p17. Core is in shape of bulletconsist of approx 2,000 copies of viral proteinp24.

Inside the core 2 HIV-RNA are present thatare single stranded, identical and haveassociated enzymes: reverse transcriptase,integrase, protease, packed inside the core [7].

GENETIC ORGANISATION

Core consists of two identical singlestranded RNA both RNA terminals possessesRNA sequence called Long Terminal Repeats(LTR) that act as switches to control productionof new viruses and can be triggered by proteinseither from HIV or the host cell. HIV genomeconsists of 9 genes out of which 3 genes arecommon to whole retroviral family these are env,gag and pol. Besides these 6 regulatory genesthat are unique to HIV that guides the whole lifecycle of HIV in various ways are tat, rev, nef, vpr,vif [8, 9].

TABLE 1: The genomic organization of HIV [10]

HIV STRUCTURE

- VIRAL ENVELOP

HIV virus is roughly spherical and approx120 nm in diameter i.e. 1/10,000 of mm.Outermost coat of virus is known as Viral Envelopthat generally consists of phospholipid bilayerthat is derived from host cell membrane duringthe process of budding out from the host asshown in (figure 1). Envelop consists throughoutthe proteins of host in addition to 72 copies ataverage of Env protein embedded. Env protein

FIGURE 1: STRUCTURE OF HIV

*Env gene produces protein called gp160 that is broken down by a viral enzyme to form gp120 and gp 41the component of env protein.

GENE GENE PRODUCT/ FUNCTION gag Group-specific

antigen

Core proteins and matrix proteins

pol Polymerase Reverse transcriptase, protease, and integrase enzymes

env Envelope Transmembrane, glycoproteins. gp120 binds CD4 and CCR5; gp41 is

required for virus fusion and internalization

tat Transactivator positive regulator of transcription

rev Regulator of viral

expression

Allows export of unspliced and partially spliced transcripts from nucleus

vif Viral infectivity Affects particle infectivity

vpr Viral protein R Transport of DNA to nucleus. Augments

Virion production. Cell-cycle arrest

vpu Viral protein U Promotes intracellular degradation of CD4 and enhances release of virus

from cell membrane

nef Negative regulation

factor

Augments viral replication in vivo and in vitro. Decreases CD4, MHC class I

and II expression

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LIFE CYCLE OF HIV

a. INFECTION: The Env protein interacts withCD4 molecules on the surface of target T-cells. Conformational changes are inducedin gp120 that permit interaction withchemokine receptor and the reaction fusingviral and cell membranes is triggered. Thispermits entry of viral genomes into the targetT-cell.

b. VIRAL ENTRY IN CELL: Conformationalchanges occur on binding to receptor and co-receptor enabling gp41 mediate fusion of HIVwith host cell membrane.

c. VIRAL RNA PRODUCTION: A cDNA copy ofviral RNA is synthesized inside the host usingthe Reverse Transcriptase enzyme.

d. PROVIRUS PRODUCTION: cDNA enters thenucleus and integrates with host cell cDNAusing viral integrase enzyme where itreplicates with host. e. DNA numerousnon-infectious proviruses are produced.

f. VIRAL RNA PRODUCTION ANDTRANSLATION: Provirus transcriptionoccurs with host DNA n viral RNA is producedwhich after splicing go to cytoplasm.

g. VIRAL PROTEIN PRODUCTION : Viral RNAsare translate in cytoplasm to characteristicregulatory proteins i.e. Tat , Rev ,andstructural proteins like gp160 MA, p17,CA,p24,NC, p7,p6 p1 and p2.

h. VIRAL PROTEINS MODIFICATION: Viralproteases cleave viral precursor proteins LikeGP160 is cleaved into gp120 and gp41 thatforms the viral receptors for T-cells.

i. PRODUCTION OF NEW VIRUSES: All theviral components i.e. viral proteins and viralRNA get assembled to form new viral particle.

j. VIRAL RELEASE FROM INFECTED TCELL:Assembled viral particles now buds out thehost T-cell picking its lipid envelop withproteins of host cell membrane. Virusparticles bud out of host cell.

k. NEW VIRUS PARTICLES FATE: After releasefrom the host cell it may enter a latent phaseand may get activated in response to anymicrobial infection or may infect other cellsimultaneously [11].

ACQUIRED IMMUNODEFICIENCYSYNDROME (AIDS):

It is the terminal phase of HIV infection cycle.During AIDS the opportunistic infections becomemore frequent with decrease in CCD4+ cell countto below 200µl -1 that results in profoundimmunodeficiency indicates the final stage of HIVi.e. AIDS viral load (viaremia) is highest in thisstage and level of CTL’s and antibodies arelowest and patient survives not longer than 2years even with highest quality of sophisticatedtreatment and at last patient dies [12]. AIDS isusually not caused just after the infection and tilltoday it is not known how virus damages theimmune system and if a person infected with HIV-1 will develop the AIDS. Great researches havebeen done but still a safe cure for HIV is notfound.

The main priority for immunologists is todevelop vaccine against AIDS .There are severaleffective strategies present to develop anti-viraldrugs. Researchers target several points in HIVlifecycle that might be blocked by pharmaceuticalagents. Two major challenges to produce vaccinefor HIV are: (i) To find immunogens that canstimulate many cross-reacting neutralizingantibodies (ii) to find immunogens that canstimulate high levels of persisting CD8+ andCD4+ T cells. Both humoral and cellular immunitymay be needed, but they require different typesof immunogens; eventually vaccines could bemixed to achieve both.

It was thought that neutralizing antibodieswould be stimulated by gp120 preparations, andthey do against tissue culture adapted HIV strainsbut, all such vaccines failed to neutralize primaryvirus isolates. Now the aim is to design HIVenvelope protein immunogens that will stimulateprotective antibodies. Unfortunately it has manyhurdles in between against this: (i) because ofheavy glycosylation of the envelope it is non-immunogenic in nature. (ii) because it isconformation -ally variable, the chemokinereceptor binding site, is not exposed unless CD4+has bound; (iii) the CD4+ binding site is foundinteriorly and difficult to access by antibodies; (iv)In addition to carbohydrate gp120 surface isprotected by hyper variable loops that vary bymutation at very high rate with no cost to virus


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therefore escape neutralizing antibodies [13].

The anti-viral drugs are prepared with aimthat these drugs must be specific for HIV-1 andmust not interfere with the physiology of thenormal cells. Many steps in the virus life cycleare potential targets for drugs, including: (i) entry;(ii) fusion; (ii i) reverse transcription;(iv) integration; (v) transcription/ transactivation;(vi) assembly; and (vii) maturation [14, 15].

The first success in treatment of HIV-1waswith drugs interfering with the reversetranscription of viral RNA to cDNA; the drug waszidovudine, or AZT (azidothymidine). When AZT,a nucleoside analog, introduced into the growingcDNA chain of the retrovirus termination of thechain occurred. AZT is not effective in all patients,and long-term use of AZT has several adverseside effects and resistant viral mutants may alsodevelop in treated patients. The administeredAZT is used also by human DNA polymerase andincorporation of AZT into the DNA of host cellskills them. Precursors of red blood cells are alsosensitive to AZT, therefore causes anemia inaddition to other side effects. Another drug thatcan block reverse transcription is Nevirapine,which inhibits the action of the reversetranscriptase enzyme [16].

And the second success was inhibition ofthe cleavage of precursor proteins by proteaseto produce proteins that are assembled toproduce new mature virion. Like otherretroviruses HIV-1, synthesizes polyproteinseach of which consists of several tandemly linkedproteins. HIV-1 encodes two polyproteins, gag(55 kD) and gag–pol (160 kD), both are anchoredto the plasma membrane via N-terminalmyristoylation. These polyproteins are thencleaved by HIV-1 protease to their componentproteins, but only after this enzyme has exciseditself from gag–pol. This occurs after the virionhas budded off from the host cell and results inreorganization of viral proteins to produce virion.The virion is thereby converted from itsnoninfectious immature form to its pathogenicmature form. If HIV-1 protease is inactivated,either mutagenically or by an inhibitor, the virionremains noninfectious. Hence HIV-1 protease isan opportune drug target [17].

A combination therapy, HAART (highly

active anti-retroviral therapy) is that the latestprocedure to cope with HIV infection. In HAARTpatient is treated with two nucleoside analogsand one protease inhibitor. This strategy helpsto overcome the ability of the virus to rapidly drugresistant mutants. HAART decreases the viralload to undetectable level and health of patientimproves. Though it is a bit successful inimproving life of HIV infected people but it alsohas drawbacks like it includes strict time scheduleand large no. of pills have to be taken in a everyday. Additionally, it may lead to various sideeffects and some serious patient may not bebenefitted by this treatment. Although HAARTwas a great success but some AIDS experts arenot convinced as there is possibility of presenceof latent CD4 T cells and macrophages may actas reservoir of infectious virus if provirus isactivated by some means. In addition virusespresent in brain may not be detected by anti-retroviral drugs as these can not penetrate thesesites and these remain undetectable [16, 18].

GENE THERAPY

Gene therapy is a method that aims to curean inherited disease by providing the patient witha correct copy of the defective gene so that thepatient’s body can produce the correct enzymeor protein so as to eliminate the main cause ofthe disease. Gene therapy has now beenextended to include attempts to cure any diseaseby introduction of a cloned gene into the patient.It differs from traditional drug-based approaches,in a way that it can treat problems by directlyrepairing the cause of genetic flaw i.e. it worksat genetic level [19].There are two basicapproaches to gene therapy:

1) Germline therapy

2) Somatic cell therapy

1. Germline therapy :

In this type of gene therapy, geneticalterations are done in germ cell (sperm or ova).Done a fertilized egg is provided with a copy ofthe normal gene and re-implanted into themother. If the procedure succeeds, the gene willbe present and expressed in all cells of theresulting individual. Germline therapy is done bymicroinjection of a somatic cell followed bynuclear transfer into an oocyte, and theoretically

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could be used to treat any inherited disease. Thiscan lead to genetic modifications in unborn andthese modifications will then be passed on to theoffspring [20].

2. Somatic cell therapy:

Somatic cell therapy involves modificationof somatic cells. It is done in two ways:

1) Firstly, cells are removed from the organism,these are transfected using retroviral vectors, and then placed back in the body.

2) Cells are transfected in situ without removal.

The technique is very useful to treat inheritedblood diseases (e.g. hemophilia and thalas-saemia), where genes are introduced into stemcells taken from the bone marrow, which give riseto all the specialized cell types in the blood [20].

Vectors used in gene therapy

Vectors used in gene therapy fall in twocategories: (1 ) Viral vector ( 2) Non-viral vector.Because of the highly infectious and virulentnature of the viruses, these can deliver geneincorporated in viral genome using geneticengineering to any animal cell thereforegenetically modified viruses carrying human DNAare used as vector for gene therapy.

Viral vectors: Three types of viruses areused in gene therapy:

a) Adenovirusesb) Retrovirusesc) Adeno-associated viruses

Adenoviruses: These are used so as toavoid insertion of gene in wrong site .This vectordoes not get incorporated in host genome andtranscribe the gene product freely in the host cellbut re- administration of vector is required ingrowing cell line because the gene is notreplicating with the host genome. Host range ofadenovirus is very broad .It can evoke humanimmune response and induce inflammatoryreaction but then also it is used to treat cancer ofliver and ovaries [20].

Retroviral vector: Retroviruses were firstto be used in gene therapy because of their greatefficiency to infect any kind of cell. These containRNA as their genetic material which is converted

to DNA using enzyme encoded by viral RNAknown as Reverse Transcriptase(RT) when viralRNA enters the host cell and as it occurs usinganother enzyme Integrase viral. DNA isincorporated into the host DNA and replicateswith it [20]. Leukemia causing virus of mouse wasused in one experiment which have no effect onhumans. Disease causing genes were replacedby RNA copy of healthy genes and a smallsequence ‘promoter’ was also inserted that actsas on/off switch for transcription of inserted genein presence or absence of a specific drug.Thoughit is so efficient but still possesses somedrawbacks like it usually infects actively dividingcells and it has no specific manner of insertionof gene in host genome. Therefore it maydamage the host genome more than it wasthought to repair it. Host may produce immuneresponse against it. To avoid attack of retroviralvector to cell which was not required to betransformed researchers use ex-vivo genetherapy as described below:

1) Firstly healthy gene is inserted in vector.

2) Then cells which are to be transformed areisolated from patient.

3) Now the vector and isolated cells are mixedand cultured in laboratory.

4) Cells are monitored if they are workingnormally.

5) Modified cells fractioned out from mixture andare injected back to patient.

In this way, patient lacking same proteinproduction starts producing it.

Adeno- associated virus : This virus isbetter vector than all because it can infect bothdividing and non dividing cell and its host rangeis also very broad. Most importantly, it can insertgene specifically at a site in chromosome 19.Thisvirus can be found in almost all humans as it isnot pathogenic and do not evoke immuneresponse against it. Still it has got drawbacks asit is very small and carries only two genesnaturally therefore it can not carry large gene totransfer it to other cells .It is demonstrated that itcan be used to repair genetic defect in animaland now it is used in initial studies to treathemophilia in humans [20].


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CHIMERAPLASTY

It is a non viral procedure of gene therapyused to fix defective gene directly by insertingnew normal gene sequence in cell nucleuswhich binds at the defective gene at terminalsin cell nucleus . The defective part in middle doesnot bind forming hump like structure in DNAwhich activates the DNA repair action of cell,DNA repair enzymes interchange the defectivesequence with chimeraplast sequence andremove defective gene that is later degraded.Effectiveness of the chimeraplasty has beenfound to be 0.0002% effective in transformingyeast cells [20].

HUMAN APOBEC 3G - MEDIATEDHYPERMUTATIONS

APOBEC3G or hA3G (humanapolipoprotein B is a mRNA-editing enzymecatalytic polypeptide-like 3G). It belongs to aprotein family including hA3D, hA3F, hA3H whichpossesses cytidine deaminase activity thereforeacts as a potent host restriction factor of retroviralreplication through, vif a HIV-1 accessory proteininteracts with hA3G and protects the virus fromits anti-viral activity [21,22]. In the presence ofdefective vif, hA3G/F/D/H induces mutation inthe minus strand of the ssDNA by replacing dC-to-dU ,in response to this , dG-to-dA mutationsin the plus strand of the cDNA occurs.

Viral replication is ceased by hypermutations produced by hA3G which introducesstop codon in ORFs of retroviral gene mainly inthe tryptopham residues (TGG-to-TGA/TAA/TAG). Many sub-lethal hyper mutations have alsobeen suggested to contribute to the HIV-1 geneticdiversity [23] and greater genetic variations dueto the low level of G-to-A mutation which allowsHIV-1 evolution [24]. In proviral sequence cytidinedeamination can generate drug-resistantprogenies in vitro [25], pol sequences have beenidentified as a potential target sites for hA3G/Fby computer prediction , but still the effect ofhA3G in HIV-1 drug resistance in vivo is unknownand considered to be low [24].

HEMATOPOIETIC STEM CELL-BASED GENETHERAPY FOR HIV DISEASE

HIV gene therapy provides an alternative toHIV infected people living on HAART treatment

which requires consuming loads of pill per daywith tight timetable and in case of somecarelessness sudden increment of plasma viralload occurs making patient fall sick seriously. HIVgene therapy targets to transduce hematopoieticstem cells in such a way that those stem cellsstart producing HIV resistant blood cells i.e. T-cells, B-cells, macrophages etc .Strategies andstages at which HIV virus is antagonized areshown in (figure 2) [38].

Figure 2: Applicable stages and strategies for

gene therapy-based antagonism of HIV replication(a) Simplified diagram of hematopoiesis, highlightingmyeloid and lymphoid lineages that are susceptibleto HIV infection (red), or are refractory to infection(green). Yellow: HIV infection of hematopoieticprogenitors remains controversial (b) Schematic ofT-cell maturation, indicating applicable anti-HIVtherapies at each stage of differentiation. Disruptionor modification of some host genes may preferablybe performed in more differentiated cells. (c) Threebroad access points for inhibition of HIV infectionand replication. HIV entry can be blocked bydisrupting HIV co-receptor genes, and/ or expressionof fusion inhibitors. Genetic modification of TRIM5a,SAMHD1, TREX1 or APOBEC proteins may increaseantagonism of viral uncoating and reversetranscription. Pharmacological inhibition of HIVintegrase, or targeted disruption of integratedprovirus, eliminate or prevent establishment of the

latent viral reservoir[38].

(1) Disruption of co-receptors so as toavoid viral entry: Using gene therapy

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hematopoietic stem cells can be modified in sucha way that they start producing CD4+ T-cells withdefective CCR5 (chemokine receptor 5) whichis the HIV-1 co-receptor, this will avoid theinteraction between T-cell and HIV-1 virustherefore T-cell will remain unaffected and willnot die [26]. There is a well documentation forgenetic disruption of CCR5 in human CD34+hematopoietic stem cells and CD4+ T-helpercells. Perez and co-workers demonstrated robustdisruption of CCR5 in CD4+ cells, engraftmentin an NOG mouse model of HIV-1 infection andenrichment during HIV-1 challenge. Theseautologous, HIV-resistant CD4+T cells arecurrently being tested in phase I clinical trials asa novel anti-viral therapeutic [27, 28]. Holt and co-workers performed analogous experiments inhuman cord blood-derived CD34+ stem cells.These cells engrafted and repopulatedhematopoietic niches in all tissues tested in NSGmice, and were enriched following HIV-1challenge [29].

Using this gene therapy, immune system willnot be affected and person will show nosymptoms of HIV infection and will be able tolive a normal life. This was demonstrated clearlyin HIV infected patient of Berlin to whom bonemarrow from person who was homozygous forthe CCR5-Ä32-bp allele is transplanted .Atpresent patient is not using any kind of drug andis fully healthy. This shows how effective HIVgene therapy is and potential of HIV resistant cellto cure HIV infection [30, 31, 32].

Most of the concern is given to CCR5 butviruses can evolve and use another co-receptorCXCR4 (chemokine receptor 4) to enter in theCD4+ cell and (X4)-tropic HIV strain uses onlythis co-receptor to enter cell. Cells transducedwith CCR5+ defective genes showed excellentprotection against CCR5 (R5)-tropic [33], but notCXCR4 (X4)-tropic [34]. In humanized mousemodel it has been already shown that disruptionof CXCR4 reduces the HIV infection in similarway to CCR5 [35, 36]. In humans no stableCXCR5 null mutation occurs and CXCR4-nullmice died during early embryonic developmentdue to multiple defects in hematopoietic,vascular and neuronal development .T-cellspecific CXCR4 knockout mice, however, areviable and lack appreciable T-cell defects [37], and

Wilen and co-workers [35] have demonstrated thatCCR5/CXCR4 doubly-disrupted T cells are viablein vitro. In nut shell, CCR5/CXCR4 doubledisruption is likely intractable in hematopoieticstem cells, but may represent a viablecombinatorial therapy in CD4+T cells [38].

Thus stem cell therapy offers a way that canpretend to act like transplant done in Berlinpatient by engineering hematopoietic stem cellsof patient to express anti-HIV genes to provideresistance to infection. Gene therapy providesus tool to reconstitute HIV resistant immunesystem and confers lifelong protection againstHIV and main advantage is that it is a onetimetreatment and no further consumption of drug orother treatment is required.

(2) HSCs transduced with triple-combinationAnti-HIV Lentiviral Vector:

Today many anti-HIV genes are beingdesigned to inhibit HIV replication. It is known toall that HIV have high rate of mutation thereforesingle anti-HIV gene may not provide satisfactoryresult therefore like HAART were combination ofmany drugs are used in same if we use manyanti-HIV gene possibility of formation of escapemutant may end and viral load in patient maydecrease to undetectable level or may vanish insmall period of time [39]. Most common target sitesof the anti-HIV gene include: attachment site,entry site, reverse transcription, and integration[33, 15, 40]. Anti-HIV gene has many benefits overthe HAART treatment as it inhibits the formationof pro viruses and keep on replenishing the viralreservoirs that are biggest barrier between HIVinfection cure [41, 42]. By combining many anti-HIVgenes into a single vector, a efficient preintegration protection can be possessed againstHIV infection. A strong pre integration protectionfrom HIV-1 infection, in vitro, was established byWaler and co-workers using a triple combinationanti-HIV lentiviral vector containing a human/rhesus macaque TRIM5á isoform, a CCR5 shorthairpin RNA (shRNA), and a TAR decoy [43].CCR5short hairpin RNA to antagonize viral entry, arhesus macaque allele of TRIM5a to antagonizeviral un coating, and a viral TAR decoy to downregulate reverse transcription of viral RNA. Thisvector not only prevented HIV integration inchallenged cells but also blocked the generationof escape mutants.


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The NRG mouse model (NOD-RAG1/ IL2r)double mutant has the potential to evaluate multilineage human hematopoiesis from intra hepaticinjection of human CD34+ HSCs into newbornmice. After 3 months of transplantation, functionalhuman T cells, B cells, and macrophages canbe detected in lymphoid organs, including thespleen, thymus, and bone marrow. HumanizedNRG mice infected with HIV displays normal HIVdisease symptoms, like, CD4+ cell countdecrease and viral load increase in plasma [44].This mouse model offers a unique preclinical invivo system to evaluate anti-HIV gene therapymolecules in human cells at a level acceptableto regulatory agencies.

Recently, the preclinical safety and efficacyof a combination anti-HIV lentiviral vector hasbeen evaluated, in vivo, in a humanized NRGmouse model. It was demonstrated that multilineage human hematopoiesis from anti-HIVlentiviral vector-transduced CD34+ HSCs in theperipheral blood and in various lymphoid organs,including the thymus, spleen, and bone marrow.After in vivo challenge with either an R5-tropicBaL-1 or an X4-tropic NL4-3 strain of HIV-1,maintenance of human CD4 cells and a selectivesurvival advantage were observed in micecontaining the anti-HIV vector-transduced cells.This combination anti-HIV lentiviral vectorinhibiting HIV infection in a stem cell gene therapyhas potential to be used on humans in future[45].

(3) HIV gene therapy using interfering RNA-based strategies

Recently new antiviral approach has beenproduced to treat HIV infection using RNAinterference (RNAi) via gene therapy .It providedus a genetic tool that can be used in any viral orhost cell function that is involved in HIV replicationcycle [46].

RNAi can be induced by transfection of smallinterfering RNAs (siRNAs) or by short hairpinRNAs (shRNAs) that are intracellularly expressedfrom a gene cassette [47]. Viral RNAs or themRNAs encoding cellular co-factors as targetimposes some advantages as well as drawbacks.RNAi targeting host may cause cytotoxicity, butone also cannot prohibit adverse off-target effectsof anti-HIV shRNAs. Selection of escape variantsis one of the most prominent problem to target

virus [48, 49 , 50]. Targeting the most conserved andevolutionary static regions of the viral RNAgenome may give way for anti-escape approach[51], the simultaneous use of multiple inhibitors ina combinatorial RNAi approach [52] or the use ofRNAi reagents in combination with other RNA-based Inhibitors.

Various strategies using RNAi have beenused to produce HIV resistant immune system.Like knockout of the chemokine co-receptorCCR5 that restricts the viral entry in CD4+ T cellsby RNA interference [14,34], hammerheadribozymes [53] and DNA-editing zinc fingernucleases (ZFNs) [29] have been extensivelystudied. Alternatively, knockout strategies tointroduce host restriction factors to block viralreplication have also been reported. Forexample, the gp41-derived peptide (C46) blocksviral entry by preventing fusion [54]. Otherrestriction factors, such as TRIM5a from rhesusmacaques [55] , polynucleotide cytidine deaminaseAPOBEC 3G and 3F [56, 57] and BST2/tetherin [58]

can also prevent HIV infection and expand thepossible repertoire of molecular targets usefulfor gene therapy.

In a similar way viral mRNA can be targetedfor degradation with RNAi during transcriptiontherefore viral replication will be disturbed [59] andhammerhead ribozymes [60,61] or sequestering thetranscription activator Tat protein by TAR RNAdecoy [62], or alternatively blocking Rev-mediatedtransport by expressing dominant negative Revmutant (RevM10 [63,64]), sequestering Revprotein by Rev binding element (RBE) RNA decoy[65] or degrading Rev mRNA by RNA interference[59].

Generally antisense RNAs [66], sense RNAs[67], and ribozymes [68, 69, 70] are used for RNAinterference. To inhibit cellular or HIV RNAfunction antisense RNAs and ribozymes aredesigned, while sense RNAs is designed todisrupt HIV RNA/protein or RNA/RNAinteractions. Live viruses may also be used tocause selective death of the HIV infected cells[71, 72]. A recombinant vesicular stomatitis virus(VSV) was engineered in which the geneencoding the viral glycoproteins was replacedwith those encoding HIV-1 receptor (CD4) andco-receptor (CXCR4). This recombinant viruswas shown to infect, propagate on, and kill the

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HIV-infected cells [72].

Interfering RNAs : These are the RNAs whichare intentionally designed so as to block HIVlife cycle at one or other specific point byinterfering with function of cellular (I.e.CCR5 orCxCR4) or HIV-1 RNA or proteins andeffectiveness of the interfering RNA depends onsite of interference and ability to avoid theformation of the escape mutants [73].

Table2. Interfering RNA-based strategies in HIVgene therapy

Antisense RNAs:

Antisense RNAs can be designed to containor sequences complementary to portions ofcellular (i.e. CCR5 or CXCR4) or HIV-1 RNA. The

RNA hybrids may then be cleaved by RNase1[74], which would result in a permanent loss of thetarget RNA. Antisense RNAs spanning 800nucleotides or more were shown to inhibit HIVreplication more effectively [75, 76, 77, 78]. Asantisense RNAs are not likely to be toxic to thecells, they may be expressed in a constitutivemanner. Antisense RNAs could, uponhybridization with HIV RNA, disrupt Viral RNAsplicing, translation, transactivation, nuclearexport of all HIV mRNAs, RNA packaging, and/or reverse transcription of the progeny virus RNA.Lack of protein production would also result ininhibition of protein function. Inhibition of CCR5mRNA translation would result in inhibition of viralentry and syncytium formation.

Interfering

RNAs used

in HIV

gene

therapy

Target RNA/protein Localization required

forActivity

Interference site(s) Fate of HIVinfected

Genemodifiedcell

Antisense RNA Cellular CCR5 mRNA Nuclear/Cytoplasmic Viral entry, syncytium formation with

infected cells

Protected

HIV mRNAs Nuclear/Cytoplasmic RNA splicing, translation,

transactivation, nuclear export

Protected

HIV progeny virus RNA Cytoplasmic/Virion RNA packaging, reverse transcription

of progeny virus RNA

Subsequent rounds of

Infection

Sense RNA

U3-R-U5 RNA

TAR/RRE

RNA

Incoming virion RNA Cytoplasmic Virion RNA reverse transcription Protected

HIV Tat/Rev proteins Nuclear Trans-activation/nuclear export of 4-5

kb and 9.3 kb HIV mRNAs

Protected

Psi-e RNA HIV Progeny virus RNA Cytoplasmic/Virion RNA packaging, reverse transcription



Infection

Ribozymes Cellular CCR5 mRNA Nuclear/Cytoplasmic Viral entry, syncytium formation with

infected cells

Protected

Incoming HIV virion RNA Cytoplasmic Reverse transcription Protected

HIV mRNAs

Nuclear/Cytoplasmic Translation Protected

HIV progeny virus RNA Virion RNA packaging, reverse transcription



Infection

Sense RNAs

These are designed to contain specificsequences of HIV-1 RNA which are involved inspecific viral RNA/RNA or RNA/proteininteractions. These RNAs compete with the HIVRNA for binding to viral RNAs or proteins. Thesemay be used to prevent trans-activation, nuclearexport Packaging, or reverse transcription of theprogeny virion RNA. Sense RNAs with specificsequences present in HIV TAR and RRE act as

decoys .These RNAs binds to the correspondingTat and Rev proteins to decrease the effectiveconcentration of these proteins. And, as Tat/HIV-1 TAR and Rev/HIV-1 RRE interactions arerequired for transactivation and nuclear export,virus replication would be inhibited.

Sense RNAs possessing HIV-1 Psi signalmay form dimers with HIV RNA, which wouldcompete with HIV-1 RNA dimers for packaginginto the virions. Furthermore, depending on thepresence or absence of various cis-acting


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elements required for HIV-1 RNA reversetranscription, the co-packaged sense RNA mayeither compete with HIV RNA for reversetranscription or prevent both sense and HIV RNAreverse transcription.

Several cellular factors have beencharacterized, which interact with HIV TAR andRRE. Thus, in addition to inhibiting Tat or Revfunction, the decoy RNAs would also inhibit thenormal function of these cellular factors and maycause toxicity. Therefore, TAR and RRE mayhave to be produced in a Tat-inducible mannerHowever, Tat inducible expression of a moleculethat inhibits Tat function may not be ideal, as theamount of TAR produced in the cell may not reachexcess concentration required to inhibit virusreplication. To solve this problem, minimal TARand RRE decoys (lacking the binding sites forcellular factors) are being developed that couldbe constitutively expressed without beingcytotoxic. Sense RNAs containing HIV Psi-e(which includes RRE) may be produced in a Tator Rev inducible manner.

Ribozymes

Hammerhead and hairpin ribozymes aresmall catalytic RNAs which can be designed tospecifically pair with and cleave a specific targetRNA in trans [68]. The following criteria must befulfilled for designing a specific hammerheadribozyme [79, 80, 81]. The cleavage site within thetarget RNA must contain an NUH (N, anynucleotide; H, C/U/A) [82]. The ribozyme catalyticdomain must contain 11 of the 13 conservednucleotides [83], and of the H adjacent to thecleavage site [79, 83]. Cleavage by hammerheadribozymes occurs 3’ to the H and results in a 5'product with a 2', 3' cyclic phosphate and a 3'product with a 5' hydroxyl group. Hairpinribozymes have been derived from the tobaccoring spot satellite virus RNA [81]. The conservednucleotides within the ribozyme catalytic domainare shown in figure below. The substratespecificity is conferred by providing the ribozymewith nucleotides complementary to thesequences flanking the NGUC adjacent to thecleavage site within the target RNA. Cleavageoccurs 5’ to the GUC sequence.

Ribozymes may be designed to specificallyrecognize and cleave a number of sites within a

specific cellular RNA (i.e. CCR5 mRNA) or HIVRNA. The most important criteria in designingan HIV RNA-specific ribozyme is to chose a targetsite that is accessible and highly conserved.Ribozymes may be designed to cleave theincoming HIV virion RNA in the cytoplasm beforereverse transcription occurs, the HIV transcriptsin the nucleus or cytoplasm, and/or the virion RNAin the progeny virus. The incoming RNA in thecytoplasm or the primary HIV-1 transcripts withinthe nucleus may be targeted anywhere within theHIV-1 RNA. However, if the cleavage occurs post-splicing within the nucleus or in the cytoplasm, itmay be preferable to target regions that areshared by all spliced and unspliced HIV mRNAs.These regions include the first 289 nucleotideswithin the 5’ untranslated region (exon 1), 69nucleotides near the center (exon 5), and the last1259 nucleotides near the 3’ end (exon 7) of HIV-1 RNA (figure 3). While CCR5 ribozymes wouldhave to be expressed in a constitutive manner,anti HIV ribozymes may be expressed in aconstitutive or constitutive and Tat-induciblemanner (to allow overproduction in HIV-infectedcells).

Figure 3: Secondary structure of a trans-cleaving hammerhead (top) and a hairpin (bottom)ribozyme. The catalytic domain is flanked by the 5’and 3’ flanking complementary sequences, which aredesigned to be complementary to the H(hammerhead ribozymes) or NGUC (hairpinribozyme) adjacent to the cleavage site (â). TargetRNA sequences are shown in bold. Cleavage occurs3’ to the NUH (hammerhead ribozymes) or 5’ to theGUC (hairpin ribozyme). N, any nucleotide; H, C/U/

A.

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Various target sites to block viral life cycleusing RNAi

There are many steps in viral life cycle thatcan be blocked using Interfering RNA-basedstrategies. These inferring RNA are designed toinactivate cellular RNA (e.g. CCR5 or CXCR4)orHIV RNA encoding factors required by HIV toreplicate and expand infection in new cells or alsobe designed to inhibit the function of viral proteins(i.e. Tat and Rev).

Blocking of viral entry

Using antisense RNAs or ribozymes thatinhibit co-receptor (i.e. CCR5, CXCR4) mRNAtranslation viral entry can be blocked. It alsoblocks the formation of syncytium in betweengene modified HSCs and HIV infected.

Blocking at a pre-integration step:

Incoming HIV-1 virion RNA reversetranscription might be blocked using antisenseRNA or ribozymes viral RNA reverse transcriptioncan be restricted. Strategies can be designed toallow the interfering RNA can be designed thatcan access the incoming HIV virion RNA, beforeit is reverse transcribed as HIV RNA reversetranscription takes place in partially uncoatedvirions.

Blocking the post-integration step:

Interference with trans-activation of HIV geneexpression:

For transactivation of HIV-1 gene expressionTat/TAR interaction is required. Against the TARand/or the tat coding region Antisense RNAs orribozymes could be designed to inhibit trans-activation or TAR decoy RNAs can be developedin use to block Tat protein function.

Interference with nuclear export of singlyspliced and unspliced HIV mRNAs:

Interaction between Rev-RRE is requiredfor nuclear export of singly-spliced and unsplicedviral RNAs. Against the RRE sequence presentin these viral RNAs antisense RNAs andribozymes could be designed. To inhibit Revfunction antisense RNAs or ribozymes may bedesigned against the rev coding region. RREdecoys can also be synthesised that can block

Rev protein function.

Interference with HIV RNA translation:

A common sequence EXON 1 is present inall HIV mRNA against which antisense RNA orribozymes can be designed to inhibit viral mRNAtranslation. Thus, further translation of all (2, 4-5, and 9.3 kb) HIV mRNAs would be inhibited.

Intervention at the level of infectious progenyvirus production:

Antisense RNAs and ribozymes directedagainst the coding regions of several viralproteins including Pr55, Gag Pr160, Gag-Pol Env,Vpu, and Vif that are required for the assembly,release, maturation, and infectivity of virusparticles can be done to avoid formation of newviral particles or antisense RNA against factorsthat facilitate the viral packaging or co-packagingof ribozyme which degrades the viral RNA canbe designed to inhibit the expansion of viralinfection.

ROADBLOCKS IN GENE THERAPY TO CUREAIDS

siRNA/miRNA (small interfering/micro RNA)screenings, genome wide association studies(GWAS), and their meta-analyses wereperformed in different populations in order tounderstand the gross variability observed ingenetic propensity towards HIV-1 [84,85,86].

However, the genetic prototype of naturalviraemia controllers that empowers antiviralresistance remains largely enigmatic [86].

It was demonstrated in a report that althoughthe recovered T cell population is resistant toCCR5-mediated HIV cell entry, these are notresistant to CXCR4-mediated cell entry by X4tropic HIV. While this case study indicates thescope of gene therapy as a possible cure for HIV,it also raises issues of enhancing sensitivity ofcurrently employed viral assays, risks from longlived non haematopoietic cell reservoirs, andrestraints of X4 viruses. These are critical issuesand hopefully answers to some of these wouldbecome available on long term follow up [87,86].Variations in APOBEC3 genes might enhanceresistance to vif and influence antiviral activity. Arecent study has shown that an African variantof APOBEC3G H186R is associated with high


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viral load and progression to AIDS [88,89,86].Similarly, a deletion of 29.5 kb from the 5 exon to8 exon of APOBEC3B leads to complete loss ofAPOBEC3B and this has been reported to beassociated with increased risk of HIV-1 infectionand disease progression [88, 86].

FUTURE PERSPECTIVES

Vaccines that can place appropriate immuneeffector responses at these early sites appear toprovide meaningful protection. Although thereremains much work to be done to optimize theseapproaches and translate this information tolicensable vaccines, the HIV/AIDS vaccine field,for the first time, has a pathway to follow that isbased on solid observations of efficacy and thefoundation of an increasingly sophisticatedunderstanding of lentiviral immunobiology.

Gene therapy approaches for the treatmentof HIV/AIDS holds great promise for a functionalcure of the disease. In the most recent study,patients with AIDS-related lymphoma undergoingautologous hematopoietic stem cell transplantwere infused with gene-modified, HIV-resistantstem cells to evaluate the safety and feasibilityof this approach. Although a low level of genemarking was observed, the feasibility of isolating,gene modifying and delivering a HSPC productwas demonstrated. Additionally, this studydemonstrated long term expression of anti-HIVRNA sequences (> 3 years) demonstrating thepotential for a long-lasting antiviral effect. In orderto obtain substantial numbers of gene-modifiedlymphocytes resistant to HIV infection, it is stillnecessary to use myeloablation for stem celltransplants or repeated infusions of modifieddifferentiated T cells for T-cell therapy. There isadded difficulty of efficiently transducing stemcells to provide a sufficient population of gene-modified stem cells that can give rise to HIV-resistant progeny in the long term.

Additionally, the large-scale production ofviral vectors required for current gene therapyprotocols can be costly. Thus, there is a need forbetter stem cell isolation and expansion protocolsthat do not result in loss of pluripotency. Resultsfrom early stage clinical trials have shown thatgene-modified stem cells can engraft andreconstitute the hematopoietic niches. This ispromising in combination with reports about

naturally cycling repopulating cells. It is possiblethat in the future the approach of permanent HIVgene therapy will change based on thesefindings.

For example, it is conceivable that futureprotocols will comprise a continuous treatmentwith only few but highly pure repopulating cellsthat have been genetically modified prior toinfusion. Repeated infusions of small numbersof cells could eventually lead to filling marrowniches with gene-modified progenitors. It mayalso be feasible to reconstruct the ‘Berlin patient’results using ZFNs to disrupt the CCR5 gene inhematopoietic stem cells, followed by mini-transplants. Improvements in combinatorialapproaches involving anti-HIV small RNAs andproteins with low immunogenic profiles andidentification of promoters better suited forcontinuous gene expression are expected toenhance anti-HIV resistance of individual cells.With the advances in our knowledge of HIV-1biology, novel cellular targets can be identified,thereby expanding the repertoire of potentialtargets for HIV-1 gene therapies while reducingthe likelihood of viral escape. As these obstaclesare overcome, expect to see wider applicationsof gene therapy for the treatment and perhaps‘curing’ of HIV-1 infection.

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64. Bonyhadi ML, et al. RevM10-expressing T cellsderived in vivo from transduced human hematopoieticstem-progenitor cells inhibit human immunodeficiencyvirus replication. J Viro 1997;71(6):4707-16.

65. Buonomo SB, et al. The Rev protein is able to transportto the cytoplasm small nucleolar RNAs containing aRev binding element. RNA 1999;5(8):993-1002.

66. Weiss B, G. Davidkova& L. W. Zhou: Antisense RNAgene therapy for studying and modulating biological

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process. CMLS, Cell Mol Life Sci 1999; 55: 334-358.

67. Smythe J. A & G. Symonds: Gene therapeutic agents:the use of ribozymes, antisense,and RNA decoys forHIV-1 infection. Inflamm Res1995; 44, 11-15.

68. Tanner N. K: Ribozymes: the characteristics andproperties of catalytic RNAs. FEMSMicrobiolRev,1999;23, 257-275 .

69. Ramezani A & S. Joshi: Development of hammerheadribozymes for HIV gene therapy: principles andprogress. Gene TherMolBiol 1998; 3: 1-10.

70. Medina M. F. C & S. Joshi: RNA polymerase III-drivenexpression cassette in human gene therapy.CurrOpinMolTherapeutics 1999;1: 580- 594 .

71. Kestler H. W & B. K. Chakrabarti: A live-virus “suicide”vaccine for HIV. Cleve Clin J Med 64:1997; 269-274.

72. Schnell M. J, J. E. Johnson, L. Buonocore& J. K. Rose:Construction of a novel virus that targets HIV-1infected cells and controls HIV-1 infection. Cell1997;90, 849-857.

73. Janet Chung, David L DiGiusto& John J Rossi,Beckman Research Institute of City of Hope,Department of Molecular and Cell Biology,Duarte, CA,USA, Combinatorial RNA-based gene therapy for thetreatment of HIV/AIDS, Expert Opin. Biol. Ther. 2013;13(3):437-445.

74. Sorrentino S & M. Libonati:Structure-functionrelationships in human RNases: main distinctivefeatures of the major RNase types. FEBS Lett1997;404, 1-5 .

75. Cohli H, B. Fan, R. L. Joshi, A. Ramezani, X. Li & S.Joshi: Inhibition of HIV-1 multiplication in a humanCD4+ lymphoid cell line expressing antisense andsense RNA molecules containing HIV-1 packagingsignal and RREs, Antisense Res Dev1994; 4,19-26.

76. Veres G, S. Escaich, J. Baker, C. Barske, C. Kalfoglou,H. Ilves, H. Kaneshima& E.Bohnlein: Intracellularexpression of RNA transcripts complementary to theHIV-1 gag gene inhibits viral replication in humanCD4+ lymphocytes. J Virol 1996; 70, 8792-8800.

77. Veres G, U. Junker, J. Baker, C. Barske, C. Kalfoglou,H. Ilves, S. Escaich, H. Kaneshima&E. Bohnlein:Comparative analyses of intracellularly expressedantisense RNAs asinhibitors of HIV-1 replication. JVirol1998; 72, 1894-1901 .

78. Ding S. F, J. Noronha & S. Joshi: Co-packaging ofsense and antisense RNAs: a novel strategy for

blocking HIV-1 replication, Nucl Acids Res1998; 26,3270-3278 .

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83. Uhlenbeck O.C: A small catalytic oligonucleotide.Nature 1987; 328,596-600.

84. An P, Winkler CA. Host genes associated with HIV/AIDS: advances in gene discovery. TrendsGenet.2010;26:119–31. [PMCID: PMC3792714][PubMed: 20149939].

85. Kaur G, Mehra N. Genetic determinants of HIV-1infection and progression to AIDS: susceptibility to HIVinfection. Tissue Antigens. 2009;73:289–301.[PubMed: 19317737].

86. Gurvinder Kaur etal. Genomic architecture of HIV-1infection: Current status & challenges. Indian J MedRes. Nov 2013; 138(5): 663–681. PMCID:PMC3928698.

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88. Kidd JM, Newman TL, Tuzun E, Kaul R, Eichler EE.Population stratification of a common

89. APOBEC gene deletion polymorphism. PLoS Genet.2007;3:e63. [PMCID: PMC1853121] [PubMed:17447845] Itaya S, Nakajima T, Kaur G, Terunuma H,Ohtani H, Mehra N, et al. No evidence of anassociation between the APOBEC3B deletionpolymorphism and susceptibility to HIV infection andAIDS in Japanese and Indian populations. J Infect Dis.2010;202:815–6. [PubMed: 20684727]


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A REVIEW ON SYNTHESIS, FABRICATION AND PROPERTIES

OF NANOSTRUCTURED PURE AND DOPED TIN OXIDE FILMS

*B.C. YADAV1,2

,

RAKSHA DIXIT1 AND SATYENDRA SINGH2

1Department of Applied Physics, School for Physical Sciences,

Babasaheb Bhimrao Ambedkar University, Lucknow-226025, U.P., India2Nanomaterials and Sensors Research Laboratory, Department of Physics,

University of Lucknow, Lucknow-226007, U.P., India

*Email: [email protected]

*Address for Correspondence : Dr. B.C. Yadav, Associate Professor and Coordinator, Department of Applied

Physics, School for Physical Sciences, Babasaheb Bhimrao Ambedkar University, Lucknow-226025, U.P.,

India, email: [email protected]

ABSTRACT

The present review reports the synthesis, physical properties, status and prospects for thedevelopment of transparent conducting oxides. Progress in the field of material science is heavilydepend on the development of metal oxides because they constitute a diverse and fascinatingclass of materials whose properties cover the entire range from metals to semiconductors andinsulators. A special attention is focused on the properties of bulk and nanostructured materialsespecially tin oxide. Brief literature survey on pure and doped SnO

2 has been incorporated.

Synthesis and fabrication methods of nanostructured materials are mentioned. Phase diagramand crystal structure of tin oxide have also been described. In this article, we describe some ofthe important methods employed for synthesis and fabrication of nanostructures, describing afew case studies for illustrative purposes.

Keywords: Pure and doped SnO2, Phase diagram, Synthesis techniques, TCO’s film fabrication.

INTRODUCTION

Metal oxides offer strong and versatile basematerials for the development of noveltechnologies such as superconductingelectronics, microwave communications,ferroelectric memories, infrared detectors,magnetic sensors, transparent conductingcoatings and gas sensors [1]. The subtle interplaybetween structure and properties makes thesematerials strong candidates for the fundamentalmaterials research world-wide. Among thesemetal oxides, semiconducting metal oxideshaving wide band gaps have attracted greatinterest, because of their future possibleapplications in areas, such as UV sensors, light-emitting diodes (LEDs), laser diodes (LDs), andother high-speed high-power electronic devices[2].

Tin (II) dioxide (VI) or SnO2, one of theimportant members of the II-VI family ofsemiconductors, combines high electrical

conductivity with much high optical transparency(> 97%) and thus constitutes an importantcomponent for optoelectronic applications.Another field in which oxides play a dominantrole is the solid state gas sensors. A wide varietyof oxides exhibit sensitivity towards oxidizing andreducing gases by a variation of their electricalproperties, but SnO2 has been one of the firstconsidered, and still is the most frequently used,material for these applications. There is anobvious close relationship between the gassensitivity of oxides and their surface chemicalactivity and thus gas sensing applications andcatalytic properties may be considered jointly.Thus SnO2 has been extensively studied for widerange of applications such as gas sensors,transparent conductive oxide (TCO) films,catalysis, and far-infrared dichromic mirrors.Chemical and thermal stability, natural offstoichiometery, optical transparency andpossibility of conductivity variation over a widerange makes SnO2 suitable for above mentioned

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applications [3].

PHASE DIAGRAM AND CRYSTALSTRUCTURE

There are two main oxides of tin: stannicoxide (SnO2) and stannous oxide (SnO). Theexistence of these two oxides reflects the dualvalency of tin, with oxidation states of 2+ and 4+.Stannous oxide is lesser well characterized thanSnO2. For example, its electronic band gap isnot precisely determined but lies somewhere inthe range of 2.5 to 3 eV. Thus SnO exhibits asmaller band gap than SnO2, which is commonlyquoted to be 3.6 eV. Also, there are no singlecrystals available that would facilitate moredetailed studies of stannous oxide. Stannic oxideis the more abundant form of tin oxide and isone of the technological significance in gassensing applications and oxidation catalysts. Inaddition to the common rutile (tetragonal)structured SnO2 phase there also exists a slightlymore dense orthorhombic high pressure phase.Suito et al. [4] showed that in a pressure-temperature diagram the regions of tetragonaland orthorhombic phases can be separated bya straight line of the equation given below:

P (kbar) = 140.0 + 0.022 T (°C).

Figure 1 (a) shows the Sn-O phase diagramat atmospheric pressure [5]. This diagramindicates the presence of an intermediate tin-oxide phase between SnO and SnO2 at elevatedtemperature. Sn3O4 is often given for itscomposition [6] but Sn2O3

[7-8] has also beenconsidered. In these intermediate oxides Sn ispresent as a mixture of Sn(II) and Sn(IV) [6,8]. Also,the SnO2 phase can accommodate a significantamount of oxygen vacancies. Y.L. Zi et al. [9]

measured the variation of the bulk oxygenvacancy concentration as a function of theoxygen partial pressure by colorimetric titration.They found a relationship of the oxygen vacancyconcentration X with the oxygen partial pressurePO2 via the proportionality as:

-1/

02

nX P∝

with n varying between 5.7 and 8.3 fortemperatures between 990 K and 720 Krespectively. In these studies a maximum oxygendeficiency of x = 0.034 in SnO2-x at 990 K wasobserved before metallic Sn is formed. At lower

temperatures less oxygen vacancies could beaccommodated. The heats of formation forstannous and stannic oxides at 298 K weredetermined to be “H= -68 cal/mol and “H = -138cal/mol, respectively [10]. This results in “H = -70cal/mol for the reaction as given below:

SnO(c) + ½ O2(g) ’! SnO2(c)

Figure 1 (a): Sn-O phase diagram.

Also the disproportionation reaction offollowing reaction has been reported to occur atelevated temperatures [11].

SnO(c) ’! SnxOy(c) + Sn ’! SnO2(c) + Sn

Figure 1(b): Comparison of the structure of the(a) SnO (001) and (b) SnO

2 (101) surfaces. Small

(bright) balls and large (dark) balls represent tin andoxygen, respectively. The similarities between thesetwo crystal orientation have been proposed to


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explain the conversion of SnO (001) textured films

into SnO2 (101) textures upon oxidation.

This disproportionation of SnO into Sn andSnO2 proceeds via the aforementionedintermediates oxides [6-7].This indicates thatstannic oxide is the thermodynamically moststable form of tin oxide. The oxidation of SnOfilms to SnO2 has been studied by Ramanscattering, IR reflectivity and X-ray diffraction [12].

It was found that the oxidation starts with aninternal disproportionation before externaloxygen completes the oxidation to SnO2. Moreimportantly, (001)-textured SnO layers convertinto (101)-textured SnO2 films. The samebehavior was observed by Yamazaki et al. [13].

Geurts et al. [12] explain this by the structuralsimilarities between the tin matrix of the SnO(001) plane and that of the SnO2 (101) plane.Because of this structural similarity essentiallyonly the incorporation of an additional oxygenlayer is required to obtain the final SnO2 structure.For comparison Figure 1(b) shows top views ofSnO (001) and SnO2 (101).

Stannic oxide is formed in the structureof rutile, the spatial group being P4/mnm. Theunit cell is tetragonal, it consists of six atoms –two stannum and four oxygen atoms – and ischaracterized by the lattice parameters a and cand intrinsic parameter u. The atoms of Sn arelocated in the bcc-positions (0, 0, 0) and (1/2, 1/2, 1/2) and are surrounded by oxygen atomsbeing in the positions ± (u, u, 0) and ± (1/2+u, 1/2–u, 1/2) to form a distorted tetrahedron. Theoptimized cell parameters obtained in thecalculation are as follows: a = b = 4.738Å, c =3.188Å and u = 0.30756. The unit cell is shownin Figure 2. In the bulk all Sn atoms are six foldcoordinated to threefold coordinate oxygenatoms. SnO2 is an anisotropic polar crystal, whichcrystallises in tetragonal rutile structure withspace group D4h [P42/mm] [14-15]. The unit cellcontains 6 atoms, 2 tins and 4 oxygens. Each tinatom is at the centre of six oxygen atoms placedapproximately at the corners of a regular slightlydeformed octahedron, and three tin atomsapproximately at the corners of an equilateraltriangle surrounding every oxygen atom (Figure2 and 3). Sn also possesses a lower +2 oxidationstate, with Sn(II) adopting distorted 4-foldcoordination in the corresponding monoxide

SnO[16].

Figure 2 : Unit cell of SnO2. The shaded area

represents the (110) surface [24-25].

Figure 3: Unit cell of SnO2 with four O2- anions

and two Sn4+ cations. The crystalline structure ofSnO

2 is rutile; each tin atom is at the centre of six

oxygen atoms placed approximately at the cornersof a regular slightly deformed octahedron and threetin atoms approximately at the corners of an

equilateral triangle surrounding every oxygen atom.

In its stoichiometric form SnO2 acts as aninsulator, but in its oxygen-deficient form itbehaves as an n-type semiconductor with a bandgap of 3.6 eV. Although their conductivity isthought to be due to intrinsic defect formation,the exact mechanism is not well understood.Table 1 shows some physical properties of SnO2

materials.

COMPARISON BETWEEN THE BULKELECTRONIC STRUCTURES OF SnO ANDSnO

2

The bulk electronic structure has beeninvestigated by a number of authors [17-21] althoughthe detailed defect electronic structure has notyet been studied. Electronic conductivity couldthen occur due to the mobility of electrons fromSn (II) to Sn(IV) sites [22-23]. Since SnO2 is a n-

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type wide-band gap semiconductor. The originof this n-type behavior is the native non-stoichiometry caused by oxygen vacancies. Theconduction band has its minimum at the &” pointin the Brillouin zone and is a 90% tin s-like state.The valence band consists of a set of three bands(2+, 3+ and 5+). Figure 4 shows the band diagramfor SnO2 and the projection of the density of states(DOS) for the 1-states of Sn and O. According toresults of Barbarat et al. a large contribution ofSn(s)- states is found at the bottom of the valenceband between –7 and –5 eV [17]. From –5 eV tothe top of the valence band, the Sn(p)- statescontribution is decreasing, as the Sn (d)- statesare occupying the top of the valence band. Alarge and extended contribution of the O (p) -state is found in the valence band. Clearly,bonding between Sn and O is dominated by thep-state of the latter. Each anion in the unit cell isfound to be bonded to the cations in a planar-trigonal configuration in such a way that theoxugen p orbitals contained in the four-atomplane, i.e., p

x and py orbitals, define the bonding

plane. Consequently, the oxygen p orbitalsperpendicular to the bonding plane, i.e., p

z

orbitals, have a non-bonding character and areexpected to form the upper valence levels [26-27].

The conduction band shows a predominantcontribution of Sn(s) states up to 9.0 eV. Forenergies larger than 9.0 eV an equal contributionof Sn- and O-states is found in the conductionband. More information, mainly about the valenceband, can be found in [28-30] and referencestherein.

When discussing the atomistic andelectronic behavior of a surface there are twodominant models in literature: the atomistic model[31-32] or surface molecule model (Figure 5),generally preferred by chemists, and the bandmodel [33-34], generally preferred by physicists. Theatomistic model is more appropriate for chemicalprocesses at a solid surface. It describes the solidsurface in terms of surface sites or atoms,ignoring the band structure of the solid. The bandmodel is preferable for electron exchangesbetween (semiconductors) solids and surfacegroups that include a conductivity change for thesolid. It describes the surface in terms of surfacestates, i.e. localized electronic energy levelsavailable at the surface, ignoring the microscopicdetails of atom-atom interaction between surface

species and its neighboring atoms. Both modelshave their merits, but to understand the surfacereactions of semiconductors with gases bothchemical and physical perspectives have to beconsidered [35].

Table 1: Physical Properties of SnO2.

Molecular formula SnO2

Crystal Structure Rutile(tetragonal),

Space group P42/mnm, No. 136

Geometry Planar (O2-

)

Heat Formation[eV] 6.0

Symmetry Oh

Sn-O bond lengths 2.054 Å

Tin sphere radius 1.384Å

Density 6.95 g/cm3

Molecular Mass 150.71 g/mol

Lattice constants at

room temperature

a = b = 4.738 Å ,

c = 3.188 Å

Melting point 1630 °C

Relative permittivity 7.5

Band gap energy at

room temperature (Eg)

3.6 eV

Specific heat capacity (Cp) 70 J/(K mol)

Thermal conductivity (k) 4.5 W/(K m)

Thermal diffusivity (α) 0.015 cm2/s


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Figure 4: Band diagram of SnO2 (top) and

projection of the density of states (DOS) for the 1s

states of SnO2, Sn and O (bottom) [36].

From a chemical standpoint, a surfacecan be divided into surface sites of varyingreactivity. Usually, more reactive sites can beassociated with heterogeneous surface regionsor surface imperfections. Examples of reactivesites are surface atoms with unoccupied orunsaturated orbitals (“dangling bonds”), surfaceatoms with unsaturated coordination sphere,crystallographic steps, intersections, interstitialdefects or superstructures. From a physical pointof view the interruption of the crystal periodicityat the surface results in localized energy levels.These can function as acceptor or donor states,exchanging or sharing electrons with the non-localized energy bands in the bulk of the solid.Those energy levels in the band gap have aneffect on the electronic properties of the solid,especially for semiconductors. Surface statescan result from non-ideal stoichiometry or bulkdefects (intrinsic) or arise from (intentional)impurities, as for doping (extrinsic).

Figure 5: Ideal and reduced (compact) SnO2

(110) surfaces; the schema on the right is obtainedby removing the bridging oxygen layers.

BRIEF LITERATURE SURVEY ON PURE ANDDOPED SnO

2

Recently the work on transparentsemiconducting oxides (TCO’s) such as ZnO,SnO2, In2O3 and Cd2SnO4 has been of greattechnological interest due to their high quality ofelectrical and optical properties [37]. Besides, awide variety of oxides exhibit sensitivity towardsoxidizing (O2, NO2, SO2 etc.) and reducing (H2,hydrocarbon, LPG etc.) gases by a variation oftheir electrical properties. So many efforts arebeing made to control the sizes and shapes ofvarious oxide nanostructures for tailoring theirphysical properties [38-39]. Among these oxides, tinoxide (SnO2) belongs to a class of materials thatcombines high electrical conductivity with opticaltransparency and thus constitutes an importantcomponent for optoelectronic (photovoltaics)applications, rechargeable lithium batteries [40],

antistatic coating, transparent electrodepreparation and widely used as a photocatalystfor oxidation of organic compounds. Tin oxide isan n- type wide band gap semiconductor (Eg =3.6 ~ 3.97 eV) [41] and its electrical propertiescritically depend on its stoichiometry with respectto oxygen, on the nature and amount of impuritiesor dopants present and on its size as well asshape of nanostructures [42- 44]. Materials basedon tin oxide (SnO2) have also been proposed asalternative anode materials with high energydensities and stable capacity relation in lithium -ion batteries [45-47]. Various SnO2-based materialshave displayed extraordinary electrochemicalbehavior such that the initial irreversible capacityinduced by Li2O formation and the abruptcapacity fading caused by volume variation couldbe effectively reduced when in nanoscale form[48-50]. Tin oxide has also been one of the firstconsidered and still has shown very highsensitivity towards reducing gases such as H2,CO, hydrocarbon, and alcohol. Its sensitivity canbe further improved by increasing the surfacearea. Therefore, the use of porousnanostructured SnO2 with large surface to volumeratio and small crystal size could lead to easygas transport and interesting optical and electricalproperties. When undoped, it behaves like n-typesemiconductor due to oxygen vacancies andinterstitial tin atoms. Since antimony (Sb) is acommon n-type dopant in SnO2, so tin oxidedoped with Sb have interesting electrochemical

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properties in different electrode processes, likelow temperature electrochemical combustion oforganic pollutants, ozone production and organicelectro-synthesis.

Antimony-doped tin dioxides possessinteresting physical and chemical properties.These properties have a wide range ofapplications such as catalysis and optoelectronicdevices. This is why such materials areintensively studied using a diverse range ofanalysis methods. Although there has been greatinterest in the effect of oxidation states ofantimony on tin dioxide, the nature of theantimony sites in highly doped nanocrystallinetin dioxide is still not well understood [51]. However,it is widely accepted that antimony can andusually exist in both +III and +V oxidation statesin the Sb-doped tin dioxide structures [51-53]. The+V oxidation state is in particularly tightassociation with sites inside the tin dioxideparticle. This association is due to its slightlysmaller ionic radii (60 pm) of antimony +V, whichenables it to replace the tin ion (69 pm) moreeasily than does the lager antimony +III (76 pm)ion. On the other hand, the +III Sb ion tends toreplace tin ions at the surface sites or at grainboundaries [52-55]. Antimony +V imparts n-typeconductivity to nanocrystalline tin dioxide. Incontrast, doping tin dioxide with antimony ofoxidation state +III decreases its conductivity tothat of an insulator [56].

SYNTHESIS OF TIN OXIDE (SnO2) IN

GENERAL

(1) Thermal Evaporation

Thermal evaporation is one of the simplestand most popular synthetic method, and it hasbeen very success and versatile in fabricatingnanostructured materials with variouscharacteristics. The basic process of this methodis sublimating the source materials in powderform at high temperature, followed by asubsequent deposition of the vapour in aparticular temperature zone to form the desirednanostructures of the different materials [57-59].

(2) Sol-Gel Process

Sol-gel process is a wet chemical route thatinvolves synthesis of a colloidal suspension ofsolid particles or clusters in a liquid (sol) and

subsequently the formation of a dual phasematerial consisting of a solid skeleton filled witha solvent (wet gel) through the sol-gel transition(gelation). When the solvent is removed, the wetgel can be converted to various types ofnanostructured materials through an appropriatedrying or sintering process [60-64].

Numerous excellent reviews can be foundin the literature concerning the sol-gel processingof materials. In this section, we would like tosummarize the main features and to underlinethe major advantages in the view of producingscintillators.

During the last 30 years, sol-gelprocesses have been widely used for thepreparation of glasses and ceramics. Usually,starting with molecular precursors like alkoxidesor acetates, the sol-gel process takes place insolution. This provides definitive homogeneity formulti component systems. In the particular caseof doping, the sol-gel process provides an idealway to control the level and the homogeneity ofdoping. For luminescent materials, this is crucialsince the light emission is usually due to dopingof ions like rare-earth or transition metals ions.Quenching concentrations are usually foundhigher for sol-gel-derived materials because ofbetter dispersion of doping ions and thus higheraverage distance between emitting centers.Several authors have also developedheterometallic precursors associating differentelements through chemical bonding and thusproviding the highest homogeneity. As far asalkoxides chemistry is concerned, it is useful todistinguish the case of silicon alkoxides (Si beinga semimetal) and the case of metal alkoxides.The sol-gel process involving silicon alkoxide canbe described in two steps, the hydrolysis of thealkoxide and its polycondensation. Usually,silicon alkoxides are very stable againsthydrolysis. Step 1 thus requires catalysis usuallyperformed by using acids or bases.

Contrary to silicon alkoxides, metalalkoxides react very quickly with water in absenceof catalysts. In particular, transition metalalkoxides are very reactive because of thepresence of highly electronegative or groups thatstabilize the central atom in its highest oxidationstate. This in turn makes the metal atom verysusceptible to nucleophilic attack. An excellent


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review presents the chemical reactivity of metalalkoxides. In any case, both for silicon and metalalkoxides, the ongoing polycondensationprocess leads to the formation of a 3D network.The point where this network extends throughoutthe reactor is described by the percolation theoryand named the gel point. The obtained wet gelcan be dried in various conditions leading axerogel with residual porosity. Further heating ofthe xerogel in controlled conditions allowsobtaining the desired glass or ceramic. Beforethe gel point, the colloidal solution can bestabilized and used directly to coat varioussubstrates by classical techniques like dipcoating, spin coating, or spray. This provides alow cost and efficient way to produce nanometricthin films with good homogeneity.

Furthermore, the temperatures requiredfor the full densification and crystallization of thedesired glass/ceramic are usually lower than theones required by classical melting or solid-stateprocesses. This can be interesting from aneconomical point of view but also because insome cases, the obtained phases can differ fromthe one obtained by classical procedures. By thisway, new phases can be obtained or high-temperature phases can be stabilized at roomtemperature.

Here, we mention the synthesis of antimony-tin oxide. In the typical synthesis, 5-10 ml ofhydrochloric acid was added in double distilledwater. At the moment SnCl2. 2H2O and SbCl3precursor solution was mixed to the abovesolution and stirred for 6 h. In addition, smallamount (5-10 ml) of poly-ethylene glycol wasadded which works as capping agent. Vigorousmagnetic stirring was done for 18-24 h to ensurecomplete and intimate reaction between thevarious components. The product was dried for5 h at 80 °C in an oven and calcined at 400 °Cfor 3 h, resulting in complete crystallization toobtain antimony-tin oxide into powder form.

(3) Vapor phase evaporation

The vapor phase evaporation represents thesimplest method for the synthesis of one-dimensional oxide nanostructures. Thesyntheses were usually conducted in a tubefurnace as schematically shown in Figure 6 [65].

The desired source oxide materials (usually in

the form of powders) were placed at the centerof an alumina or quartz tube that was inserted ina horizontal tube furnace, where thetemperatures, pressure, and evaporation timewere controlled. Before evaporation, the reactionchamber was evacuated to <“ 1–3×10–3 Torr by amechanical rotary pump. At the reactiontemperature, the source materials were heatedand evaporated, and the vapor was transportedby the carrier gas (such as Ar) to the downstreamend of the tube, and finally deposited onto eithera growth substrate or the inner wall of the aluminaor quartz tube.

For the vapor phase evaporation method,the experiments were usually carried out at a hightemperature (> 800 C) due to the high meltingpoint and low vapor pressure of the oxidematerials. In order to reduce the reactiontemperature, a mixed source material, in whicha reduction reaction was involved, wasemployed.

(4) Hydrothermal Synthesis

Hydrothermal synthesis appeared in 19th

century and became an industrial technique forlarge size quartz crystal growth in 20th century[66]. Recent years, hydrothermal synthesis methodhas been widely used for preparation ofnumerous kinds of inorganic and organicnanostructures. Hydrothermal synthesis offersthe possibility of one-step synthesis under mildconditions (typically < 300°C) in scientificresearch and industrial production [67]. It involvesa chemical reaction in water above ambienttemperature and pressure in a sealed system.In this system, the state of water is between liquidand steam, and called as supercritical fluid(Figure 7). The solubility to the reactants andtransportation ability to the ions in the liquid ofsuch a fluid is much better than that in water.Therefore, some reactions that are impossibleto carry on in water in ambient atmosphere canhappen at a hydrothermal condition. Normally,hydrothermal synthesis process is a one-stepreaction. All the reactants with water are addedinto the autoclave. The reaction occurs in thesealed autoclave when the system is heated, andthe nanostructures can be obtained after theautoclave cooled down. Formation of metaloxides through a hydrothermal method shouldfollow such a principal mechanism: the metal ions

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in the solution react with precipitant ions in thesolution and form precipitate, and the precipitatedehydrate or decompound in the solution at ahigh temperature and form crystalline metal oxidenanostructures [68]. Figure 7 shows a typicalautoclave for synthesis of oxide nanostructure.Earlier the different nanostructures (nanorods,nanospheres, nanocubes, nanoribbons,nanocubes and nanowires etc.) of undoped anddoped SnO2 has been reported by many authorsby different methods. Some results are givenbelow in a Table 2 [69-73].

Possible advantages of the hydrothermalmethod over other types of crystal growth includethe ability to create crystalline phases which arenot stable at the melting point. Also, materialswhich have a high vapor pressure near theirmelting points can also be grown by thehydrothermal method. The method is alsoparticularly suitable for the growth of large good-quality crystals while maintaining good controlover their composition. Disadvantages of themethod include the need of expensiveautoclaves, and the impossibility of observing thecrystal as it grows.

Figure 6: Schematic experimental setup for thegrowth of one-dimensional oxide nanostructures via

an evaporation-based synthetic method.

Figure 7: Phase Diagram of water (a); An autoclave

for synthesis of oxide nanostructure (b)

Table 2: Reported different type of nanostructure of

SnO2 by different method.

TRANSPARENT CONDUCTING OXIDE FILMS

One of the most important fields of currentinterest in materials science is the fundamentalaspects and applications of conductingtransparent oxide thin films (TCO). Transparentconducting films act as a window for light to passthrough the active material beneath (wherecarrier generation occurs) and as an ohmiccontact for carrier transport out of thephotovoltaic. Transparent conducting oxide(TCO) thin films are semiconducting materialswith large band gaps of energies correspondingto wavelengths which are shorter than the visiblerange (380 nm to 750 nm). As such, photonswith energies below the band gap are notcollected by these materials and thus visible lightpasses through. Thus TCO have not only highoptical transmittance in the visible region but alsohave relatively high electrical conductivity andhigh reflectance in the IR region. However,applications such as photovoltaic’s (PV) mayrequire an even broader band gap to avoidunwanted absorption of the solar spectra. Thisunique combination of physical properties i.e.transparency and electrical conductivity, makesthem suitable for a variety of applications inoptoelectronic devices. Consequently, varioustechniques for the growth of these films havebeen recently intensively investigated. Thegrowth technique plays a significant role indetermining the properties of these films,because the same material deposited by two

Method Shape (Nano Range) Refer-

ence

Chemical vapor

deposition

Nanowires (size ranging

from 70 to 150 nm)

[69]

Thermal evaporation Polyhedron-shaped

(200 to 1300 nm)

[70]

Wet chemistry

technique

Nanospheres

(diameters of∼30 nm)

[71]

Thermal evaporation

technique

Tree branch, Flowerlike,

Hollow Square

[72]

Hydrothermal

technique

Nanorods (100–150 nm),

with lengths of the order

of 1–2 µ m

[73]

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different techniques usually may have differentmicro and macro properties. The simultaneousoccurrence of high optical transparency (>80%)in the visible spectrum and low electricalresistivity (10-3 Ù-cm or less) is not possible inan intrinsic stoichiometric oxides, because of thelarge optical band gap (> 2.0 eV). Partialtransparency and fairly good conductivity maybe obtained in very thin (< 10 nm) films of metals.On the other hand, the only way to havetransparent conductors is to populate theconduction band with electrons in spite of thewide band gap by controlled creation of non-stoichiometry or the introduction of appropriatedopants. These conditions are very convenientlyobtained in oxides of cadmium (Cd), tin (Sn),indium (In), zinc (Zn) and their alloys in thin filmform, prepared by a number of differentdeposition techniques. The first report of atransparent conducting oxide (TCO) waspublished in 1907, when Badeker [74] reported thatthin films of Cd metal deposited in glow dischargechamber could be oxidized to becometransparent while remaining electricallyconducting. Since then, the commercial value ofthese thin films has been recognized, and thetransparent and electrically conducting oxidefilms (TCO), e.g., In2O3:Sn (ITO), SnO2 (TO), ZnOand ZnO:Al (AZO), have been extensively studiedowing to their variety of applications inoptoelectronic devices and as gas sensors. Theoptoelectronic applications include thetransparent electrodes for flat panel displays(FPD’s), solar cells, light emitting diodes andtransparent heating elements for aircraft andautomobile windows, heat reflecting mirrors forglass windows, and antireflection coatings [75-79].

In FPD’s, the basic function of ITO is astransparent electrodes. The volume of FPDsproduced, (and hence the volume of ITOcoatings) continues to grow rapidly. Specifically,for applications in the field of thin film solar cells,the TCO can serve as an electrode and protectionlayer of the p-n junction, which is the main partfor the performance of solar cells. In terms ofconductivity and transmission, each TCO varies.Therefore, choosing the type of TCO is a majorissue for a new solar cell design. Beside theoptoelectronic applications, transparentconductive oxide (TCO) films have found a widerange of applications in electric equipments and

coatings where transparency is required. Thismaterial constitutes an important commercial usein the manufacture of anti-frost windshields (nesaglass) and in the manufacture of thin film resistor.

At present, and likely well into the future,tin-doped indium oxide (ITO) material offers thebest available performance in terms ofconductivity (~ 104 Ù cm) and transmission (80-90%), combined with excellent environmentalstability, reproducibility, and good surfacemorphology. However, the enormously high costof indium, toxicity and the scarcity of this materialcreate the difficulty in obtaining low cost TCO’s.Hence search for other alternative TCO materialshas been a topic of research for the last fewdecades. It includes some binary materials likeZnO, CdO, SnO

2 and ternary materials like

Zn2SnO

4, CdSb

2O

6: Y, ZnSO

3, GaInO

3 etc.

However, the application of binary oxides e.g.ZnO and SnO

2 thin films is sometimes limited

because these materials could become unstablein certain chemically aggressive and/or elevatedtemperature environments. The introduction ofmulti -component oxide materials resulted in thedesign of TCO films suitable for specializedapplications. This is mainly because one cancontrol their electrical, optical, chemical andphysical properties by altering the chemicalcompositions. But the major advantages of usingbinary materials are that their chemicalcompositions and depositions conditions can becontrolled easily.

Among the available TCO’s, SnO2 seemsto be more appropriate because they are quitestable towards atmospheric conditions,chemically inert, mechanically hard and canresist high temperature. As reported [80-81] tincontaining oxides are promising anode materialsfor secondary lithium ion batteries. Severalstudies [82-83] show that antimony (Sb) as wellas zinc (Zn) doped tin oxide (ATO and ZTO) area possible alternative to ITO because both areinexpensive as well as chemically and thermallystable. Antimony and zinc doped tin oxide wasreported to behave as n-type semiconductor withwide band gap within 3.6-4.2 eV, displaying lowresistivity, remaining transparent in wavelengththat includes the visible region. On the otherhand, a group has also reported that SnO2 filmsdoped with fluorine or antimony are better suited

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in order to get low electrical resistivity and hightransmittance for solar cell applications [84].

Tin oxide thin films are n-typesemiconductors with high transparency (> 97%in visible range for films of thickness 0.1-1.0 ìm)and very good electrical conductivity (104-106 Ù-

1cm -1). The films are chemically inert,mechanically hard and can resist hightemperature. Owing to its low resistivity and hightransmittance, tin oxide thin films are used insolar cells as a window material and as anelectrode to collect the charge in CdS/Cu2S, CdS/CdTe and amorphous silicon solar cells, heatreflectors in solar cells, various gas sensors,liquid crystal displays etc. [85-91].

In addition to solar cell technology, tin oxidehas also been used in fabrication of gas sensorsdue to the sensitivity of its surface conductanceto gas adsorption [92-93]. To increase the electricalconductivity and transparency of the SnO2 thinfilm various dopants were introduced. Since theappropriate doping can enhance the electricalconductivity and transparency of these films, thusthe purpose of present work is to improve theelectrical (conductivity) and optical(transparency) properties of the spray depositedun-doped SnO2 thin film by introducing differentdopants (Sb and Zn) at different substrate (opticalglass) temperature.

BRIEF LITERATURE SURVEY ON TIN OXIDETHIN FILMS

SnO2 is a perfect insulator in its bulk form.When these materials are prepared fromspraying method, deviation from thestoichiometry occurs and hence the materialbecomes semi-metallic. The challenge is toproduce coatings of this non-stoichiometric oxide,which are highly transparent and conducting. Toconquer this problem, variants of the standarddeposition techniques and precursors are beingtried out. SnCl4 has been used as the verycommon source of tin in spray pyrolysistechnique and in few cases, organic tincompounds, and tin (II) fluoride have also beenused [94-95].

Tin oxide is a crystalline solid with atetragonal crystal lattice. It is a wide band gap,non stoichiometric semiconductor and behavesmore or less as a degenerate n-type

semiconductor with a low n-type resistivity (H”10-3 &!-cm) [96]. Tin oxide can exist in twostructures belonging to direct and indirect opticaltransitions, with different band gaps; a direct bandgap that ranges from 3.6 to 4.6 eV [97] at roomtemperature and indirect band gap of about 2.6eV. An important property of tin oxide is that it isthe most chemically stable in atmosphericambient [98] amongst the other metal oxides.

Among the various transparent conductingoxides (TCO’s), SnO2 has been the subject ofresearch over a number of years [99-100], becauseit is a naturally non-stoichiometric prototypicaltransparent conducting oxide. SnO2 thin films aretransparent in the region above 400 nm which isthe region of interest for electrochromic devices.SnO2 films were used extensively as transparentelectrodes in display devices like LCDs, and astransparent active layers in SnO2/silicon solarcells, optical waveguides, ultra- sensitive gassensors, transistors, organic light emitting diodes,thermoelectric energy conversions, transparentelectrodes and electrically conductive glass [101-

107]. Among the variety of methods that have beenproposed for depositing films of SnO2, spraypyrolysis has been found to be attractive fromthe point of view of its simplicity and low cost.

There are many techniques for fabricationof conductive thin film, including sputtering,thermal evaporation, dip coating and chemicalvapour or spray deposition by which the SnO2

films may be deposited on glass substrates [108-

110]. In this study, tin oxide thin films were preparedby the spray pyrolysis technique. The spraypyrolysis technique is particularly attractivebecause of its simplicity. It is fast, inexpensive,vacuum less and suitable for mass production[111].

(1) Zn-doped SnO2 thin film (ZTO)

Zinc-doped tin (IV) oxide (ZTO) is also auseful material for many reasons. First, it providesan amorphous nature and a low processingtemperature compared to high processingtemperatures of crystalline oxide channels. ZTOshows improved transistor performance becauseof its high electron mobility (30 cm2/Vs at 500°C)in spite of its amorphous character. It has manyattractive properties as Minami et al. [76]

concluded. ZTO film (ZnSnO3) showed superior


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properties as compared with SnO2 and ZnO, suchas the zinc-stannate films were more thermallystable in hydrogen environment than SnO2 filmsand are chemically stable in acidic and basicsolutions than ZnO films [112]. ZTO shows extremeresistance to scratching and more importantlyforms an exceedingly smooth surface in thinfilms[113-114]

(2) Sb-doped SnO2 thin film (ATO)

Antimony-doped tin oxide (ATO) possessesspecial electrical and optical properties and hasapplications in transparent electrodes, energystorage devices, print displays and heatingelements. Antimony doped and un-doped SnO2

films have been prepared by electron beamevaporation and spray pyrolysis methods [115]. Theoptical band gap of the spray deposited film inthe range of 4.07-4.11 eV has been reported [116].

ATO spray deposited films have shown a sharpdecrease in the resistivity. The best conductivityof the films is achieved, when the dopant is inthe range of 1-2 wt%. Doping with 5 wt% leadsto a higher sheet resistance (e” 0.5 kÙ/cm2)compared to un-doped films (453 Ù/cm2) at oneand the same temperature. This effect wasexplained by Sb addition to SnO2. Theincorporation of Sb atoms into the Sn4+ sites ofthe SnO2 lattice is substitutional. In Sb dopedSnO2 films, Sb can be present in two differentoxidation states, Sb5+ and Sb3+. During the initialaddition of Sb in the film, Sb5+ incorporated atSn4+ sites acts as donor and creates excesselectrons [117]. The mobility and the carrierconcentration of the film are reported to be e” 1cm2/V.s and 10x1020 / cm3, respectively. Spraypyrolysis techniques have been used to prepareATO thin film [118]. Sb doping levels used were 1to 4 wt%. The dependence of the crystallinity ofthe films on the Sb doping level is reviewed. Filmsdoped with 1 wt% have large grains in contrastto those fabricated with higher doping levels [119].

PREPARATION OF PURE AND DOPED SnO2

THIN FILM IN GENERAL

Thin film properties are strongly dependenton the method of deposition, the substratematerials, the substrate temperature, the rate ofdeposition, and the background pressure.Specific applications in modern technologydemand such film properties as high optical

reflection/transmission, hardness, adhesion,non-porosity, high mobility of charge carriers,chemical inertness toward corrosiveenvironments, and stability with respect totemperature. Somewhat less required propertiesare stoichiometric composition and highorientation in single crystal films. The need fornew and improved optical and electronic devicesstimulated, in addition, the study of thin solid filmsof single elements, as well as binary and ternarysystems, with controlled composition and specificproperties, and has consequently acceleratedefforts to develop different thin film depositiontechniques. Further, pure and doped tin oxidesshow significant sensitivity to humidity adsorptionand thus may be challenging materials forhumidity sensing point of view [120-124]. The thinfilm deposition techniques can be classifiedaccording to the scheme shown in Figure 8.

The common techniques that have beenused to grow TCO films include Chemical VaporDeposition (CVD), Spray Pyrolysis, Sputtering,Reactive and Plasma Assisted ReactiveEvaporation, Ion Beam Sputtering, Ion Platingand Filtered Vacuum Arc Deposition (FVAD).Each of these techniques has its own advantagesand disadvantages. For example, spraytechniques are very cheap, depositionparameters are easily controllable but theproduced films are not so stable.

(1) Chemical Vapor Deposition (CVD)

Chemical Vapor Deposition (CVD) is amaterial synthesis method in which theconstituents in the vapor phase react to form asolid film on a substrate. Gas precursors can beused directly, and liquid precursors can be usedwith a bubbler, in which a carrier gas is passedthrough the liquid. The chemical reaction is anessential part of this technique and should bewell understood. Various types of chemicalreactions are utilized in CVD (Figure 9) for theformation of solids. In one type of reaction, avapor precursor that contains the material to bedeposited is decomposed by reduction, e.g. usinghydrogen at an elevated temperature.Decomposition is accomplished by thermalactivation. Alternatively, plasma activation maybe used to reduce or decompose the pre-cursorat a lower temperature than with thermalactivation.

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CVD processes have numerous othernames; such as: metal-organic CVD whenplasma is used to induce or enhancedecomposition and reaction; low pressure CVDwhen the pressure is less than ambient; and low-pressure plasma enhanced CVD PECVD whenthe pressure is low enough that ions can beaccelerated to appreciable energies from theplasma.

(2) Pulsed Laser Deposition (PLD)

Pulsed laser deposition (PLD) is anevaporation technique in which a laser pulse isused to ablate target material, producing a localplasma jet. The plasma also contains energeticmolecular clusters and macro-particles. Theemission of these macro-particles is a seriousdrawback. A solution to this problem is to usecrossed laser induced evaporation plumes todiscriminate macro-particles ejected from thetarget. The energy of the evaporated material

The energy spectrum of the plasma particlesconsists of a major relatively low-energycomponent (1-100 eV) and a minor high-energycomponent (up to a few keV). As this energeticimpact of the evaporated material is keptresponsible for a layer growth with smoothsurfaces, a choice of the proper laser pulseenergy is required. Each laser pulse evaporatesa well-defined amount of material. Multilayer filmscan be very accurately controlled by varying thenumber of laser pulses.

(3) Vacuum Evaporation

Vacuum evaporation (including sublimation)is a physical vapor deposition (PVD) processwhere material is thermally vaporized from asource and reaches the substrate withoutcollision with gas molecules in the space betweenthe source and substrate. The trajectory of thevaporized material is “line-of-sight.” Typically,vacuum evaporation is conducted in a gaspressure range of 10-5 to 10-9 Torr, depending onthe level of contamination that can be toleratedin the deposited film [125]. The basic system andevaporator source configurations are shown inFigure 10.

Deposition of thin films by evaporation isvery simple and convenient, and is the mostwidely used technique. One merely has to

produce a vacuum environment, and give asufficient amount of heat to the evaporant toattain the desired vapor pressure, and allow theevaporated material to condense on a substratekept at a suitable temperature. The importantprocess parameters are the substrate material,source and substrate temperatures, source-substrate distance, and background gascomposition and pressure. Evaporants with anextraordinary range of chemical reactivity andvapor pressures have been deposited. Thisvariety leads to a large diversity of source designsincluding resistance-heated filaments, electronbeams, crucibles heated by conduction,radiation, or rf-induction, arcs, exploding wires,and lasers.

(4) Chemical Spray Pyrolysis (CSP)

It is a process where a precursor solution,containing the constituent elements of thecompound, is pulverized in the form of tinydroplets onto the preheated substrate, whereupon the thermal decomposition of the precursoran adherent film of thermally more stablecompound forms.

Figure 8: A schematic diagram of thin film deposition

techniques.

Spray pyrolysis involves several stages:

(1) generation of micro sized droplets ofprecursor solution,

(2) evaporation of solvent,(3) condensation of solute,(4) decomposition of the precursor or solute and(5) sintering of the solid particles.


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Figure 9: A schematic drawing of the CVD technique.

Figure 10: Schematic diagram of the pulsed laser

deposition system.

Figure 11: Conventional vacuum evaporation system

and evaporator source configurations.

The quality of films, when prepared byspray pyrolysis coating unit, depends onvarious parameters such as spray rate,substrate temperature and the ratio of thevarious constituents in the solutions [126]. Sincethe deviation from stoichiometry due to oxygenvacancies makes thin films to possesssemiconducting nature, it is necessary thatthe complete oxidation of the metal shouldbe avoided in order to obtain films with goodconductivity. This is generally achieved byadding appropriate reducing agents. Methanol

can be used as the reducing agent .GenerallySnCl2.2H2O dissolved in concentratedhydrochloric acid by heating at 90°C for 10 min.The addition of HCl rendered the solutiontransparent, mostly, due to the breakdown of theintermediate polymer molecules. The transparentsolution thus obtained and subsequently dilutedby methanol, served as the precursor. To achieveSb doping, antimony trichloride (SbCl3) wasdissolved in isopropyl alcohol and added tothe precursor solution. The amount of SbCl3to be added depends on the desired dopingconcentration. Microscope glass slides,cleaned with organic solvents, were used assubstrates.

CSP is a convenient, simple and low-costmethod for the deposition of large-area thin films,and it has been used for a long time. Additionallyit is a low cost method i.e., the device does notrequire high quality targets or vacuum. Also thecomposition and microstructure can easily becontrolled and the deposition takes place atmoderate temperatures of 100-500 ºC.Furthermore, it offers the possibility of massproduction. However as every other method, CSPhas some disadvantages such as the possibilityof oxidation of sulfides when processed in airatmosphere, difficulties regarding the growthtemperature determination. Apart from that aftera long processing time the spray nozzle maybecome cluttered. Finally the films quality maydepend on the droplet size and spray nozzle. Thismethod is useful for the deposition of oxides andis also a powerful method to synthesize a widevariety of high purity, chemically homogeneousceramic powders.

CONCLUSION

Metal nanoparticles of varying sizes canbe prepared by physical as well as chemicalmethods. They exhibit many fascinatingproperties, the size-dependent metal to nonmetaltransition being an important one. The quest fornanoscale architecture has demanded newersynthetic methodologies for forming andorganizing metal particles. We have discussedsome properties of bulk and nanosized tin oxide.The synthesis methods of SnO2 and doped SnO2

have been discussed. In addition the fabricationtechniques of thin/thick film have been described.

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MINIMIZATION OF CONTACT TIME FOR TWO-STAGE BATCH

ADSORBER DESIGN USING SECOND-ORDER KINETIC

MODEL FOR ADSORPTION OF METHYLENE BLUE (MB) ON

USED TEA LEAVES

S.P. SHUKLA 1*, A. SINGH2, LALJI DWIVEDI6, K J. SHARMA6,

D.S. BHARGAVA3, R. SHUKLA4,

N.B. SINGH1, V.P. YADAV5, MARKANDEYA1

1Institute of Engineering and Technology ,Lucknow, India2Lucknow Model Institute of Technology and Management, Lucknow, India

3Bhargava Lane, Devpura, Haridwar, India4Babu Banarasi Das National Institute of Technology and Management, Lucknow, India

5Central Pollution Control Board Delhi, India6Research Scholar, Sai Nath University, Ranchi, India

*Address for correspondence :Dr. S. P. Shukla, Professor, Department of Civil Engineering, Institute ofEngineering and Technology, Sitapur Road, Lucknow, Uttar Pradesh, India,

e-mail: [email protected]

ABSTRACT

The adsorption of Methylene Blue (MB) dye on used tea leaves has been studied in a batchadsorber. The equilibrium data fit well in the Langmuir isotherm. Three simplified kinetic modelsbased on pseudo first-order equation, pseudo second-order equation and intra particle diffusionequations were selected to study the adsorption process. Kinetic parameters, rate constants,equilibrium adsorption capacities and related correlation coefficients for each kinetic model arepresented in this paper. Adsorption of MB dye on used tea leaves is found to be described bestby the pseudo second-order equation and the same has been used for the design of a two-stage batch adsorber. The model has been optimized to minimize total contact time for MB dyeremoval. The optimum contact time for the 99% removal of MB dye has been found as 28.1minute.

Keywords: Two-stage batch adsorber, Contact time, Adsorption kinetics, Methylene Blue, Usedtea leaves

INTRODUCTION

Dyes used in various industries (such astextile, tannery, food, pulp and paper) to colortheir products are an important source ofenvironmental contamination. Color is a visiblepollutant and the presence of even very littleamount of coloring substance makes itundesirable due to its appearance (Hamdaouiet al., 2008). The presence of dyes in waste wateroffers considerable resistance to theirbiodegradation and thus upsetting aquatic life(Wong and Yu, 1999). Some of the dyes arecarcinogenic and mutagenic (Sivaraj et al.,2001).Many investigations have been conductedon physico - chemical methods for removing color

from textile effluent such as, coagulation(Bazodogan and Goknil, 1987; Lee et al., 2006),oxidization (Brower and Reed, 1985), ultrafiltration (Lee et al., 2006; Nowak, 1989), electro-chemical (Shendrik, 1989; Shen et al., 2001),adsorption (Lee et al., 2006; Ahlman and Groff ,1990) and combined electro-chemical andadsorption (Wang et al., 2005; Fan et al., 2008)techniques. Activated carbon is the most widelyused adsorbent in the industrial applications butit is costly. To reduce the cost, alternative lowcost commercially available adsorbents(including natural materials) have been tried forthe treatment of dyes in recent years (Ozacarand Sengil, 2004). These alternative adsorbents


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include papaya seed (Hameed, 2009), fly ash(Wang and Wu, 2006; Matheswaran andKarunanithi, 2007; Pengthamkeerati et al., 2008),oil palm empty fruit bunch (Tan et al., 2008), spenttea leaves (Hameed, 2009), pristine and acid-activated clays (Lin et al., 2004), bagasse andrice husk (Kalderis et al., 2008; Han et al., 2008),plane tree leaves (Hamdaoui et al., 2008),hazelnut shells and wood sawdust (Ferrero,2007), orange peel (Kumar and Porkodi, 2007),bentonite clay (Bastaki and Banat, 2004; Bulutet al., 2008), beech sawdust (Batzias and Sidiras,2007). Most previous optimization models forbatch adsorbers (Ozacar and Sengil, 2004;Demirbas et al., 2002; Ozer et al., 1997; Tsengand Wu, 2009) are based on minimizing the massof adsorbent (such as activated carbons,activated alumina, zeolites, silica and resins)required to remove a certain amount of pollutantfrom a fixed volume of waste water without anyconsideration to operating time (Ozacar andSengil, 2006). Optimizing the rate of treatmentof a fixed volume of waste water is crucial asindustries face the problem of spacemanagement as a major challenge in manycountries. Therefore, using economicaladsorbents with minimum operating time forpollutant removal will enable the treatment ofmore batches of polluted waste water per day,thereby reducing the size of the process plantwhich will result in decreasing the plant capitalcosts. This paper describes the adsorption of MBdye by used tea leaves (low cost adsorbentavailable as a waste product) and developmentof a two-stage batch adsorber design model. Themodel predicts the optimum contact time (CT)required to remove a fixed percentage of MB,from a given volume of waste water effluentcontaining specified dye concentration, using afixed mass of used tea leaves.

MATERIALS AND METHODS

Adsorbate

The basic MB dye used in this study wasproduct of HFCL Limited, New Delhi and waschosen for this study due to its known strongadsorption onto solids. The chemical formula andmolecular weight of selected dye areC

16H

18ClN

3S.2H

2O and 319 respectively. The

maximum absorbance wave length for MB dyewas found as 675 nm using double beam UV

Spectrophotometer, (Model: SP-3000 Plus, Make– OPTIMA). The structure of MB dye is shown inFig.1.

Figure 1: Chemical structure of MB dye

Adsorbent

Used tea leaves, collected from tea shops,used in this study were repeatedly boiled withwater until the filtered water has been clearedand dried at 60°C for 48 hours. Dried sample wasgrounded in mixer grinder for 5 minutes andsieved. The material passing through 500 micronsieve and retained on 300 micron sieve was usedas adsorbent in the present study. The adsorbentwas stored in the plastic bottles (Hameed, 2009).

Equilibrium and kinetic study

Adsorption experiments were carried out byadding a fixed amount of adsorbent (1.75g usedtea leaves) in 1 L glass flasks containing 500 mlof dye solution of different initial concentrations(50, 100, 150, 200, 250, 300 mg/L) withoutchanging the solution pH at room temperature(~ 30ºC). The flasks were placed in a Jar TestApparatus and agitated at 150 rpm for 200minutes to ensure that equilibrium was reached.

The amount of adsorption (qt) at time t in

mg/g was calculated using equation 1.

( )0 *t

t

C C Vq

W

−

= (1)

Where,

C0: liquid-phase initial concentration of dye in mg/L.

Ct: liquid-phase remaining concentration of dye in mg/L

at time t.

V: volume of the solution in L.

W: mass of dry adsorbent used in g.

The amount of adsorption at equilibrium (qe)

S

+

Cl

N

(CH3)2NN(CH3)2

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in mg/g was calculated using equation 2.

( )0 *e

e

C C Vq

W

−

= (2)

Where

Ce: Remaining liquid-phase concentration of dye in mg/

L at equilibrium.

The dye removal percentage at equilibriumwas calculated using equation 3.

Removal percentage = ( )0

0

*100eC C

C

−

(3)

RESULTS AND DISCUSSION

Equilibrium model

The Langmuir isotherm is generally thepreferred choice for most models of adsorption,and has many applications in surface kinetics andthermodynamics.

Langmuir isotherm is expressed as shownin equation 4.

eq = (1 )

e

e

C

C

α β

α+ (4)

A linear form of this expression is given inequation 5.

1 1 1 1*

e eq Cβ α β

= +

(5)

The constant â is the monolayer (maximum)capacity of the adsorbent (mg/g) and á is theadsorption equilibrium constant (L/mg). Fig. 2shows the adsorption equilibrium linearizationplot of MB dye on used tea leaves at room

temperature.

For Langmuir isotherm plot, the dyeadsorbed at equilibrium for different initialconcentration was plotted with respect toremaining concentration at equilibrium. The dataare best fitted for straight line with high degreeof correlation factor (0.996) gives adsorptioncapacity 166.67 mg/g. The good fit to theLangmuir model suggests that MB adsorption islimited with monolayer coverage and the surfaceis relatively homogeneous in terms of functionalgroups and there is no significant interactionamong the MB molecules (Ozacar and Sengil,2006).

Kinetic Models

Adsorption kinetic study was performed withthe objective to investigate (i) the possiblemechanisms for the adsorption process and (ii)to determine the time required to attainequilibrium. The amount of MB dye adsorptionincreases with time (Fig. 3) and it remains almostconstant after an operating time of 60 min (i.e.the equilibrium time). The equilibrium time doesnot vary with the variation of initial dyeconcentration.

Figure 3: Effect of contact time and initial

concentration on MB adsorption

For studying the kinetics of the MBadsorption on used tea leaves, several kineticmodels were tried as given below:

Pseudo first-order equation

A simple kinetic of adsorption is the pseudofirst-order equation (equation 6) (Ozacar and

Figure: 2 Langmuir isotherm plots for MB adsorption


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www.ijsir.co.in 61

Sengil, 2005, 2004, 2003; Ozacar, 2003; Wu etal., 2001):

( )1t

e t

dqk q q

dt= − (6)

Integrating equation (6) and applying theinitial conditions q

t = 0 at t = 0, we get

( )1log log *

2.303e t e

kq q q t

− = −

(7)

Where qe and q

t are the amounts of MB

adsorbed at equilibrium and time t (mg/g),respectively, and k

1 is the rate constant of pseudo

first-order adsorption, (min-1). Figure 4 shows aplot of Eq. (7) for the adsorption of dye MB onused tea leaves.

Figure 4: Fitting of pseudo-first order model for MB

Pseudo second-order equation

The adsorption kinetic may also bedescribed by a pseudo second-order equation(equation 8) (Ozacar and Sengil, 2005, 2004,2003; Ozacar, 2003; Wu et al., 2001; Ho andMckay, 1999).

( )2

2t

e t

dqk q q

dt= − (8)

After integration and applying the boundaryconditions, for q

t = 0 at t = 0 and q

t = q

t at t = t,

the integrated form of equation (8) becomes:

( )2

1 1*

e t e

k tq q q

= +

− (9)

Equation (9) can be rearranged to obtain alinear form:

( )2

2

1 1*

*t ee

tt

q qk q

= +

(10)

Where k2 is the rate constant of pseudo

second-order adsorption (g/mg.min). Figure 5shows a plot of Eq. (10) for the adsorption of dyeMB on used tea leaves.

Figure 5: Fitting of pseudo-second order model for

MB

Intra particle diffusion model

The fraction of adsorbate adsorbed ((Co –

Ct) / C

o) changes according to a function of (D

t /

r2)1/2, where r is the particle radius and D thediffusivity of solute within the particle. The rateparameters for intra particle diffusion (k

p) at

different initial concentrations are determinedusing the following equation (Ozacar and Sengil,2005, 2004; Ozacar 2003; Wu et al., 2001):

1

2*t pq k t= (11)

Where kp is the intra particle diffusion rate

constant, (mg / (g min1/2)).

If intra particle diffusion occurs, then qt

versus t1/2 will be linear and if the plot passesthrough the origin, then the rate limiting processis only due to the intra particle diffusion. In thisstudy intra particle diffusion is not happening asq

t versus t1/2 is not linear. The different stages of

rates of adsorption observed indicated that theadsorption rate was initially faster and thenslowed down when the time increased (Fig. 6).

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P-ISSN 2347-2189, E- ISSN 2347-4971

Initial

conc.

(mg/L)

qe exp

(mg/g)

Pseudo-first- order Kinetic model Pseudo-second-order kinetic model

k1 qe cal R2 k2*10-3 qe cal R2

50 13.80 0.101 3.92 0.795 70.014 14.08 1

100 27.59 0.099 11.14 0.876 27.841 28.57 1

150 41.09 0.094 19.59 0.903 12.902 43.48 1

200 54.20 0.092 33.57 0.952 6.149 58.82 1

250 67.19 0.101 46.88 0.994 3.920 71.43 0.999

300 80.41 0.085 63.28 0.992 2.161 84.91 0.999

Figure 6: Intra particle diffusion model for MB

adsorption on used tea leaves

Table 1 shows comparison of the pseudo-first-order and pseudo-second-order adsorptionrate constants; and calculated and experimentalq

e values obtained at different initial MB

concentrations. The Fig. 4, Fig. 5 and Table 1reveal that pseudo second order equation bestfit for adsorption of MB on the used tea leaves.The results demonstrate a highly significant linearrelationship between adsorbed dye MB, t/q

t, and

t in these studies with high correlationcoefficients.

Table 1: Comparison of the pseudo-first-order, pseudo-second-order adsorption rateconstants and calculated and experimental q

e

values obtained at different initial MBconcentrations

Initial conc. (mg/L) qe exp

(mg/g)Pseudo-first- order Kinetic modelPseudo-second-order kinetic

Figure 7: Two stage crosscurrent batch adsorption

process

The solution to be treated contains L Liter solutionand the dye concentration is reduced for eachstage from C

0 to C

n mg/L. Initially at t = 0, the

amount of adsorbent added is W g with a solidphase dye concentration on it of q

0, (usually q

0 =

0 mg dye/g used tea leaves) and the dyeconcentration on the used tea leaves increasesfrom q

0 to q

t,n mg/g . The mass balance equation

can be written as equation 12.

( ) ( )n-1 , 0C

n t nL C W q q− = − (12)

When fresh adsorbents are used at eachstage and the pseudo second-order equation isused to describe equilibrium in the two-stageadsorption system, then the mass balanceequation may be obtained by combining equation(10) and equation (12).

( )2

,

1

,(1 )

e n

n n

e n

W k q tC C

L k q t−

= −

+

(13)

The total amount of dye removal can becalculated analytically using equation 14.

( )2

,

1

1 1 ,(1 )

m me n

n n

n n e n

W k q tC C

L k q t−

= =

− =

+

∑ ∑ (14)

q0

W1

C0

L

C1

L

C2

L

q0

W2

Stage

1

Stage

2

q1

W1

q2

W2


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Where n is the adsorption system number(n = 1, 2, 3…………, m). The percentage dyeremoval, R

n, in each stage can be evaluated from

the equation 15. (15)

The total removal of dye can be determinedanalytically using equation 16.

( )

2

,

1 10 ,

100

1

m me n

n

n n e n

k q tWR

LC k q t= =

=

+ ∑ ∑ (16)

It is further considered that k and qe can be

expressed as a function of C0 for MB as follows:

0

Yk

kk X C= (17)

0

Yq

e qq X C=

(18)

Substituting the values of k and qe fromequations (17) and (18) into equation (16) gives;

(

( )(

0 0

1 10 0 0

( )100

1

Yk Yqm m

k

n Yk Yqn n k

X C Xq C tWR

LC X C Xq C t= =

=

+

∑ ∑ (19)

Equation (19) can be used for predicting theremoval of dye at any given initial dyeconcentration and the reaction time for multi-stage systems can be determined (Ozacar andSengil, 2006).

Figure 8: qe and initial concentrations of MB

Figure 9: k2 and initial concentrations of MB

The application of the CT model to thedesign and time optimization of a batch adsorberwas undertaken. The corresponding plots of thevalues of q

e and k against initial MB concentration

were regressed to obtain expressions for thesevalues in terms of the initial dye concentration.High correlation coefficients were obtained asshown in Table 2.

Table 2: Empirical parameters for predictedq

e and k from C

0

Used Tea Leaves Xk

Yk

R2 Xq

Yq

R2

162.2 -1.88 0.983 0.282 1.002 0.999

A series of CTs from 10 min up to 60 min in2 min increments has been considered in Stage1 of a two stage batch adsorber system. Thenthere are twenty six system number of 2 minincrements. Therefore, in Figs. 10 and 11, eachsystem number (1 to 26) is based on a 2 min CTinterval in Stage 1 of the two stage system. Forexample, in the first adsorber, system number10 implies; 10 min + (10-1) x 2 min = 28 min,because system number 1 represents 10 min CTin adsorber number 1. Therefore, the timerequired to achieve a total 99% MB removal is Tmin, and the CTs in the first and secondadsorbers are t

1 and t

2 min, respectively:

T = t1 + t

2 (20)

t1 = 10 + (N-1) * 2min (21)

and the total batch operating time, T, is

T = 10 + (N-1) * 2 min + t2

(22)

Figure 10: CT of each stage in two-stage MB (initial

MB concentration 300 mg/L)

Similar graphs were obtained for differentinitial MB dye concentrations (such as 400mg/L,

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500mg/L). The total CT is calculated for eachsystem number, N = 1 to N = 21 (based on thefixed t

1 values), for 99% MB removal. The CT

values are plotted against the system number,N, as shown in Fig 10. Fig 10 shows acomparison of the time for 99% MB removal for

each stage and the total CT of the two stage batchadsorption process. Table 3 shows the CT foreach individual stage and the minimum total CTfor various initial dye concentrations removal inthe two stage process, evaluated from equation(19) for each system.

Table 3: Minimum contact time to achieve 99% MB removal

Adsorbent Two stage

adsorber

Initial MB

concentration

(mg/L)

System

no.

CT (min)

Stage 1

t1

Stage 2 t2

Total

t1+t2

Spent tea

leaves

99%

removal

300 5 18 10.1 28.1

400 7 22 13.9 35.9

500 9 26 17.5 43.5

From the design criteria, the percentage MB

removal by the adsorber system is defined as99%. In the two stage system in Table 3, threecalculations have been shown, namely, 300, 400and 500 mg/L initial MB concentrations. The totalCT, to achieve 99% MB removal can bedetermined based on the fixed CT assigned tostage 1, t

1. The data can then be plotted for the

26 systems at 99% MB removal for Stage 1,Stage 2 and Stage 1+ Stage 2 as shown by thethree curves in Fig. 10. The minimum CT for 99%MB removal can be found, using Eq. (19) or byplotting graphs analogous to Fig. 10. For 99%MB removal, the minimum CT is 28.1 min forused tea leaves as shown by system 5 with CTsof 18 min for Stage 1 and 10.1 min for Stage 2for initial MB concentration 300 mg/L.

If we plot the graph between 1st stage CT(t

1), 2nd stage CT (t

2) and total CT (t

1+t

2) for 99%

MB removal against different initial concentrationof MB by spent tea leaves, this gives linear trendslines with high correlations coefficient as shownin Fig.11. The initial MB concentration, where 2nd

stage CT cut the abscissa or concentrationcoordinate line, shows that below this initialconcentration of MB, there is no need of 2nd stageprocess. From the Fig. 11, this initial MBconcentration comes out to be 22 mg/L.

Fig. 11: CTs for different initial concentration of MB

dye for overall removal of 99%

CONCLUSION

The results show that the used tea leaves,an abundantly available waste, can be used forthe removal of MB from aqueous solution. Theequilibrium data were best fitted to linear modelsof Langmuir, with maximum monolayeradsorption capacity of 166.67 mg/g of used tealeaves at room temperature. The design modelpresented is based on a pseudo second-orderequation and this has been used for minimizingthe CT in a two stage crosscurrent system. Theminimum CT, to achieve 99% of MB removal fromwastewater by adsorption using a fixed mass ofused tea leaves has been predicted as 28.1 min(stage 1 = 18 min and stage 2 = 10.1 min). To


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obtain same removal in single stage processrequires more time for MB with respect to removalin two-stage process.

REFERENCE

1. Ahlman S. C., Groff K.A., Textile wastes, Res. J. WaterPollut. Control Federal 62 (1990) 473–478.

2. Bastaki N. A., Banat F., Combining ultrafiltration andadsorption on bentonite in a one-step process for thetreatment of colored waters, Resources, Conservationand Recycling 41 (2004) 103–113.

3. Batzias F.A., Sidiras D.K., Dye adsorption byprehydrolysed beech sawdust in batch and fixed-bedsystems, Bioresource Technology 98 (2007) 1208–1217

4. Bazodogan A., Goknil H., The removal of the color oftextile dyes in wastewater by the use of recycledcoagulant, MU Fen Billimeri Dergisi Sayi 4 (1987) 83–90.

5. Brower G.R., Reed G.D., Economical pre-treatment forcolor removal from textile dye wastes, Proceedings ofthe 41st Industrial Waste Conference, PurdueUniversity,West Lafayette, Indiana, 1985, p. 612.

6. Bulut E., Ozacar M., Sengil I. A., Equilibrium and kineticdata and process design for adsorption of Congo Redonto bentonite, Journal of Hazardous Materials 154(2008) 613–622.

7. Demirbas O., Alkan M., Dogan M., The removal ofvictoria blue from aqueous solution by adsorption on alow-cost material, Adsorption 8 (2002) 341–349.

8. Ding Z., Min C.W., Hui W.Q., A study on the use ofbipolar particles- electrode in the decolorization of dyingeffluents and its principle,Water Sci. Technol. 19 (1987)39–44.

9. Fan L., Zhou Y., Yang W., Chen G., Yang F.,Electrochemical degradation of aqueous solution ofAmaranth azo dye on ACF under potentiostatic model,Dyes Pigments 76 (2008) 440–446.

10. Ferrero F., Dye removal by low cost adsorbents:Hazelnut shells in comparison with wood sawdust,Journal of Hazardous Materials 142 (2007) 144–152.

11. Hamdaoui O., Saoudi F., Chiha M., Naffrechoux E.,Sorption of malachite green by a novel sorbent, deadleaves of plane tree: Equilibrium and kinetic modeling,Chemical Engineering Journal 143 (2008) 73–84.

12. Hameed B.H., Salman J.M., Ahmad A.L., Adsorptionisotherm and kinetic modeling of 2,4-D pesticide onactivated carbon derived from date stones, Journal ofHazardous Materials (2008).

13. Hameed B.H., Spent tea leaves: A new non-conventional and low-cost adsorbent for removal ofbasic dye from aqueous solutions, Journal of HazardousMaterials 161 (2009) 753–759.

14. Han R., Ding D., Xu Y., Zou W., Wang Y., Li Y., Zou L.,Use of rice husk for the adsorption of congo red fromaqueous solution in column mode, BioresourceTechnology 99 (2008) 2938–2946.

15. Ho Y.S., McKay G., A two-stage batch sorption

optimized design for dye removal to minimize contacttime, Trans. IchemE 76B (1998) 313–318.

16. Ho Y.S., McKay G., A multi-stage batch adsorptiondesign with experimental data, Adsorpt. Sci. Technol.17 (1999) 233–243.

17. Ho Y.S., McKay G., Batch sorber design usingequilibrium and contact time data for the removal oflead, Water Air Soil Pollut. 124 (2000) 141–153.

18. Kalderis D., Bethanis S., Paraskeva P., DiamadopoulosE., Production of activated carbon from bagasse andrice husk by a single-stage chemical activation methodat low retention times, Bioresource Technology 99(2008) 6809–6816.

19. Kumar K. V., Porkodi K., Batch adsorber design fordifferent solution volume/adsorbent mass ratios usingthe experimental equilibrium data with fixed solutionvolume/adsorbent mass ratio of malachite green ontoorange peel, Dyes and Pigments 74 (2007) 590-594.

20. Lee J.W., Choi S.P., Thiruvenkatachari R.,Shim,H.Moon W.G., Submerged microfiltrationmembrane coupled with alum coagulation/powderactivated carbon adsorption for complete decolorizationof reaction dye, Water Res. 40 (2006) 435–444.

21. Lin S.H., Juang R.S., Wang Y.H., Adsorption of aciddye from water onto pristine and acid-activated claysin fixed beds, Journal of Hazardous Materials B113(2004) 195–200.

22. Matheswaran M., Karunanithi T., Adsorption ofChrysoidine R by using fly ash in batch process, Journalof Hazardous Materials 145 (2007) 154–161.

23. Nowak K. M., Effect of flow conditions on ultra-filtrationefficiency of dye solutions and textile effluents,Desalination 71 (1989) 127–132.

24. Ozacar M., Adsorption of phosphate from aqueoussolution onto alunite, Chemosphere 51 (2003) 321–327.

25. Ozacar M., Sengil I.A., Adsorption of acid dyes fromaqueous solutions by calcined alunite and granularactivated carbon, Adsorption 8 (2002) 301–308.

26. Ozacar M., Sengil I.A., Adsorption of reactive dyes oncalcined alunite from aqueous solutions, J. Hazard.Mater. B98 (2003) 211–224.

27. Ozacar M., Sengil I. A., Equilibrium data and processdesign for adsorption of disperse dyes onto alunite,Environ. Geol. 45 (2004) 762–768.

28. Ozacar M., Sengil I. A., A two stage batch adsorberdesign for methylene blue removal to minimize contacttime, Journal of Environmental Management 80 (2006)372–379.

29. Ozer A., Ekiz H. I., Ozer D., Kutsal T., Aglar A. C., Astaged purification process to remove heavy metal ionsfrom wastewater using Rhizopus arrhizus, Proc.Biochem. 32 (1997) 319–326.

30. Pengthamkeerati P., Satapanajaru T., Singchan O.,Sorption of reactive dye from aqueous solution onbiomass fly ash, Journal of Hazardous Materials 153(2008) 1149–1156.

31. Shen Z., Wang W., Jia J., Ye J., Feng X., Peng A.,

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Degradation of dye solution by an activated carbon fiberelectrode electrolysis system, J. Hazard. Mater. B 84(2001) 107–116.

32. Shendrik O.R., Electro membrane removal of organicdyes from wastewater, Kimiyi Technol. Vody 11 (1989)467–472.

33. Sivaraj R., Namasivayam C., Kadirvelu K., Orange peelas an adsorbent in the removal of acid violet 17 (aciddye) from aqueous solutions, Waste Manage. 21 (2001)105–110.

34. Tan I.A.W., Ahmad A.L., Hameed B.H., Adsorptionisotherms, kinetics, thermodynamics, and desorptionstudies of 2,4,6-trichlorophenol on oil palm empty fruitbunch-based activated carbon, Journal of HazardousMaterials (2008).

35. Tseng R. L., Wu F. C., Analyzing a liquid–solid phasecountercurrent two- and three-stage adsorption processwith the Freundlich equation, Journal of HazardousMaterials 162 (2009) 237–248.

36. Wang A., Qu J., Ru J., Liu H., Ge J., Mineralization ofan azo dye Acid Red 14 by electro-Fenton’s reagentusing an activated fiber cathode, Dyes Pigments 65(2005) 227-233.

37. Wang M., Qu J., Ru J., Liu H., Ge J., Mineralization ofan azo dye Acid Red 14 by electro-Fenton’s reagentusing an activated fiber cathode, Dyes Pigments 65(2005) 227–233.

38. Wang S., Wu H., Environmental-benign utilisation offly ash as low-cost adsorbents, Journal of HazardousMaterials B136 (2006) 482–501.

39. Wong Y., Yu J., Laccase catalysed decolorisation ofsynthetic dyes, Water Res. 33 (1999) 3512–3520.

40. Wu F. C., Tseng R. L., Juang R.S., Adsorption of dyesand phenols from water on the activated carbonsprepared from corncob wastes, Environ. Technol. 22

(2001) 205–21


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PROBLEM ANALYSIS DIAGRAM DECLARATIONS OF

COMPILER TECHNIQUE

FOR APPLICATIONS OF C/C++ PROGRAMMING

ROHIT SAXENA1, DEEPAK SINGH1, *AMOD TIWARI2

1Rama Institute of Engineering and Technology, 2Bhabha Institute of Technology, Kanpur Dehat,

Kanpur, Uttar Pradesh ,India

*Address for correspondence: Dr. Amod Tiwari, Director- Professor , Bhabha Institute of Technology,Kanpur Dehat, Kanpur, Uttar Pradesh ,India,

e mail : [email protected]

ABSTRACT

Language transformation is challenged part of programming into runtime verification tools. Toincrease the idea during the writing concept that these runtime verification tools can be used fortesting realworld programs, the paper uses compiler technique, a subset of the C and C++programming language, which can be used to execute and test real programs. Compilertechnique is extended with threads and synchronization construction, and two concurrentsemantics are derived from its sequential semantics. First one is defining a sequentially consistentmemory model can be easily transformed into a runtime verification tool for checking dataraceand deadlock freeness. Second one is relatively minimal fashion a relaxed memory model. Thepaper increased the efficiency of the programming language like C and C++ for using aboveProgramming Analysis Design (PAD) technique.

Keywords: Pseudo-code, Structured programming chart, Top down analysis, Compiler tool.

INTRODUCTION

Problem analysis design (PAD) process ofusing formal definitions of programminglanguages as testing and analysis tools. Weargue here that variable K [7, 8] definitions can beused to test and analyze executions of programswritten concept in real-life languages eitherdirectly or by extending them to become runtimeanalysis tools.The rewriting logic representationof K definitions gives them access to the arsenalof generic tools for rewriting logic availablethrough the Maude rewrite engine [9] state spaceexploration. This collection of analysis tools isby itself enough to provide more informationabout the behaviors of a program than one wouldget by simply testing the program using aninterpreter or a compiler for that language.Nevertheless, the effort of defining thesemantics pays back in more than just one way:by relatively few alterations to the definitions, onecan use the same generic tools to obtain typecheckers and type inferencers [9], static policy

checking tools [10,11], runtime verification tools [13],

and even Hoare-like program verification tools.[12].

It is well known that several charts like NSchart [1], Jackson’s chart [2], and Problem AnalysisDiagram (PAD) [3] are much more effective toteach structured programming than a classicalflow chart, since each stepwise refinementprocess by top down should be eitherconcatenation, selection or repetition. EspeciallyPAD is suitable to describe complicated programsdirectly. However, these charts do not containdeclaration. It is important in object orientedprogramming to see how classes are declared.Then we propose a modified PAD includingdeclaration.

INSERTING DECLARATION

In order to introduce PAD, consider thefollowing C program containing pseudo-codeswhich finds the maximum and the secondmaximum number from ten input numbers.

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//Program 1#include <stdio.h>

int main(){int x[10],x1,x2;<* input x *><* (x1, x2) from (x[0], x[1]) *>for(i=2; i<10; i++)

<* (x1, x2) from (x1, x2, x[i]) *><* output x1, x2 *> return 0;

}<* (x1, x2) from (x[0], x[1]) *>:={

if(x[0]<x[1]){x1=x[1]; x2=x[0];}else {x1=x[0]; x2=x[1];}

}<* (x1, x2) from (x1, x2, x[i]) *>:={

if(x2<x[i]){x2=x1; x1=x[i];}else if(x1<x[i]){x1=x[0];}

}

The corresponding PAD is shown in Figure 1,where B1= {x1=x[1]; x2=x[0];}, etc.

Figure 1: Problem analysis diagram of Program 1

In Figure 1, declarations are not containedin PAD. In order to discuss how to includedeclaration in a structured programming chart,consider the following program.

//Program 2#include <stdio.h>int sum(int u, int v){return u+v;}void add(int* p, int* q){*p += *q;}

int main(){int x,y; <* input x,y *>add(x, y);<* output x,sum(&x,&y) *> return 0;

}

There are some design policies of thecompiler program using with application of C andC++, All of the necessary information is included,Declaration blocks are not similar to execution

blocks, Pseudo-codes are explicitly distinguishedand Easy to draw with popular application software,we propose a chart as shown in Figure 3.

Figure 2: Declaration and definition of Program

Figure 3: A class and its member function

Figure 4: A derived class and its constructor

The chart of derived classes is shown inFigure 5.A sample of member functions isphasor::sequence (FILE*) which outputs the time-sequence of the sinusoidal wave.

Figure 5 shows a declaration of a class cmpl and the

definition of its member function add (cmpl*).


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EFFECT OF MODIFICATION

The advantage to use a chart compared witha colored text is reduction of reserved words asshown in fig. 5, which implies large characterscan be used in a lecture using MS Power Pointslides.

Figure 6: Effect of eliminating reserved words

Although PAD is a compact expression ofan algorithm as shown in Figures 1 and 5,alternative expression in Figure 6 is morecompact and easy to draw, since every chart canbe drawn by superposing polylines on a uniformlyspaced plain text.

Remark <* input x *> in Program 1represents each x[i](0 <= i < 10) should be filledby an integer using a certain method. Anexample of specified input/output is shown inFigure 7 which correspond to <* input (fscn): x*> and <* printf (“%8d\n”): x1, x2 *>.

Figure 7: Alternatives for compound statements

chart with error

Figure 8: Alternatives for compound statements

code

Figure 9: An example of input and output for

Program

CONCLUSION

We have shown how K definitions ofprogramming languages can be turned (withnegligible effort) into runtime analysis tools fortesting and analyzing executions of concurrentprograms. We do not claim here that the toolsone obtains almost for free within the Kframework completely eliminate the need ofwriting dedicated analysis tools in “real”programming languages. The proposed chart isan object oriented programming chart rather thana structured programming chart i.e. (C ,C++).Since reserved words are reduced in such achart, it is easier than a colored text to see howthe algorithm is implemented.

REFERENCES

1. Weiss, E. H., Visualizing a Procedure with Nassi-Schneiderman Charts. Journal of Technical Writingand Communication 1990 ; 20(3) : 237-254.

2. h t t p : / / w w w . c b u . e d u / ~ l s c h m i t t / I 3 5 1 /Nassi%20Schneiderman.htm (Mark Kelly, StructuredDesign with Nassi-Schneiderman Charts)

3. Jackson, M. A., Principle of Program Design,Academic Press, 1975.

4. http://www.informingscience.org/proceedings/IS2003Proceedings/docs/091Ourus.pdf (N. Ourusoff,Using Jackson Structured Programming (JSP) andJackson Workbench to Teach Program Design)

5. Futamuta, Y., Kawai, T., Tsutsumi, M., and Horikoshi,

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H., Development of computer programs by ProblemAnalysis Diagram (PAD). In the Proc. 5th Int’l Conf.on Software Engineering, New York, IEEE ComputerSoc., 1981, pp.325-332.

6. http://fi.ftmr.info/PapersToRead/PAD-JARECT.PDF (Y.Futamura and T. Kawai, Problem Analysis diagram)

7. Rosu G. K Overview and SIMPLE Case Study.Electronic Notes in Theoretical Computer Science.2014; 304: 3–56.

8. Rosu, G. and T. F. Serbanuta. An overview of the Ksemantic framework. Journal of Logic and AlgebraicProgramming 2010 ; 79: 397–434.

9. Clavel, M., F. Durán, S. Eker, J. Meseguer, P. Lincoln,N. Martí-Oliet and C. Talcott. All About Maude, A High-Performance Logical Framework, LNCS 4350,Springer, 2007.

10. Hills, M., F. Chen and G. Rosu , A rewriting logicapproach to static checking of units of measurementin C, in: RULE’08, 2008, pp. 76–91, Tech. Rep. IAI-TR-08-02, Institut für Informatik III, RheinischeFriedrich-Wilhelm-Universität Bonn.

11. Hills, M. and G. Rosu, A rewriting logic semanticsapproach to modular program analysis, in: RTA’10,LIPIcs 6 (2010), pp. 151–160.

12. Rosu, G., C. Ellison and W. Schulte, Matching logic:An alternative to Hoare/Floyd logic, in: AMAST ’10,LNCS 6486, 2010, pp. 142–162.

13. Rosu, Runtime veriûcation of C memory safety, in:

RV’09, LNCS 5779, 2009, pp. 132–152.


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A HIGH FIDELITY VERSION OF A THREE PHASE INDUCTION

MOTOR MODEL USING MATLAB/SIMULINKS

HARISH KUMAR MISHRA1, *ANURAG TRIPATHI2

1Research Scholar, Sai Nath University, Ranchi, India, 2Department of Electrical Engineering,

Institute of Engineering & Technology,

Sitapur Road, Lucknow, Uttar Pradesh, India

*Address for correspondence : Dr. Anurag Tripathi , Assistant Professor, Deptt. of Electrical Engineering,Institute of Engineering & Technology, Sitapur Road, Lucknow, Uttar Pradesh, India ,


ABSTRACT

For a long time, purely electric locomotives fed from an overhead electric supply utilized DCseries motors to propel them. As the running cost involved is high and also the frequentmaintenance (both scheduled as well as the breakdown) is required, the need for an integratedself contained system had become obvious and this led to the concept of a diesel electriclocomotive. It was also thought that since there is a rapid augmentation in the field of powerelectronic converters both in terms of the current carrying capabilities as well as the overallpower handling capacities, it would be prudent to utilize the three phase induction motor drivein the locomotives. A great amount of work is being done on the improvement of control throughsimulation of the electric drives used for various high-power traction purposes. The legitimacyof the simulated results is based on the accurate modelling of the various parts of the electricdrive system. Three–phase Induction motors form an extremely important part of the modernday electric drive system and their usage is continuously on a rise owing to their inherentproperties of ruggedness, minimum maintenance requirements and continually increasingefficiencies. Usually the three-phase induction motor model used in various research worksdoes not integrate stator and rotor core losses, stator and rotor stray load losses and magnetizingsaturation and rotor conductor skin effects. The present paper aims at developing a three-phase induction motor model taking the above losses and effects into account. The dynamiclinking of the model to a thermal model considering the temperature dependent resistive elementsis an added feature. The motor model described in this paper is the extension of the conventional2-phase lumped-parameter induction motor model. The biggest advantage is that the model isuser-programmable in MATLAB environment and can be used for system level transient studies.The simulation results of the developed model, with various parameter variations taken intoaccount and subjected to sudden changes in load, show better torque and speed performancesof the motor both in steady state and dynamic conditions.

Keywords: Mathematical modelling, AC propulsion system, Three phase induction motor drive.

INTRODUCTION

System Description

A simplified schematic of the AC propulsionsystem is shown below in fig 1.1. The Dieselengine drives the alternator that has multiplestator (secondary) windings that generates powerfor traction, field excitation and also for theauxiliaries. The ‘locomotive propulsion system’considered for modeling and simulation for the

stated purpose comprises Traction Alternator,Diode Rectifier, Voltage Source Inverters, 3-phase induction machines. The Diesel enginedrives the alternator that has multiple stator(secondary) windings that generates power fortraction, field excitation and also for theauxiliaries. For the purpose of this report, onlythe traction power is considered. A 3-phase dioderectifier with a DC link capacitor rectifies thispower. This forms the source for the 6 Voltage

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Source Inverters that supply controlled power tothe 6 induction machines driving 6 axles of a

locomotive.

Figure 1.1: Schematic of the AC propulsion system.

Six inverter-motor drives run the six axlesof the locomotive , simplified mechanical load isconnected to each motor. The propulsioncontroller controls the inverters and also the fieldcontrol rectifier of the alternator.

The model is systematically developed inMATLAB/ SIMULINK and tested at each stage.This is presented in the following sections. Finally,the integrated model representing the ACpropulsion system is also presented. The modelis user-programmable in MATLAB and can beused for system level transient studies.

The model is a detailed transient electricalmodel [1] based on the conventional two-axislumped parameter d-q equivalent circuit of theinduction machine. Extensions of theconventional motor model include: stator androtor core loss, stator and rotor stray load loss,magnetizing saturation and rotor conductor skineffects. The electrical model can be dynamicallylinked to a thermal model to add temperaturedependencies of all resistive elements.

MODEL FEATURES AND ASSUMPTIONS

The motor models described in this paperare extensions of the conventional 2-phase (d-q) lumped-parameter induction motor model. Thefollowing features are included in the modelsdescribed in this paper:

1. Transient and dynamic multi-reference framemodel

2. Skin effects: 3-Z rotor circuit in rotor frame,rr1, Llr1, rr2, Llr2

3. Main path (magnetizing) saturation withspatial dependency

4. Separate stator and rotor core loss consistingof iron eddy, hysteresis, and copper eddylosses.

5. Temperature dependencies on all resistiveelements

6. Stator stray load loss

7. Friction and wind age loss

NOMENCLATURE AND REFERENCEFRAMES

To facilitate the correct modeling of machinefeatures, such as rotor conductor skin effects,the model is implemented in multiple referenceframes. The following nomenclature is utilizedto distinguish reference frame:

In the development of each motor model,the machine equations are initially derived incomplex vector notation, where

sds

sqs

sqds fjf −=f

Superscripts denote the frame of reference; e.g.,

sds

sqs

sqds fjf −=f Þ Stator (stationary) frame


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rds

rqs

rqds fjf −=f Þ Physical rotor frame (¹ rotor

flux frame)

mds

mqs

mqds fjf −=f Þ Magnetizing (air gap flux)

frame

The direction of vector rotations is as shown infig 1.2.

Fig1.2: Reference direction for vectors

Reference frame transformations in complexvector notation are:

mmj je m θθθ sincos −=−

mmj je m θθθ sincos +=

The variable p is defined as the derivative

operator; i.e.

Frame Transformation Equations: Due tothe presence of multiple reference frames, thefollowing transformation equations are required:

Flux:

Current:

TRANSIENT MODEL WITH INTERNAL COREAND STATOR STRAY LOAD LOSS

Equivalent Circuit

Figure 1.3: Equivalent circuit in complex vector notation with internal core and stator stray load loss

The equivalent circuit of the motor electrical model is shown in fig. 1.3 in complex vector notation, andin Figure 1.4 in real variable notation.

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State Variables

The following complex state variables are chosen

for formulation of the motor model equations:

=stator flux in stator frame

=magnetizing flux in stator frame

=rotor flux in rotor frame

=rotor leakage flux component in rotor frame

=rotor leakage flux component in rotor frame

Note that the magnetizing core loss addsone additional complex state, and rotor skineffects at two additional complex states.

Voltage Equations

Each state variable defined in Section 0 canbe described by a voltage equation in the formof an ordinary differential equation as follows:

Stator Voltage:

Air Gap Voltage:

Rotor Voltages:

Flux Equations

In addition to the voltage equations, fluxlinkage equations can be written for each statevariable as follows:

Stator Flux:

Air Gap Flux:

Rotor Flux:

Figure 1.4:

Equivalent circuit in real variable notation with internal core and stator stray load loss


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Node (Current) Equations

The following node equations relating the

currents can be written:

Equation Solution - Complex Variable

Notation

Currents via Flux Equations

Rewriting equations to solve for currents:

Currents via Node Equations:

Equation Summary for Solution

The above equations are now summarizedin order for solution in complex and in realvariable notation.

Complex Variable Notation

From the above solutions, the motor modelequations can be solved in the following order:

Solve for currents given fluxes:

(Reference frame transformations not listed)

Solve for state derivatives:

Equation Solution - Real Variable Notation

The complete solution procedure at eachintegration time step in real variable notation withreference frame transformations and saturableinductances is as follows:

Transform reference frames:

Updated saturable d-axis magnetizing

inductance:

Solve for Currents:

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Updated saturable component of rotor leakage

inductance:

Transform reference frames:

Locate magnetizing reference frame:

INDUCTION MACHINE MODEL

The machine model in MATLAB environmentis built using the above discussed equations andis shown in fig. 1.5.

Figure 1.5: MATLAB/SIMULINK model of theinduction machine with features listed in Section 2.

The top-level block is shown at the top left corner.

STEADY STATE PERFORMANCECOMPARED AGAINST PUBLISHED RESULTS

As a first step, the transient machine modelbuilt in MATLAB/SIMULINK was checked to workfor steady state. For this purpose, the model wastested on cases shown in the text ‘Analysis ofElectrical Machinery’, Paul Kraus and the resultswere found to match.

The model was fed with the steady state

equivalent circuit parameters. The machine wassupplied with pure sine wave 3 phase voltages.The torque and current values obtained byrunning the model for the operating point definedby the voltage, frequency and speed arecompared with that obtained by simplecalculation in the table below. This was repeatedfor all the four 4-pole machines. The followingcharts show the waveforms obtained for 2250hp machine.


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The initial decaying transients seen in theelectromagnetic torque developed are due to thetransient offset in the stator currents. Thetransient offset depends upon the values of thesource voltages at the time of application. Forthe case of steady state evaluation run that wasattempted here, these transients can be regardedas simulation transients. The steady state valuesseen on these charts are also tabulated above.

The model was given pure sine-wave 3phase voltages. The results obtained from themodel were compared with those given in thetext ‘Analysis of Electrical Machinery’, Paul Krausand were found to match.

CONCLUSION

The swift control of torque in ac drives hasalways been a topic of investigation despite ofits preference over dc drives in industry. Theinduction machine model developed in this papershows better torque and speed response duringboth the steady state and dynamic conditionseven with the incorporation of effects of variousparameters like rotor skin effects, temperaturedependent resistive elements and magneticsaturation. The model also takes into accountstator and rotor core losses including the ironhysteresis loss, iron eddy current loss and coppereddy current loss. Some features viz. saturationof stator leakage inductance due to stator flux,temperature dependency on skin depth andwinding and saturation spatial harmonics that arenot incorporated in the model, if pursued, may

form the future work and the model can furtherbe improved for its application in high powerapplications.

REFERENCES

1. P.L. Jansen, Y.Liao, Y. Zhao, J. Law “DetailedTransient Electrical Model for Polyphase InductionMachines”, Report, 1997.

2. Y.-K. He, T.A. Lipo, “Computer Simulation of anInduction Machine with Spatially DependentSaturation”, IEEE-PAS Trans., Vol. PAS-103, No.4, April 1984, pp. 707-714.

3. J. Moreira, T.A. Lipo, “Modeling of Saturated ACMachines Including Airgap Flux HarmonicComponents”, Proc. of IEEE-IAS Annual Meeting,Oct. 1990.

4. P.L. Cochran, Polyphase Induction Motors -Analysis, Design, and Application, Marcel Dekker,Inc., 1989.

5. M.R. Udayagiri, T.A. Lipo, “Simulation of InverterFed Induction Motors Including Core Losses”,Proc. IEEE Industrial Electronics Conference,Sept. 1989, pp. 232-237.

6. J.M.D. Murphy, V.B. Honsinger, “EfficiencyOptimization of Inverter-Fed Induction MotorDrives”, Proc. IEEE-IAS Annual Meeting, 1982,pp. 544-552.

7. J.-W. Choi, D.-W. Chung, S.-K. Sul,“Implementation of Field Oriented InductionMachine Considering Iron Losses”, APEC, 1996,pp. 375-379.

8. E.Levi, “Impact of Iron Loss on Behaviour of VectorControlled Induction Machines”, Proc. of IEEE-IASAnnual Meeting, 1994, pp. 74-80.

9. N. Retiere, D. Roye, P. Mannevy, “ Vector basedInvestigation of Induction Motor Drive underinverter fault operations”, IEEE, 1997, pp. 1288-1294.

S.No Machine Details

r1 Xl1 Xm Xl2' r2' calculation model calculation model

1 3hp, 220V , 1710RPM 0.435 0.754 26.13 0.754 0.816 14.02 14.00 8.84 8.79

2 50hp,460V ,1705RPM 0.087 0.302 13.08 0.302 0.228 234.60 234.55 62.80 62.80

3 500hp,2300V ,1773RPM 0.262 1.206 54.02 1.206 0.187 1999.40 2000.00 105.21 105.10

4 2250hp,2300,1786RPM 0.029 0.226 13.04 0.226 0.022 9173.50 9170.50 469.56 469.45

Parameters Torque (Nm) Stator Current (A )

Figure 1.6: Torque and Current-Steady State validation for 2250 hp machine.

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GREEN WALL: A METHODOLOGY FOR SUSTAINABLE

DEVELOPMENT USING GREEN COMPUTING

ANKIT KUMAR SRIVASTAVA, *NEERAJ KUMAR TIWARI, BINEET KUMAR GUPTA

Department of Computer Science and Engineering, Shri Ramswaroop Memorial University,

Lucknow-Deva Road,

Hadauri, Tindola, Barabanki, Uttar Pradesh, India

*Address for Correspondence : Dr. Neeraj Kumar Tiwari, Assistant Professor ,Department of ComputerScience & Engineering, Shri Ramswaroop Memorial University, Lucknow-Deva Road, Hadauri, Tindola,

Barabanki, Uttar Pradesh, India,email: [email protected], [email protected]/

ABSTRACT

The modern computing has been a blessing to all human beings and exponential advancementof these technologies has been created a big issue regarding with the environment. The aim ofthe green wall methodology in sustainable development is to overcome the environmentaldamage causing by the development of technologies and process of informatization from thebeginning phase. Our study has trends of “green wall” that can be considered as a methodologyfor sustainable development. In this paper, sustainable development qualities such as entourageeffect, curtailment, social impact and performance are described well and whether these qualitiescan be adopted in software engineering. Further, we tried approaching to develop the greenand sustainable software that may contain low cost and low energy consumption duringdevelopment process and how environmental risk can be minimized.

Keywords: Sustainable software development, Green computing, ICT.

INTRODUCTION

The modern computing technology hasbeen a blessing to all human beings andexponential advancement of these technologieshas been created a big issue regarding theenvironment. With the development oftechnology and the process of informatization,various types of computer systems have beenwidely used. Whenever computers are discussedit is generally with reference to operational powermanagement, rather than how IT can help abusiness as well as achieve its environmentalgoals [1]. The environmental damage can beovercome by adopting green computing becauseby the help of green computing, technology canbe developed in a sustainable way. Developmentin sustainable way means usage of optimizedmaterial flows or to substitute material productswith their virtual counterparts, which reduceenergy and resource consumption [2]. From thepast decade to the present generation, ICT whichis also called as information and communicationtechnology adopting the approaches of green

computing so that we can reduce the cost andpower consumption of IT system and maximizeenergy efficiency during the system’s lifetime.“THE GREEN WALL Model” is a model fordeveloping green and sustainable software andcomputing approach that addresses both thequalities of sustainable software and profiling ofenergy consumption.

BACKGROUND

Until now, there are many publicationsavailable discussing the relationship betweensustainable development and green computing.David Tebbutt [1] describes the green computing,according to that simplistic view the Green IT isabout power management and recycling. StefanNaumann [2] described the model known asGreen soft Model that contains the product lifecycle model for software products that helps indeveloping the sustainable software. Sarah [3]

introduces the very technologies that help incarbon free computing such as via technologiesand the advantages of green computing in human


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l ife. Anderberg [4] relates the industrialdevelopment process with environmentalproblems and solutions. These problems arerelated with the industrial development andsolutions of these problems have been describedby sustainable computing which means a way ofdevelopment in which resources are used andmanaged in such way that new product will besuitable for nature and also helpful for future use.The concept of Green Computing system isoriginated by reviewing the approaches of theGreen Computing [5]. The study reveals that thereis a way that can suppress the worseningproblem about misuse and abuse in the use ofthe computing resources [6]. Four aspects:hardware design, software technology, virtualmachine are the strategies of green energysaving for cloud computing platform manager andnetwork environment [7].


This research design gives a briefintroduction to the new and the budding conceptof Green Computing and Green IT for developingthe sustainable software and qualities ofsustainable development. These qualities will bedivided into four subcategories as shown inFigure 1. The detailed explanation of sustainabledevelopment qualities are:

Entourage effect: The entourage effectword means environmental effect and thesustainable development poses the quality of lowenvironment effect. Environmental sustainabilitydemands that developing designs activities tomeet human needs while indefinitely preservingthe life support systems of the planet [8].

Bionomious impact: The sustainabledevelopment result us a bionomious effect in apositive way. Bionomious effect means the effecton the ecology and due to the sustainabledevelopment we are creating fully recyclableproducts, reducing pollution, proposingalternative technologies in various fields, andcreating a center of economic activity aroundtechnologies that benefit the environment [3].

Pernicious effect: The sustainabledevelopment also results low pernicioustivity orvery low or zero toxicity. By sustainabledevelopment we are building materials and

studying chemical processes to reduce the useand generation of hazardous substances forexample use of toxic materials like lead can bereplaced by silver and copper making recyclingof computers more effectively [10] and that will notgenerate any toxic agent.

Low vitiation: Due to sustainabledevelopment the problem of vitiation or pollutionis also reduced. By this vision, the organizationshave been focusing on power efficiencythroughout the design and manufacturingprocess of its products and their environmentalfriendly products are manufactured using a rangeof green-computing strategies, such as replacingpetroleum-filled plastic by bio-plastics or plant-based polymers [4].

Extravagance: Sustainable developmentfocuses on sustainable use of materials and hastargeted the idea of dematerialization, convertingthe linear path of materials that reuses materials[4].

Use renewable energy: Sustainabledevelopment encourages the usage ofrenewable energy sources resulting in the low-carbon energy , which is sustainable only in thesense that it does not add to CO

2 or any

hazardous matter in the atmosphere such asintroducing VIA technologies (carbon freecomputing) [3].

Curtailment: The curtailment meanseconomy. Sustainable development is also verybeneficial in the economic point of view. By thehelp of sustainable development we can reducethe overall development cost of the product.

Low elementary cost: In the sustainabledevelopment the elementary cost or initial costof the product is very low because we use suchresources which are cheaper and easily availablesuch as we use pre developed product forguidance.

Less raw material cost: In the sustainabledevelopment the cost of raw material is very lowbecause we use the green material as the rawmaterial e.g. for electricity and heating we canuse solar panel or solar thermal equipments [3].

Low ontogeny: The sustainabledevelopment also contains the low ontogeny

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because the overall development cost will be lowdue to using green resources.

Low breakdown cost: Due to sustainabledevelopment process the disposal cost of anyproduct becomes very low because discardingwill not only control e-waste out of dumps butalso save energy and materials needed for awhole new computer [10].

Social impact: The sustainabledevelopment has the positive social impact onthe surroundings. This impact can be explainedby following:

Inclinated: Sustainable development isinclinated means of motivation. It encourageshow to find the new ways and techniques ofenergy consumption and resource efficiency, forexample EPA produced an energy star plan forreduced energy consumption [5].

Use provincial material: Sustainabledevelopment also focuses on the use of localmaterial because by use of local material theproduct becomes cheaper and easy to bedeveloped, for example we can use wirelesssensor networks for monitoring [10].

Less use of energy: Sustainabledevelopment also helps in the less energyconsumption, for example use of green cloudcomputing environment.

Safe and secure: Sustainable developmentis safe and secure because it has no side effectsand has only positive effects [6].

Externalize energy: The embodied energyin sustainable development is very low [7].

Performance: The performance of theproduct is increased via following way: Ease tobuild: Product becomes easy to build becausethe every objective becomes clear.

Long life: The product life increases due toincluding updating options, for example by usinga NCP technology the network got the long life.

Use of green energy sources: Sustainabledevelopment focuses on the usage of greenenergy source [10].

Less chance to decay: The productdeveloped has less chance to decay [2].

Sustainable development also helps in timesaving and money saving during the productbuilding so that high performance can be

achieved.

PROPOSED MODEL

Figure 1: Sustainable development qualities

Figure 2: Green wall model

This model is a conceptual reference modelfor sustainable development and for supportingthe green development. The purpose is to definethe environmentally suitable infrastructure andthe usage of computer equipments and internettechnologies for the developers, controllers andthe users of the systems, so that the energy


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efficient processing and reduced resourceconsumption as well as the disposal of the ITwaste (e-waste) done in a proper manner. Thismodel contains six basic phases of development:Requirement collection, Analytical summariz-ation, Design, Processing, Testing, andMaintenance, which are briefly explained inFigure 2.

Green wall model

In this green wall, which works like a firewalland focuses majorly on the information flowingfrom one phase to another phase duringdevelopment whether the past information isfeasible for sustainable development or not? Thegreen wall works in the following way:

On requirement collection: Requirementcollection takes place then all requirements arepassed to analysis phase. The requirements ordata will be filtered by green wall and suchrequirements, which have the negative impacton ecology and users, will be discarded forexample excess use of raw material.

On analytical summarization: In this phasethe green wall works in such way, suppose anyanalyzed requirement that contains a bad resultsuch as resultant is a toxic element which eitherwill be changed or replaced by non toxic elementor will be discarded for example any requirementresults lead in its product then if it can replacedby other polymers or materials such as silver thenthat will be replaced by that otherwise it will bediscarded.

On Design: On this phase it checks thatdeveloped design is compatible to ecologicalsystem and ensures that overall developmentcost of the particular product must be low.

On processing phase: On processing phase,the green wall filters the developed product byensuring that the developed product must be safeand secure and checks whether the product ismotivated or not.

On testing phase: On the testing phase, thegreen wall covers the parameters of social impactand performance such as the creation of vitiation(pollution) by that product, if it is very high then itwill be justified and ensures that the developedproduct must have long life or chance to decay.

On maintenance phase: On maintenancephase if any maintenance is needed then theneed of that maintenance will be filtered by greenwall . If that is not feasible according to the fourparameters of sustainable development qualitiesthen that need will be discarded or if that issuitable then the maintenance will be done.

Advantages of green wall model

The advantages of adopting green wallmethodology are (1) it promotes green IT andgreen computing (2) It encourages IT reuse andreduces IT complexity.

DISCUSSION AND CONCLUSIONS

The main objective of our proposed GREENWALL ( GW ) MODEL is to inherit the concept,procedure and phenomena of green computingduring the development process of software aswell as hardware. GW model may play as a roleof reference model in order to protect andenhance natural capital. It may also promoteresource efficiency and may develop product lifecycle for developer, administrators and users.Additionally, this model also suggests how wecan make the product in more sustainable way.Consequently, at first we have described thequalities of sustainable development. We showedthat if we involved these qualities during theproduct engineering then we can develop thesoftware in the sustainable direction. This GWModel offers a number of benefits over existingmodel for the sustainable development. Firstly,it configures the product in such a way that isbeneficial for the environment also. Secondly, itis a new methodology that offers technique forbetter utilization of resources and powerconsumption. So, in above discussion regardingthe sustainable product we can say that our greenwall model helps to develop the sustainablesoftware product that may reduce theenvironmental risk.

ACKNOWLEDGEMENTS

We are thankful to Prof. Vinodani Katiyar,Dean, Faculty of Computer Science &Engineering, Shri Ramswaroop MemorialUniversity ,Lucknow-Deva Road, Hadauri,Tindola, Barabanki, Uttar Pradesh, India for hercontinued motivation and support to completethis study.

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REFERENCES

1. Tebbutt, D.: The role of IT in the push towardsenvironmental sustainability. Green ComputingReport (2008).

2. Naumann, S., Dick, M., Kem, E., Johan, T.: TheGREENSOFT Model: A reference model for greenand sustainable software and its engineering.Sustainable Computing: Informatics and Systems.Vol. 1, Issue 4, pp 294—304 (2011).

3. Harris, J.: Green computing and green IT bestpractices On Regulations and Industry Initiatives,Virtualization, Power Management, MaterialsRecycling and Telecommuting. Emereo Pty Ltd,London (2008).

4. Zhang, X.: Gong, L., Li, J.: Research on GreenComputing Evaluation System and Method. 7thIEEE Conference on Industrial Electronics andApplications (ICIEA) (2012).

5. Partidario, Rita C.: Gomes Ecosystem servicesinclusive strategic environmental assessmentOriginal Research Article. Environmental ImpactAssessment Review, 40, pp.36-46April (2013).

6. Kamdar, R.M.: Literature Review: GreenComputing – Implementation Procedures forEnergy Efficiency. Department of Biotechnology,Indian Institute of Technology, Kharagpur (2010)

7. Gingichashvili S.: Green Technology. GreenComputing (2007).

8. Yamini, R.: Power Management in CloudComputing Using Green Algorithm. IEEE-International Conference on Advances inEngineering, Science and Management (ICAESM-2012).

9. Gong, L., Xie, J., Li, X., Deng, B.: Study on EnergySaving Strategy and Evaluation Method of GreenCloud Computing System. IEEE (2013).

10. Anderberg: Industrial metabolism and linkagesbetween economics, ethics, and the environment.Ecological Economics, pp 311—320 (1998). MariaRosario


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BIOCONTROL : AN OVERVIEW

KALPANA SINGH*

Department of Zoology, University of Lucknow,

Lucknow, Uttar Pradesh, India

*Address for Correspondence : Dr. Kalpana Singh, Assistant Professor, Department of Zoology,University of Lucknow, Lucknow, Uttar Pradesh, India

email- [email protected]

ABSTRACT

Agriculture constitutes one of the most important sectors of any economy. Sustenance of 45%of world’s population depends on agriculture only. The proportion of population involved inagriculture ranges from about 2% in United States to 80% in some parts of Asia and Africa. InAsia, Indian economy is concentrated around agriculture mostly where about 72% of populationis engaged in agriculture. Every year huge losses occur in agricultural production due to variousclimatic and biotic factors. Of biotic factors, pests alone are responsible to cause major damageto agriculture thus affecting total harvest. They continue destroying agricultural produce evenafter harvesting when it is stored in storages. Generally chemical pesticides have been in useto suppress pest populations. These provide immediate relief but have proved to be hazardousin long run. Their indiscriminate and continuous use has resulted in immeasurable deteriorationof our environment and health problems to secondary and tertiary members of food chain dueto bioaccumulation. Thus there is a need for effective eco-friendly alternative that should alsobe cost-effective. Biological control or bio-control is one such option that involves manipulationwithin the ecosystem by the agency of man to suppress harmful species by a superior andbeneficial one. This process goes on in nature as ‘natural control’ where one animal feeds onanother thereby keeping its population under check. Biological control may be of two types;natural biological control and applied biological control. Applied biological control is furtherclassified into five subcategories, classical biological control, new-association biological control,conservation biological control, augmentation biological control, and bio-pesticides. Out of theseclassical and new-association biological control is for permanent control over large areas whereasconservation and augmentation biological control and bio-pesticides is for temporary pestsuppression.Biological control is likely to be more successful in long-term rather than short-term crops, vegetables rather than ornamentals, crops having few pests other than the onetargeted for biological control, crops in which the target pest does not attack the part of the plantthat is sold, crops in which the targeted pest does not transmit plant diseases, and well-screenedgreen houses in regions with cold winters.The biological control is used on 5% (excluding China)of 40,000 ha of greenhouses worldwide, in vegetable crops-30,000 ha mostly in north temperateareas, on 1000 ha of ornamental crops and a small amount of warm-region vegetable crops.The number of natural enemies reared commercially has increased from one in 1968 to morethan 100 by 2006.There are many advantages of biological control as it is eco-friendly, costeffective, self-perpetuating and bereft with harmful effect of pesticides. Disadvantages are : it isspecies specific, takes long time and alone cannot be effective if applied in large agriculturalfields.

Key words: Bio-control, Agriculture, Eco-friendly, Bio-pesticides

INTRODUCTION

In many countries agriculture constitutes oneof the most important sectors of its economy. Ourbasic need of food and clothing are almost

entirely dependent on agriculture sector. 45% ofworld’s population depends on agriculture for itssustenance. The proportion of populationinvolved in agriculture ranges from about 2% in

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United States to 80% in some parts of Asia andAfrica. In India about 72% of population isengaged in agriculture and Indian economy isconcentrated around agriculture mostly (Internet1).

Huge losses occur in agricultural productiondue to various climatic and biotic factors everyyear. Of all the biotic factors, pests alone areresponsible to cause major damage to agricultureand affect total harvest. Pests continue to destroyagricultural produce even after harvesting whenit is stored in store houses. Chemical pesticideshave been in use to suppress pest populationsin general. They provide immediate relief buthave proved to be hazardous in long run. Theirindiscriminate and continuous use has resultedin immeasurable deterioration of our environmentand health problems.They cause irreparabledamage to secondary and tertiary members offood chain due to bioaccumulation. They also addto and cause environmental pollution thusdamaging our ecosystem. Therefore, there is aneed for effective eco-friendly alternative thatshould also be cost-effective (Smith & Secoy1975) .

Pest is an living organism whose populationincreases to such an extent so as to causeeconomic damage to crops and stored products,causes nuisance and health hazards to an andhis livestock. They may be of three types, keypests, occasional pests or potential pestsdepending upon whether their population is keptunder control naturally or not. Most pests thatwe encounter are mostly insects. Insects haveexisted on this earth for over 200 million years incomparison to man’s existence of half a millionago. Many ancient accounts are available inwriting. Rig veda, in its hymns mentions graindestroying insects. Bible lists at least 11 insectpests. Dead human lice are discovered in thehair of Egyptian mummies. Many ancient lettersand travelogues mentioned insect pests in theirwritings (Srivastava, 2008).

When man became civilized it settled downaround rivers and started to cultivate crops. Heformed societies and started to domesticateanimals and large scale breeding of livestock.He started to store grains that come out due tothe large scale cultivation of crops. All thesefactors favored insects to turn into pests.

Whenever there are favorable weatherconditions, large scale monoculture of crops orof stock animals and accidental introduction ofan insect by travelers or transport into a new areaor country, the pest outbreak occurs. Manymethods have been adopted to minimize theseinsect pests. Cultural methods, mechanicalmethod, physical methods and legal control aresome general methods. Special methods suchas use of insecticides, antifeedents, insectattractants and insect repellents are alsoadopted. Some more are biological control,bahavioural control, hormonal control,chemosterilents, genetic methods, and use ofradioactive isotopes and ionizing radiations(Srivastava, 2008).

Among all these methods biological controlis now receiving the attention the world overspecially in USA, Canada and some part of theEurope because of its eco-friendliness. Biologicalcontrol or bio-control is the method of controllingpests whether of plants, animals or man byexposing them to their natural enemies by theagency of man. The natural enemies are alsoknown as biological control agents. They arefundamental resource in any biological program.They may either be pathogen, parasite, parasitoidor predator. Pathogens are disease causingorganisms. They may be bacteria, virus, algae,protozoa or rickettsiae. Parasites are smaller thanhost. Both adult and larvae feed without killing.They may be nocturnal or diurnal. They must beable to function at low host density. They are veryefficient as biocontrol agents. Parasitoids are ofsame size as that of host. Only their larvae feedon host adult may be free living and vegetarian.They paralyze the host to oviposit and completetheir development on a single host whereaspredators kill and devour their prey. They arelarger than the organisms they prey upon. Theyare crepuscular. They are highly suitable forbiological control. Among these parasitoidsfollowed by predators and pathogens are bestsuited to carry out a biological controlprogram(Coppel&Mertins, 1976; Bellows &Fischer, 2005).

HISTORY

Known history of bio-control traces back toEgypt where Egyptians used to worship cats as


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they preyed upon rats and mice. Rats and miceare carriers of causative agent of plague that isasiphnopteran named Xynopsylla commonlyknown as rat flea. An ancient Chinese text datingback to 900 AD from South China reveals thatnests of large yellow ants with long legs(Oecophyllasmaragdina) were sold in market toprotect citrus crop from insect pests. In 1841 dategrowers of the Mideastern country of Yemenmoved colonies of beneficial ants to their grovesfrom the mountains each year for insect pestsuppression(Liu, 1939; Coppel&Mertins, 1976;Bellows & Fischer, 2005).

Italian Francesco Redi described attack ofthe gregarious braconid parasitoid, Apantelesg-lomeratus, on the cabbage butterfly, Pierisrapaeand also parasitism of aphids by an ichneumon‘fly’ (1668).Carolus Linnaeus proposedcontrolling orchard pests with the introduction ofthe predaceous ground beetle, Calosomasy-cophanta (L.). Mynah bird (Acridotherestritis) wasintroduced from India to Mauritius for controllingpopulations of red locust, (Nomadacrisseptem-fasciata) in 1762 AD. Eleven-spotted ladybird,Coccinellaunde-cimpunctata imported in NewZealand from Britain in 1874 and used againstaphid pests (Dixon, 2000).A Californianentomologist Albert Koebele was sent to Australiafor searching bio-control option for controllingcotton cushion scale, Icerapurchasi. From whereVedalia Ladybeetle, Rodoliacardinalis was sentback to California. It became the most successfulbio-control example world over and savedAmerica a million dollars (Coppel & Mertins,1976; Bellows & Fischer, 2005).

TYPES OF BIOCONTROL

Bio-control may be of mainly two types;natural bio-control and applied bio-control.Applied bio-control is further classified into fivesubcategories (i) classical bio-control (ii) new-association bio-control (iii) conservation bio-control (iv) augmentation bio-control and (v) bio-pesticides. Out of these, classical and new-association bio-control is for permanent controlover large areas whereas conservation andaugmentation bio-control and bio-pesticides isfor temporary pest suppression.

In classical biological control targeted pestis an invasive species and introduced natural

enemies are species from its native range. It isan applied ecological process that re-associatespests with their missing natural enemies byimporting and introducing them in the affectedarea. Since many invasive species, at highdensities harm the communities they invade, theirsuppression is ecologically beneficial to a broadrange of native species. It is more economical interms of feasibility, efficiency, and permanence.It is also less damaging to the environment. Itskey features are permanency, spread to theecological limits of agents, potential for high levelof control, speed of impact on pests and its safetycompared to chemical control (Coppel & Mertins,1976; Bellows & Fischer, 2005).

All classical control programs move throughsimilar steps as suggested by Van Driesche andBellows in 1993. Step one comprises choosingappropriate targets and generating support.Pests selected as target should be importanteconomically and ecologically. They should bespecies that have persisted as pests for severalyears or more. There should be broadagreement. Second step is obtaining correct pestidentification. There are many organizations thatfacilitate this such as Zoological Survey of India,Kolkata; Commonwealth Institute of Entomology,London and others that provide free service oftaxonomic identification of insects and otherpests. Step three involves surveys of the pest’snatural enemies in the invaded area so as toavoid introducing natural enemies that arealready present or cannot be distinguished fromthose already present. The pest in the invadedregion should be surveyed and its naturalenemies inventoried. In some cases, molecularmarkers may have to be developed to ensurethe demarcation of already present species fromany new species to be introduced. Step four is toidentify the pest’s native range. To collect naturalenemies for a classical biological control project,foreign populations of the target pest have to belocated. The native range of a pest might beinferred form records of occurrences of the pestor its relatives, communication with scientistswhere the pest is believed to be present,examination of specimens in collections of worldmuseums, study of genetic variation inpopulations of the pest from different locations,and actual surveys in potential locations. Stepfive is collecting natural enemies in targeted

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locations. Foreign collecting is either donethrough, short trips made by scientists from thecountry importing the natural enemy species, byhiring local scientists, or/and deploying staff tothe collecting region for extended periods of time.Step six involves judging the potential ofcandidate natural enemies to suppress the pest.Predictions needed to choose a best agent wouldhave to be based on either laboratory data orinformation gained from the native range. Adifferent approach to choosing natural enemiesto introduce may be to look for vacant attackniches in the life system of the pest in the invadedarea compared with that in the native range(Coppel & Mertins, 1976; Hall & Ehler1979;Bellows & Fischer, 2005).

Step seven is creating colonies of naturalenemies in quarantine. The United Nation’s Foodand Agriculture Organization has publishedguidelines for quarantine procedures suitable foruse during introductions of biological controlagents. Step eight comprises estimating eachnatural enemy’s host range. For herbivorousinsects and plant pathogens, host-rangeestimation has been a routine part of classicalbiological control for more than 75 years. Initially,such testing focused on testing crops,ornamentals, and other valuable plants to ensurethat herbivore or pathogen introductions wouldnot introduce a new plant pest. Step nine entailspetitioning for release. For most countries, thedecision to release a new biological control agentinto the environment, with the intent that itestablish, is regulated by law. Although detailsvary country by country, such laws should seekto ensure that no important damage is inevitable,that it is judged acceptable before release in viewof the important harm done by the pest whosecontrol is being sought. Step ten leads to releaseand establishment. Establishment of the naturalenemy is assessed by sampling, either directlyfor the released agent or indirectly (forparasitoids) by collecting hosts and rearing todetect parasitism (Anon, 1992, Van Driesche &Bellows 1993). The historical record shows that34% of attempts to colonize natural enemiessucceed. Step eleven demands assessingimpacts on the pest and non-target species. Iffeasible, pest densities should be measured incontrol plots before natural enemies arereleased, as such pre-release information is

valuable in establishing the pest density baselineto which future densities are compared.Evaluations done as the biological control projectunfolds provide guidance on agent effectiveness,allowing mass rearing to support future releasesto concentrate on the best species. Final stepstipulates assessing the program’s completenessand economic value. For this a benefit /cost ratiofor the project should be calculated to provide togovernment agencies to whom requests forsupport of new projects must be justified.Economic and ecological benefits are alsoassessed (Coppel&Mertins, 1976; Bellows &Fischer, 2005).

In new-association biological control newcombinations of natural enemies and pests arebrought together. It involves the use of oneorganism for the biological control of another withwhich the biological control agent has had noprevious evolutionary connection. For suchprojects, the potential source of natural enemieswould be closely related (same genus or tribe)species or those that are ecologically similar tothe target pest but found in separate bio -geographic areas (other continents) with similarclimates. In other cases, a pest may be invasive,but its origin unknown. Plans to collect naturalenemies from species taxonomically related tothe invader may be considered. For new-association projects, sources of natural enemiesare not necessarily obvious. The generalapproach is to search on congeneric species,or on less-related species that have similar lifehistories or ecology, in regions with similarclimate. For insect targets, it is also useful tocollect natural enemies from hosts on the plantson which the target pest feeds. The feeding habitsand plant association of the pest insects, ratherthan taxonomic affinity per se, is, sometimesbasis for finding new-association parasitoids(Coppel&Mertins, 1976; Bellows & Fischer,2005).

Conservation biological control works in twoways, protecting natural enemies from pesticidesand enhancing crops as natural enemyenvironments.

Augmentative biological control works forboth the greenhouse and outdoor crops. Greenhouses were amongst the first environments inwhich the idea of artificially releasing natural


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enemies was proposed. Kirby and Spence (1815)advocated rearing ladybird beetles for aphidcontrol. The insectary industry, started earlier inEuropean green houses, aims to produce largenumbers of natural enemies for release wherethey are absent or too scarce to provide effectivepest control. Two release approaches weredeveloped. Inoculative release meant only toseed the crop with the natural enemy, with controlbeing provided later after the natural enemiesreproduce for several generations. Inundative ormass release, If natural enemies are notexpected to reproduce and control is expectedfrom releases of large numbers of the agent(Coppel & Mertins, 1976; Bellows & Fischer,2005).

TOOLS OF BIOCONTROL

Members of following groups may act asbiocontrol agent or biopesticide: Bacteria, Fungi,Viruses , Nematodes . Following factors make apathogen a likely bio-pesticide: Ease and costof rearing, Degree of host specificity andpathogenicity, Suitability of the pathogen for theintended site of application.

There are two options for rearing pathogens;in live hosts, fermentation media or cell lines. Toensure agent’s quality there are three stepsinvolved; finding, keeping and improving.Measuring the efficacy of microbial pesticides isdone either by comparisons among agents andformulations or by estimating the effects ofenvironmental factors and persistence of agentimpact due to agent reproduction.

To be a good biological control agent anyorganisms must fulfill certain criteria. It must bea natural enemy of that pest against which it isgoing to be used. It should be able to adapt itselfto the environment in which it is going to bereleased. Its population should be able tosynchronize itself with that of the prey. It shouldbe able to disperse itself over the affected area.

Natural enemies are the fundamentalresource of biological control. The maincategories are: Parasitoid, predator andpathogens.

Parasitoids kill their hosts and complete theirdevelopment on a single host. Only larvae feedon host, adults are free living and vegetarian. Of

some 26 families of parasitoids, the groups usedmost frequently are: Braconidae, Ichneumonidae,Eulophidae, Pteromalidae, Encrytidae, Aphelini-dae, and Tachinidae. There are egg parasitoidslike trichogrammatids wasps that attack eggs.Larval parasitoids species attack caterpillars.They may be of two types: endoparasitoids andectoparasitoids (Coppel&Mertins, 1976, Dixon,2000; Driesche, et al. 2008).

Predators kill their prey to devour.Predaceous insects of potential use in biologicalcontrol are found in: Dermaptera MantodeaHemiptera Thysanoptera Coleoptera NeuropteraHymenoptera and Diptera. More than 30 familiesof insects are predaceous, the important onesare: Anthocoridae, Nabidae, Reduviidae,Geocoridae, Carabidae, Coccinellidae(Coleoptera), Nitidulidae (sensu Cybocep-halidae), Staphylinidae, Chrysopidae, Formic-idae (Hymenoptera), Cecidomyiidae, andSyrphidae (Diptera) (Coppel&Mertins, 1976,Dixon, 2000; Driescheet al., 2008).

Pathogens are disease causing organisms.Following group of organisms are potent bio-control agents: (1) Bacteria (Schizomycetes:Eubacteriales) e.g. Coccobacillusacridiorumd’Herelle for locust suppression (d’Herelle 1911-1914). The discovery and description of milkydisease in the Japanese beetle caused by B.thuringiensis var. thuringiensis Berliner (1920-1945), and the commercial availability of thesame for testing in the USA (1958), and others.Commercial production of B. popilliae and B.lentimorbus Dutky, in combination, and B.thuringiensis, by itself, illustrate the successfuldevelopment of both in vivo and in vitrotechnology (2) Virus (Microtatobiotes: Virales) isthe most exciting and promising group. More than450 viruses from approximately 500 arthropodspecies have been described (Ignoffo, 1974).Viruses are associated with all major insectorders, majority have been found in theLepidoptera (83%), Hymenoptera (10%) andDiptera (4%). Following virus group hold thepromise: Nuclear polyhedrosis viruses (NPV) thataccount for 41% of the described arthropodviruses and show great promise for practical usein pest suppression. Granulosis viruses (GV),Cytoplasmic polyhedrosis viruses (CPV),Entomopox viruses (EPV), Nonoccluded

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iridescent viruses (IV) (3) Protozoans: Theprotozoan subphyla Sporozoa and Cnidosporacontain not only the most numerous entomophilicprotozoans, but also those with the most promisein biological insect pest programs.Sporozoanneogregrines like MattesiagrandisMcLaughlin is an important pathogen of the bollweevil, Anthonomousgrandis Boheman, andcurrent field trials are showing considerablepromise (McLaughlin, 1971, 1973). Similarly,various genera of Cnidosporan Microsporida arepromising potential biocontrol agent (4) Fungi:Of the two fungal classes viz. Deuteromycetesand Phycomycetes four genera are involved inpest suppression namely Beuveria, Metarrhi-zium, Entomophthora and Coelomo-myces (5)Rickettsiae (Microtatobiotes: Rickettsiales) areoften discussed along with viruses because oftheir small size (0.2-0.3x0.3-3.0 µm and obligateintracellular development; however, theirsusceptibility to antibiotics indicates similaritiesto bacteria. Rickettsiella spp. have been foundin Coleoptera, Diptera and Orthoptera, in Europeand the USA (Coppel &Mertins, 1976, Dixon,2000; Driescheet al., 2008).

CURRENT STATUS

The biological control is currently applied onabout 5% (excluding China) of 40,000 ha ofgreenhouses worldwide, in vegetable crops-30,000 ha mostly in north temperate areas, on1000 ha of ornamental crops and a small amountof warm-region vegetable crops. The number ofnatural enemies reared commercially hasincreased from 01(one) in 1968 to more than 100(one hundred) by 2006 (Internet 2). Global bio-pesticide market is expected to increase doubleor triple fold by the end of this decade.

CONCLUSION

Bio-control agent once established needstime to adjust to new environment thus toestablish itself. Therefore , bio-control is likely tobe more successful in long-term rather thanshort-term crops. It is more effective in case ofvegetables rather than ornamentals, cropshaving few pests other than the one targeted forbiological control, crops in which the target pestdoes not attack the part of the plant that is sold,crops in which the targeted pest does not transmitplant diseases, and well-screened green houses

in regions with cold winters. Bio-control is eco-friendly since it uses nature’s own device i.e.natural enemies against the pests. It is costeffective also in the long run since once naturalenemies are introduced and established in thedesired area they require no maintenance cost.It is self-perpetuating since natural enemiesreproduce again and again and maintain theirpopulation over time. It is bereft with the harmfuleffect of pesticides such as it does not causepollution and does not release chemicals that arehazardous to the environment etc. Itsdisadvantages are that it is species specific sincenatural enemies applied in biocontrol are veryspecific for a particular kind of pest that’s howthey effectively manage the population of desiredpest. Sometimes, it takes long time as in classicalbio-control where natural enemies are introducedthen they take some time to acclimatize to thenew environmental conditions and reproduceover time thus may take long time initially. In caseof large agricultural fields where a complex ofpests may be there bio-control alone cannot befully effective and it may need some other typesof pest management methods to be applied theresuch as physical control, cultural control, geneticcontrol or even chemical control (Coppel &Mertins, 1976; Bellows & Fischer, 2005).

ACKNOWLEDGEMENTS

Author is thankful to Head, Department ofZoology, University of Lucknow, Uttar Pradesh,India for providing necessary laboratory space.Author is also grateful to Prof. Omkar ,Department of Zoology, University of Lucknow,Uttar Pradesh, India for motivation and valuablesuggestions.

REFERENCES

1. Anon (1992): Expert Consultation on Guidelinesfor Introduction of Biological Control Agents.Biocontrol News and Information. 18 (4), 119N-24N.

2. Bellows, T. S. & Fisher, T. W. (2005): Handbook ofBiological Control. Academic Press, Elsevier. P1046.

3. Coppel, H. C. &Mertins, J. W. (1977): Biologicalpest suppression (Advanced series in agriculturalsciences 4). Springer-Verlag Berlin. Heidelberg.P 314.

4. Dixon, A.F.G. (2000). Insect Predator- PreyDynamics, Ladybird Beetles and BiologicalControl.Cambridge University Press.P 257.


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5. Driesche, R. V., Hoddle, M. & Center, T. (2008):Control of pests and weeds by natural enemies:An introduction to biological control. BlackwellPublishing.P 473.

6. Hall, R.W., &Ehler, L.E, (1979): Rate ofestablishment of natural enemies in classicalbiological control. Bulletin of the EntomologicalSociety of America.26, 111-14.

7. Internet1:http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/SOUTHASIAEXT/E X T S A R E G T O P A G R I /0,contentMDK:20273764~menuPK:548214~p a g e P K : 3 4 0 0 4 1 7 3 ~ p i P K:34003707~theSitePK:452766,00.html

8. Internet2 :http://ipmworld.umn.edu/chapters/landis.htm

9. Kirby, W., & Spence, W. (1867): An Introduction inEntomology, 7th ed. London: Lonmans, Green.

10. Liu, G (1939): Some Extracts from the history ofentomology in China. Psyche. 46, 23-28.

11. McLaughlin, R.E. (1971): Use of protozoans formicrobial control of insects. In. Microbial Control

of Insects and Mites. Burges, H.D., Hussey, N.W.9eds.). London-New York: Academic Press. P 151-172.

12. McLaughlin, R.E. (1973): Protozoa as microbialagents. In: Some Recent Advances in InsectPathology. Roberts, D.W., Yendol, W.G. (eds).Miscellaneus Publication of Entomological Societyof America. 9, 95-98.

13. Smith, A. L., &Secoy, D.M. (1975): Forerunners ofpesticides in Classical Greece and Rome. Journalof Agriculture, Food and Chemistry. 23, 1050-1055

14. Srivastava, K. P. (2008): Text book of appliedentomology (vol I). Kalyani publishers. P 321

15. Van Driesche, R.G. & Bellows, Jr., T.S. (1993):Steps in Classical Arthropod Biological Control.Proceedings of the Thomas Say Publications inEntomology.Entomological Society of America,

Lanham, MD.

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ECO-DEVELOPED SOCIETIES: A HOPE FOR THE FUTURE

GENERATION

MONIKA RAGHUVANSHI*

Pacific Academy of Higher Education and Research University,

Udaipur, Rajasthan, India E-mail: [email protected]

*Address for Correspondence : Monika Raghuvanshi, Pacific Academy of Higher Education and ResearchUniversity, Udaipur, Rajasthan, India

E-mail: [email protected]

ABSTRACT

Society in a layman language comprises of a group of people coming together for a purposeand are bounded by common beliefs as well as culture or in other words it’s a group of peopleseparated by geographical boundaries which are similar in various characteristics and as weall know environmental issues are burning and drew attention of common masses and variousclass of people come together to tackle such problems in their own ways. This gave rise to eco-developed societies which although exist but are yet to be discovered to have scope of future.Such societies make use of renewable resources of energy and energy efficient process withlife cycle assessment to utilize environmental services along with eco-friendly applications.They have their own innovative ways like recycling points and power rating system and henceset global trend. Eco-developed societies understand the need of current generation and worktowards building a healthy environment for future generations. Benefit of sustainable thinkingand practices is that if they become habits now they will continue to have existence in the futuregeneration thus fosters sustainable life style in future generations. Green marketing can alsobe inclined towards scientific approaches which maintain proper balance between eco-systemand man and can have technology to check diversion from ideal practices so that correctivemeasures can be taken on time so this leads to development of eco-scientific societies. Therecan be section of society which is sensitive to environmental issues like they are sensitive tobiodiversity as they believe that earth is mother of so many living creatures and all of us haveequal rights on it so we humans should not be cause of loss of other species and hence can becalled as eco-sensitive society. The uses of green products give rise to futuristic societies.Transformational societies are already established and settled but believe in changes as perneed of time to progress fast. Motivational society believes in creating awareness as theybelieve in united efforts and bringing huge changes. Eco-focused societies comprise of advancededucated classes of people who develop goals and work on them as per guidelines and remainupdated with percentage of target achieved. Pure base societies believe nature is the lifeline ofeverything. So they are more inclined towards use of Ayurvedic therapies and nature- basedproducts. This can be a society which utilizes green practices and makes use of green productsfrom every ecological angle and hence will be called as green society.

Keywords: Green products, Eco-developed societies, Future generations, Environment

INTRODUCTION

Society in a layman language comprises ofa group of people coming together for a purposeand its modified version in simple terms is a group

of individuals which follow same culture andpractices so why not to change ourselves for thebenefit of society so that same thing would bepracticed by everyone. Alone we can stand forchange and together we can bring the change.


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Only one needs to understand that it is difficultto start and only starting needs more efforts butlater on things which are beneficial will beadapted by people sooner or later so why not toadapt something which is good for all the livingsand non- living elements of eco-system to drivethe change towards betterment of human racein narrow term and whole universe in a broaderaspect. So this can brought up a new conceptthat is concept of ecological society. Seems likea dream but no it is not, already there existsgroups of people who are working for greenmarketing only thing is they are not called asecological societies but the thing is they are theecological societies of future. Such societiesmake use of renewable resources of energy andenergy efficient process with life cycleassessment to utilize environmental servicesalong with eco-friendly applications. They havetheir own innovative ways like recycling pointsand power rating system and hence set globaltrend. Eco-developed societies understand theneed of current generation and work towardsbuilding a healthy environment for futuregenerations. Benefit of sustainable thinking andpractices is that if they become habits now theywill continue to have existence in the futuregeneration thus fosters sustainable life style infuture generations.

GREEN MARKETING LEADS TOWARDSINNOVATIVE SOCIETY

Green marketing leads to innovation and

thus development of new products and practiceswhich ultimately benefits the society. Theseinclude short term as well as long term benefits(http://company.nokia.com/en/about-us/people-planet). Green marketing helps to build globalecosystem as natural resources comprise ourecosystem and are distributed across the globe.Eco-friendly products give customers a newwonderful experience and satisfaction ofecological as well as health benefits. Socompanies are taking green marketing asopportunity and increasing their good will in themarket and pose a positive image in the mindsof people as being environmentally friendly aswell as creating new agendas for entering marketor increasing market share as well as gettingbenefits in the long run too. They followenvironmental standards and thus increases eco-friendly features of their product and create aniche in the market. They also follow greenprocess to improve energy efficiency of theirproduct and to follow energy-efficient process bywhich they can save their investments andresources too. These day’s companies are alsoreducing size of products as well as packagingto reduce waste and ensure better recycling. Sothis in turn reduces cost in terms of materials aswell as transportation charges also go down.These days people are opting eco-friendlyservices to enjoy healthy life. Green marketingalso ensures recycling so that waste materials,used products as well as energy lost are placedback into the life cycle as well as ecological cycleso all of us are benefited directly or indirectly. Asgreen marketing has proved itself beneficial forthe society, more and more number of companiesare spending huge amount of money torediscover more eco-friendly products and ideasand thus to keep pace with the changing timeand need of society. Companies are improvingenvironmental credentials of their products andare passionate to reach 100% level of recyclingprocess. One more innovative result of greenmarketing is companies are using eco- friendlyservices to give life giving experience tocustomers as well as awareness creatingapplications have also been introduced in themarket which along with fun creates interest inthe users towards green marketing and itsimportance. So this is an amazing way of creatingawareness with fun. Not only this to help kids

Wast

e

Recy

cling

New

pow

development

Ener

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Smar

t Eco-

profi

Gree

n

Ecol

ogic

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Envi

ronm

Ener

gy

Bette

r

Eco-

frien

sem

Gree

n

New product Development

Global ecosystem

Eco-friendly Product

Better environmental

credentials

Energy-efficient

Renewable

Environmental Services

Life cycle assessment

Ecological Applications

Ecological Games

Green channel

Eco profile of

products

Smart packaging

Energy/ power rating

system

New power Generation

Environmental policies

Recycling point

Waste Utilization

Green logistics

Green

marketing

leads

towards

Innovative

Society

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understanding these games applications whichteach green marketing and its benefits have alsobeen introduced in the market to enhanceexperience of user. This not only generateinterest in kids but can also teach them usefulaspects of green marketing and its impact onsociety so that they start practicing from the verybeginning. These days green channels havebeen introduced which reduce cost as well asbring positive change in the environment in whichwe live thus society in other words is benefitedtoo on a large scale. These days products arealso coming with eco- profile which informscustomers before handed about its effect onenvironment in terms of efficiency, recycling etc.These days bio-plastics and recycled metals arecoming into fashion to win the trust of customersand ensure recycling too. These days energysaving features have already been introduced inthe product portfolios. Power rating system or wecan say energy rating system has already beenintroduced and standards have been developed.It is a benefit to the society as it prevents falsemisleading marketing practices in the market soensures less or no post dissonance purchase.New power generation sources are gettingdiscovered for example, how power can begenerated with solar energy which can reduceusage of electricity instead or coal etc.Companies are making eco- friendly policies andare practicing them which not only improveprocess but create awareness among employeestoo. Recycling points have always been there soold products, waste etc are taken there on cheaprates and are recycled. Many governments aswell as non-government organization are comingup to take initiatives in the field of greenmarketing. It is responsibility of each and everyindividual of this society to use the power of greenmarketing for the development of society.Product life cycle assessment tools are beingintroduced and are getting widely used tocalculate impact of their product on environmenthence diversion from green marketing can eitherbe corrected or brought back to flow. Companiesare trying their best to reduce the emission ofharmful green house gases as lot ofenvironmental issues have been associated withthis and there are international eyes also on suchissues as this planet is for all of us and our futuregeneration too have right to lead a healthy life.

Energy loss is also getting recovered by efficientprocesses and technology. Not only this in factthere are energy efficient offices too which offerecological alternatives as of how space can beused effectively.

GREEN MARKETING LEADS TOWARDSSUSTAINABILITY SOCIETY

Green marketing, if practiced, increasessustainability of eco-system and thus set up aneco-friendly environment. Optimum utilization ofgreen marketing along with talent can bringbalance in eco-system as well as market drivingforces too and this in turn leads towardssustainable society. In a society we do have silentcommitments which include commitment towardssociety, commitment towards sustainability, andcommitment towards each other. So greenmarketing provides leadership in thoughts andmotivates people to act green, to go green.Sustainability is brought by immediate actionsto key ecological issues for benefit of all (http://www.wipro.com/about-ipro/sustainability/).Sustainable societies understand the needs ofcurrent generation and work towards building ahealthy environment for future generations. Rootcause of problem is understood and need effortsto remove it and the best way for it is to first inducegreen thoughts in us and inculcate greensustainable practices in our daily lives. Use ofsustainable thinking and practices is that if theycome into our habits now they will continue tohave existence in our future generation thusfosters sustainable life style in future generations

Sustainable life style in

future generations

Sustainable thinking and

practices

Understanding of future

generations

Actions for key ecological

issues

Commitment for

sustainability

Optimum utilization of

natural resources

Sustainable eco-system

Global eco-friendly

environment

Green

marketing

leads towards

Sustainable

Society


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There are few practices in our daily liveswhich may bring sustainability in society or wecan say which may be characterizing as featuresof sustainable society. There are already greencommunities to track every element ofsustainable society and together can bringsustainability in the world.

There can be development in the field ofgreen marketing continuously involved inexploring environmentally driven systems tomaintain sustainability. People can be engagedin energetic businesses and creating materialvalue chain. Green marketing can also beinclined towards scientific approaches whichmaintain proper balance between eco-systemand man and can have technology to checkdiversion from ideal practices so that correctivemeasures can be taken on time. There can beenvironment management system to checknatural factors involved and to intimate on timebefore any disaster or loss. Such systems caneither be used for business purposes so thatwhen there is little diversion from eco- friendlypractices or process it can be checked on timeand corrective measures can be taken to preventrisks.

GREEN MARKETING LEADS TOWARDSECO- SCIENTIFIC SOCIETY

These can also be used on smaller scalelike for research purposes or studies and can bepart of home or locality too. There can be qualitymanagement system to guide proper procedureto be followed so as to be perfect in every aspectof marketing, can also have environmentperformance indicators to check water toxic level,green house gas emissions, recycling, wastetreatment etc. to keep on working on new projectsto enhance usage of environmental friendly

energy sources along with long term vision (http:/

/www.ril.com/html/aboutus/our_commitments.html).There can be risk analysis system too to avoidnatural adversities in business houses as wellas locality. There can be proper audit system withtrained and qualified auditors; accompanied byvisits from proper accreditation companies andhave frequent visits from them to prove theircredibility in the market. Such audits can be partof businesses or can be on locality to keep aneye on environment issues. There can be specialeconomic zones like maintenance in coastalarea, maintenance of green belt around offices,homes etc, and tree plantation to act as filters,vermi-compost pits , organic waste is recycled,harmful chemicals are treated all around. Allthese techniques are useful for commercialpurposes as well as daily life.

GREEN MARKETING LEADS TOWARDSECO-SENSITIVE SOCIETY

There can be section of society which issensitive to environmental issues like they aresensitive to biodiversity as they believe that earthis mother of so many living creatures and all ofus have equal rights on it so we humans shouldnot be cause of loss of other species (http://www.tata.com/ourcommitment/articlesinside/Environment). They are proactive to conservenatural resources and they take initiatives for thesame. There are certain

normal rules followed like establishingfactories in outer areas, not to ruin forests forcommercial purposes, not to cut trees for uselesspurposes, to control emission of toxic gases dueto industrial purposes or due to transportation orvehicles, harmful waste should be treated beforedisposal, water should be saved, harmfultechnology should be avoided, harmful chemicalsshould be banned, children should be informed

Green marketing leads towards

Eco-Scientific Society

Explore environmentally driven

systems

Environment performance

indicators

Maintain special economic zones

Quality management system

Audit system

Environment management

system

Risk analysis system

Scientific ecological approach

Material value chain

Energetic business

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about recycling and green practices. Theybelieve in enrichment of nature as progressivestep towards welfare of nature is a step ahead tothem towards mankind. As a result of this ban ofplastics and non-biodegradable substancescame into lime light. They adhere toenvironmental procedures like conservation offlora and fauna to maintain proper balance in eco-system.

GREEN MARKETING LEADS TOWARDSFUTURISTIC SOCIETY

There can be a group of people who areconcerned about building today in the light oftomorrow. They are future oriented people. Theywork on their employees to go green. Then theywork with their stakeholders; collaborate withclients and organizations to eco- growth. Theybelieve in green thoughts with the view thatsuccess of tomorrow’s companies as well associety is closely linked with the health of eco-system (http://www.infosys.com/sustainability/Pages/index.aspx)

GREEN MARKETING LEADS TOWARDSTRANSFORMATIONAL SOCIETY

There is need to understand the need of timeand take green marketing as an opportunity.Although such section of society is establishedand settled but they believe in changes as perneed of time to progress fast (http://www.hul.co.in/sustainable-living-2014/our-approach/index.aspx). There is need to adaptwith the time and hence not only survive well butprogress fast.

They fulfill the needs and want of greenconsumers and explore green marketing as anopportunity to increase market share and createpositive image in the mind of customers.Businesses in such societies can informcustomers about the benefits of eco-friendlyproducts and use environmental declaration tomeet the standards.

GREEN MARKETING LEADS TOWARDSMOTIVATIONAL SOCIETY

This class of society believes in creatingawareness as they believe in united efforts andbringing huge changes. They partner withgovernment to bring changes on a large a scaleas well as they partner with other local industriesto be benefited on a noticeable scale. They workon bigger issues like checking carbon emissions,green house gas emissions and taking preventivemeasures for the same. To develop tools andtechniques to work on issues like global warmingand minimize its effects. They developconsciousness among people aboutenvironmental issues and develop go greenthinking and green goals. There can be initiativeto educate everyone about the green marketingand its impact on changing times. They launchcampaigns based on increasing environmentalconsciousness. They may target all the schoolgoing kids to bring changes nation wide. Theymay include environments to work on variousissues. They may work on tree plantation to filterair and bring pollution free environment. Theymay work on water conservation to have healthyliving. They may work on waste recycle to haveclean nature and society. Such people are sourceof inspiration for others (http://www.parleproducts.com/csr/green_planet.php)

GREEN MARKETING LEADS TOWARDSECO- FOCUSED SOCIETY

There are the advanced educated classesof people who develop goals and work on them

Green marketing leads towards Futuristic

Society

Building today for tomorrow

Future-oriented

Eco- growth

(Sustainable progress)


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as per guidelines and remain updated withpercentage of target achieved. They work onvarious environmental issues which can helpthem to grow and be efficient in their processesand maintain proper balance between variouscomponents of eco-system.

They have various targets at a time likereducing green house gas emissions, reducingwaste etc so they will work as per guidelines andact in the progressive direction with accompaniedgoal of being benefited from it economically,socially and technologically. So work as perstandards and try to work by comparing with idealpractices and the level they have achieved andas per standards. Their progress can be markedby others and they have full proofs of theirachievements. They are surely towards theeffective path of well-being and can give verygood small advices to save eco-system (http://www.hul.co.in/sustainable-living-2014/).

GREEN MARKETING LEADS TOWARDSPURE- BASE SOCIETY

This class of society believes insustainability from the core. They believe natureis the lifeline of everything. So they are moreinclined towards use of Ayurvedic therapies andnature- based products. They believe inconservation of energy and thus technologicalabsorption to have health, safety andenvironment protection. They make use of bio-fuels, bio-gases etc for their process to havelower cost and purity factor. They have herbalpreferences over synthetic base and thus ensurehealth and safety. They make use of natural

technologies like organic manure for enrichmentof nature. Thus they have significant benefits liketrust worthy image and technology ((http://www.dabur.com/BR-Report). They use simpletechnologies like reverse osmosis for watertreatment, rain water harvest etc. and thus havelower costs involved so in other words they wintrust of people by bringing purity in them andnature. Although such simple techniques aretrusted by people but this class is loosing itsimportance due to replacement by fast actingmarketing tools.

GREEN MARKETING LEADS TOWARDSGREEN SOCIETY

There can be green marketing drivensocieties. As teaching and preaching or creatingawareness is useful but actually having greenmarketing in behavior and practices is moresignificant. This can be a society which utilizesgreen practices and makes use of greenmarketing from every ecological angle(www.suzlon.com/). They will believe in caringfor earth and make use of natural resources onlyto create renewable sources of energy whichcreate zero waste or less waste and ensurebringing back of waste as well as energy backinto the cycle. They will adhere to socio-environment norms and practices. They wouldnot only have green thinking and values but theywon’t know anything apart from green marketingand its practices. Not only this they will makeuse of green technology too like have eco-friendly buildings, natural sources of food,manpower health and safety, renewable energyusage and proper hygienic conditions to live in.They will be in the last stage to be achieved inthe process towards green marketing and will bemarked as success in the era of Green marketing.

Green marketing leads towards Eco-

Focused Society

Advance educated class Develop goals and work

Have guidelines Achieve targets

Keep track record

Green marketing leads towards Green

Society

Green marketing driven Symbol of success in green marketing

Green behavior Green buildings

Green practices Care for earth

Zero waste Sustainable solutions

Socio-environment norms Green technology

Green process Green values

Last stage of green marketing

Green marketing leads towards Pure-Base

Society

Believes in sustainability from core Believe nature is lifeline

Inclined towards Ayurvedic therapies Nature based products

Conservation of energy Technological absorption

Purity factor Natural technology

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CONCLUSION

Man is a social animal and they have alwayscome together to face various challenges of lifefor the goodness of society as a whole and greenmarketing is one such field where scope ispresent for mutual benefit of human race andenvironment so as per understanding variousgroups of people are formed and will form as wellas progress having common belief and cultureto inculcate eco-friendly thoughts as wellpractices and will be recognized by names andtheir living style.

REFERENCES

www.nokia.com/in-en/

www.wipro.com/india/

www.ril.com/

www.tata.in/

www.infosys.com/pages/index.aspx

www.lg.com/in

www.microsoft.com/en-in/default.aspx

www.parleproducts.com/

www.hul.co.in/

www.amul.com/

www.dabur.com/en/general/contactus.aspx

www.britannia.co.in/

www.suzlon.com/


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GREEN MARKETING AS A SOCIETAL CONCEPT

MONIKA RAGHUVANSHI*

Pacific Academy of Higher Education and Research University,

Udaipur, Rajasthan, India

*Address for Correspondence : Monika Raghuvanshi, Pacific Academy of Higher Education and ResearchUniversity, Udaipur, Rajasthan, India

E-mail: [email protected]

ABSTRACT

Humans are from nature so whatever we do to nature it comes back to us. It is an admitted factthat due to current harmful anthropological activities environment is under stress and the sameis reflected in daily lives in form of depleting resources, economic fluctuations, naturaldevastations and unhealthy localities and lifestyle. So this drew attention of business houses toinculcate ecological thinking into every business angle and hence gave rise to the need ofgreen marketing which although exists in our daily lives and is practiced from time to time butyet have to be made part of our daily lives to bring back the balance in eco-system and itscomponents and hence to bring back life to our future generations with health and comfort.Today humans are surviving in money driven society. The use of renewable sources of energywill result in healthy lives and can be recycled bringing no damage to environment and havelong run economic benefits too. Green marketing is the use of eco-friendly products, usinggreen process and inculcating ecological thoughts for mutual benefit of environment and humans.Green marketing is optimum utilization of natural resources and thus enjoys unlimited tangibleas well as intangible benefits and hence economically as well as ecologically justified. Greenmarketing involves green process so making use of neat and clean technologies can bringhealthy life. Green marketing causes mutual benefits to humans as well as environment soethically valuable and can be carried generations to generations. So if green marketing is valuedthere are possibilities of green societies with ecological sound practices and healthy lives withperfect environment. Green marketing if practiced brings intangible benefits of positive imagein the society and acts as source of inspiration for others. Only little bit changes are needed inevery class like if one is manufacturer they need to focus green products with green process,distributors need to have green communication to retailers and they need to create greenawareness into consumers with green message, consumers need to have green purchase withgreen product choices and stakeholders need to have green behavior which drives us towardsecological or in other words green societies. Similarly green marketing mix is necessary tofollow as it is urgent need of time. There is need to redesign products with value added renewablefeatures as per ecological standards with little molding in physical evidences like biodegradablegreen packing with green labels and sustainable energy-efficient process is followed along withpromotion associated with personal, economic, social and environmental benefits will makegreen marketing as solution to most of our problems.

Key words: Green Marketing, Environment, Health, Ecological Thinking.

INTRODUCTION

Just imagine a picture of future societies -all are fighting for their own survival and killingeach other for scare natural resources as whenmen today are not leaving anything for them what

they will leave for each other. Heart is renderingbut true climax of situation with this selfish attitudeof man being only users of earth resources forown benefit neglecting not only futuregenerations but other living species too. Can man

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survive alone on this earth so when it is notpossible why killing other species for selfishbenefit? Why men are exploiting naturalresources which are causing death of living andnon-living elements of eco-system? The fact isall know but never realize that slowly greenmarketing is becoming part of life and is anessential element for future. Human being isdirectly or indirectly using it but it remains hidden.Human being can be benefited from it directly ifrealizes its importance and indirectly becausesomeone else would be doing so for the benefitof society as a whole. Green marketing is a thingwhich connects all the humans and not onlyhumans together; it has also connected man withother living and non- living elements. Shockingbut true only humans need to understand it andits importance in daily lives.

There is no harm in changing thinking toecological angles and bringing excellent resultsfor the upliftment of human race as a whole.Problem is not using green marketing . Man onlyneeds to educate himself of how to use it.Everything remains same only little bit ofecological thinking in minds and excellent changein society.

If we go to basics of society in laymanlanguage, it is a group of people coming togetherfor a purpose and its modified version in simpleterms is a group of individuals which follow sameculture and practices so why not to change forthe benefit of society so that same thing wouldbe practiced by everyone (http://en.wikipedia.org/wiki/Society). Alone we can stand for change andtogether we can bring the change. Only humanbeing needs to understand that it is difficult tostart and only starting needs more efforts but lateron things which are beneficial will be adapted bypeople sooner or later so why not to adaptsomething which is good for all the livings andnon- living elements of eco-system to drive thechange towards betterment of human race innarrow term and whole universe in a broaderaspect. There are several direct as well asindirect benefits of green marketing to society.

GREEN MARKETING HISTORY

The term Green Marketing came intoprominence in the late 1980s and early 1990s(Dodds 2007). The American Marketing

Association (AMA) held the first workshop on“Ecological Marketing” in 1975 (Curtin 2006). Thepeople were not only interested in using productswhich cause less harm to nature but were alsoconcerned about their health. To their surprise,facts came up and proved that green productsare not only good for eco system and indirectlythem as they are also part of it, they realized thatit has direct effect on them and their health alsodue to more element of purity (http://forum.diit.info/index.php). Experts that timewere aware of normal traditional products andits harmful effect on eco-system and in turn onfuture generations but a set of population alsorealized its importance which was aware of goodeffects of green products on them or in otherwords one can say better effect of greenproducts.

IMPORTANCE OF GREEN MARKETING

Marketing starts with money and ends withmoney. Today most of human races are havingmoney driving societies. In the economic run allare working hard to survive in the world as awhole or society in narrow terms. Today one ofthe important thing is in the competition to survivein the market, all are conscious about finances.So this creates an opportunity for greenmarketing although every opportunity comes witha negative aspect too. Opportunity in economicterms is in a long run green marketing set upwhich is beneficial but the drawback is its initialset up cost is high which although when seen incumulative form is beneficial in every aspect.Although prices are high but man exists in asociety where if action of one affectsothers,effects are stopped sooner or later soagain sometimes damage is seen and sometimesit is unseen. Slowly, environmentalists startedrealizing that if man will think about economicbenefits only there won’t be any space left infuture to further create any havoc as futuregenerations will pay for present actions. So thesame thing either pays today or tomorrow is achoice. Green marketing can be considered asoptimum utilization of natural resources sodefinitely only economically sound men need torediscover processes and mould it in ecologicalform to have economic benefits.

Another benefit is green marketing is anintangible asset to every individual and society if


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they are part of it because benefits of it can’t betouched but can be sensed easily. So no doubt itcreates good will for those practicing it and goodhealth for those using it. In economic terms, it isthus beneficial for business classes which areusing it as it creates good will for them andcreates good health for not only society but forenvironment too of which man is a part of.

Sometimes it is considered that greenmarketing is meant for a premium class of peoplebut question now which arises is that onlypremium class which is benefited or is it wholesociety. Again twisting the brain and answer allknow. When all humans are part of this eco-system, all are equally benefited and hence it iswhole sole responsibility of all the human beingto maintain the proper balance of eco-system andthis can be brought back by green marketing.Balance in eco-system is brought by greenmarketing as green marketing maintains balancebetween man and nature and as nature isbalanced, lives of men are balanced too soultimately balance in society.

Healthy lives- healthy society is an attentiondrawing statement because it is naturally proventhat green products are less harmful for natureas harmless products are still difficult becauseleast harm can be in the form of energy lossduring processing ( J. Ottmann, 1996). So whenhuman beings are using eco-friendly productsthey bring healthy lives back too. Green productsare more close to nature hence purity factor iscloser to ideal products which actually do notexist.

Return on investment is a financial tool mostcommonly used to calculate profits so here isreturn on investment and it is more thanimagination if thought carefully.

Sometimes it is economic need only whichmoulds time and business, sometimes it needsinvestment of time only and basic need of greenmarketing is this only. Instead of money, manneeds investment of time to think positively andto educate itself about the need of greenmarketing and then it needs time to educateothers and to make others aware why humansare using green marketing and why others shoulddo the same. Time and tide wait for none and ifthis time goes humans can’t mend the damages

caused due to their own carelessness for notpaying attention to environmental issues and notpracticing green marketing. Humans wereleading from healthy to unhealthy society andhence this drew attention towards greenmarketing.

One more meaning of society is a group ofpeople limited by geographical boundaries,sharing common values and culture so what kindof values human being is teaching to their futuregeneration? To harm nature for self benefit, tolive selfishly leaving nothing for future andcausing harm to others in the society?

Society exists because of some commitmenttowards each other but humans do have silentcommitment for safety and health of others butthis is not possible without taking intoconsideration the environment. Don’t you thinkwhen humans are born on this earth they haveresponsibility towards it also so this means thereexists commitment for the betterment of eco-system so can man fulfill commitment towardssociety without thinking of nature? Question willremain unanswered till ages.

Is it necessary to use hazardous chemicalswhich not only harm nature but hamper healthtoo? Can’t disposable material be used insteadof non-renewable one? Can’t human being thinkof solar energy? These little changes in habit cannot only preserve environment and health but canalso save money, with little inconvenience todayhuman being can have comfortable tomorrow. Itis not only that this is the right way of using thingsit also gives feeling of confidence that humansare doing something good for the society as awhole. Only thing is do little well to the societyand it will bring impressive changes to the nature.So it is worth spending time and money on greenmarketing to bring smiles to faces. It is somethingworth enjoying serving people with care to natureand nature will care for human being. Gooddeeds bring good ideas to mind and give a feelingof satisfaction.

So isn’t it beneficial to practice ecologicalactivities in daily lives. It only needs planning andunderstanding of eco-friendly practices and thusreleases pressure from earth and thus in turnleads humans one step ahead towards thebetterment of society. So if one is born as a

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businessman he only needs to introduce greenproduct, if one is manufacturer he needs to followgreen process, if one is a seller he needs to followgreen communication, if one is retailer he needsto convey green messages and if one is aconsumer he needs to be green consumer andthus completes green society so this completesgreen cycle and brings balance into the eco-system. So what human being is looking for oneonly has to understand the role and behavesaccording to need of time.

Green marketing also leads to optimumutilization of natural resources and as they arerenewable, men will never have to face problemof shortage of raw material or scarce resources,only thing men can do is enjoy unlimited benefitsof natural resources which are available free ofcost and are unlimited. What a bonanza as thiscan rarely be possible in case of non-renewableresources.

ASPECTS OF GREEN MARKETING

Since years people are becoming more andmore conscious of environmental issues as aresult of human activities and of course harmfulactivities cause irreparable damage to theenvironment. As resources are getting scares soprices move up and it harms nature so pressurizeecology also (https://www.google.co.in/search/aspects+of+green+marketing). If think of ethicalaspect also, humans for their own benefit are notonly harming nature but also digging pitfalls fortheir future generation. Instead of being awareof negative consequences, human is notpracticing green marketing in day to day life.When humans know green marketing is a must

for betterment, still they are leaving an unhealthyenvironment for future generations.

These days Corporate Social Responsibilityis emerging as an amazing concept practiced infirms as part of their social responsibility not onlytowards society but towards nationwidedevelopment. Not only is this, it is being practicedon an international level. All the human beingsare joining hands for achievement of a commongoal of healthy life and secure future. Now,marketing is not just a profit making source likein past but these days, by posing a positive imageby practicing green marketing, companies aregaining faith of customer and thus increasing theirmarket share. Now, companies gain trust ofpeople by making them believe that they areputting extra efforts for better and comfortablelife. So now marketing is not just an activity drivenby companies for the upliftment of society butgreen marketing in itself is a driving force gainingits position not only in companies but also insociety.

If it comes to technology, it is a boon or curseboth ways. If it is used for the betterment ofhuman race accompanied with ecologicalactivities then only it can bring welfare of societyotherwise there is no use of using it if it harms usand hampers our environment. When thought ofadvancement in technology there have been newinventions everyday but to give temporaryhappiness and comfort but green marketing drawattention of everyone to such technologicaladvances which are boon to nature.

GREEN MARKETING SOCIETAL SYSTEM

Economic

aspect

Ecological

aspect

Ethical aspect

Technological

aspect

Societal aspect

Green Marketing


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There is a connection betweenmanufacturer, retailer, consumer andstakeholders but when it comes to greenmarketing there is a bond between all the humanbeings which directly connects whole race to acommon cause that is nature. (https://w w w. g o o g l e . c o . i n / s e a r c h = a s p e c t s +of+green+marketing&espv).

Green products are based on fresh conceptpopping into few minds to draw attention ofpeople thus we can say green marketing leadsto innovation and innovation brings life tobusiness. There are lots of success stories dueto innovation.

Green consumers are the aware citizens ofsociety who are early adapter of ecologicalpractices. They are the people ready to act tothe environmental issues and act as role modelto others. Green consumers are the leaders wholead others towards the path of clean society.Green marketing, as it is a concept, is still lookingfor its place in the minds of people. Companiesare thinking of it even though many companiesare spending huge amount on its research,nothing can be said clearly as green marketingis in its growth stage and some people are takingit as an opportunity rather others are morecomfortable with following trends so not ready toinvest into it.

Green marketing manufacturers tries tofollow process which results into less energyleakage and optimum utilization of naturalresources which even though is higher ininvestment but in long term result into somethingbetter. Green marketing products are redesignedto be less harmful to nature hence are result ofconcerned mind and responsible thoughts.

Green products are having higher prices andrequirement is low so creates problems fordistributors to work on them alone and when itcomes to pricing issue normal products arereadily available to replace them at comparativelycheaper prices. So it’s a loophole in the systemto be solved along with other issues but howevermore number of people are coming up as awarecitizens of society and working in the direction ofgreen marketing so human beings are leadingfrom darkness of harmful activities to the light ofhealthy environment.

GREEN MARKETING MIX

Green marketing have brought changes tothe marketing mix also, now 7 Ps are takingdifferent shape and are molding as per need ofgreen consumers and green companies (http://www.cim.co.uk/files/7ps.pdf).Today men need tomaintain a proper balance between nature andthem.

Modified 7 Ps of Green marketing Product

Green products are less harmful due to theirvery features but one most important feature isless wastage of energy involved in its variousstages. There is need to redesign products tomeet the environmental standards and thesestandards should be carefully set after properanalysis and measurement. Green products arealso modified to suit the requirement of eco-system and society in turn.

Price

Green products are bit costly and a largeset of people is of the opinion that they don’t mindin buying green products over the other and theywould have definitely preferred green productsif they are available with other products at thesame prices. So this is one of the hurdles in thegrowth of green products and its future andsooner or later our future too. Green productpaves way for itself due to its exclusive propertyof less harm to nature. There are unique sellingproposition by green products that they are moreenvironmental friendly and thus draw attention

Process Sustainable

Energy-efficient

Healthy for workers

People (Green consumers) True blue greens

Geen-back greens, Srouts, Gousers,

Basic browns

Promotion

Associated with benefits

Personal benefits Economic benefit

Social benefit Environmental

benefit

Place

Leads to clean environment

Price Long-term

economic benefit

Little extra for healthy society

Product Eco-friendly Redesigned

Acc. to standards Value-added Renewable

Physical

evidence Green-labels

Green-packaging (Biodegradable)

Green

marketing

mix

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of people towards it and society as a whole.Green consumers no doubt will not change theirdecision to buy green product as they are ableto understand the bigger benefits in terms of littledifference in features.

Place

Although in a positive light one can say thatplace is an essential element of nature sowhatever human beings are doing are doing forhealthy and clean environment so although greenproducts may not seem to have a directconnection with place but in a broader sense whyto restrict green products in terms of places.

Promotion and its associated benefits

Promotion strategies are focused oncreating awareness and product benefits so needlittle extra efforts for green products as themessage is not although new but still new forpeople (www.ecomarkproject.eu ). Promotion isthe way by which one communicates the benefitsof a product.

Personal and individual benefits: If greenproducts are considered, they always have thisedge that they are fit for health and providewellness. Indirect effects of using these productsspecially related to health are providing relaxationto senses and relieve stress on us as well aseco-system. Skill building promotional messagecan be- we care for you, you care for nature canbe best benefits communicated through minddriving forces.

Economic benefits: Ultimate aim of everybusiness is economic well being, a mostimportant force driving common masses too, sowhen it comes to green products as comparedto other products, it is preventative measure forhealth as they consist of natural substances andnatural process. However, if talked in profits termsone shouldn’t mind in paying extra for long termbenefits either talking of seen benefits in termsof health or less wastage or unseen benefits interms of balance eco-system.

Social benefits: One of the most important socialbenefits of green products is it makes humansconnected with nature and more sociallyresponsible for betterment of society. It not onlygives sense of morally as well as ethically

corrects but also motivates others to display thesame behavior and being recognized as mature,sensible and responsible individual of society. Itcreates strong image and brings us among groupof green consumers. So gives a sense ofbelonging to society also.

Environmental benefit: Main theme of greenproducts is conservation of eco-system andrehabilitation of environment so lowers energycosts also. These are the products which are lessharmful for nature because even if it doesn’t harmenvironment directly there is loss of energyinvolved in one or the other process as per J.Ottmann.

So when proper modes of promotion areaccompanied with correct benefit of greenproducts, they definitely sound superior andappealing and if understood carefully drawseveryone’s attention.

People

When it comes to green consumers, nodoubt they have different view towardsenvironment and have deeper understanding offuture issues and thus have a great impact onsociety. But still they can be differentiated on thebasis of following criteria (Saxena ,2010):

True-blue greens- They have highest level ofcommitment while changing their habits as perrequirement of environment hence can beconsidered as most ethically and morally drivenpeople who are ready to take initiatives and thusserve as role model for others.

Green-back greens - They have understandingof need to take preventive steps for saving theenvironment and are ready to support the causein financial terms but are still to adopt change intheir behavior for the sake of nature. So althoughthey are not initiators but are fast followers andmorally driven too.

Sprouts-They are in the learning phase tochange their behavior and habits for the sake ofenvironment so can be considered a neutral classof people and can be placed in mid of green andbrown consumers.

Grousers- They are the people who know theproblem but are not ready to accept that theyare also responsible for environmental issues


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and solely believe that being environmentallyfriendly is the responsibility of companies whichare responsible for such issues.

Basic brown- They are the people who are notable to understand their role in the environmentissues and are carried away with traditionalmarketing as they don’t believe that their littleefforts can bring the change to the environment.

Process

To follow the green process first there isneed to have green approach and solutionswhich can bring back life to damaged eco-systemand lethargic society. There should be greenproduct designs as per standards followed bygreen manufacturing process which involve lesswastage of energy. There should be internationalgreen quality standards followed to have properbase so process modification is also one of thealternative. There should be proper marketresearch on the target green consumers whichis also indirect process of green marketing toavoid wastage caused due to redesigning.Products should be modified as per targetcustomers and the development in the field ofgreen marketing as well as other related areas.There should be green supply chain to ensurereuse and sustainability and then proper greenchannels should be used for adequate greencommunication to the masses which should alsoinclude green technologies. Timely testing andconsultation with internal and external knowledgeworkers can avoid green process turning intonormal process.

Physical evidences

Green products are value added productsand are identified by their labeling. Greenpackaging techniques either cost more or haveshorter life span which result in early spoilagebut side by side it facilitate recycling and reducedamage to eco- system and help to maintain aproper balance between its various components.

If one considers global trends now societiesare paying attention to environmental sensitivityof packaging and in fact European countries haveguidelines for packaging. Proper labeling is usedto inform the customer and laws are madeagainst malpractices. Warranty is also introducedto prevent losses to customer and hence lowers

post dissonance.

Green communication

Green communication needs extra efforts tomake place in mind of customers. Proper greencommunication is required through greenchannels for recognizing green products whenplaced along with other products.

CONCLUSION

Awareness is a need in field of greenmarketing as if customers are aware none of theother factors can prevent the green marketing totake its place in the society. Only need is to realizethe need of time and save the future. What humanbeings were doing in the past were mistakes dueto unawareness about the negativeconsequences of marketing but what humans aredoing now, instead of awareness about thenegative consequences, is that humans areclosing their eyes towards future generationswhich may even disappear due to irresponsibleattitude towards nature and the thing is futuregenerations are a far off thing by not using greenmarketing, humans are harming society atpresent. Time is precious but not at the cost ofblank future so all need to do is pay little attentiontowards green marketing, do little efforts to createawareness in others and contribute little for abetter future.

REFERENCES

1. Boztepe,A.(2012).’ Green Marketing and Its Impacton Consumer Buying Behavior’, European Journalof Economic and Political Studies, Vol.5, issue 1

2. Danciu,V.(Dec 2012),’ The Green Marketing at Work:The Push-Pull Effects of the Green CommunicationStrategies’, The Romanian Economic Journal, YearXV no. 46

3. Dodds, John (May 21, 2007).”Green Marketing 101".Retrieved January 2008.

4. Ghoshal,M.(Jan-June 2008").’Green Marketing- AChanging Concept In Changing Time’,IMR-Mgt-Speak., Vol 2, India.

5. http://en.wikipedia.org/wiki/Society

6. http://www.cim.co.uk/files/7ps.pdf

7. https://www.google.co.in/search=aspects+of+green+marketing&espv

8. Mohansundaram,V.(April 2012),’ GREENMARKETING – CHALLENGES ANDOPPORTUNITIES’, ZENITH International Journal ofMultidisciplinary Research, Vol.2 Issue 4, April 2012,ISSN 2231 5780

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9. Ottman, J.A (1996), Growing Greener Products: WhatWe Can Learn from Pea Pods and Apple Peels inStimulating Creativity in Environment-relatedInnovation. World Future Society FuturismConference, July 15, 1996.

10. Saxena, R. & Khandelwal, P. K.( 2010). ‘Sustainabledevelopment through green marketing: The industryperspective ’ , The International Journal ofEnvironmental, Cultural, Economic and SocialSustainability, vol. 6, no. 6, pp. 59-79.

11. Sudha,R.( Jan–June 2012),’ Green Marketing in India’, Namex International Journal of Management

Research, Vol. No.2, Issue No.1

12. Wiser,R. and Pickle,S.(Sep.1997).’ Green Marketing,Renewables, and Free Riders:Increasing CustomerDemand for a Public Good’, Environmental EnergyTechnologies Division, Ernest Orlando LawrenceBerkeley National Laboratory, University of California,LBNL-40632 UC-1321

www.ecomarkproject.eu


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FORENSIC INSECTS FACILITATE ECOLOGICAL RECYCLING

*SUNITA RAWAT, REEMA SONKER AND KALPANA SINGH

Department of Zoology, University of Lucknow, Lucknow, Uttar Pradesh, India

ABSTRACT

An ecological cycle is the movement and exchange of organic and inorganic matter back into

the production of living matter. A dead and decaying corpse is a rich source of nutrients formany organism chiefly insects and acts as an important ecosystem. Various groups of insectsvisit corpse during various stages of its decomposition and bring about breakdown ofmacromolecules with help of enzymes produced by them. This in turn returns the nutrientsback to soil thus ecosystem and is utilized by many other organisms for their growth andreproduction. The insects involved in decomposition of a cadaver are known as forensic insects.Within minutes of the death, forensic insects are able to locate the dead body through thesense of smell. Flies are usually the insects that arrive first at the decomposing corpse, mainlyblow flies and flesh flies. The female fly deposits eggs (calliphorid flies) or larvae (sarcophagidflies) on open wounds or natural orifices, such as the nose, mouth, and anus of the corpse.These larvae then feed on the decaying corpse. Other arthropods such as beetles, ants, moth,and butterflies arrive later and decompose the corpse. These include the beetles (familydermestidae and silphidae), wasps (family vespidae), ants (order hymenoptera) and mites(gamasid and oribatid mites).There are five stages in the process of decomposition of a corpse:fresh, bloat, active decay, advanced decay and skeletonization. Fresh stage starts from themoment of death to the first sign of bloating. In the fresh stage of decomposition, process ofmicrobial proliferation occurs which is termed as putrefaction and leads to the second stage ofdecomposition, known as bloat. Blowflies and Flesh flies are the first forensic insects whicharrive and oviposit on the corpse. In the bloated stage, the body becomes stretched like aballoon due to accumulation of gases within the body cavity and gives cadaver a bloatedappearance. At this stage more and more blow flies attract on the corpse. Active decay isrecognized by greatest mass loss, it includes ammonical fermentation of the body. In activedecay a different cohort of insects are attracted. As a result of the feeding of maggots and thepurging of decomposition fluids, cadaveric materials are rapidly introduced to below groundfloral and faunal communities, which result in the formation of a highly concentrated island offertility, or cadaver decomposition island (CDI). At advanced decay stage skin, cartilage andbones with some flesh are remaining. The biggest indicator of this stage is the increase inpresence of beetles. Each CDI releases energy and nutrients to the wider ecosystem. Thuscarbon and nutrients, such as nitrogen, phosphorus, potassium, calcium, and magnesium etcincreased in the surrounding soil. During the skeletonization/dry stage only hair and bones areleft. Generally insects are not found at this stage, beetles of the family Nitidulidae may bepresent.

Keywords : Forensic insects, Cadaver, Nutrients, Ecosystem

*Corresponding Author: Sunita Rawat, Department of Zoology, University of Lucknow, LucknowUttar Pradesh, India,


INTRODUCTION

The decomposition of vertebrate carrion,directly and indirectly, affects soil and enthicchemistry, as well as the local flora and fauna. A

Cadaver has recently come to be viewed as asource of sequestered nutrients and energy thatcan only be returned to the wider ecosystem upondecomposition. Nutrients diffuse from the carrion

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into the soil resulting in changes in pH,conductivity, and nutrient concentrations (e.g.,nitrogen and phosphorus). These nutrients areincorporated into the surrounding habitat leadingto changes in the plant and arthropodcommunities, in both species composition(structure) and their activities (function). Mostdecomposers are bacteria or fungi, thoughscavengers also play an important role indecomposition if the body is accessible to insects.As vertebrate remains are ephemeral, typicallylasting only a few days to a few weeks, andnumerous necrophagous species feed on thesame. The order in which the insects feed on thecorpse is called the faunal succession.

ROLE OF FORENSIC INSECTS INRECYCLING

Insects which aid in legal proceedings areknown as forensic insects. Various groups ofinsects visit a dead and decaying corpse in itsvarious stages of decomposition. Flies (OrderDiptera) are often first on the scene. They prefera moist corpse for the maggots to feed on, assuch a corpse is easier for them to chew. Themost important families are: Blowflies (FamilyCalliphoridae), Fleshflies (Family Sarcop-hagidae), House Flies ( Family Muscidae),Cheese Flies (Family Piophilidae ), Coffin Flies(Family Phoridae), Lesser Corpse Flies ( FamilySphaeroceridae) , Lesser House Flies (FamilyFanniidae), Black scavenger flies (FamilySepsidae) , Sun Flies (Family Heleomyzidae),Black soldier fly (Family Stratiomyidae).Thesemostly breakdown fatty and proteinaceous partof the dead body. Various liposases, proteasesand peptidases found in their saliva are mostlyresponsible for this. Beetles (Order Coleoptera)are generally found on the corpse when it is moredecomposed. In drier conditions, the beetles canbe replaced by moth flies (Psychodidae). RoveBeetles (Family Staphylinidae),Hister Beetles(Family Histeridae), Carrion Beetles (FamilySilphidae), Ham Beetles (Family Cleridae),Carcass Beetles (Family Trogidae) areforensically important beetle families. Skin/Hide

Beetles (Family Dermestidae) are important inthe final stages of decomposition of a carcass.Hide beetles are the only beetle with the enzymesnecessary for breaking down keratin, a proteincomponent of hair. Many mites also feed on acorpse. Macrocheles mites are common in theearly stages of decomposition, whileTyroglyphidae and Oribatidae mites such asRostrozetes feed on dry skin in the later stagesof decomposition. Nicrophorus beetles oftencarry on their bodies the mite Poecilochiruswhich feeds on fly eggs. Clothes-moths (FamilyTineidae) feed on mammalian hair during theirlarval stages and may forage on any hair thatremains. They are amongst the final animalscontributing to the decomposition of a corpse. Inthis way, insects play very important role inrecycling the nutrients back into ecosystem andthus maintaining the balance of nature.

ACKNOWLEDGEMENTS

Authors are thankful to Head, Departmentof Zoology, University of Lucknow, Lucknow, UttarPradesh, India for providing necessary laboratoryfacilities.

REFERENCES

1. Ackert, L. T. Jr. “The “Cycle of Life” in Ecology: SergeiVinogradskii’s soil microbiology, 1885-1940". Journalof the History of Biology 40 (1): 109–145.

2. Benecke, M. (2001). A brief history of forensicentomology. Forensic Entomology International, 120.

3. Catts, E. P.; Goff , M. L. (January 1992). “ForensicEntomology in Criminal Investigations”.AnnualReview of Entomology 37: 253–272.

4. Doran, J. W.; Zeiss, M. R. (2000). ”Soil health andsustainability: Managing the biotic component of soilquality.”. Applied Soil Ecology 15 (1): 3–11.

5. Odum, H. T. (1991). “Energy and biogeochemicalcycles”. In Rossi, C.; E. Ecological physicalchemistry. Amsterdam: Elsevier. pp. 25–26.

6. Pape, Thomas. Catalog of the Sarcophagidae of theWorld. Memoirs on Entomology. Gainesville, FL:Associated, 1996. 288-289.

7. Scott, Michelle Pellissier (January 1998). “Theecology and behavior of burying beetles”.AnnualReview of Entomology 43: 595–618.


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DESIGN AND DEVELOPMENT OF AN ALGORITHM FOR

ASSESSMENT OF THE LEARNING STYLE OF SOFTWARE

ENGINEERING STUDENTS

*ANKITA1, DR. K P YADAV2

1Research Scholar, Department of Computer Science & Engineering,

Sai Nath University, Ranchi, India2 Director, MIET, Greater Noida, Uttar Pradesh, India

*Address for correspondence: Ankita, Research Scholar,Department of Computer Science & Engineering,

Sai Nath University, Ranchi, India

ABSTRACT

Software engineering courses are core elements of the computer science curricula. Whilethe main aim of such courses is to give students practical industry-relevant “softwareengineering” in the large experience, often such courses fall short of this important targetdue to lack of industrial experience and support infrastructure. Therefore, it is necessary todesign and develop better infrastructure support for teaching or learning such courses andthis would benefit instructors and students world over. This aims to create a knowledgeand tool infrastructure for the benefit of instructors and students in software engineeringcourses. Thus, the system embodies a teaching and learning environment that blendscollaboration, simulation, knowledge sharing, and industrial software projects. This paperdiscusses the need for the learning style in software engineering education and proposesan algorithm for dynamically assessing the learning style of the learner and channels thelearners to choose appropriate learning materials based on their learning style.

Keywords: Software Engineering, Software Engineering Education, Learning Style,Learning Theory, Collaborative Learning, Teaching/Leaning Methods

INTRODUCTION

While the software production has hadamazing triumph in emergent software that isof mounting degree and intricacy, it has alsopracticed a stable and noteworthy flow ofcollapses. The majority of these failures arewell-known with open tragedy such as failedmars landings, rockets carrying satellitesneeding to be destroyed shortly after takeoff,or unavailable telephone networks, and manymore “private” tribulations crop up that can besimilarly disastrous or at least, problematic andinfuriating to those occupied. Exploratory, oneof the major forums documenting these failures,the risk forum, supplies an enlightening insightsuch as a considerable section of documentedfailures can be credited to software engineeringprocess breakdowns [16]. This collapses rangefrom individuals not following an approved

procedure such as not performing all requiredtests, not informing a colleague of a changedmodule interface, to group coordinationproblems such as not using a configurationmanagement system to coordinate mutualtasks, not being able to deliver a subsystem intime, to organizations making strategic mistakessuch as choosing to follow the waterfall processmodel where an incremental approach wouldbe more appropriate, not accounting for thecomplexity of the software in budget estimate.As a result, it is estimated that billions of dollarsare wasted each year due to ineffectiveprocesses and subsequent faulty software beingdelivered [1].

The root cause of the above said problemsis fabrication in the software engineeringeducation. Present software engineeringeducation typically pays poor concentration to

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students being able to preparation the crisesencircle the software engineering. Thearchetypal software engineering courseconsists of a series of lectures in which theoriesand concepts are discussed and make an effortto learn this knowledge into practice, for this asmall piece of software engineering projectmust be developed by the students. Eventhough cooperation of these mechanisms isnecessary because lectures are as a sourceto feed the basic knowledge of softwareengineering and the projects are the ways toacquire hands on experience with some of thetechniques of software engineering, but thistactic is not succeeded to satisfactorily teachthe complete software engineering education[1, 15, 17].

SOFTWARE ENGINEERING EDUCAION

IT industry is an emerging industry,software development tools and technologybring up to date rapidly. Even now, the majorityof the software educating organizations hasbeen coaching graduates comparatively oldknowledge systems. It is complicated tobecome accustomed to the speedyadvancement of information technologyrequirements. However, there is continuously aferocious loop in computer science graduates,that is, in one hand employers believe that thesoftware talent deficiency, on the other hand asignificant number of graduates cannot find asuitable position [16]. Principally the quality ofsoftware professionals cannot come acrosssocial necessities.

Software engineering education consists ofrequirements: engineering, software design,validation and verification, others focused onthe management of the complexity of productsand processes. Frequency of project failure dueto problems in software is significantly greaterthan that due to problems in other engineeringdisciplines. In too many cases the causes offailure originate in misunderstanding ofrequirements, mismatches in system designand implementation, unrealistic expectations,and bad project planning [28]. Aligning softwareengineering education with industry needs is asubstantial defy because the relevance anddepth of the knowledge that softwareprofessionals had received as part of their

graduate education and a significant mismatchbetween software engineering education andindustry in terms of the knowledge needed bysoftware engineers to perform the tasksrequired by industry. Stop up this gap is one ofthe majority vital errands to be focused insoftware engineering education. This chore isknotty by a number of open queries; contain“What industrial practices are currently notbeing taught? How effective are thesepractices? Which practices should betaught to undergraduates?” [16, 18, 32].

Various tactics are being occupied in aneffort to response the above questions. A fewhigher education institutions perform with groupof professionals composed of industry andeducation legislative body whose target is toassess the sharpness of their softwareengineering graduate or undergraduateprogrammes. To efficiently satiate this space,it would be essential, on one hand, to promisethat the educational programmes provide theknowledge necessitate for the job profilesrecommended by industry and also guaranteethat this knowledge is educated in a mannerfacilitating future professionals to accuratelygear the tribulations that they will facethroughout their professional career [19, 30].

SOFTWARE ENGINEERING TEACHING/LEARNING ISSUES

Software engineering education has anumber of issues and the underlying ones arethe constraints of the academic environment.While relevant process theory can be typicallypresented in lectures, the opportunities forstudents to practically and comprehensivelyexperience the presented concepts are limited[18, 30, 42]. Students assume that softwareengineering is a theoretical subject and it ishumdrum and very little use in future [37]. Hence,they are not actively occupied in softwareengineering learning activities. Traditional basedteaching software engineering and knowledge-gaining process turns out to be monotonousand less interactive and instructor enlightensthe concepts and the students grasp the facts,which they memorize and reproduce it in theexamination [42]. In this method, students havebeen enforced to passively provide solutionsinstead of taking actions to cause changes to


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the solutions [42]. This method of education neverproduces the industry relevant softwareengineering knowledge to the students ratherthan it increases the gap between the softwareengineering education and the industry needs.

Software engineering students aregenerally passive listener throughout thelectures and do not enthusiastically involved inthe learning process [18]. Learning scientists andcognitive psychologists has proven that thesekinds of learning is not effective and neverachieve the goal of study [8, 13, 34]. Students couldlearn more effectively when they get activelyengaged their learning process and they havemore awareness and interest in programminglanguages than software engineering [18].

Most of the industry professionals are noteducated in key portions of the softwareengineering body of knowledge such asrequirements, architecture, testing, humanfactors and project management. They aremerely skilled at programming in a few popularlanguages or at using specific technologyproducts, such as database management andweb development tools [23]. Software industry’sbigger problem is lack of talented softwareengineers, when industry employs the freshgraduates, they do not satisfy the industry’sneeds because they are good in following thesyntax, semantics logic and process but theyare not well versed with software engineeringconcepts [19].

Higher educational institutions havedifficulties in educating professional softwareengineers to satisfy the industry’s requirements.Software engineers must have the skills suchas blended formal knowledge, problem solving,self-learning, professional communication, goodjudgment, experience, ability to work togetherand understand the client’s needs [23, 40]. But it isnot easy to teach all of this within one or twocourses. The contemporary softwareengineering education usually pays little or noattention to students being able to practiceissues surrounding the software engineering.The curriculum mostly focuses on the phaseof software development process such asrequirements, analysis, specification, designand testing. Hence, most of the root problemsin software engineering occurred in the

professional education [20, 23, 30].

SOFTWARE ENGINEERING TEACHING/LEARNING METHODS

Traditional teaching of softwareengineering is short of the relationship betweentheoretical mastery and practice skil lsdevelopment. In addition, software engineeringis an important field, especially in theprogramming language, software developmentand design tools, software reuse technology,design patterns and other fields, but currentmaterials and teaching content, knowledgestructure and practice have so seriousshortcomings, which restrict the effect of theteaching of software engineering [31, 33]. Softwareengineering researchers proposed numerousteaching/learning methods such as groupproject, case tools, educational game and webbased learning to overcome these challengeseven though still there is a lack in producingendowed software engineers to satisfy theindustry’s needs using these methods.

A. Group Project

Most of the software engineering teachingmodel highlighted the magnitude of projects andwished for prototypes such as “Small GroupProject” and “Large Project Team”. Studentsnecessitate to work on projects supported byan external organization, deliberately employingreal-world difficulties during the class project,such as changing requirements while thedesign is in progress, fit in multiple universitiesand branch of learning into the project,sustaining a major continuing project in thatdissimilar cluster of students work on fromsemester to semester, and many others. All ofthese come up to share the identical objectivethat is to bridge the association betweentheories and practice. Moreover, students areset in an environment that highly simulates thereal software development world and areassigned with jobs such as principle architect,project administrator and configurationmanager. The advantages of this method areits intensive simulation of real projects andstudents are propelled to learn and do morethan they would in traditional courses [5, 8, 12, 13, 21,

28, 29].

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B. Case Tools

An extensive assortment of positive hopehas been credited to the professional use ofCASE tools in software engineering education.This incorporates the thinking of the studentsin use of a CASE tool which will smooth theprogress of the disciplined and standardizeddevelopment process, enhance stability andfullness of the models that are developed,amplify the capability for quality assurance,transform the concentration of assessingaway from mere correction of minor errors,make better project planning and managementby providing general idea of the developmentprocess, cheer on reverse engineering, expandthe capability to fabricate high-qualitydocumentation, and bridge the gap betweendesign and implementation [2, 11, 22, 23, 25].

C. Educational Game

An educational game which is used insoftware engineering education to simulate thesoftware engineering process fromrequirements specification to product delivery.This game provides students with an overall,high-level, practical experience of the softwareengineering process in a speedy enoughmethod to be used continually in a limitedamount of time. Educational game has anumber of other traits that contribute to itslearning efficiencies. Competition motivatesstudents to play the game, but it alsoencourages collaborative learning, makes surethat all of the fundamental technicalities of thesoftware engineering process being simulatedare able to be seen and it has a fun andengaging nature, and quality that is known tobe highly conducive to learning [3, 10].

D. Web-Based Learning

Looking for mainly a complement and nota replacement to traditional education, a set oflearning resources is particularly designed forthe world-wide-web. As a complement to thelectures and printed material, the students hadright of entry to the web-based coursewarewhich contained an improved adaptation of thelessons material in electronic form and usefullinks to pertinent material on the internet.Furthermore, asynchronous communication

amenities were presented via a web-baseddiscussion forum and class management wasincluded in the web-based software engineeringlearning environment. Information proceduresare computerized by software systems and thiskind of automation is precious, since suchprocedures are monotonous, tiring anddisagreeable and time consuming. Softwareengineering is the technological branch anxiouswith the creation of software systems, whichcan always be thought of as gears of largerartificial systems. The enriched instructionaldelivery mode has several advantages over thetraditional mode such as students can progressat their own pace and study the instructionalmaterial in the order that best look good on theirskills or preferences. The learning material isstored online and the course is open at anytime and from anywhere for the studentsregistered in it and the teacher plays the functionof a facilitator and helps out the learningprocedure [20, 24, 26].

IMPORTANT TO ASSESS THE LEARNINGSTYLE

Individual learners perform a mostimportant part in traditional as well astechnology enhanced learning. Each learnerhas individual needs and personality such asvarious preceding knowledge, cognitive skills,learning styles and motivation. Thesepersonality variances influence the learningprocess and are the cause why some learnersfind it easy to learn in a specific module, whileothers discover the same module tough. Priorknowledge is one of the greatest and reliablepersonal variance forecasters of triumph [14].While previous knowledge give the impressionsto account for further variance in learning thanother individual differences, more recentlyeducational researchers have paying attentionon features of individual characteristics such aslearning styles, their effect on learning and alsohow they can be integrated in technologyimproved learning.

Considering learning styles, researches areprovoked by educational and psychologicaltheories, which claim that learners havedissimilar ways in which they wish to gain theknowledge. Learners with a strong preferencefor a specific learning style may have difficulties


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in learning if the teaching style does not matchwith their learning style [9]. From theoretical pointof view, inference can be drawn that assimilatelearning styles of students in the learningenvironment formulate learning easier for themand improve their learning effectiveness. On theother hand, learners whose learning styles arenot supported by the learning environment mayexperience problems in the learning process.

Adaptive educational methods addressexactly this issue and intention to offeringlearners with program that fit their individualneeds and characteristics such as their learningstyles. While supporting adaptively is a bigadvantage of these systems, they also havestrict limitations such as adaptive systems lackintegration, supportingonly few functions ofweb-enhanced education, and the content ofcourses is not available for reuse [4]. Althougheducational and psychological theories suggestincorporating individual differences of learners,different learning methods provide only little or,in most cases, no adaptive for them. However,the learning style plays a vital role in softwareengineering education too. Previous researchshows that software engineering class containsdifferent types of learner nearly equal strengthand also suggests that if the knowledge deliverysatisfies all the learning groups then it improvesthe knowledge gathering capabilities of thestudents [27].

The learning style models that exist inliterature are majorly classified into five familieswhich are based on some overarching ideasbehind the models, attempting to reflect theviews of the main theorists of learning styles[6]. The first family relies on the idea that learningstyles and preferences are largelyconstitutionally based including the modalities:visual, auditoryand kin aesthetic. The secondfamily deals with the idea that learning stylesreflect deep-seated features of the cognitivestructure, including patterns of abilities. A thirdcategory refers to learning styles as onecomponent of a relatively stable personality typeand fourth family learning styles are seen asflexibly stable learning preferences. The lastcategory moves on from learning styles tolearning approaches, strategies, orientationsand conceptions of learning [6, 7].

First family of learning style has beenchosen for this research because it relies onthe idea that learning styles and preferencesare largely constitution based including themodalities but other families have their ownlimitations. Visual learners have a preferencefor seen or observed things, including pictures,diagrams, demonstrations, displays, handouts,films and flip-chart. Auditory learners have apreference for the transfer of informationthrough listening: to the spoken word, of self orothers, of sounds and noises. Kin aestheticlearners have a preference for physicalexperience - touching, feeling, holding, doing,and practical hands-on experiences [6].

AN ALGORITHM TO DYNAMICALLY ASSESSTHE LEARNING STYLE

The proposed learning style algorithm usesthe structured questionnaire developed by V.Chislett and A. Chapman (2005) under the firstfamily of learning style. A structuredquestionnaire has been used to identify the typeof learners such as visual, auditory and kinaesthetic using thirty questions.

Fig. 1. Algorithm to Find the Learning Style

Fig.1 shows an algorithm to dynamically

find the learning style of the learner. Learnerhas to login the system with their username andpassword. Once the learner logs in, he/she mustanswer the thirty questions that help to measurethe style. Each question consists of threechoices which represent the learning style andis uploaded randomly from the database.Among the answers, the system calculates thestatistical mode, finds the learning style of therespective user and shows his/her learning style

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and guides them to the appropriate lessons, inline with their learning style. Even when thestudent gets low grade in individual onlineexaminations of various modules, the systemguides them to make sure about theirlearning style. Learning style isa psychological factor and it differs from personto person, time to time and environment toenvironment. Therefore individual learningstyles are ascertained and stored in thedatabase with respect to the user and it canbe used for future analysis.

DEVELOPMENT OF DYNAMICALLY ASSESSTHE SOFTWARE ENGINEERING STUDENTS’SLEARNER LEARNING

This has been originated using thealgorithm, which is mentioned in Fig.1 andlearning analytics concepts. “Keller ARCSTheories”, “Learning Through Dialog

Fig. 2: Screenshot for Measure the Learning Style

Theory” and “Aptitute–Treatment Interaction

Theory” learning theories are assumed for theformulation of this module.

Fig.2 exhibits dynamically measure of thelearning style of the user. This consists of thirtylearning style questions and the usercompulsorily answers all the questions. Once theuser submit the answer for the questions, it findsthe learning style of the respective user and ithas been stored in database with the user nameand displays the learning style and guides theuser to choose the right learning materialsaccording to their learning style. Fig.3 shows thesample screenshot for the suggestion of thelearning materials. This helps the teacher toprovide the learning materials inline with the

student’s learning style which motivates thestudents to study software engineering.

Fig 3.Screenshot for Suggestion of LearningMaterials

CONCLUSION

Software engineering education has beenpracticed through several teaching and learningmethods but these methods do not produceenough talented software engineers to theindustry’s expectations since these methodssatisfy a specific learning style. Previousresearch provides evidence that softwareengineering class contains all types of learnercategories such as visual, auditory and kinaesthetic, in nearly equal in strength. Therefore,it is important to check the learning style of thelearner and provides the learning materialsaccording to his/her learning style that wouldmotivate the knowledge gathering process. Theproposed algorithm discovers the leaner styleand leads the student to easily pick the learningmaterials in line with their learning style.Therefore, students are motivated to learnsoftware engineering concepts enjoyably thanthe other teaching and learning methods and thismodel also stimulates collaborative learningenvironment. This environment encourages thestudents to study software engineering in depthand become a knowledgeable software engineer.

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A STUDY OF VARIOUS WORMS AND THEIR DETECTION

SCHEMES

*SUCHETA1, K P YADAV2

1Research Scholar, Department of Computer Science, Sai Nath University, Ranchi, India 2 Director, MIET, Greater Noida, Uttar Pradesh, India

*Address for correspondence: Sucheta, Research Scholar,

Department of Computer Science,

Sai Nath University, Ranchi, India

ABSTRACT

Computer worms have a behavior of self-propagation over the host machines and have beenterrorizing the Internet for the last several years. This is due to the ability of worms to propagatein automated fashion as they continuously compromise computer on the internet. At the sametime, being fully automated, it makes their behavior repetitious and predictable. This articlepresents a survey on the behavior and detection schemes of Internet worms. We first identifyworm characteristics through their behavior, and then classify worm detection algorithms basedon the parameters used in the algorithms. Furthermore, we analyze and compare differentdetection algorithms with reference to the worm characteristics by identifying the type of wormsthat can and cannot be detected by these schemes.

Keywords: Self-Propagation, Behavior, Detection, Vulnerability, Algorithms

INTRODUCTION

Self-propagating malicious codes known ascomputer worms spread themselves without anyhuman interaction and launch the mostdestructive attacks against computer networkslike launching massiveDistributed Den ia l - o f -Service (DDoS) attacks that disrupt the Internetutilities, access confidential information that canbe misused through large-scale traffic sniffing,key logging etc. They destroy data that has ahigh monetary value, and distribute large-scaleunsolicited advertisement emails (as spam) orsoftware (as malware). These worms includeCamouflaging worm (C-Worm in short)[2], Code-Red worm[3], Slammer worm[4], Witty/Sasserworms [8] and Morris Worm [6]. Being ful lyautomated, a worm’s behavior is usuallyrepetitious and predictable, making it possibleto be detected. A worm’s life consists of thefollowing phases: target finding, transferring,activation, and infection. Since worms involvenetwork activities in the first two phases, theirbehaviors in these two phases are critical fordeveloping detection algorithms. Therefore, this

paper first focuses on worm characteristics thatfacilitate their detection. Many algorithms havebeen proposed in the past to try to catch andstop the spread of Internet worms. Most researchpapers discuss efforts that are related to theirproposed work, but none of these papers givesa comprehensive classification of the existingmodeling and detection schemes. This papercontains a complete study of some active wormswith their behavior and identified variousmodeling and detection schemes.

Overview

After an introductory terminology ispresented, worm characteristics during targetfinding and worm transferring phases areidentified. This is followed by an overview of wormdefense mechanisms: modeling and detection.The modeling of various worms and detectionschemes are presented next. Depending onwhere the detection is implemented, they mayconstruct different views of worm propagationbehaviors, so there may be differences in the

scope of their defenses.

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TECHNOLOGY

A. Activation

Activation is when a worm starts performingits malicious activities. Activation might betriggered on a specific date or under certainconditions.

B. False alarm

A false alarm is an incorrect alert generatedby a worm detection system.

C. False Positive

A false positive is a false alarm where analert is generated when there is no actual attackor threat.

D. False negative

False negative means the detection systemmissed an attack. It is false negative if no alert isgenerated while the system is under an attack.

E. Infection

Infection is the result of the worm performingits malicious activities on the host.

F. Target Finding

Target finding is the first step in the worm’slife to discover the victims (vulnerable hosts).

G. Threshold

Threshold is a predefined condition that, ifmet, indicates the existence of specious traffic ora worm attack.

H. Transfer

Transfer refers to sending a copy of the wormto the target after the victim (target) is defined.

I. Virus

A virus is a malicious piece of code thatattaches to other programs to propagate. It cannotpropagate by itself, and normally depends on acertain user intervention, such as opening up anemail attachment or running an executable file,to be activated.

J. Worm

A worm is a malicious piece of code that self-propagates, often via network connections,exploiting security flaws in computers on thenetwork. In general, worms do not need anyhuman intervention to propagate; however, acategory of worms called passive worms requirecertain host behavior or human intervention topropagate. For example, a passive worm onlypropagates itself until it is contacted by anotherhost.

EXISTING INTERNETWORMS

In this section we look at one of the firstInternet worms, the Morris worm, which gainedextensive media coverage, then discuss fivemore recent Internet worms: Morris, Code Red,Slammer, and Witty based on theircharacteristics.

1. Morris Worm

The Morris worm was one of the firstInternet worms whose devastating effect gainedthe wide attention of the media. Morris worm waslaunched in November 1988 by Robert TappanMorris, who was a student at Cornell Universityat the time. It is the first known worm to exploitthe buffer overflow vulnerability. It targeted sentmails and finger services on DEC VAX and Sun3 hosts. Based on the creator’s claim, the Morrisworm was not intended to cause any harm, butwas designed to discover the number of thehosts on the Internet. The worm was supposedto run a process on each infected host to respondto a query if the host was infected by the Morrisworm or not. If the answer was yes, the infectedhost should have been skipped; otherwise, theworm would copy itself to the host. However, aflaw in the program caused the code to copyitself multiple times to already infected machines,each time running a new process, slowing downthe infected hosts to the point that they becameunusable.

Fig 1: Categorization of worm characteristics


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• Behaviour

The Morris worm was a mixture ofsophistication and naivety. It had a simple overalldesign: look at a computer’s system configurationto find potential neighbors, invade them, and tryto minimize the number of invasions on anymachine. The worm used heuristic knowledgeabout Internet topology and trust relationshipsto aid its spread, and it targeted two differentmachine architectures. Its cleverness in findingpotential attack targets made it especiallyeffective, but it also took on the time consumingtask of guessing passwords on individual useraccounts, which gave it an “attack in depth”aspect. Nonetheless, it became a victim of itsown success as it was unable to control itsexponential growth. With no global informationand no point of control, the Morris worm ranrampant.

• It attacked one operating system, but twodifferent computer architectures.

• It had three distinct propagation vectors.

• It had several mechanisms for finding bothpotential nodes to infect, particularlyinformation about the local system’s IPconnectivity (its network class and gateway),and information found in user accounts.

• It traversed trusted accounts using passwordguessing.

• It installed its software via a two-step “hookand haul” method that required the use of aC compiler, link loader, and a call backnetwork connection to the infecting system.

• It evaded notice by obscuring the processparameters and rarely leaving files behind.

• It attempted to limit the re- infection rate oneach node (but not the total number).

• It attempted to run forever on as many nodesas possible.

• Detection Scheme

The Morris worm also contained some note-worthy design flaws:

• It was overly aggressive. Although it did havea way to notice multiple infections, its rate-

limiting behavior was not effective, and ahundred or more copies could be running ona single machine. Even uninfected machineswere vulnerable to assault through multipleinfection attempts coming from manyindependent sources.

• As the number of infections increased, theworm’s ability to limit itself decreased. Raceconditions in its detection method actuallycaused the infection rate to increase.

• It could not trace its progress or control it.

• Log files, particularly send mail logs,contained information about the worm’susage. Some log files filled up with theinformation, and the machines’ I/O loadincreased.

• Its infection method depended on the Ccompiler, thus preventing access to somemajor sites that had already establishedmachines that acted as bastions, limitingnetwork access. These machines might nothave had C compilers.

• A variety of resource failures left many copiesof the “hook” program on the attackedmachines.

The intensity of the attacks on machinesrunning the SMTP protocol, particularly thoserunning the Unix send mail program, resulted indenial of email service to large portions of theInternet. This was the Morris worm’s mostdisruptive aspect. Like many human infections,it was not the worm itself that was harmful, butits secondary effects on resources.

2. Code-Red Worm

Code Red I was first seen in July 2001affecting computers running Microsoft’s InternetInformation Server (IIS) Web service. In the first20–25 days after getting into the machine, CodeRed I uses a blind scan scheme that scans port80 on random IP addresses to find othervulnerable machines, and then it launches adenial-of-service (DoS) attack targeting a set ofIP addresses. The infected websites will display:“HELLO! Welcome to http://www.worm.com!Hacked By Chinese!” Code Red II was releasedone month later. It is a variant of the originalCode Red. Code Red II no longer launches a

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DoS attack against predefined IP addresses;instead, it installs a backdoor into the infectedsystems. It still employs blind scan but focusesmore on the local subnet, and targets mainlysystems with Chinese language settings. CodeRed I sends its payload in monomorphic formatand has a signature starting with “GET /default.ida?NNNNNNN.” Code Red II has a similarsignature, but replaces N with X. Both versionsof Code Red are self-carried and transfer viaTCP connections.

Behavior

On July 12, 2001, the Code-Red I wormbegan to exploit the aforementioned bufferoverflow vulnerability in Microsoft’s IIS webservers. Upon infecting a machine, the wormchecks to see if the date is between the first andthe nineteenth of the month. If so, the wormgenerates a random list of IP addresses andprobes each machine on the list in an attempt toinfect as many computers as possible. However,this first version of the worm uses a static seedin its random number generator and thusgenerates identical lists of IP addresses on eachinfected machine.

On the 20th of every month, the worm isprogrammed to stop infecting other machinesand proceed to its next attack phase in which itlaunches a Denial-of-Service attack a g a i n s twww.whitehouse.gov from the 20th to the 28thof each month. The worm is dormant on days ofthe month following the 28th.

The worm defaces some web pages withthe phrase “Hacked by Chinese”. There is noevidence either supporting or refuting theinvolvement of Chinese hackers with the Code-Red I worm. The first version of the Code-Redworm (Code-Red I v1) caused little damage.Although the worm’s attempts to spread itselfconsumed resources on infected machines andlocal area networks, it had little impact on globalresources.

On August 4, 2001, an entirely new worm,Code Red II began to exploit the buffer-overflowvulnerability in Microsoft’s IIS web servers.Although the new worm is completely unrelatedto the original Code-Red I worm, the source codeof the worm contained the string “Code Red II”

which became the name of the new worm. RyanPermeh and Marc Maiffret analyzed CodeRed IIto determine its attack mechanism. When a worminfects a new host, it first determines if the systemhas already been infected. If not, the worminitiates its propagation mechanism, sets up a“backdoor” into the infected machine, becomesdormant for a day, and then reboots the machine.Unlike Code-Red I, Code Red II is not memoryresident, so rebooting an infected machine doesnot eliminate Code Red II.

After rebooting the machine, the Code RedII worm begins to spread. If the host infectedwith Code Red II has Chinese (Taiwanese) orChinese (PRC) as the system language, it uses600 threads to probe other machines. On allother machines it uses 300 threads. Code RedII uses a more complex method of selecting hoststo probe than Code-Red I. Code Red II generatesa random IP address and then applies a maskto produce the IP address to probe. The lengthof the mask determines the similarity betweenthe IP address of the infected machine and theprobed machine.

The Code Red II worm is much moredangerous than Code-Red I because Code RedII installs a mechanism for remote, administrator-level access to the infected machine. UnlikeCode-Red I, Code Red II neither defaces webpages on infected machines nor launches aDenial-of-Service attack. However, the backdoorinstalled on the machine allows any code to beexecuted, so the machines could be used as“zombies” for future attacks (Denial-of-Serviceor otherwise).


In this section, we first characterize thespread of the Code Red I and Code Red IIworms, then examine the properties of theinfected host population, and finally determinethe rate at which infected hosts are repaired.

To determine the rate of host infection, werecorded the time of the first attempt of eachinfected host to spread the worm.

• Deactivation Rate

During the course of a particular day, a fewinitially infected machines were patched,


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rebooted, or filtered and consequently ceasedto probe networks for vulnerable hosts. Weconsider a host that was previously infected tobe inactive. The majority of hosts stoppedprobing in the last hour before midnight UTC. Atmidnight, the worm was programmed to switchfrom an “infection phase” to an “attack phase”,so the large rise in host inactivity is due to thisdesign. The end of day phase change can beseen clearly, which shows the number of newlyinactive hosts per minute. Because the CodeRed II worm infects the same host populationas Code-Red I v2, we neither expected normeasured an increase in the number of hostsprobing our network once the Code Red II wormbegan to spread.

Fig 2: Cumulative total of deactivated Code-Red I

infected hosts.

We also monitored no significant differencein the overall number of unsolicited TCP SYNs.No change in probe rate is apparent followingthe spread of Code Red II. Although Code RedII uses six times as many threads to spread asCode-Red I .Because our /8 network containedno susceptible hosts, the net probe rate weobserve from Code Red II is the same as that ofCode-Red I. Thus, we cannot distinguish hostsinfected with Code Red II from those infectedwith Code-Red I. In their October 2001 study,Arbor Networks measured the ratio betweenCode-Red I and Code Red II probes to be1:3.This 1:3 ratio may indicate the ratio betweenhosts infected with Code Red II versus CodeRed I.

Fig 3: Rate of infected host deactivation in one minute

periods.

3. Slammer Worm

Slammer, also known as Sapphire, was oneof the smallest worms ever seen. It was found inJanuary 2003 targeting Microsoft SQL Server2000 or MSDE 2000. Slammer uses UDP port1434 to exploit a buffer overflow in an MS SQLserver. The code size is 376 bytes. Adding theUDP header makes the worm 404 bytes long intotal. It uses a blind scan scheme whererandomly generated numbers are used as IPaddresses in searching for vulnerable hosts. Toinitialize the random number generator, Slammeruses the GetTickCount() function from Win32API. Sometimes the random generator returnsvalues that are broadcast addresses, such asa.b.c.255, and causes all the hosts in thatnetwork to receive the worm packets, making thespread of the Slammer worm more rapid. Likemost UDP worms, Slammer is self-carried andhas a monomorphic payload. Slammer does notwrite to the disks of infected machines, it onlyoverloads the victim systems and slows downtraffic.

• Behaviour

The worm’s spreading strategy usesrandom scanning .It randomly selects IPaddresses, eventually finding and infecting allsusceptible hosts. Random-scanning wormsinitially spread exponentially, but their rapid new-host infection slows as the worms continuallyretry infected or immune addresses. Thus, aswith the Code Red worm, Slammer’s infected-host proportion follows a classic logistic form ofinitial exponential growth in a finite system.

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While Slammer spread nearly two orders ofmagnitude faster than Code Red, it probablyinfected fewer machines. Both worms use thesame basic scanning strategy to find vulnerablemachines and transfer their exploitive payloads.

However, they differ in their scanningconstraints. While Code Red is latency-limited,Slammer is bandwidth-limited, enabling Slammerto scan as fast as a compromised computer cantransmit packets or a network can deliver them.For a random-scanning worm to be effective, itneeds a good source of random numbers toselect new attack targets. Slammer’s random-number generator has some interestingdeficiencies that make our analysis difficult and,perhaps, have implications for future worms.Slammer uses a linear congruent or powerresidue, pseudo random number generation(PRNG) algorithm.

These algorithms take the form:

x' = (x × a + b) mod m, where x’ is the newpseudo random number to be generated, x isthe last pseudo random number generated, mrepresents the range of the result, and a and bare carefully chosen constants. Linear congruentgenerators are very efficient and, withappropriate values of a and b have reasonablygood distributional properties (although they arenot random from a sequential standpoint).Slammer’s author intended to use a linearcongruent parameterization that Microsoft pop-ularized,

x' = (x ×214013 + 2531011)

mod 232.However, we found two implementationmistakes. First, the author substituted a differentvalue for the 2531011 increment value: hex0xFFD9613C. This value is equivalent to –2531012 when interpreted as a two’s-complement decimal. So, it seems likely that theconversion to a negative number was an error(the author seems to have forgotten that creatinga negative number in twos complement requiresinverting and adding 1, not simply inverting), andprobably that the author intended to use the SUBinstruction to compensate for the resultingnegative number, but mistakenly used ADDinstead. The negative constant would be moredesirable in the code, as this would eliminateany null (all zero) characters from the worm’scode. The result is that the increment is always

even. The author’s second mistake was tomisuse the OR instruction, instead of XOR, toclear an important register. This error left theregister’s previous contents intact.

These mistakes significantly reduce thegenerator’s distribution quality. Because b is evenand the salt is always 32-bit aligned, the least-significant two bits are always zero. Interpretedas a big-endian IP address (the most significantvalue in the sequence is stored at the loweststorage address), this ensures that the 25th and26th bits in the scan address (the upper octet)remain constant in any worm execution instance.Similar weaknesses extend to the 24th bit of theaddress, depending on the un cleared register’svalue. Moreover, with the incorrectly chosenincrement, any particular worm instance cyclesthrough a list of addresses significantly smallerthan the actual Internet address space.

Thus, many worm instances will neverprobe our monitored addresses because noneof them are contained in the worm’s scan cycle.Combined with the size of our monitored addressspace, 3 these mistakes prevent us fromaccurately measuring the number of infectedhosts during the first minutes of the worm’sspread.

Slammer will or will not include entire /16address blocks (large contiguous addressranges) in a cycle, because the last two bits ofthe first address byte never change. We wereable to assemble lists of the address blocks ineach cycle for each value of the salt (cyclestructure depends on salt value). Fortunately, theprobability of choosing a particular cycle isdirectly proportional to the size of the cycle if theinitial seed is selected uniformly at random.

If we looked at many randomly seededworms, it is likely that all Internet addresseswould be probed equally. Thus, we canaccurately estimate the worm’s scanning rateduring the infection process by monitoringrelatively small address ranges. We can estimatethe percentage of the Internet that is infectedbecause the probing will cover all Internetaddresses.

If not for the higher-quality numbers in theinitial seed, these flaws would prevent the wormfrom reaching large portions of the Internet


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address space, no matter how many hosts wereinfected. For the same reason, these flaws alsocould bias our measurements because eventhough our data come from several differentnetworks, there is a small chance that thoseparticular networks were disproportionately moreor less likely to be scanned.

3. Witty Worm

The Witty worm was released in March2004, targeting buffer overflow vulnerability inseveral Internet Security Systems (ISSs),including Real Secure Server Sensor, RealSecure Desktop, and Black ICE. Witty tookadvantage of a vulnerability of the ISS ProtocolAnalysis Module (PAM) used for ICQ instantmessaging. Witty is a self-carried monomorphicUDP worm that employs a blind target findingscheme. It sends out UDP packets to 20,000random generated IP addresses on randomdestination ports from source port 4000, with arandom packet size ranging between 768– 1307bytes. The code size of Witty is only 637 bytes,and the rest of the payload is padded with datafrom system memory. This padding does notchange the monomorphic format of Witty. Thepayload contains the text “(^.^) insert wittymessage here (^.^),” which is why it is namedWitty. Witty randomly writes data onto the diskof infected machines. It is harder to detect Wittyworms than worms with fixed size packetstargeting fixed destination port numbers becauseof its random characteristics. The size of Wittyworms is larger than Slammer worms, but theyspread faster than Slammer. This proves thatsize is not always the bottleneck for thespreading of UDP worms. Another significanceof the Witty worm is that it was the first knownworms distributed using botnets.

Behavior

• It was the first widely propagated Internetworm to carry a destructive payload.

• It started in an organized manner with anorder of magnitude more ground-zero hoststhan any previous worm.

• It represents the shortest known intervalbetween vulnerability disclosure and wormrelease. It began spreading the day after theISS vulnerability was publicized.

• It spread through a host population in whichevery compromised host was proactive insecuring its computers and networks.

• It spread through a population almost anorder of magnitude smaller than that ofprevious worms, demonstrating worms’viability as an automated mechanism torapidly compromise machines on theInternet, even in niches without a softwaremonopoly.

Detection Scheme

In this section, we in detail explain thetechnical aspects of monitoring Witty worm.

Network telescope

Because Internet worm victims span diversegeographic and topological locations, the overallimpact of a worm is difficult to measure from asingle viewpoint. The University of California, SanDiego (UCSD) Network Telescope consists of alarge piece of globally announced IPv4 addressspace that we have instrumented to monitornetwork security events. The telescope containsalmost no legitimate hosts, so inbound traffic tononexistent machines is always anomalous insome way.

Because the network telescope con ta in sapproximately 1/256th of all IPv4 addresses, wereceive roughly one out of every 256 packetssent by an Internet worm with an unbiasedrandom number generator. Because we areuniquely situated to receive traffic from everyworm-infected host, we provide a global view ofthe spread of many Internet worms.

ISS vulnerability

Several ISS firewall products contain aprotocol analysis module (PAM) to monitorapplication traffic. The PAM routine in version3.6.16 of isspam1.dll analyzed ICQ server trafficand assumes that incoming packets on port 4000are ICQv5 server responses and that this codecontains a series of buffer overflowvulnerabilities. eEye discovered this vulnerabilityon 8 March 2004 and announced it with ISS 10days later. ISS released an alert, warning usersof a possibly exploitable security hole andproviding updated software versions that werenot vulnerable to the buffer overflow attack.

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Witty worm details

Once Witty infects a host, the host sends20,000 packets by generating packets with arandom destination IP address, a random sizebetween 796 and 1,307 bytes, and a destinationport. The packets’ small size ensures fasttransmission; as well, they are unlikely to be toobig, for any network segment that they traverse, if they were too big, they would be broken intosmaller pieces in the network, which could slowthe spread of the worm. Because the Wittypackets sizes are random, they are more difficultto filter than fixed sized packets and complicatesimple blocking measures that limit or preventthe worm’s spread. If they had been a fixed size,it would have been easier to quickly block Wittytraffic to limit or prevent the worm’s spread. Theworm payload of 637 bytes is padded with datafrom system memory to fill the random size, anda packet is sent out from source port 4000. AfterWitty sends the 20,000 packets, it seeks out arandom point on the hard disk and writes65kbytes of data from the beginning of iss-pam1.dll to the disk. After closing the disk, Wittyrepeats this process until the machine is rebootedor it permanently crashes.

Table 1: Existing Internet Worm Implementations

CONCLUSION

We studied a new class of worms, whichhas the capability of self-propagation and furtheravoid them by detection. Our investigationshowed that worms successfully propagate in thetime domain as well as frequency domain. Basedon observation, we identified various detectionschemes to detect them. Our evaluation datashowed that our schemes achieved superiordetection performance against the worms in

comparison with existing representative detectionschemes.

An ideal system should use a combinationof schemes to have more comprehensivecoverage. Different detection schemes are usefulat different levels of implementation. This paperlays the foundation for ongoing studies of “smart”worms that intelligently adapt their propagationpatterns to reduce the effectiveness ofcountermeasures.

REFERENCES

1. Pele Li, Mehdi Salour, And Xiao Su, San Jose StateUuniversity, “A Survey of Internet Worm Detectionand Containment 1ST QUARTER 2008, VOLUME10, NO. 1

2. Wei Yu, Xun Wang, Prasad Calyam, Dong Xuan,and Wei Zhao, Fellow, IEEE Transaction onDependable and Secure Computing, Vol 8, No. 3,May/June 2011 – “ Modeling and Detection ofCamouflaging Worm.

3. D. Moore, C. Shannon, and J. Brown, “Code-Red: ACase Study on the Spread and Victims of anInternet Worm,” Proc. Second I n t e r n e tMeasurement Workshop (IMW), Nov. 2002.

4. D. Moore, V. Paxson, and S. Savage, “Inside theSlammer Worm,” Proc. IEEE Magazine of Securityand Privacy, July 2003.

5. E. Spafford, “The Internet Worm Program: AnAnalysis,” Comp.Commun. Rev., 1989.

6. “Morris (Computer Worm),” retrieved July 2007,http://en.wikipedia.org/wiki/Morris_wormM. Young,The Technical Writer’s Handbook. Mill Valley, CA:University Science, 1989.

7. G. P. Schaffer, “Worms and Viruses and Botnets,Oh My! Rational Responses to Emerging InternetThreats,” IEEE Sec. & Privacy, vol. 4, 2006, pp. 52–

58.

Worm

Target

Findin

g

Schem

e

Propagatio

n Scheme

Transmissio

n Scheme

Morris

Blind

Self-carried

TCP

Code-

Red

Blind*

Self-carried

TCP

Slamme

r

Blind

Self-carried

UDP

Witty

Blind

Botnet

UDP

*Code-Red II focused on local subnet scan


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SURVEY AND ANALYSIS OF CURRENT WEB USAGE MINING

SYSTEM AND TECHNOLOGIES

*VIGNESH V.1, K KRISHNAMOORTHY2

1Research Scholar, Department of Computer Science & Engineering, Sai Nath University, Ranchi, India2 Professor & Head, Department of Computer Science & Engineering , Sudarshan Engineering College,

Pudukkottai, Tamilnadu, India

*Address for correspondence: Vignesh V., Research Scholar, Department of Computer Science &Engineering, Sai Nath University, Ranchi, India

ABSTRACT

The paper discusses about web usage mining which involves the automatic discovery of useraccess patterns from one or more Web servers. This article provides a survey and analysis ofcurrent Web usage mining systems and technologies. The paper also confers about theprocedure in which the web usage mining of the data sets is carried out. Finally the paperconcludes with the areas in which web usage mining is implemented.

Keywords: User/Session identification, Web Recommender, Web log, Server log

INTRODUCTION

Web mining is the application of data miningtechniques to discover patterns from the Web.According to analysis targets, web mining canbe divided into three different types, which areWeb usage mining, Web content mining andWeb structure mining. Web Mining is theextraction of interesting and potentially usefulpatterns and implicit information from artifacts oractivity related to the World Wide Web.

According to the differences of the miningobjects, there are roughly three knowledgediscovery domains that pertain to web mining :web content mining, web structure mining, andweb usage mining. Web content mining is theprocess of extracting knowledge from the contentof documents or their descriptions. Web contentmining is the process to discover usefulinformation from text, image, audio or video datain the web. Web content mining sometimes iscalled web text mining, because the text contentis the most widely researched area. Webdocument text mining, resource discovery basedon concepts indexing or agent based technologymay also fall in this category. Web structuremining is the process of inferring knowledge fromthe World Wide Web Organization and links

between references and referents in the Web.Finally, web usage mining, also known as WebLog Mining, is the process of extractinginteresting patterns in web access logs.

WEB USAGE MINING

Web usage mining is the type of web miningactivity that involves the automatic discovery ofuser access patterns from one or more webservers. Organizations often generate and collectlarge volumes of data in their daily operations.Most of this information is usually generatedautomatically by web servers and collected inserver access logs.

Other sources of user information includereferrer logs which contains information aboutthe referring pages for each page reference, anduser registration or survey data.

Web Usage Mining is to mine data from logrecord on web page. Log records lots of usefulinformation such as URL, IP address and timeand so on. Analyzing and discovering Log couldhelp us to find more potential customers andtrace service quality and so on. The web usagemining is the process of applying the data miningtechnology to the web data and is the pattern ofextracting something that the users are interested

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in their network behaviors. When people visit onewebsite, they leave some data such as IPaddress, visiting pages, visiting time and so on,web usage mining will collect, analyze andprocess the log and recording data. Throughthese, utilize some mathematical method toestablish users’ behavior and the interestmodels, and use these models to understandthe user’s behavior, thus to improve the websitestructure. Then it finally provides a bettercharacteristic information service for the user.The content and structure of a Web site are usedas inputs to every major step of the process.

1. Content

The real data in the Web pages, that is, thedata the Web page was designed to convey tothe users. This usually consists of, but is notlimited to, text and graphics.

2. Structure

Data that describes the organization of thecontent. Intra page structure information includesthe arrangement of various HTML or XML tagswithin a given page. The principal kind of interpage structure information is hyperlinksconnecting one page to another.

3. Usage

Data that describes the pattern of usage ofWeb pages, such as IP addresses, pagereferences, and the date and time of accesses.Typically, the usage data comes from anExtended Common Log Format (ECLF) Serverlog.

log file line has the following fields as shownin figure

APPROACH OF WEB USAGE MINING

1. Requirement Analysis

Web access logs are the files that recordthe users’ browsing information on the server.Many kinds of formats are available for web logfiles.

Format of Extended Log File

(a) Common web log format

A web server log file contains requestsmade to the web server, recorded in chronologi-

cal order. The most popular log file formats arethe Common Log Format (CLF) and the extendedCLF. A common log format file is created by theweb server to keep track of the requests thatoccur on a web site. A standard log file has the

following format as shown in figure

Format of Standard Log File

i. remote host is the remote host name or its IPaddress,

ii. log name is the remote log name of the user,

iii. user name is the username as which the userhas authenticated himself,

iv. date is the date and time of the request,

v. request is the exact request line as it came fromthe client,

vi. status is the HTTP status code returned to theclient, and

vii. bytes is the content-length of the documenttransferred.

(b) Extended log file format

An extended common log format file is avariant of the common log format file simplyadding two additional fields to the end of the line,the referrer Universal Resource Locator (URL)and the user agent fields:

i. Referrer URL is the page the visitor was onwhen they clicked to come to this page.

ii. User Agent is whatever software the visitorused to access this site. It’s usually a browser,but it could equally be a web robot, a linkchecker, a File Transfer Protocol (FTP) clientor an offline browser. The format of theextended common log file line has thefollowing fields as shown in figure

Format of Extended Log File

Remotehost Logname Username Date Request Status Bytes


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(c) Apache log file format

Apache Log File Format

An example of a record in web access logstored in Apache log format is:

219.144.222.253 - - [16/Aug/2004:15: 36: 11+0800]

“GET/images/1_r3_c2.jpgHTTP/1.1” 200418 “http://202.117.16.119:8089/index.html”“Mozilla/4.0 (compatible; MSIE 6.0; WindowsNT 5.1)”

STEPS IN WEB USUAGE MINING (WUM)

The web usage mining generally includesthe following several steps: data collection, datapre-treatment, and knowledge discovery andpattern analysis.

(1) Data collection

Data collection is the first step of web usagemining, the data authenticity and integrity willdirectly affect the following works smoothlycarrying on and the final recommendation ofcharacteristic service’s quality. Therefore it mustuse scientific, reasonable and advancedtechnology to gather various data. At presenttowards web usage mining technology, the maindata origin has three kinds: server data, clientdata and middle data (agent server data andpackage detecting).

(2) Data preprocessing

Some databases are insufficient,inconsistent and including noise. The data pre-treatment is to carry on a unificationtransformation to those databases. The result isthat the database will to become integrate andconsistent, thus establish the database whichmay mine. In the data pre-treatment work, itmainly include data cleaning, user identification,session identification and path completion.

i. Data Cleaning

The purpose of data cleaning is to eliminateirrelevant items, and these kinds of techniquesare of importance for any type of web log analysisnot only data mining. According to the purposesof different mining applications, irrelevant recordsin web access log will be eliminated during datacleaning.

Since the target of Web Usage Mining is toget the user’s travel patterns, following two kindsof records are unnecessary and should beremoved:

1) The records of graphics, videos and theformat information- The records havefilename suffixes of GIF, JPEG, CSS, and soon, which can found in the URI field of theevery record

2) The records with the failed HTTP statuscode- By examining the Status field of everyrecord in the web access log, the recordswith status codes over 299 or under 200 areremoved.

It should be pointed out that different frommost other researches, records having value ofPOST or HEAD in the Method field are reservedin present study for acquiring more accuratereferrer information.

Fig. 1: High level Web Usage Mining process

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ii. User and Session Identification

The task of user and session identificationis to find out the different user sessions from theoriginal web access log. User’s identification is,to identify who access web site and which pagesare accessed. The goal of session identificationis to divide the page accesses of each user at atime into individual sessions. A session is aseries of web pages user browse in a singleaccess. The difficulties to accomplish this stepare introduced by using proxy servers, e.g.different users may have same IP address in thelog. A referrer-based method is proposed tosolve these problems in this study. The rulesadopted to distinguish user sessions can bedescribed as follows:

(a) The different IP addresses distinguishdifferent users;

(b) If the IP addresses are same, the differentbrowsers and operation systems indicatedifferent users;

(c) If all of the IP address, browsers andoperating systems are same, the referrerinformation should be taken into account. TheRefer URI field is checked, and a new usersession is identified if the URL in the ReferURI field hasn’t been accessed previously,or there is a large interval (usually more than10 seconds) between the accessing time ofthis record and the previous one if the ReferURI field is empty;

(d) The session identified by rule 3 may containsmore than one visit by the same user atdifferent time, the time-oriented heuristics isthen used to divide the different visits intodifferent user sessions. After grouping therecords in web logs into user sessions, thepath completion algorithm should be usedfor acquiring the complete user access path.or the user community’s interests thenconstruct interest model. At present theusually used machine learning methodsmainly have clustering, classifying, therelation discovery and the order modeldiscovery. Each method has its ownexcellence and shortcomings, but the quiteeffective method mainly is classifying andclustering at the present.

(4) Pattern Analysis

Challenges of Pattern Analysis is to filteruninteresting information and to visualize andinterpret the interesting patterns to the user.

First delete the less significance rules ormodels from the interested model storehouse;Next use technology of OLAP and so on to carryon the comprehensive mining and analysis; Oncemore, let discovered data or knowledge bevisible; Finally, provide the characteristic serviceto the electronic commerce website.

Fig. 2: Preprocessing of Web usage data

iii. Path completion

Another critical step in data preprocessingis path completion. There are some reasons thatresult in path’s incompletion, for instance, localcache, agent cache, “post” technique andbrowser’s “back” button can result in someimportant accesses not recorded in the accesslog file, and the number of Uniform ResourceLocators (URL) recorded in log may be less thanthe real one. Using the local caching and proxyservers also produces the difficulties for pathcompletion because users can access the pagesin the local caching or the proxy servers cachingwithout leaving any record in server’s access log.As a result, the user access paths areincompletely preserved in the web access log.To discover user’s travel pattern, the missingpages in the user access path should beappended. The purpose of the path completionis to accomplish this task. The better results ofdata pre-processing will improve the minedpatterns’ quality and save algorithm’s runningtime. It is especially important to web log files,


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in respect that the structure of web log files arenot the same as the data in database or datawarehouse. They are not structured andcomplete due to various causations. So it isespecially necessary to pre-process web log filesin web usage mining. Through data pre-processing, web log can be transformed intoanother data structure, which is easy to be mined.

(3) Knowledge Discovery

Use statistical method to carry on theanalysis and mine the pre-treated data- We maydiscover the user

WUM TOOLS

In the past, several WUM projects havebeen proposed to foresee users’ preference andtheir navigation behavior, as well as many recentresults improved separately the quality of thepersonalization or the user profiling phase.

(1) Speed Tracer

In Speed Tracer, a usage mining andanalysis tool is described. Its goal is tounderstand the surfing behavior of users. Alsoin this case, the analysis is done by exploringthe server log entries. The main characteristicof Speed Tracer is that it does not requirecookies or user registration for sessionidentification. In fact, it uses five kind ofinformation: IP, Time stamp, URL of therequested page, Referral, and Agent to identifyuser sessions. Advanced mining algorithmsuncover user’s movement through a Web site.The final result is a collection of valuablebrowsing patterns which help web masters betterunderstand user’s behavior. Speed Tracergenerates three types of statistics: user based,path based and group based. User basedstatistics pinpoint reference counts and durationsof accesses. Path based statistics identifyfrequent traversal paths in Web presentations.Group based statistics provide information ongroups of Web site pages most frequently visited.

(2) Suggest 3.0

SUGGEST 3.0 is a recommender systemaimed to provide the users with useful informationabout pages they may find of their interest. Thepersonalization is achieved by means of a set ofdynamically generated page links. Differently

from the recommender systems proposed so far,SUGGEST 3.0 does not make use of any off-line component, and is able to manage Web sitesmade up of pages dynamically generated.

To this purpose SUGGEST 3.0 incrementallybuilds and maintains historical information bymeans of an incremental graph partitioningalgorithm, requiring no off-line component.

(3) Collaborative filtering

Collaborative filtering is the most successfultechnology for building personalizedrecommendation system and is extensively usedin many fields. Most web personalizationrecommendation system adopt two types oftechniques: a content-based approach and acollaborative filtering (CF) approach. In thecontent-based approach, it recommends webobjects that are similar to what the user has beeninterested in the past. In the collaborative filteringapproach, it finds other users that have shownsimilar tendency to the given users andrecommends what they have liked. Thecollaborative filtering recommendation actsaccording to other users’ viewpoint to producerecommendation tabulates to the goal user. Itsbasic thought is based on a supposition: If usergrade to some product quite similarly, then theygrade to other product also similar.

(4) Web Personalizer

System which provides dynamicrecommendation, as a list of hyperlinks to users.Analysis is based on the usage data combinedwith structured data formed by hyperlinks of site.Aggregated usage profile is obtained by applyingdata mining technology in preprocessing phase.The online phase considers the active usersession in order to find match among useractivities and discover usage profile. Matchingentries are then used to compute a set ofrecommendations which will be inserted into lastrequested page as a list of hypertext links. Thissystem helps in personalization.

(5) Classifying User Navigation PatternsUsing Longest Common SubsequenceAlgorithm

Prediction of user future movements andintentions based on the users’ click stream data

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is a main challenging problem in Web basedrecommendation systems. Web usage miningbased on the users’ click stream data hasbecome the subject of exhaustive research, asits potential for web based personalized services,predicting user near future intentions, adaptiveWeb sites and customer profiling is recognized.This model provides online prediction throughweb usage mining system and propose a novelapproach for classifying user navigation patternsto predict users’ future intentions. The approachis based on using longest common subsequencealgorithm to classify current user activities topredict user next movement.

CONCLUSION

Web Usage Mining (WUM) systems arespecifically designed to carry out the task byanalyzing the data representing usage dataabout a particular Web Site. WUM can modeluser’s behavior and, therefore, to forecast theirfuture movements. Online prediction is one webusage mining application. Web usage miningmodel is a kind of mining to server logs and itsaim is to get useful users’ access information inlogs to make sites that can perfect themselveswith pertinence, serve users better and get moreeconomical benefit.

REFERENCES

1. R.Lakshmipathy, V.Mohanraj, J.Senthilkumar, Y.Suresh,“ Capturing Intuition of Online Users using Web UsageMining”, International Conference on AdvanceComputing of IEEE,2009.

2. Discovering Task-Oriented Usage Pattern for WebRecommendation, Guandong Xu, Yanchun Zhang,Xiaofang Zhou, Proceedings of 17th AustralasianDatabase Conference (ADC2006). 17th AustralasianDatabase Conference (ADC2006), Tasmania, Australia,(167-174). 16-19 January, 2006.

3. An Online Recommender System for LargeWeb Sites,Ranieri Baraglia and Fabrizio Silvestri

4. Mehrdad Jalali , Norwati Mustaphan ,Ali Mamat,NasirB Sulaiman “ A Recommender System Approach forClassifying User Navigation Patterns Using LongestCommon Subsequence Algorithm “, American Journalof Scientific Research ISSN 1450-223X Issue 4 (2009),pp 17-27 © EuroJournals Publishing, Inc. 2009

5. Subhash K Shinde, Dr U V Kulkarni “A New Approachfor Online Recommender System in Web Usage Mining”,International Conference on Advance Computing Theoryand Engineering of IEEE, 2008.

6. Research on Personalized Recommendation Based onWeb Usage Mining using Collaborative FilteringTechnique, Taowei Wang, Yibo Ren

7. “Page Interest Estimation Based on the User’s BrowsingBehaviour”, Bo-qin FENG, Feng WANG


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STUDY OF DATA MINING ALGORITHM IN CLOUD

COMPUTING USING MAP REDUCE FRAMEWORK

*E. GAJENDRAN1

, K P YADAV2

1Research Scholar, Sunrise University, Alwar, Rajasthan, India2Director, MIET, Greater Noida , Uttar Pradesh, India

*Address for correspondence : E. Gajendran,Research Scholar, Sunrise University, Alwar,

Rajasthan, India

ABSTRACT

Today’s Cloud Computing Technology has been emerged to manage large data sets efficientlyand due to rapid growth of data, large scale data processing is becoming a major point ofinformation technique. The Hadoop Distributed File System (HDFS) is designed for reliablestorage of very large data sets and to stream those data sets at high bandwidth to userapplications. In a large cluster, hundreds of servers both host directly attached storage andexecute user application tasks. By distributing storage and computation across many servers,the resource can grow on demand while remaining economical at every size. Map Reduce hasbeen widely used for large-scale data analysis in the Cloud. Hadoop is an open sourceimplementation of Map Reduce which can achieve better performance with the allocation ofmore compute nodes from the cloud to speed up computation; however, this approach of “rentingmore nodes” isn’t cost effective in a pay-as-you-go environment.

Keywords: Cloud Computing, Distributed Data Mining, Hadoop, Hadoop Distributed File System,Map Reduce

INTRODUCTION

These days large amount of data is createdevery day so with this rapid explosion of data weare moving towards the terabytes to petabytes.This trend creates the demand for theadvancement in data collection and storingtechnology. Hence there is a growing need torun data mining algorithm on very large data sets.Cloud computing is a new business modelcontaining pool of resources constituting largenumber of computers. It distributes thecomputation task to its pool of resources so thatapplications can obtain variety of softwareservices on demand. Another feature of cloudcomputing is that it provides unlimited storageand computing power which leads us to minemass amount of data.

Hadoop is the software framework for writingapplications that rapidly process large amountof data in parallel on large clusters of computenodes. It provides a distributed file system and aframework for the analysis and transformation

of very large data sets using the Map Reduceparadigm. The volume of data, collectively calleddata-sets, generated by the application is verylarge. So, there is a need of processing largedata-sets efficiently.

Map Reduce is a generic execution enginethat parallelizes computation over a large clusterof machines. An important characteristic ofHadoop is the partitioning of data andcomputation across many hosts, and executingapplication computations in parallel close to theirdata. A Hadoop cluster scales computationcapacity, storage capacity and IO bandwidth bysimply adding commodity servers.

Big data has been used to convey the allsorts of concepts, including huge quantities ofdata (with respect to volume, velocity, andvariety), social media analytics, next generationdata management capabilities, real-time data,and much more. Now organizations are startingto understand and explore how to process andanalyze a vast array of information in new ways.

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Data mining is the process of findingcorrelations or patterns among fields in large datasets and building up the knowledge-base, basedon the given constraints. The overall goal of datamining is to extract knowledge from an existingdataset and transform it into a humanunderstandable structure for further use. Thisprocess is often referred to as KnowledgeDiscovery in data sets (KDD). It encompassesdata storage and access, scaling algorithms tovery large data sets and interpreting results. Thedata cleansing and data access process includedin data warehousing facilitate the KDD process.

Based on the increasing demand for parallelcomputing environment of cloud and parallelmining algorithm, we study different miningalgorithms. Association rule based algorithm,Apriori algorithm, is improved in order to combineit with the Map Reduce programming model ofcloud and mine large amount of data. Withemerging trends in Cloud Computing, datamining enters a new era, which can have a newimplementation. We can use cloud computingtechniques with data mining to reach highcapacity and efficiency by using parallelcomputational nature of the cloud. As MapReduce provides good parallelism for thecomputation, it’s very suitable for us to implementdata mining system based on Map Reduce.

In a distributed computing environment,bunch of loosely coupled processing nodes areconnected by the network. Each node contributesinto the execution or distribution / replication ofdata. It is referred as a cluster of nodes. Thereare various methods of setting up a cluster, oneof which is usually referred to as clusterframework. Such frameworks enforce the settingup processing and replication nodes for data.Examples are Aneka and Apache Hadoop (alsocalled Map / Reduce). The other methods involvesetting up of cluster nodes on ad-hoc basis andnot being bound by a rigid framework. Suchmethods just involve a set of API calls basicallyfor remote method invocation (RMI) as a part ofinter-process communication.

The method of setting up a cluster dependsupon the data densities and upon the scenarioslisted below:

1. The data is generated at various locationsand needs to be accessed locally most ofthe time for processing.

2. The data for processing is distributed to themachines in the cluster to reduce the impactof any particular machine being overloaded that damages its processing.

RELATED WORK

Distributed Data Mining in Peer-to-PeerNetworks (P2P) [1] offers an overview of thedistributed data-mining applications andalgorithms for peer-to-peer environments. Itdescribes both exact and approximate distributeddata-mining algorithms that work in adecentralized manner. It illustrates theseapproaches for the problem of computing andmonitoring clusters in the data residing at thedifferent nodes of a peer- to-peer network. Thispaper focuses on an emerging branch ofdistributed data mining called peer-to-peer datamining. It also offers a sample of exact andapproximate P2P algorithms for clustering in suchdistributed environments.

Architecture for data mining in distributedenvironments [2] describes system architecturefor scalable and portable distributed data miningapplications. This approach presents a documentmetaphor called \e mph {Living Documents} foraccessing and searching for digital documentsin modern distributed information systems. Thepaper sdescribes a corpus linguistic analysis oflarge text corpora based on collocations with theaim of extracting semantic relations fromunstructured text.

Distributed Data Mining of Large ClassifierEnsembles [3] presents a new classifiercombination strategy that scales up efficientlyand achieves both high predictive accuracy andtractability of problems with high complexity. Itinduces a global model by learning from theaverages of the local classifiers output. Theeffective combination of large number ofclassifiers is achieved this way.

Map-Reduce for Machine Learning on Multicore [4] discusses the ways to develop a broadlyapplicable parallel programming paradigm thatis applicable to different learning algorithms. Bytaking advantage of the summation form in a


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map-reduce framework, this paper tries toparallelize a wide range of machine learningalgorithms and achieve a significant speedup ona dual processor cores.

STUDY OF DATA MINING ALGORITHMS

A. K-Means Clustering

The K-mean clustering algorithm [7] is usedto cluster the huge data set into smaller cluster.

In data mining, k-means clustering is amethod of cluster analysis which aims to partitionobservations into k clusters in which eachobservation belongs to the cluster with thenearest mean. The problem is computationallydifficult (NP-hard), however there are efficientheuristic algorithms that are commonly employedand converge fast to a local optimum. These areusually similar to the expectation-maximizationalgorithm for mixtures of Gaussian distributionsvia an iterative refinement approach employedby both algorithms. Additionally, they both usecluster centers to model the data, however k-means clustering tends to find clusters ofcomparable spatial extent, while the expectation-maximization mechanism allows clusters to havedifferent shapes. The most common algorithmuses an iterative refinement technique. Due toits ubiquity it is often called the k-meansalgorithm; which is also referred to as Lloyd’salgorithm, particularly in the computer sciencecommunity.

1. Algorithm

Given an initial set of k means m1 (1)…mk (1),

The algorithm proceeds by alternatingbetween two steps:

1. Assignment step: Assign each observationto the cluster with the closest mean.

2. Update step: Calculate the new means to bethe Centroid of the observations in the cluster.

In the beginning we determine number ofcluster K and we assume the centroid or centerof these clusters. We can take any randomobjects as the initial centroids or the first K objectin sequence can also serve as the initialcentroids.

Then the K means algorithm will do the threesteps below until convergence. Iterate untilstable:

1. Determine the centroid coordinate

2. Determine the distance of each object to thecentroids

3. Group the object based on minimum distance

2. Euclidean distance:

In mathematics, the Euclidean distance orEuclidean metric is the “ordinary” distancebetween two points that one would measure witha ruler, and is given by the Pythagorean formula.By using this formula as distance, Euclideanspace (or even any inner product space)becomes a metric space. The Euclidean distancebetween points p and q is the length of the linesegment connecting them. In Cartesiancoordinates, if p = (p1, p2, ... pn) and q = (q1,q2... qn) are two points in Euclidean n- space,then the distance from p to q or from q to p isgiven by:

d(p,q) = d(q,p) = v(q1-p1)2 + (q2-p2)

2 +

…..+(qn-pn)

2

B. Apriori

Apriori [7] is one of the key algorithms togenerate frequent item sets. Analyzing frequentitem set is a crucial step in analyzing structureddata and in finding association relationshipbetween items. This stands as an elementaryfoundation to supervised learning Association –It aims to extract interesting correlations,frequent patterns associations or casualstructures among sets of items in the transactiondatabases or other data repositories anddescribes association relationship amongdifferent attributes.

Finding Frequent Item set by using Aprioridata mining algorithm:

Require: Items I = {i1, i2, . . . , in}, datasetD, user-defined support threshold

Ensure: F(D_) := Frequent sets from Dw.r.t. that particular threshold

1: C1 := {{i}| i 2 I} //Start with singleton sets

2: k := 1

3: while Ck 6= {} do

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4: //Pruning Part

5: for all transactions (tid, I) 2 D do

6: for all candidate sets X 2 Ck do

7: if X _ I then

8: support(X) + +

9: end if

10: end for

11: end for //Computes the supports of allcandidate

sets

12: Fk := {X|support(X) _ _} //Extracts all frequent

sets

13: //Generating Part

14: for all X, Y 2 Fk,X[j] = Y [j] for 1 _ j _ k “ 1,and X[k] < Y [k] do

15: I = X [ {Y [k]} //Join step

16: if 8J _ I, |J| = k : J 2 Fk then

17: Ck+1 := Ck+1 [ I //Prune step

18: end if

19: end for

20: k + +

21: end while

In short we are trying to perform followingsteps:

1. Generate Ck+1, candidates of frequent itemsets of size k +1, from the frequent item setsof size k.

2. Scan the database and calculate the supportof each candidate of frequent item sets.

3. Add those item sets that satisfy the minimumsupport requirement to Fk+1.

A. Apriori: The Apriori algorithm is shown above

in line 13 generates Ck+1 from Fk in the following

two step process:

a. Join step: Generate RK+1, the initial

candidates of frequent item sets of size k + 1 by

taking the union of the two frequent item sets of

size k, Pk and Qk that have the first k—1 elements

in common.

Qk = {item l, . . . , itemk”1, item k , RK+1 = Pk i

temk_ }

Pk = {i teml , i tem2, . . . , i temk—1, i temk }

Qk = {i teml , i tem2, . . . , i temk”1, i temk_ }

b. Prune step: Check if all the item sets of sizek in Rk+1 are frequent and generate Ck+1 byremoving those that do not pass this requirementfrom Rk+1. This is because any subset of size kof Ck+1 that is not frequent cannot be a subsetof a frequent item set of size k + 1.

Function subset in line 5 finds all thecandidates of the frequent item sets included intransaction t. Apriori, then, calculates frequencyonly for those candidates generated this way byscanning the database. It is evident that Aprioriscans the database at most kmax+1 times whenthe maximum size of frequent item sets is set atkmax .

The Apriori achieves good performance byreducing the size of candidate sets. However, insituations with very many frequent item sets,large item sets, or very low minimum support, itstill suffers from the cost of generating a hugenumber of candidate sets.

RESEARCH METHODOLOGY

A. Cloud computing

It consists of shared computing resourceswhich are opposed to local servers or devices.Users [6] can pay on the basis of resource usageas timely basis. The major goal of cloudcomputing is to provide easily scalable accessto computing resources and IT(InformationTechnology) services for achieving betterperformance. Cloud computing basicallyprovides three different types of service basedarchitectures are SaaS, PaaS, and IaaS.

i. SaaS (Software as-a-service): It offersapplication as a service on the internet.

ii. PaaS (Platform as-a-service): This is to beused by developers for developing newapplications.

iii. IaaS (Infrastructure as-a-service): Itbasically deals by providers to providefeatures on-demand Utility.

Table 1 : Feature Comparison of Commercial


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Offerings for Cloud Computing.

B. Map Reduce

Map Reduce [5] is a programming model forprocessing large data sets, and the name of animplementation of the model by Google. MapReduce is typically used to perform distributedcomputing on clusters of computers. The modelis inspired by map and reduces functionscommonly used in functional programming,although their purpose in the Map Reduceframework is not the same as their original forms.Map Reduce libraries have been written in manyprogramming languages. A popular freeimplementation is Apache Hadoop.

Map Reduce is a framework for processingthe parallelizable problems across huge datasetsusing a large number of computers (nodes),collectively referred to as a cluster (if all nodesare on the same local network and use similarhardware) or a grid (if the nodes are sharedacross geographically and administrativelydistributed systems, and use moreheterogeneous hardware). Computationalprocessing can occur on data stored either in afile system (unstructured) or in a database(structured). Map Reduce can take advantageof locality of data, processing data on or nearthe storage assets to decrease transmission ofdata.

1) “Map” step : The master node takes theinput, divides it into smaller sub-problems, anddistribute them to worker nodes. A worker nodemay do this again, leading to a multi-level treestructure. The worker node processes the smallerproblem, and passes the answer back to itsmaster node.

2) “ Reduce” step : The master node thencollects the answers to all the sub-problems andcombine them in some way to form the output –the answer to the problem it was originally tryingto solve.

Fig. 1: EXE CUTION OVER VIEW

Data flow of the system is given below; thefrozen part of the Map Reduce frame work isa large distributed sort. The above figureconsists of Following parts:

a) Input reader: It divides the input intoappropriate size (in practice typically 64 MB to 512 MB as pe HDFS) and the framework assignso e split to on Map function. The input readerreads the data from stable storage (typically a inour case Hadoop distributed file system) andgenerates key/value pairs

b) Map function : Each Map function takesa series of key/value pairs, processes each, andgenerates zero or more output key/value pairs.The input and output types of the map can beand often are) different from each other.

c) Partition function: Each Map functionoutput is allocated to a particular reducer by theapplication’ partition function for sharingpurposes. The partition function is given the key

Properties Amazon Google Microsoft Manjras

EC2 App

Azure oft

Engine Aneka

Service Type IaaS IaaS –

IaaS - PaaS PaaS

PaaS

Support for (value Compute/ Compute

(web app- Compute Compute

offer) Storage

lications)

Value added Yes Yes Yes Yes

service provider

Web API Web API Web

User Access Command Azure Web APIs,

Command

Interface Line Portal Custom

Line Tool

Tool GUI

Virtualization OS on Xen Application Service Service

Hypervisor Container Container Container

.NET on

Platform Linux, Linux

.NET on Window

(OS & runtime) Windows Windows s, Mono

Linux

Customizabl Web apps

Azure Applicatio

Deployment model (Python, ns (C#,

VM Java, Ruby) Services C++, VB)

If PaaS, ability to

deploy on 3rd party N.A. No No Yes

IaaS

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and the number of reducers and returns the indexof desired reduce.

d) Comparison function: The input for everyReduce is fetched from the machine wherethe Maprun and sorted using the application’scomparison function.

e) Reduce function: The framework cal lsthe application’s Reduce function for eachunique key in the sorted order. It also iteratesthrough the values that are associated withthat key and produces zero or more outputs.

f) Output writer: It writes the output of theReduce function to stable storage, usually aHadoop distr ibuted file system.

As an example, the illustrative problem ofcounting the average word length of every wordoccurrences in a large collection of documentsin Map Reduce is represented as following: Theinput key/value to the Map function is a documentname, and its contents. The function scansthrough the document and emits each word plusthe associated word length of the occurrencesof that word in the document. Shuffling groupstogether occurrences of the same word in alldocuments, and passes them to the Reducefunction. The Reduce function sums up all theword length for all occurrences. Then divides itby the count of that word and emits the word andits overall average word length of every wordoccurrences.

Example: Consider the problem of countingthe average word length in a large collection ofdocuments. The user would write code similar tothe following pseudo-code:

function map(String key, String value): //key: document name

//value: document contents for each wordw in value: Emit Intermediate(w, word length);

function reduce(String key, Iterator values)

// key: word// values: list of countsdouble sum = 0, count =0, result=0;for each v in values:sum += ParseInt(v); count++;result = sum / count;Emit(w, As Double(result));

Here, each document is split into words, andeach word length is counted by the map function,using the word as the result key. The frameworkputs together all the pairs with the same key andfeeds them to the same call to reduce, thus thisfunction just needs to sum all of its input valuesto find the total appearances of that word. Thenfor finding average word length we divide the sumby the count of that word.

CONCLUSION

There are many new technologies emergingat a rapid rate, each with technologicaladvancements and with the potential of makingease in use of technology. However, one mustbe very careful to understand the limitations andsecurity risks posed in util izing thesetechnologies. Neither Map Reduce-like software,nor parallel databases are ideal solutions for dataanalysis in the cloud. Hybrid solution thatcombines the fault tolerance, heterogeneouscluster, and ease of use out-of-the-boxcapabilities of Map Reduce with the efficiency,performance, and tool plug ability of shared-nothing parallel systems could have a significantimpact on the cloud market. We will work onbringing together ideas from Map Reduce anddata mining algorithms, also to combine theadvantages of Map Reduce-like software with theefficiency and shared work advantages that comewith loading data and creating performanceenhancing data structures.

REFERENCES

1. SouptikDatta, KanishkaBhaduri, Chris Giannella, RanWolff, and HillolKargupta, Distributed Data Mining inPeer-to-Peer Networks, Universityof Maryland,Baltimore County, Baltimore, MD, USA, JournalIEEEInternet Computing archive Volume 10 Issue 4,Pages 18 - 26, July 2006.

2. MafruzZamanAshrafi, David Taniar, and Kate A. Smith,A Data MiningArchitecture for DistributedEnvironments, pages 27-34, Springer-VerlagLondon,UK, 2007.

3. GrigoriosTsoumakas and IoannisVlahavas, DistributedData Mining ofLarge Classifier Ensembles, SETN-2008, Thessaloniki, Greece, Proceedings, CompanionVolume, pp. 249-256, 11-12 April 2008.

4. Cheng-Tao Chu et. al., Map-Reduce for MachineLearning on Multicore,CS Department, StanfordUniversity, Stanford, CA, 2006.


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5. Jeffrey Dean and Sanjay Ghemawat, Mapreduce:Simplied data processing on large clusters. In OSDI,pages 137-150, 2004.

6. Daniel J. Abadi, Yale University, Data Management inthe Cloud: Limitations and Opportunities, Bulletin ofthe IEEE Computer Society Technical Committee onData Engineering 2009

7. “Top 10 algorithms in data mining”, © Springer-VerlagLondon Limited 2007

8. James l. Johnson, SQL in the Clouds, IEEE journalCloud Computing, 2009.

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A DHT ORIENTED PEER TO PEER NETWORK WITH NEW

HASH FUNCTION

*VIVEK SAINI1, K P YADAV2

1Research Scholar, Department of Computer Science & Engineering, Sai Nath University, Ranchi, India2 Director, MIET, Greater Noida , Uttar Pradesh, India

*Address for correspondence : Vivek Saini, Research Scholar, Department of Computer Science &Engineering, Sai Nath University, Ranchi, India

ABSTRACT

Now a days P2P networks are widely used for voice and video communications and also inmany transactions like file sharing. In P2P networks DHT (Distributed Hash Table) orientedrouting protocols gives an efficient way to search the contents (like files) between various peers.A DHT protocol works on a hash function for the P2P application that provides a key andsearches the responsible nodes for the particular key. In this paper the core focus is targeted toidentify a new hash function that can enhance the working of DHT by generating a new identifierfor p2p nodes. The Chord protocol is also chosen as the routing protocol for the numerousreasons those are conferred in this paper.

Keywords: P2P Networks, Distributed Hash Tables, Hash Functions ,Cryptography, KeyDistribution Center

INTRODUCTION

To find the resources rapidly in decentralizeddistributed systems, DHT protocols are verysuitable for searching the contents efficiently. Ina distributed system, resources like any type offile, several messages and directories, or variouscontents can be backed up or fetch from the anynodes at anytime. DHT has a collection of joiningnodes, wherever every node have smallinformation of other nodes to make the differenceto each other in the system and also has a routesearching requests to identify a best path to movetowards an appropriate target[1].

Message integrity is among the majorrequirements in many network protocols that weuse today. As, today transmission on any networkis achieved at very high speed, the processingfor encryption, authentication and integrationmust also be done at very high speed. Currently,many hash functions are being used for thispurpose, say- MD4[2], MD5 [3] and SHA-1[4], Tiger,Whirlpool etc.. These hash functions are one-way hash functions, in the sense that original

input message can not be obtained back fromthe hash value generated from it. In general,Hash Function is defined as a function that takesarbitrary length input and produces output of fixedlength, which is known as hash value or themessage digest [5]. For a hash function to beuseful for network security, it is desirable to haveno two different input messages for which thedigest is same.

Almost all major cryptographic protocolsdepend on the security of hash functions [3].Although, there is a variety of hash functionsavailable in the market, only MD5 [4] and SHA-1[5] are widely used all over the world. Both hashfunctions are derived from MD4 [6], which hasbeen proven to be weak. It therefore says thatall functions based on MD4 may have commonweaknesses. In P2P network every resource isassociated with a key, with the help of that key,DHT can find the responsible node for the linkedresource rapidly usually in O (log n) hops, heren is the quantity of nodes in the peer to peernetwork.


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There are various DHT protocols like CAN[8],Chord[9], and Pastry[10] but in this paper Chord istargeted protocol on which new hashing will beapplied.

DESIGN CONSIDERATIONS FOR THE NEW

HASH FUNCTION

For message integrity, the hash functionshould be fast and one-way functions, that is, itshould be practically impossible to find the inputmessage from the digest. This feature givessecurity against data modification by adversary,but, message integrity alone does not guaranteesufficient security against few of the attacks [7].For example, general error detecting codes arenot sufficient enough because, if the adversaryknows algorithm for generating the code, he caneasily generate the correct hash code again afterforging the message. Intentional modification isundetectable with such codes. i. e. suppose asender sends the message M along with its hashvalue h, and intruder changes this message Minto M’, he also intercepts h and calculates h’ fornew message M’, and transmits it to the receiver.When receiver will recalculate hash on M’ it willresult in verified one, which is not true. However,encryption techniques, that use a key, can beused to produce a cryptographic checksum thatcan protect against both accidental andintentional modification in message, andunauthorized data modification also. A hashingscheme can be made more secured and strongby combining it with a block cipher encryptionalgorithm either symmetric or asymmetric. Thefunction h is defined such that h(M) can becalculated from the message M easily, but if onlyh(M) is known, finding even one message M thatwill generate this value is “difficult”. Moreover,calculating another message M’ that producesthe same hash value, i.e., h(M) = h(M’), must beinfeasible. The hash value may then be given toencryption function, whose key is known tosender for final calculations of keyed hash. Thecorresponding key will be used by the receiverto invert the transformation and restore the valueh(M). At the receiving end, the function hisapplied to the received message M, and the twovalues of h(M) are compared. The message isconsidered original and unaltered if the twovalues are equal.

Designing and implementing a new keyedhash function includes two constructs- acompression function that operates on inputstrings of a fixed length and then to use thecascade function to extend the compressionfunction to string of arbitrary length[10].

P2P ROUTING ALGORITHM (CHORD)

Each resource has a key linked with it. Givena key, a DHT can quickly locate the noderesponsible for the associated resource, typicallywithin O (log n) hops, where n is the total quantityof nodes in the system.

In Chord, both nodes and keys are givennumerical identifiers. The identifier for a key isobtained by hashing that key with some hashfunction that is used by all of the nodes in thesystem which returns integers of some bit lengthm. A node is assigned an identifier by hashingits IP address. Nodes and keys are then arrangedin an identifier ring modulo 2m. Each key’s valueis stored on the first node with an identifier equalto or following that key’s identifier in the ring [8].

This aspect is illustrated in following Figure1.In the Chord ring; the hash bit length m is 6.There are 10 nodes in the network (shown withN prefixes followed by the nodes identifier) and5 keys (shown with K prefixes followed by thekeys identifier) are being stored. Each key isshown being stored on the first node thatsucceeds the keys identifier in the ring, asindicated by the arrows. In order to find nodesthat are responsible for keys, each node has tostore some routing information.In Chord, thisrouting table is called a “finger table”. The Chordfinger table for a node with identifier id containsm entries, numbered from 0 to m-1. For fingertable entry i, the node stored in that entry is thefirst node whose identifier succeeds id + 2i (mod2k). It is possible (and often probable) to haveduplicate entries in the finger table.

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Figure 1: The Chord Ring

Figure 2: The Chord Ring with Finger Table

Figure 2 shows a sample finger table withan illustration of how the finger table is derivedfor node N8. N8’s last finger table entry shouldbe the node that succeeds 8+25. This node isN42, so a reference to N42 is stored in the lastfinger table entry of N8’s finger table. The rest ofthe finger table entries are filled in with the sameprocess for i =0, 1, 2, 3, and 4. As figure 2illustrates, each node only has information abouta subset of the nodes in the overall system. Asthe system gets much larger, the number ofunique nodes in each node’s finger tablebecomes a smaller fraction of the overall numberof nodes. The size of the finger table has beenshown by [8] to be O (log n) where n is the numberof nodes in the system. The advantage of thefinger table is that when performing a lookup therequest can jump about half of the remaining

distance between the node doing the routing andthe node responsible for the key. This divide andconquer approach to routing lookup requests hasbeen shown by [8] to use O (log n) hops for eachroute. The algorithm for routing a lookup requestfrom a node is simple: forward the request to thelast finger table entry that precedes the identifierof the key. The node preceding the destinationnode will detect that the key falls between itselfand its successor and return information aboutits successor to the node performing the lookup.

Figure 3: An example of route taken by a lookup in a

Chord network [8]

Figure 3 shows an example of the route alookup request might take through a Chordnetwork. In this figure, N8 is performing a lookuprequest for key K54.

CURRENT SCENARIO FOR HASH FUNCTION

WITH KEY COMBINATION

We assume that two parties A and B wish tocommunicate with each other, and for messageintegrity they may use any available hash functionsuch as SHA family or MD family. At the time ofsession establishment, a user A, may generaterandom 512-bit value, HSH, A then sends thisHSH to the second party in communication, B, insecret manner. This secret key may be furtherused for keyed Hash Function in any of thefollowing two ways [11]:

Similar problems arise with suffix technique.Still, secret suffix is secure with respect topadding attacks. This is because a messagedigest is computed with a secret suffix as the lastinput block. Without knowing the secret, the


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adversary cannot, with any surety, append (orprepend) to the message. One majordisadvantage of the secret suffix is that it is proneto Birthday attack. In brief, this attack consists ofthe intruder generating a message trial pool ofsize R and recording a sample pool of genuinemessages of size S. The probability of at leastone message in a trial pool hashing to the sameMD5 value as one of the messages in the samplepool is roughly expressed by P = (R * S/N) whereN is the range (N = 2128 in our case) . Accordingto the Birthday paradox, there is a 50% chanceof two messages hashing to the same MD5 valuefor R = 264 and S = I.

a) Secret Prefix Method- When A needs tosend a message M to receiver B, A prefixesthe random 512 bit value HSH to messageand calculates the digest for this combination.It can be represented as h = MD 5(HSH||M)and sends this h to B. Since B possess HSH,it can re- compute MD5 (HSH||M) and verifyh. This is known as prefix technique.

b) Secret Suffix Method- When A needs tosend a message M to receiver B, A postfixes512 bit value HSH to message and calculatesthe digest for this combination. It can berepresented as h= MD5(M||HSH) and sendsthis h to B. Since B possess HSH, it can re-compute MD5(M||HSH) and verify h. This isknown as suffix technique.

PROPOSED KEYED HASH SOLUTION

There could be numerous solution to theabove scenario and thus to strengthen previousdesigns. Few of such solutions may be toincrease the number of rounds (as in MD5); addsome coding or scrambling steps (as in SHA-1);increase the buffer size and make the mixing stepvary with each round. An example of such anassumption is any ideal-cipher model that usesa key.

An adversary who wishes to discover thesecret prefix would first record a message Maccompanied by its integrity value,MD5(HSH||M). He would then need to try on theaverage 2128 possibilities before discovering aprefix string S where S = HSH.

But these methods are not resistant toattacks. To possess the goal of composing

original messages, the adversary needs only theintermediate hash value of HSH, i .e. MD5(HSH).If, the MD5(HSH) is 128 bits long, the number ofoperations required to find MD5(HSH) iscomputationally 2128.

One more drawback of the secret prefixmethod is its vulnerability to padding attacks. Apadding attack is successful when the adversaryis able to either prepend or append few extrabits to an authentic message and pass theresulting message off as original one. Anadversary can capture a message M along withits secret prefix-based check MD5(HSH||M). Hecan then append arbitrary data, M, to the end ofM and compute the digest of the resultingmessage, using MD5(HSH||M) as theinitialization value. The legitimate receiver is thenfooled into accepting the fraudulent messagebecause the accompanying secret prefix valueis “correct”. [12]

Figure 4: Proposed Hash function algorithm for

identifier of resource key generation.

Building hash functions based on blockciphers is the most popular and establishedapproach till date. In this approach, the hash

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compression function is a block-cipher with itstwo inputs representing a message block and akey. At present, a protocol requiring 2128operations to defeat is considered strong andsecure. Nevertheless, it is conceivable that aneed for stronger protocols may arise in thefuture. This paper proposes integration of a keyedencryption function such as DES along with hashfunction such as MD5. Because the keyedencryption function such as- DES works onSymmetric Key Cryptography, both sender andreceiver work on the same key. This commonkey is shared between them using an encryptedlink between them by Key Distribution Center(KDC) [11]. It is responsibility of KDC to send thecommon session key to both parties involved incommunication, using their corresponding publickeys. As, only these parties possess their privatekeys, so other user in the network may decodeand use this session key. No other user, apartfrom KDC and both parties, involved in themessage transmission, has any idea of theshared secret key. Thus, it may validate sourceidentity, as receiver is now having the key thatsame as that of sender’s key.

In this solution, the working of hash functionHF is integrated with encryption function EF. Theoutput of hash operation in each block will beused as input for encryption function. The hashfunction HF gives output of 128 bits and theencryption function EF accepts input block of 64bits at a time. So, first, the output of HF is dividedinto two blocks each of 64 bit long, first with left64 bits and second with right 64 bits. Then applyEF on both blocks respectively. The output willbe again of 64 bit (total of 128 bit). This overall128 bit output will then be used as 128 bit CVqfor HF processing of next block of input [14].

CV0=IV

CVq= E (K,B1) || E (K,B2) Where,

IV= Initialization value of 128 bit buffer E=Encryption function EF

B1= Left 64 bits of output of HF digest valueB2= Right 64 bits of output of HF digest value K=EF key.

The proposed algorithm may be stated infigure 4.

The overall processing with this scheme isshown in the Figure 5.

The strength of this variant is difficult toestimate. The only observation that can be madewith certainty is that it is stronger than using onlyMD5, MD4 or SHA family hash function. The bruteforce attack on this method requires, on theaverage, 2196 trials. (Assuming that the intruderhas perform attack that equivalent to both attackon HF plus attack on EF at the same time).

Figure 5: Processing of Hash Function HF having

Encryption EF in between

CONCLUSION AND FUTURE SCOPE

DHT protocols are available for routing thepackets in P2P networks. Careful and secureidentification of a machine in p2p network is verychallenging in such type of distributed network.Security may be provided using messageintegration and authentication techniquesbetween peers. The paper proposed involvementof a newly designed hash technique that makesuse of a key while hashing. This key is the mainreason behind authenticity of message betweenpeer entities.

REFERENCES

1. A. Saroliya, U Mishra, A. Rana. “A pragmatic analysisof peer to peer networks and protocols for securityand confidentiality”, IJCCR. Volume 2 (6), November2012.


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2. R.L. Rivest. MD4 Message Digest Algorithm. RFC1186, October 1990.

3. R. Rivest. The MD5 Message-Digest Algorithm. RFC1321, April 1992.

4. National Institute of Standards and Technology, U.S.Department of Commerce. Secure Hash Standard,2002. FIPS PUB 180-2.

5. P. Rogaway, T. Shrimpton. Cryptographic Hash -Function Basics: Definitions, Implications, andSeparations for Preimage Resistance, Second-Preimage Resistance,and Collision Resistance.Springer-Verlag 2004.

6. M. Stanek. Analysis of Fast Block Cipher Based HashFunction. Computational Science and its Applications.2006, vol- 3982/2006, pp- 426-435. DOI: 10.1007/11751595_46.

7. J. Walker, M. Kounavis, S.Gueron, G.Graunke, RecentContribution to Cryptographic Hash Function, IntelTechnology Journal, 2009, Vol 13, issue 2, pp 80-95.

8. Sylvia Ratnasamy, Paul Francis, Mark Handley,Richard Karp, Scott Shenker, “A Scalable ContentAddressable Network”, In Proceeding ofSIGCOMM’01, ISSN:0146-4833, Volume 31,Number 4, San Diego, California, USA, pp. 161–172,August 27-31, 2001

9. I. Stoica, R. Morris, D. Karger, M. F. Kaashoek, andH. Balakrishnan, “Chord: A scalable peer-to-peerlookup service for Internet applications”, In: Proc. ACMSIGCOMM’01, San Diego, California 2001.

10. R. Antony, D. Peter, “Pastry: Scalable,Decentralized Object Location, and Routing for Large-Scale Peer-to-Peer Systems”, In Proc. of IFIP/ACMInternational Conference on Distributed SystemsPlatforms, ISBN:3-540-42800-3, Heidelberg,Germany, pp. 329–350, Nov. 2001

11. L. Harn and C. Lin, Authenticated Group Key TransferProtocol Based on Secret Sharing. Computers, IEEETransactions on, June 2010, vol 59, issue- 3, pp-842-846.

12. G. Tsudik, Message Authentication with One-WayHash Fnctions, Newsletter, ACM SIGCOMM ComputerCommunication, Volume 22, Issue 5, Oct.1992 pages29-38.

13. B. Preneel, P.C. Van Oorschot, “On the security ofiterated Message Authentication Codes,” IEEETransactions on Information Theory, Vol. 45, No. 1,January 1999, pp. 188-199.

14. R. Purohit, U Mishra, A. Bansal. “Design and Analysisof a New Hash Algorithm with Key Integration”.International Journal of Computer Application. Vol 81

(1), pp 33-38, 2013.

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INTRODUCTION

Software Reliability Engineering is definedas quantitative study of the operational behaviorof software-based systems with respect to userrequirements concerning reliability. The demandfor software systems has recently increased veryrapidly. The reliability of software systems hasbecome a critical issue in the software systemsindustry. With the 90’s of the previous century,computer software systems have become themajor source of reported failures in many

PERFORMANCE ANALYSIS OF RELIABILITY GROWTH

MODELS USING SUPERVISED LEARNING TECHNIQUES

G SARVANAN1, K KRISHNAMOORTHY2

1Research Scholar, Department of Computer Science & Engineering, Sai Nath University, Ranchi, India2 Professor, Sudarshan Engineering College, Tamilnadu, India

Address for correspondence: G. Sarvanan, Research Scholar, Department of Computer Science &

Engineering, Sai Nath University, Ranchi, India

systems. Software is considered reliable ifanyone can depend on it and use it in criticalsystems. The importance of software reliabilitywill increase in the years to come, specifically inthe fields of aerospace industry, satellites, andmedicine applications. The process of softwarereliability starts with software testing andgathering of test results, after that, the phase ofbuilding a reliability model.

In general, the concept of reliability can bedefined as “the probability that a system will

ABSTRACT

Software reliability is one of a number of aspects of computer software which can be taken intoconsideration when determining the quality of the software. Building good reliability models isone of the key problems in the field of software reliability. A good software reliability modelshould give good predictions of future failure behavior, compute useful quantities and be widelyapplicable. Software Reliability Growth Models (SRGMs) are very important for estimating andpredicting software reliability. An ideal SRGM should provide consistently accurate reliabilityestimation and prediction across different projects. However, that there is no single such modelwhich can obtain accurate results for different cases. The reason is that the performance ofSRGMs highly depends on the assumptions on the failure behavior and the application data-sets. In other words, many models may be shown to perform well with one failure data-set, butbad with the other data-set.

Thus, combining some individual SRGMs than single model is helpful to obtain a more accu-rate estimation and prediction. SRGM parameters are estimated using the least square estima-tion (LSE) or Maximum Likelihood Estimation (MLE). Several combinational methods of SRGMshave been proposed to improve the reliability estimation and prediction accuracy. TheAdaBoosting algorithm is one of the most popular machine learning algorithms. An AdaBoostingbased Combinational Model (ACM) is used to combine the several models. The key idea of thisapproach is that we select several SRGMs as the weak predictors and use an AdaBoostingalgorithm to determine the weights of these models for obtaining the final linear combinationalmodel. In this paper, the Fitness and Prediction of various Software Reliability Growth Models(SRGMs) can be compared with AdaBoosting based Combinational Model (ACM) with the helpof Maximum likelihood estimation to estimate the model parameters.

Keywords: Software Reliability, Software Reliability Growth Models (SRGMs), AdaBoostingAlgorithm, Least Square stimation, Maximum Likelihood Estimation.


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perform its intended function during a period ofrunning time without any failure”. IEEE definessoftware reliability as “the probability of failure-free software operations for a specified period oftime in a specified environment”. In other words,software reliability can be viewed as the analysisof its failures, their causes and effects. Softwarereliability is a key characteristic of product quality.Most often, specific criteria and performancemeasures are placed into reliability analysis, andif the performance is below a certain level, failureoccurred. Mathematically, the reliability functionR(t) is the probability that a system will besuccessfully operating without failure in theinterval from time 0 to time t [1],

R(t) = P(T>t), where t >=0

T is a random variable representing thefailure time or time-to-failure (i.e. the expectedvalue of the lifetime before a failure occurs). R(t)is the probability that the system’s lifetime islarger than (t), the probability that the system willsurvive beyond time t, or the probability that thesystem will fail after time t. From above Equation,we can conclude that failure probability F(t),unreliability function of T is:

F(t) = 1 – R(t) = P(T<=t)

If the time-to-failure random variable T hasa density function f(t), then the reliability can bemeasured as following

R(t) = f(x) dx

Where f(x) represents the density functionfor the random variable T. Consequently, thethree functions R(t), F(t) and f(t) are closelyrelated to one another .

SUPERVISED LEARNING TECHNIQUES

1. Bootstrap

The Bootstrap procedure is a generalpurpose sample-based statistical method whichconsists of drawing randomly with replacementfrom a set of data points. It has the purpose ofassessing the statistical accuracy of someestimate, say S(Z), over a training set Z = {z

1, z

2,

. . . , zN}, with z

i = (x

i, y

i). To check the accuracy,

the measure is applied over the B sampledversions of the training set. The Bootstrapalgorithm[10] is as follows:

Bootstrap Algorithm

Input:

Training set Z={z1,z

2,…,z

N}, with z

i=(x

i,y

i).

B, number of sampled versions of the trainingset.

Output:

S(Z), statistical estimate and its accuracy.

Step 1:

for n=1 to B

a) Draw, with replacement, L < N samples fromthe training set Z, obtaining the nth sampleZ*n.

b) For each sample Z*n, estimate a statisticS(Z*n).

Step 2:

Produce the bootstrap estimate S(Z), usingS(Z*n) with n = {1, . . . ,B}.

Step 3:

Compute the accuracy of the estimate, usingthe variance or some other criterion.

We start with the training set Z, obtainingseveral versions Z*n (bootstrap samples). Foreach sampled version, we compute the desiredstatistical measure S(Z*n).

2. Bagging

The Bagging technique [10] consists ofBootstrap aggregation. Let us consider a trainingset Z ={z

1, z

2, . . . , z

N}, with z

i = (x

i, y

i) for which

we intend to fit a regression model, obtaining aprediction f(x) at input x. Bagging averages thisprediction over a collection of bootstrap samples,thereby reducing its variance.

For classification purposes, the Baggingalgorithm is as follows.

Bagging Algorithm for Classification

Input:

Z = {z1, z

2, . . . , z

N}, with z

i = (x

i, y

i) as training

set. B, number of sampled versions of the trainingset.

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Output:

H(x), a classifier suited for the training set.

Step 1:

for n=1 to B

a) Draw, with replacement, L < N samples fromthe training set Z, obtaining the nth sampleZ

*n.

b) For each sample Z*n, learn classifier Hn.

Step 2:

Produce the final classifier as a vote of Hnwith n = {1, . . . ,B}

H(x)= sign (∑Bn=1

Hn(x))

As compared to the process of learning aclassifier in a conventional way, that is, strictlyfrom the training set, the Bagging approachincreases classifier stability and reducesvariance.

3. Boosting

The Boosting[10] procedure is similar toBootstrap and Bagging. The first was proposedin 1989 by Schapire and is as follows.

Boosting Algorithm for Classification

Input:

Z = {z1, z

2, . . . , z

N}, with z

i = (x

i, y

i) as training

set.

Output: H(x), a classifier suited for the trainingset.

Step 1: Randomly select, without replacement,L1 < N samples from Z to obtain Z*1; train weaklearner H1 on Z*1.

Step 2: Select L2 < N samples from Z with halfof the samples misclassified by H1 to obtain Z*2;train weak learner H2 on it.

Step 3: Select all samples from Z that H1 andH2 disagree on; train weak learner H3, usingthree samples.

Step 4: Produce final classifier as a vote of thethree weak learners

H(x) = sign ( 3n=1

Hn(x))

4. AdaBoosting

A very promising well known used boostingalgorithm is AdaBoost [2]. The idea behindadaptive boosting is to weight the data insteadof (randomly) sampling it and discarding it. Inrecent years, ensemble techniques, namelyboosting algorithms, have been a focus ofresearch. The AdaBoost algorithm is a well-known method to build ensembles of classifierswith very good performance. It has been shownempirically that AdaBoost with decision trees hasexcellent performance, being considered the bestoff-the-shelf classification algorithm.

AdaBoosting is a commonly used MLalgorithm which can combine several weakpredictors into a single strong predictor for highlyimproving the estimation and prediction accuracy.It has been applied with great success to severalbenchmark Machine Learning (ML) problemsusing rather simple learning algorithms, inparticular decision trees.

AdaBoosting Algorithm

AdaBoosting is a commonly used machinelearning algorithm for constructing a strongclassifier f(x) as linear combination of weakclassifiers h

t(x).

T

t =1

AdaBoosting calls a weak classifier ht(x)

repeatedly in a series of rounds t=1, 2,…..,T. Foreach call a distribution of weights is updated inthe data-set for the classification. The algorithmtakes as input a training set (x

1, y

1),(x

2, y

2),….,(x

n,

yn) where x

i

ε

X, yi

ε

{-1,+1} (x1, y

1) where each x

i

belongs to some domain or instance space X,and each label y

i is in some label set Y. One of

the main ideas of the algorithm is to maintain adistribution or set of weights over the training set.

Given

(x1, y

1),…,(x

n, y

n) where x

i

ε

X, yi

ε

{-1,+1}

Initialize

weights Dt(i) = 1/n

Iterate t=1,…,T:


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Train weak learner using distribution Dt

Get weak classifier: ht : X →R

Choose t R

Update to Dt+1

(i) from Dt(i)

Where Zt is a normalization factor (chosen

so that Dt+1

will be a distribution), and t

Output

Final Classifier

T

t =1

EXISTING SYSTEM

1. Software Reliability Growth Models

A software reliability growth model (SRGM)describes the mathematical relationship of findingand removing faults to improve softwarereliability. A SRGM performs curve fitting ofobserved failure data by a pre-specified modelformula, where the parameters of the model arefound by statistical techniques like maximumlikelihood method. The model then estimatesreliability or predicts future reliability by differentforms of extrapolation.

After the first software reliability growthmodel was proposed by Jelinski and Moranda in1972, there have been numerous reliabilitygrowth models following it. These models comeunder different classes, e.g. exponential failuretime class of models, Weibull and Gamma failuretime class of models, infinite failure categorymodels and Bayesian models. These models arebased on prior assumptions about the nature offailures and the probability of individual failuresoccurring. There is no reliability growth modelthat can be generalized for all possible softwareprojects, although there is evidence of modelsthat are better suited to certain types of softwareprojects.

An important class of SRGM that has beenwidely studied is the Non Homogeneous PoissonProcess (NHPP). It forms one of the main classesof the existing SRGM, due to its mathematicaltractability and wide applicability. NHPP modelsare useful in describing failure processes,providing trends such as reliability growth andthe fault - content. SRGM considers thedebugging process as a counting processcharacterized by the mean value function of aNHPP. Software reliability can be estimated oncethe mean value function is determined. Modelparameters are usually determined using eitherMaximum Likelihood Estimate (MLE) or least-square estimation methods. NHPP based SRGMare generally classified into two groups [13].

The first group contains models, which usethe execution time (i.e., CPU time) or calendartime. Such models are called continuous timemodels.

The second group contains models, whichuse the number of test cases as a unit of thefault detection period. Such models are calleddiscrete time models, since the unit of thesoftware fault detection period is countable. Atest case can be a single computer test runexecuted in an hour, day, week or even month.Therefore, it includes the computer test run andlength of time spent to visually inspect thesoftware source code.

Software reliability growth models with amodel are formulated by using a Non-Homogeneous Poisson Process (NHPP). Usingthe model, the method of data analysis for thesoftware reliability measurement will bedeveloped. SRGM parameters are estimated byusing the least square estimation (LSE) ormaximum likelihood estimation (MLE) methodand using actual software failure data, numericalresults are obtained. In the existing system, thesoftware reliability growth model parameters areestimated using least square estimation to obtainthe numerical results.

2. Limitations of Existing System

· It is generally considered to have lessdesirable optimality properties thanmaximum likelihood.

· It can be quite sensitive to the choice ofstarting values.

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· It can’t generate accurate results for data ofsufficiently large samples.

PROPOSED WORK AND METHODOLOGY

In the proposed system, the reliability growthmodel parameters are estimated using maximumlikelihood estimation to get accurate results, toovercome the problems of LSE, we use MLE.

Maximum likelihood provides a consistentapproach to parameter estimation problems. Thismeans that maximum likelihood estimates canbe developed for a large variety of estimationsituations. For example, they can be applied inreliability analysis to censored data under variouscensoring models.

MLE has many optimal properties inestimation, i.e.

Sufficiency: complete information about theparameter of interest contained in its MLEestimator.

Consistency: true parameter value thatgenerated the data recovered asymptotically, i.e.for data of sufficiently large samples.

Efficiency: lowest-possible variance of theparameter estimates achieved asymptotically.

1. Selected Models for Parameter Estimationand Comparison Criterion

A software reliability growth modelcharacterizes how the reliability of that softwarevaries with execution time. The traditionalsoftware reliability models are set of techniquesthat apply probability theory and statisticalanalysis to software reliability. A reliability modelspecifies the general form of the dependence ofthe failure process on the principal factors thataffects it.

The following five models are selected asthe candidate and comparison models, whichhave been widely used by many researchers inthe field of software reliability modeling [6].

(1) Goel-Okumoto model (GO Model) : M1

This model is proposed by the Goel andOkumoto, one of the most popular non-homogeneous poisson process (NHPP) modelin the field of software reliability modeling. Itassumes failures occur randomly and that all

faults contribute an equally to total unreliability.When a failure occurs, it assumes that the fix isperfect, thus the failure rate improvescontinuously in time.

a(1-exp(-rt)), a>0,r>0

(2) Musa-Okumoto model (MO Model) : M2

It is also a non homogeneous poissonprocess with an intesity function that decreasesexponentially as failures occor. The exponentialrate of decrease reflects the view that the earlierdiscovered failures have a grater impect onreducing the failure intensity function then thoseencountered later.

1/a*In(1+art)

(3) Delayed S-Shaped model : M3

Yamada presented a delayed S-shapedSRGM incorporating the time delay between faultdetection and fault correction. The Delayed S-Shaped model is a modification of the NHPP toobtain an S-shaped curve for the cumulativenumber of failures detected such that the failurerate initially increased and later decays.

a(1-(1+rt)exp(-rt))

(4) Inflected S-Shaped Model : M4

Ohba proposed an inflected S-shapedmodel to describe the software failure-occurrencephenomenon with mutual dependency ofdetecting faults.

exp(-rt))*c(1

exp(-rt))-a(1

+

(5) Generalized GO Model : M5

In GO model, the failure occurrence rate perfault is time independent, however since theexpected number of remaining faults decreaseswith time, the overall software failure intensitydecreases with time. In most real-life testingscenarios, the software failure intensity increasesinitially and then decreases. The generalized GOmodel was proposed to capture this increasing/decreasing nature of the failure intensity.

a(1-exp(-rtc))

In these NHPP models, usually parameter‘a’ usually represents the mean number of


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software failures that will eventually be detected,and parameter ‘r’ represents the probability thata failure is detected in a constant period [13].

In this, two real failure data-sets areselected, Ohba and Wood [5], which are popularand frequently used for comparison of SRGM.

2. AdaBoosting based CombinationalModel (ACM)

Many SRGMs may result in estimation orprediction bias since their underlyingassumptions are not consistent with thecharacteristics of the application data. To reducethis bias, combining several different SRGMstogether in linear or nonlinear manner is acommon and applicable method. Manyapproaches are proposed to determine theweight assignment for the combinational models,such as equal weight, neural-network, geneticprogramming and etc. In this, an abstractdescription of how to use AdaBoosting to obtainthe dynamic weighted linear combinational model(ACM) of several SRGMs is shown as follows[3]

Input:

1. Let M(t)=u(x1,x

2,…x

k…x

S, t) denotes

different SRGMs (such as GO model). M(t) is thecumulated faults detected at time t, S is thenumber of the parameters of M(t), x

k is the k-th

parameter of M(t), k=1,2,3,…......S;

2. The failure data-set D0 is denoted by (t1,

m1), (t

2, m

2), (t

j, m

j)... (t

n, m

n).

Where n is the data number of D0,

mj is the cumulated faults detected at t

j,

j=1...n.

Initialize:

Step1: Selecting M different SRGMs(denoted by M

m(t),

m=1...M) as the candidate models for theACM.

Step2: The original weight set of D0 can be

denoted by K0 = {k

01... k

0n}, where k

0j is initialized

by 1/n.

Circulation:

Step3: New training data set Di (i=1...P, P is

the training rounds) are generated by repeatedlyrandom sampling from D

0 according to its

corresponding weight set Ki={k

i1…k

ij…k

in}.

If there are some same data in Di, only one

of them will be reserved in our approach. Hencethe data number of Di may not be n.

Step4: Di is used to estimate the parameters

of each Mm(t) in the i-th training round. Then the

fitness function (Notation 1) of Mm(t) can be

determined by D0.

The candidate model whose value of fitnessfunction is the smallest is chosen as the selectedmodel (denoted by M

is(t)) in this round, i=1...P.

Step5: If M1is(t) denotes the estimation form

of Mis(t), the loss function L

is (Notation 2) of M

is

(t) can be calculated by the fitting results of M1is

(t) with D0.

Then Ki can be updated as K

i+1 by L

is

(Notation 3). The basic weight βis of M

is (t) also

can be determined by Lis(Notation 4).

Step6: Performing Step3-Step5 repeatedlyuntil i=P, and then turning into Step7.

Output:

Step7: Finally, a combinational linear modelis obtained as follows:

MACM

(t) = Pi=1

Wis M

is(t)

The combination weight Wis of the selected

model Mis (t) is f (

is) (Notation 5), that is, W

is is

a function of the basic weight is.

Notation 1:

Fitness function (FF) can be definedaccording to the estimation method of theparameters of these candidate SRGMs. Thegeneral methods to estimate the parameters ofSRGMs are least-squares estimation (LSE) andmaximum likelihood estimation (MLE).

If Maximum likelihood Estimation is used,FF equation

is FF =1/- log (ML)

Where ML is the maximum likelihoodfunction derived in the next section.

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Notation 2:

Lis = n

j=1 k

ij * Lj

is

Ljis = AE j

is / D

ent

Where AE jis = m

j - M1

is (t

j), Dent =max {AEj

is}

Notation 3:

Ki+1 = { Ki+1, j },

Ki+1, j

= kij * Lj

is / ( n

j=1 k

ij * Lj

is )

Notation 4:

is = Lj

is /(1- Lj

is)

Notation 5:

Wis = f(

is ) = log (1/

is ) / p

i=1 log 1/

is

3. Parameter Estimation

Once the analytic expression for the meanvalue function is derived, it is required to estimatethe parameters in the mean value function, whichis usually carried out by using Maximumlikelihood Estimation technique [11].

Maximum Likelihood Estimation:

Once a model is specified with itsparameters, and data have been collected, oneis in a position to evaluate its goodness of fit,that is, how well it fits the observed data.Goodness of fit is assessed by finding parametervalues of a model that best fits the data, aprocedure called parameter estimation.

The general methods to estimate theparameters are least-squares estimation (LSE)and maximum likelihood estimation (MLE).

Fitting a proposed model to actual fault datainvolves estimating the model parameters fromthe real test data sets. Here we employ themethod of MLE to estimate the parameters ‘a’and ‘r’. All parameters of different Reliabilitymodels can be estimated by the method of MLE.For example, suppose that a and r aredetermined for the observed data pairs:

(t0, m

0), (t

1, m

1), (t

2, m

2),…….,(t

n, m

n).

Then the” likelihood()( !function)exp[“(m(tfor the)”parametersm(t))] a and r in the models with m(t)is giv n by

ML = ----------

Where, mj is the cumulative number of faults

detected by tj test cases (j=1,2,3,…….,n), t

j is

accumulated number of test run executed todetect m

j faults, m(t

j) is the expected mean

number of faults detected by the nth test case.

Taking the natural logarithm of the aboveequation, we get

lnML = nj=1

(mj-m

j-1) ln[m(t

j)-m(t

j-1)] - {(m(t

j)-m(t

j-

1)} – n

j=1 ln[(m

j-m

j-1)!]

The values of these parameters thatmaximize the sample likelihood are known as theMaximum Likelihood Estimator.

Analysis of Data

Data Set #1:

The first data set employed was from thepaper by Ohba [5] for a PL/I database applicationsoftware system consisting of approximately 1317 000 LOC. Over the course of 19 weeks,47.65 CPU hours were consumed, and 328software faults were removed. Although this isan old data-set, we feel it is instructive to use itbecause it allows direct comparison with the workof others who have used it.

Data Set #2:

The second data set presented by Wood[5]

from a subset of products for four separatesoftware releases at Tandem ComputersCompany. Wood reported that the specificproducts and releases are not identified, and thetest data sets have been suitably transformed inorder to avoid confidentiality issues. Here we onlyuse Release 1 for illustrations. Over the courseof 20 weeks, 10 000 CPU hours were consumed,and 100 software faults were removed.

EXPERIMENTAL RESULTS

In order to implement the fitting andprediction performance of the five selectedmodels and ACM by using maximum likelihoodestimation to estimate the parameters of modelscan be shown as follows.

1. Fitness and Prediction Performance of fiveModels and ACM with failure datasets

The Figures (Fig. 1 & Fig.2) represents theFitness and Prediction graphs of various SRGMsand ACM respectively. Here the failure data-set


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Ohba [5] is taken for the comparison purpose.

Fig.1 : Fitness comparison between Models and ACMwith Ohba Dataset

Fig .2 : Prediction comparison between Models and

ACM with Ohba Dataset


In this paper, the Fitness and Prediction ofvarious Software Reliability Growth Models(SRGMs) can be compared with AdaBoostingbased Combinational Model (ACM) with the helpof Maximum likelihood estimation to estimate themodel parameters. From the results, the fittingand prediction performance of ACM is bettercompare with individual reliability growth modelswith real failure data-sets.

The further enhancements those arepossible for this, examining the statisticalsignificance of the estimation and predictionresults of the ACM and comparing with the othercombination approaches such as Genetic-basedCombinational Model (GCM) [9], DynamicWeighted Combinational Model (DWCM)[7] etc.

REFERENCES

1. Hoang Pham, System Software Reliability. SpringerSeries in Reliability Engineering..

2. Jiri Matas and Jan S ochman, AdaBoost, Centre forMachine Perception, Czech Technical University,Prague.

3. Haifeng Li, Min Zeng, and Minyan Lu, “ExploringAdaBoosting Algorithm for Combining SoftwareReliability Models”,ISSRE 2009.

4. X. Cai, M. R. Lyu. Software Reliability Modeling withTest Coverage Experimentation and Measurement witha Fault-Tolerant Software Project. ISSRE, 2007: 17-26

5. C. Y. Huang, S. Y. Kuo and M. R. Lyu. An assessmentof testing-effort dependent software reliability growthmodels. IEEE Transactions on Reliability, 2007, 56(2):198-211

6. Lyu, M. R, Nikora, A. Applying Reliability Models MoreEffective. IEEE Software, 1992, 9(4): 43-52

7. Y. S. Su, C. Y. Huang. Neural-network basedapproaches for software reliability estimation usingdynamic weighted combinational models. The Journalof Systems and Software, 2007, 80: 606-615

8. C. J. Hsu, C. Y. Huang. Reliability analysis usingweighted combinational models for web-basedsoftware. WWW 2009, 1131-1132

9. Eduardo Oliveira Costa, Silvia R. Vergilio, Aurora Pozo,Gustavo Souza. Modeling software reliability growthwith Genetic Programming. ISSRE, 2005: 1-10

10. Artur Ferreira, Survey on Boosting algorithms forsupervised and semi-supervised learning. Institute ofTelecommunications.

11. Aasia Quyoum, Mehraj – Ud - Din Dar, ImprovingSoftware Reliability using Software EngineeringApproach , International Journal of ComputerApplications (0975– 8887) Volume 10– No.5, November2010.

12. S. Yamada, J. Hishitani, and S. Osaki, “Softwarereliability growth model with Weibull testing effort: amodel and application” , IEEE Trans. Reliability, vol.R-42, pp. 100–105, 1993.

13. Alan Wood, “Software reliability growth models”.Tandem Computers.

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STUDY AND ANALYSIS OF SINGLE POINT CUTTING TOOL

UNDER VARIABLE RAKE ANGLE

*DEEPAK BHARDWAJ1, B. KUMAR2

1Research Scholar, Department of Mechanical Engineering, Sunrise University, Alwar , Rajasthan, India2 Professor, MIET, Greater Noida, Uttar Pradesh, India

*Address for correspondence: Deepak Bhardwaj, Research Scholar,Department of Mechanical Engineering, Sunrise University,

Alwar , Rajasthan ,India

ABSTRACT

The finite element method is used to study the effect of different rake angles on the forceexerted on the tool during cutting. This method is attracting the researchers for better under-standing the chip formation mechanisms, heat generation in cutting zones, tool-chip interfacialfrictional characteristics and integrity on the machined surfaces. In present study, the threedifferent rake angles are studied to find out the variation in values of Vonmisses stress for thespecified applied forces. As we increase the rake angle then the value of Vonmisses stressgoes on decreasing. The value of Vonmisses stress decreases for increase of rake angles of7°, 9° and 1 1° respectively . From results it seems that reduction of resultant forces might causeincrease in tool life but it causes decrease in tool life. In present study, mesh is created inANSYS and the boundary conditions are applied and the analysis is carried out for the appliedconstraints. The results calculated on software can be verified with experiments carried outwith tool dynamometers for lathe tool. For future study the applied model can be used formultipoint cutting tools such as milling cutters, broaching tools etc.

Keywords: Single Point Cutting Tool, Back Rack Angle, Vonmisses Stress, Finite ElementMethod.

INTRODUCTION

Finite Element Method (FEM) based mod-eling and simulation of machining processes iscontinuously attracting researchers for better un-derstanding the chip formation mechanisms, heatgeneration in cutting zones, tool-chip interfacialfrictional characteristics and integrity on the ma-chined surfaces. Predicting the physical processparameters such as temperature and stress dis-tributions accurately plays a pivotal role for pre-dictive process engineering of machining pro-cesses. The cutting forces vary with the toolangles, feed and cutting speed. Knowledge aboutthe forces acting on the cutting tool may help themanufacturer of machining tool to estimate thepower requirement.

Tool edge geometry is very important, be-cause its influence on obtaining most desirabletool life and surface integrity is extremely high.

Therefore, development of accurate and soundcontinuum-based FEM models are required inorder to study the influence of the tool edge ge-ometry, tool wear mechanisms and cutting con-ditions on the surface integrity especially on themachining induced stresses.

On the other hand, the friction in metal cut-ting plays an important role in thermo-mechani-cal chip flow and integrity of the machined worksurface. The most common approach in model-ing the friction at the chip-tool interface is to usean average coefficient of friction. Late modelsconsist of a sticking region for which the frictionforce is constant, and a sliding region for whichthe friction force varies linearly according toCoulomb’s law.

The round edge of the cutting tool and thehighly deformed region underneath has dominantinfluence on the residual stresses of the ma-


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chined surface. The use of a separation criterionundermines the effect of the cutting edge on theresidual stress formation on the machined sur-face. In this project, the work material is allowedto flow around the round edge of the cutting tooland therefore, the physical process is simulatedmore realistically.

LITERATURE REVIEW

There are different approaches that havebeen applied in the recent past for formulatingnumerous static field problems. As the numberof these problems is varied, there can be manytypes of approaches that have been found to givereasonable results since their time of occurrence.Below gives a glimpse of the finite number oftechniques for dealing with these problems.

1. Finite difference method

It is one of the older and yet decreasinglyused numerical methods. In essence, it consistsin superimposing a grid on the space-time do-main of the problem and assigning discrete val-ues of the unknown field quantities at the nodesof the grid. Then, the governing equation of thesystem is replaced by a set of finite differenceequations relating the value of the field variableat a node to the value at the neighboring nodes.

Limitation: -

(1) Lack of geometrical flexibility in fitting irregu-lar boundary shapes.

(2) Large points are needed in regions wherethe field quantities change very rapidly.

(3) The treatment of singular points and bound-ary interfaces do not coincide with constantcoordinate surfaces.

2. Boundary element method

To formulate the eddy-current problem as aboundary element technique, an integral needsto be taken at the boundary points. To avoid thesingularity which occurs in the integrand whenthe field point corresponds to the source point,the volume is enlarged by a very small hemi-sphere whose radius tends to zero, with theboundary point being the center of the sphere.The usage of the boundary element method re-duces the dimensionality of the problem fromthree to two or from two to one. It is found to beuseful in open boundary problems where it

strongly challenges the finite element method.

Limitation: - Instead of sparse (and usuallysymmetric and positive definite) matrices of theFDM and FEM, the resultant matrices in thismethod are full (and usually non-symmetric).

The most powerful numerical method ap-pears to be the FEM, which (from the mathemati-cal point of view) can be considered as an ex-tension of the Rayleigh-Ritz / Galerkin techniqueof constructing coordinate functions whose lin-ear combination approximates the unknown so-lutions. In this method, the field region is subdi-vided into elements i.e. into sub-regions wherethe unknown quantities , for instance a scalar orvector potential , are represented by suitable in-terpolation functions that contain, as unknowns,the values of the potential at the respective nodesof each element. The potential values at thenodes can be determined by direct or iterativemethods.

The normal procedure in a field computa-tion by the FEM involves, basically, the followingsteps:-

1] Discretization of the field region into a num-ber of node points and finite elements.

2] Derivation of the element equation: The un-known field quantity is represented withineach element as a linear combination of theshape functions of the element and in theentire domain as a linear combination of thebasis functions. A relationship involving theunknown field quantity at the nodal pointsis then obtained from the problem formula-tion for a typical element. The accuracy ofthe approximation can be improved eitherby subdividing the region in a finer way orby using higher order elements

3] Assembly of element equations to obtain theequations of the overall system: The impo-sition of the boundary conditions leads tothe final system of equations, which is thensolved by iterative or elimination methods.

4] Post-processing of the Results: - To com-pute other desired quantities and to repre-sent the results in tabular form or graphicalform, etc. Use of TSP is routing in network.Minimum path will help to reduce the over-all receiving time

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3. Formulation of the Finite Element Method(FEM)

The FEM is concerned with the solution ofmathematical or physical problems which aregenerally defined in a continuous domain eitherby local differential equations or by equivalentglobal statements. To render the problem ame-nable to numerical treatment, the infinite degreesof freedom of the system are discretized or re-placed by a finite number of unknown param-eters, as indeed is the practice in other processesof approximation. The concept of ‘finite elements’replaces the continuum by a number of sub- do-mains (or elements) whose behavior is modeledadequately by a limited number of degrees offreedom and which are assembled by processeswell known in the analysis of discrete systems.Hence this method can be defined as any ap-proximation process in which:-

(a) The behavior of the whole system isapproximated by a finite number n of parametersaj , i = 1 to n . These parameters are describedby “n” number of equations.

(b) The “n” equations governing the behav-ior of the whole system

Fj (ai) = 0 j = 1 to n

can be assembled by the simple process of ad-dition of terms contributed from all sub-domains(or elements). These elements divide the sys-tem into physically identifiable entities (withoutoverlap or exclusion).

Then Fj = Ó Fej

Where Fej is the element contribution to the

quantity under consideration. This method com-bines the best of the features found in the earlierused methods like the variation method,Rayleigh Ritz method, and so forth. The imple-mentation of this method involves steps in thefollowing chronological order:-

(1) Discretization of the continuum

The electromagnetic field is described as acontinuum of numerous points. The field variableis projected as having been endowed with infi-nite degrees of freedom, as it can be expressedas a function of different coordinates of each pointin the solution domain. The finite element method

aims to approximate this field to finite degrees offreedom. Thus by transforming this problem intofiniteness, the finite element method divides thesolution region into known number of non-over-lapping sub-regions or elements. Thereafter,nodes are assigned to different elements.

(2) Selecting approximating or interpolationfunction

Within each element, an approximation forthe variation of potential is sought which is de-scribed by an interpolation function. This func-tion inter-relates the potential distribution in vari-ous elements such that the potential is continu-ous across inter-element boundaries. Now, thefield variable may take any one of the form fromvector, scalar or a tensor. Depending on its form,the corresponding variation of the potential isapproximated and hence the choices of a par-ticular interpolation function. More often, poly-nomial functions are used as interpolation func-tion for the ease of their differentiability as wellas integrability. The potential, ingeneral, is non-zero within an element and zero outside its pe-riphery. The element shape functions are denotedby ái

and have the following properties:-

ái (xi, yi ) = 1 , i = j

ái (xi, yi ) = 0, i ‘“ j

(3) Element governing equations

On the completion of the above two steps,equations describing the properties of elementsare derived for different elements. These equa-tions are then combined to form the element co-efficient matrices. For each element, a typicalelement coefficient matrix is obtained. This com-puted value of this matrix when, viewed as adeterminant, gives the numerical value of thearea of that particular element. The value of thematrix is found to be positive if the nodes arenumbered counterclockwise (starting from anynode).

(4) Assembling all elements

Having derived matrix for individual ele-ments, the next step is to assemble all such ele-ments in the solution region. The basic idea be-hind this is to obtain the overall or global coeffi-


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cient matrix, which is the amalgam of individualcoefficient matrices.

(5) Imposition of boundary constraints

Before going for the solution of the globalcoefficient matrix, it is mandatory to impose cer-tain boundary constraints. Keeping this in view,these matrices are modified accordingly. Forobtaining a unique solution of the problem, twopossibilities can be examined:-

(1) In some cases, a value of potential is as-signed across a line. If the specified poten-tial is same everywhere, equi-potential con-ditions are said to be specified. When thepotential is set to zero, this condition istermed as dirichlet homogeneous condition.

(2) In others, a value of the normal derivativeof the potential is specified. When this valueis set to be zero, this is known as Neumannhomogeneous condition.

The matrix equations so obtained after ac-counting for the boundary constraints, are thensolved, using a suitable procedure. The taskbehind obtaining the solution of the equations isto compute the value of field variable at thenodes. That is to find the variation of the fieldvariable within each node.

(6) Error Analysis

The results obtained above are comparedwith standard results in order to obtain extent ofconformity with the desired ones. The desired orstandard results are acquired from the empiricalformulas. Thereafter, the error analysis is car-ried out. In case, the error is found to be exceed-ing the required tolerance limits, the results ob-tained from the equations are again channeledthrough the iterative procedure. At this juncture,the power of this numerical approach can be re-alized. Iterative techniques tend to refine the re-sults, every time a process does not conform tothe desired level of accuracy.

NEW PROPOSED SCHEME

STRESS MODELING OF CUTTING TOOL

1. CUTTING FORCES ACTING IN TURNING

The cutting forces vary with the tool angles,feed and cutting speed. Knowledge about the

forces acting on the cutting tool may help in themanufacturing of machine tool to estimate thepower requirement.

The forces components in the lathe turningcan be measured in three directions, as shownin Fig.1. The component of the force acting onthe rake face of the tool, normal to cutting edge,in the direction OY is called the cutting force Fc.This is usually the largest force component, andacts in the direction of cutting velocity. The forcecomponent acting on the tool in the direction OX,parallel with the direction of feed, is referred toas the feed force, Ff . The third component, act-ing in OZ direction, pushes the cutting tool awayfrom the work in the radial direction. This is thesmallest of the force components.

Fig. 1: Forces acting on tool

Fig. 2: Tool Geometry

2. VARIOUS ANGLES IN TOOLS GEOMETRY

Back Rake Angle

It is the angle between the face of the tooland a line parallel to the base of the tool andmeasured in a plane (perpendicular) through theside cutting edge. This angle is positive, if theside cutting slops downward from a point towardsthe shank and is negative if the slope of sidecutting edge is reverse. So this angle gives theslops of the face of the tool from the nose to-wards the shank.

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Side Rake Angle

It is the angle between the side cutting edgeand a line parallel to the top surface of the toolwhen viewed from side.

End Relief Angle

It is the angle between the flank and the lineperpendicular to the shank when viewed fromthe front.

Side Relief Angle

It is the angle between the line perpendicu-lar to the shank and the surface formed by sidecutting edge and end cutting edge if viewed fromside.

3. APPROACH OF THE ANALYSIS

Cutting Forces are the three dimensional innature. The present work investigates the effectof different forces on varying tool geometries. Itconsiders the three cases of forces on the toolwhich are the experimental. It is measured byDynamometer for cutting Aluminium with HighSpeed Steel as given in table 1.

Table 1 : Experimental Cutting Force Data

Back Rake Angle Geometry condition:

Back rake angles of the tool for differentcases, are taken as below for cutting Alumi-num with High Speed Steel i.e.

Case A: When the Back Rake angle = 7ˆ

Case B: When the Back Rake angle = 9ˆ

Case C: When the Back Rake angle = 11ˆ

Geometrical detail of the single pointcutting tool:

Side Rake Angle = 14ˆ

Side Relef Angle = 5ˆEnd Relef Angle = 5ˆEnd Cutting Edge Angle = 20ˆSide Cutting Edge Angle = 15ˆCorner nose Radius = 1/8 ROverall length of the tool =120 mm.Height of the tool = 30 mm.Width of the tool = 25 mm.

The single point cutting tool geometry ismade in CATIA V4R14 as shown in Fig.4. 3(a). Itis then imported into ANSYS using a GUI com-mand.

4. MATERIAL PROPERTIES

Material properties of single point cutting toolis defined as given in below :

Single point cutting tool is made up of H.S.S.Modulus of Elasticity = 250 GpaPoisson’s Ratio = 0.26Yield Strength of HSS = 280 Mpa.

5. ELEMENT TYPE

The selection of element type in FEM is veryimportant. If the element type is not proper thenthe results may deviate from the actual values.For rectangular section SOLID 92 becomes themost suitable candidate of element type.

SOLID92 has a quadratic displacement be-havior and is well suited to model irregularmeshes and satisfies the patch test condition (Amethod of testing finite elements to determine ifthey perform acceptably under less than idealconditions). So in present work SOLID92 elementtype is selected for analysis.

6. STRESS ANALYSIS ON TOOL RAKEFACE RESULTS

The Results of the study are categorizedin different forces and geometric conditions asgiven below:

i. Force in X-Direction (Fx) is 20 N, Force inY– Direction (FY) is 300 N and Force in Z-Direction (Fz) is 80 N along with Geometricparameters of back rake angle 7o.

ii. Force in X-Direction (Fx) is 20 N, Force inY– Direction (FY) is 300 N and Force in Z-Direction (Fz) is 80 N along with Geometricparameters of back rake angle 9o.

Force Forces Forces Forces C o nd itions (F x ) in (F y) in (F z ) in

N N N

1 2 0 3 0 0 8 0

2 3 5 4 5 0 1 05

3 5 0 5 0 0 1 30


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iii. Force in X-Direction (Fx) is 20 N, Force inY– Direction (FY) is 300 N and Force in Z-Direction (Fz) is 80 N along with Geometricparameters of back rake angle 11o.

iv. Force in X-Direction (Fx) is 35 N, Force inY– Direction (FY) is 450 N and Force in Z-Direction (Fz) is 105 N along with Geomet-ric parameters of back rake angle 7o.

v. Force in X-Direction (Fx) is 35 N, Force inY– Direction (FY) is 450 N and Force in Z-Direction (Fz) is 105 N along with Geometricparameters of back rake angle 9o.

vi. Force in X-Direction (Fx) is 35 N, Force inY– Direction (FY) is 450 N and Force in Z-Direction (Fz ) is 105 N along with Geomet-ric parameters of back rake angle 11o

vii. Force in X-Direction (Fx) is 50 N, Force inY– Direction (FY) is 500 N and Force in Z-Direction (Fz ) is 130 N along with Geomet-ric parameters of back rake angle 7o

viii. Force in X-Direction (Fx) is 50 N, Force in Y–Direction (FY) is 500 N and Force in Z-Di-rection (Fz) is 130 N along with Geometricparameters of back rake angle 9o

ix. Force in X-Direction (Fx) is 50 N, Force inY– Direction (FY) is 500 N and Force in Z-Direction (Fz ) is 130 N along with Geomet-ric parameters of back rake angle 11o

Table 2: Vonmisses stress for different forceand geometric conditions

Fig. 3: Variations in Vonmisses Stress against result-ant force at different rake angles

Fig.4 : superimposing three charts with Variations

of Vonmisses stresses with 70, 90 & 110 rake angles


The results are generated from various clas-sifications of force and geometric conditions im-

S.No. Force G eo m etr ic Vonmisses

Conditions Conditions Stress 1. 1 A 0 .5 6 6 + E 6

2. 1 B 0 .5 3 4 + E 6

3. 1 C 0 .4 5 1 + E 6

4. 2 A 0 .8 5 5 + E 6

5. 2 B 0 .8 0 2 + E 6

5. 2 C 0 .5 0 2 + E 6

6. 3 A 0 .1 1 5 + E 8

8. 3 B 0 .1 0 6 + E 8

9. 3 C 0 .8 0 1 + E 6

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posed on the tool and following conclusion aremade.

Rake angle specifies the ease with whichmaterials is cut. In practice it is observed that asthe rake angle is increased, the tool forces de-crease and tool life increases. On further increaseit is reported that although tool forces go on de-creasing, tool-life decreases. It is said that onincreasing the rake angle, cutting force reducesand so less heat is generated. It is the reason ofconsequent improvement in tool life. Shear planeregion inside the work material stands approxi-mately at an angle of 900 to the face of the tool.The length of shear plane is determined by therake angle. Larger the rake angle lesser will bethe length of the shear plane so lesser power isrequired to shear the materials. However, verylarge positive rake angled tool have less me-chanical strength which reduces tool life.

In this study, we have utilized the explicitdynamic Arbitrary Lagrangian Eulerian methodwith adaptive meshing capability to develop aFEM simulation model for orthogonal cutting ofAluminium using round edge HSS cutting toolwithout employing a re-meshing scheme andwithout using a chip separation criterion. Thedevelopment of temperature distributions duringthe cutting process is also captured. Very highand localized temperatures are predicted at tool-chip interface due to a friction model. Predictionsof the Vonmisses stress distributions in the chip,in the tool and on the machined surface are ef-fectively carried out. Process induced stress pro-files depict that there exists only a tensile stressregion beneath the surface. These predictionscombined with the temperature field predictionsare highly essential to further predict surface in-tegrity and thermo-mechanical deformation re-lated property alteration on the microstructure ofthe machined surfaces. It is believed that the ALEsimulation approach presented in this work, with-out remeshing and using a chip separation crite-rion, may result in better predictions for machin-ing induced stresses.

FUTURE SCOPE

In the present work although care was takento predict stress distribution behavior accurately,but there are some scope for improvement in thepresent work due to the limitations of time and

resources available at the researcher’s endwhich can be addressed in future.

(1) For solid model

The future scope of this analysis can be ex-tended for calculating the force acting on a toolin general metal cutting environment. This analy-sis can be explored for multi point cutting toolslike milling cutters, broach tool etc. It can help inestimation of tool life and wear of cutting tools.We can calculate heat generation and tempera-ture by calculating the material flow. The gener-alization of constrained can further help to handleactual problem of industry like the case when toolmaterial is non-homogeneous, non-linear, as wellas when the problem states are dynamic andtransient.

(2) For single point cutting tool and chipcontact

The future scope of single point cutting tooland chip contact analysis can be further extendedto 3D analysis of cutting tool and chip contactand also for 3D analysis of multi point cuttingtool and chip contact (e.g. milling, broaching,etc.). The use of re-meshing technique and adap-tive meshing technique can increase the accu-racy of results. It can be further extend to verycomplex processes like metal forming, crackpropagation in work materials, tool life and simu-late tool wear.

VALIDATIONS OF RESULTS

For solid model all those results that hadbeen worked by me in this study with the help ofANSYS platform can be practically verified byusing dynamometer for measurement of cuttingforces. Moreover, the same can be measuredthrough power measurement and calorimetry.The measurement assists in estimating the effi-ciency of the machine tool in determining the sizeof the cutting tool required to resist those encoun-tering forces and for verifying the result.

REFERENCES

1. Black, J. T. and Huang, J. M., “An evaluation of chipseparation criteria for the fem simulation of machin-ing”, ASME Journal of Manufacturing Science and En-gineering, 1995.

2. Marusich, T.D. and Ortiz, M., “Modeling and simula-tion of high-speed machining,” International Journal


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for Numerical Methods in Engineering1995.

3. Ozel, T. and Altan, T., “Determination of workpieceflow stress and friction at the chip-tool contact for high-speed cutting,” International Journal of Machine Toolsand Manufacture, 2000.

4. Ozel, T. and Zeren, E., “Finite element method simu-lation of machining of AISI 1045 steel with a roundedge cutting tool,” Proceedings of the 8th CIRP Inter-national Workshop on Modeling of Machining Opera-tions, Chemnitz, Germany, 2005.

5. Ozel, T., “Modeling of Hard Part Machining: Effect ofInsert Edge Preparation for CBN Cutting Tools,” Jour-nal of Materials Processing Technology, 2003.

6. Ozel, T., “The influence of friction model on finite ele-ment simulations of machining”, International Jour-nal of Machine Tools and Manufacture, 2005.

7. Ozel, T. and Zeren, E., “A Methodology to DetermineWork Material Flow Stress and Tool-Chip InterfacialFriction Properties by Using Analysis of Machining,”Proceedings of IMECE’04, Anaheim, California, USA2004.

8. Zhang, B. and Bagchi, A., “Finite element simulationof chip formation and comparison with machiningexperiment,” ASME Journal of Engineering for Indus-try, 1994.

9. Shaw, M. C., “Metal Cutting Principals”, Oxford Press,Oxford, UK1984.

10. Metals Data Handbook, 8th Edition, Vol. 1, “AmericanSociety for metals” 1980.

11. R.W. Ivester, M. Kennedy, M. Davies “Assessmentof Machining Models”: Progress Report 1995.

12. Bathe, K.J., “Finite Element Procedures”, prentice Hallpublication 1995.

13. Thomas H.C. Childs, “Modelling Requirements forComputer Simulation of Metal Machining” Journal ofManufacturing Science and Engineering, 1998.

14. T.D.Marusich, M.Ortiz, “Modeling and Simulationof High Speed Machining”, 1995.

15. T. Ozel, T. Altan, “Determination of work piece flowstress and friction at the chip–tool contact for high-speed cutting”International Journal of Machine Tools& Manufacture, 1999.

16. Y.C. Yen, J. Sohner, H. Weule, J. Schmidt, and T. Altan,“Estimation of Tool wear of carbide tool in orthogonalcutting using fem simulation”, machining science andtechnology vol. 5, 2002.

17. Y. Hang, S.Y. Liang, “Force Modeling in Shallow cutswith Negative Rake angle and large nose radiusTools- Applications to hard turning” International Jour-nal of Advance Manufacturing Technology, 1999.

18. Y.M.lee, W.S. Choi, T.S.Song, “Analysis of 3-D Cut-ting with Single point Cutting Tool”, International Jour-nal of the Korean Society of precision Engineering,Vol 1,No.1 2000.

19. Kalhori, V., “Modelling and Simulation of MechanicalCutting”, Doctoral thesis, Institution for Maskinteknik,Avdelningen for Datorstodd maskinkonstruktion, LuleaTekniska Universitet, 2001.

20. Shih, A. J., “Finite element simulation of orthogonalmetal cutting”, Journal of Engineering for Industry1999.

21. Kalhori, V. “Numerical and Experimental Analysis oforthogonal Metal Cutting”, Lulea University of tech-nology, 2001.

22. Özel T. and Ka rpat Y., (2009), “Predictive modelingof surface roughness and tool wear in hard turningusing regression and neural networks”, InternationalJournal of Machine Tools and Manufacture, Volume45, pp. 467–479.

23. Ahmed S. G., (2009), “Development of a PredictionModel for Surface Roughness in Finish Turning ofAluminium”, Sudan Engineering Society Journal,Volume 52, Number 45, pp. 1-5.

24. Doniavi A., Eskanderzade M. and TahmsebianM., (2007), “Empirical Modeling of Surface Rough-ness in Turning Process of 1060 steel using FactorialDesign Methodology”, Journal of Applied Sciences,Volume 7, Number17, pp. 2509-2513.

25. Natarajan U., Arun P., Periasamy V. M., (2007), “On-line Tool Wear Monitoring in Turning by Hidden MarkovModel (HMM)” Institution of Engineers (India) Journal(PR), Volume 87, pp. 31-35.

26. Sahoo P., Barman T. K. and Routara B. C., (2011),“Taguchi based practicald mension modeling and op-timization in CNC turning”, Advance in ProductionEngineering and Management, Volume 3, Number 4,pp. 205-217.

27. Thamma R., (2012), “Comparison between MultipleRegression Models to Study Effect of Turning Param-eters on the Surface Roughness”, Proceedings of the2008 IAJC-IJME International Conference, ISBN 978-1-60643-379-9, Paper 133, ENG 103 pp. 1-12.

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QUALITY FUNCTION DEPLOYMENT (QFD):

A CASE STUDY

*SATISH CHANDER GARG¹, B. KUMAR2

1 Research Scholar, Department of Mechanical Engineering, Sai Nath University, Ranchi, India2 Professor, MIET, Greater Noida, Uttar Pradesh , India

*Address for correspondence: Satish Chander Garg, Research Scholar, Department of MechanicalEngineering, Sai Nath University, Ranchi, India

ABSTRACT

Quality Function Deployment (QFD) was conceived in Japan in the late 1960's, and introducedto America and Europe in 1983. This paper will provide a general overview of the QFDmethodology and approach to product development. Once familiarity with the tool is established,a real-life application of the technique will be provided in a case study. The case study willillustrate how QFD was used to develop a new tape product and provide counsel to those thatmay want to implement the QFD process. Quality function deployment (QFD) is a “method totransform user demands into design quality, to deploy the functions forming quality, and todeploy methods for achieving the design quality into subsystems and component parts, andultimately to specific elements of the manufacturing process.”

Keywords: Quality Function Deployment, Tape Product, Product Development, Design Quality,Manufacturing

INTRODUCTION

Quality Function Deployment (QFD) is aquality tool that helps to translate the Voice ofthe Customer (Vo C) into new products that trulysatisfy their needs. In this paper, QFD has beenreviewed in order to understand how it works, tohighlight its strengths and weaknesses and todiscuss its practical applications. The first partof the paper presents an overview of QFD andexplains the methodology. QFD has beendefined and explained by means of an exampleand a number of benefits and implementationproblems have been revealed [1]. Firstconceptualized in 1966 as a method or conceptfor new product development under the umbrellaof Total Quality Control, Hinshitsu Tenkai (qualitydeployment) was developed by Dr. ShigeruMizuno and Yoji Akao. Yoji Akao, et al detailedmethods of quality deployment in 1972. TheJapan Society of Quality Control formed aresearch group to specifically study QualityFunction Deployment (QFD) in 1978. QFD isused to translate customer requirements to

engineering specifications. It is a link betweencustomers - design engineers - competitors -manufacturing. It provides an insight into thewhole design and manufacturing operation fromconcept to manufacture and it can dramaticallyimprove the efficiency as production problemsare resolved early in the design phase. It is verypowerful as it incorporates the voice of thecustomer in the designs - hence it is likely thatthe final product will be better designed to satisfythe customer’s needs. Moreover, it provides aninsight into the whole design and manufacturingoperation (from concept to manufacture) and itcan dramatically improve the efficiency asproduction problems are resolved early in thedesign phase .Quality Function Deployment(QFD) was conceived in Japan in the late 1960's, and introduced to America and Europe in 1983.During the period between the late 1960's andearly 1980's, the concept of QFD was evolvedfrom the belief that Total Quality Control mustinclude not only checking of the control pointsduring production, but an understanding of the


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requirements prior to the design phase. In thelate 1960's, Japanese companies were breakingfrom their post World War II mode of imitationand copying to a more original mode of productdevelopment, making design quality an importantconsideration. The need to understand the criticaldesign issues prior to production wasacknowledged and QC process charts werewidely used to ensure that the design criteriawere met during manufacturing, but there wasno formal system to translate the customer’sneeds into the initial design and subsequentprocess control points. Thus, an opportunity wascreated for QFD to come to fruition as a methodto check the design itself for adequacy in meetingcustomer requirements and to translate thoserequirements to production [2].

When to use QFD:

QFD is applied in the early stages of thedesign phase so that the customer wants areincorporated into the final product. Furthermore,it can be used as a planning tool as it identifiesthe most important areas in which the effortshould focus in relation to our technicalcapabilities. Ask yourself these questions:

1. Why do QFD in this case?

2. What will the QFD be made of?

3. Is it the right tool at this time?

4. Is this the right place for implementation?

5. What is the goal and what is success?

6. Who all should we involve?

How to use it?

Comprehensive QFD may provide fourphases:

1. Product Planning (House of Quality):Translate customer requirement into producttechnical requirement to meet them.

2. Product Design: Translate technicalrequirement to key part characteristics orsystems.

3. Process Planning: Identify key processoperations necessary to achieve key partcharacteristics.

4. Production Planning (Process Control):Establish process control plans, maintenanceplans, training plans to control operations.

Linking these phases provides a mechanismto deploy the customer voice through to controlof process operations.

Follow these steps:

1. Learn what each element represents

2. Form a multidisciplinary team. Obtain voiceof the customer from market surveys, focusgroups, observations, interviews. Identifycustomer requirements and ask customerto rate importance.

3. The development of the first issue of thecharts is the most time consuming part.Conduct competitive analysis by customerrequirement, establish a quality plan basedon competitive mode you would like to havefor your future product.

Once this is completed, regular reviews andupdates require minimum time. Remember thatthe benefits from an appropriately developedQFD chart are very big compared with the effort– put focus on the issues that are important tothe customer.

Benefits of QFD include betterunderstanding of customer demands and designinteractions; early manufacturing involvementduring the design process reducing iterations andfocusing the design while fostering teamwork [4].

QFD METHODOLOGY AND THE HOUSE OFQUALITY (HOQ)

The concept of QFD was created in Japanin the late 1960s. According to Akao (1997) afterWorld War II, Japanese companies used to copyand imitate product development; nevertheless,they decided to move their approach to onebased on originality. QFD was introduced, in thatenvironment, as a concept for new productdevelopment. It can be better understood fromthe definition presented below which summarizesthe purposes of the technique: “QFD is a methodfor structured product planning and developmentthat enables a development team to specifyclearly the customer’s wants and needs, and thento evaluate each proposed product or servicecapability systematically in terms of its impacton meeting those needs”(Cohen, 1995).

The QFD method includes building one or

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more matrices known as “quality tables”. The firstmatrix is named the “House of Quality” (Ho Q). Itexhibits the customer’s needs (Vo C) on the lefthand side, and the technical response to meetingthose needs along the top. Figure 1(a) showseach of the sections contained in the Ho Q. Everysection holds important data, specific to a part ofthe QFD analysis. The matrix is usuallycompleted by a specially formed team, whofollows the logical sequence suggested by theletters A to F, but the process is flexible and theorder in which the HOQ is completed depends

on the team [1].

A four phases approach is accomplished byusing a series of matrixes that guide the productteam’s activities by providing standarddocumentation during product and processdevelopment (Figure below). Each phase has amatrix consisting of a vertical column of “Whats”and a horizontal row of “Hows”. “Whats” are CR;“Hows” are ways of achieving them. At eachstage, the “Hows” are carried to the next phaseas “Whats” [4].

Figure 1. The House of Quality [1]

Section A has a list of customer needs;Section B contains market data, strategic goalsetting for the new product and computations forprioritizing the customer needs; Section Cincludes information to translate the customer’sneeds into the organization’s technical language;Section D contains the relationship between eachcustomer’s need and each technical response;Section E (the “roof”) assesses theinterrelationships between elements of thetechnical response; Section F contains the

prioritization of the technical responses,information on the competitors and technicaltargets. Moving on from the Ho Q, QFDcomprises the building of other matrices that helpto make detailed decisions throughout theproduct development process, however inpractice they are rarely used (Cohen, 1995). The mainreason for this is that the integration of peoplerequired to build the subsequent matrices, willuse 80 % of a company’s employees (Amos, 1997).


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In order to better understand the structureof the Ho Q, a brief example is presented. Itconcerns the improvement of a pizza (Sower etal, 1999); its Ho Q is shown in Figure 1(b). Ascan be seen, the customers want value, tasteand the pizzas delivered hot. The current productis superior to competitor X on two of the threecustomer requirements, but ranks equal to orbelow competitor Y on all three requirements. Thepurpose of this product redesign project is tomake the current product superior to bothcompetitors on all three counts. There is a strongpositive correlation between the designrequirements of meat and cheese and thecustomer requirement of value. That means thatthe more meat and cheese on the pizza, thehigher the value to the customer. The roof showsthat there is a strong negative correlationbetween meat and cheese and price, whichmeans that there is a trade-off to be considered.A way to provide a meaty, cheesy pizza at a low

price must be found. The bottom of the HoQshows the target values that the design team hasdetermined must be met to meet the technicalresponses. These are the specifications for thepizza that will put the current product ahead ofits two competitors [1].

QFD uses some principles from ConcurrentEngineering in cross-functional teams that areinvolved in all phases of product development.Each of the four phases in a QFD process usesa matrix to translate customer requirements frominitial planning stages through production control(Becker Associates Inc, 2000).

Each phase, or matrix, represents a morespecific aspect of the product’s requirements.Relationships between elements are evaluatedfor each phase. Only the most important aspectsfrom each phase are deployed into the nextmatrix.

Figure 2. The four phases of traditional QFD [2]

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Phase 1- Product Planning:

Building the House of Quality led by themarketing department, Phase 1, or productplanning, is also called The House of Quality.Many organizations only get through this phaseof a QFD process. Phase 1 documentscustomer ’s requirements, warranty data,competitive opportunities, productmeasurements, competing product measures,and the technical ability of the organization tomeet each customer’s requirement. Getting gooddata from the customer in Phase 1 is critical tothe success of the entire QFD process.

Phase 2- Product Design:

This phase 2 is led by the engineeringdepartment. Product design requires creativityand innovative team ideas. Product concepts arecreated during this phase and part specificationsare documented. Parts that are determined tobe most important to meeting customer’s needsare then deployed into process planning, orPhase 3.

Phase 3- Process Planning:

Process planning comes next and is led bymanufacturing engineering. During processplanning, manufacturing processes areflowcharted and process parameters (or targetvalues) are documented.

Phase 4- Process Control:

And finally, in production planning,performance indicators are created to monitor theproduction process, maintenance schedules, andskills training for operators. Also, in this phasedecisions are made as to which process posesthe most risk and controls are put in place toprevent failures. The quality assurancedepartment in concert with manufacturing leadsPhase 4[2].

QFD OBJECTIVES

Table 1 summarizes some of the importantobjectives of QFD. It is important to note that adesign project can be considered as a mixtureof all objectives. While some trading off is oftenunavoidable, the way to achieve an outstandingproduct is to seek to optimize all elements.

Table 1: Some of the important objectives of QFD

[5][6][7][8]

QFD BENEFITS AND IMPLEMENTATIONPROBLEMS

On the one hand, Hales and Staley (1995)argued that using QFD can result in thedevelopment of better products at a price thatthe customer is willing to pay; moreover, basedon its application in different companies, thefollowing advantages and benefits have beenreported: Customer satisfaction (Fernandez et

Resource

QFD

Vonderembse and

Raghunathan (1997)

To drive long-term improvements

in the way new products are

developed in order to create value for

customers Kathawala and

Motwani (1994); Zairi

(1995)

(1) Identify the customer (2) Determine what the customer

wants (3) Provide a way to meet the

customer’s desires

Franceschini and

Rossetto (1995)

(1) Definition of the product

characteristics, which meet the real

needs of the customers. (2) Gathering of all necessary

information to set up the design of

a product or a service, without

neglecting any point of view. (3) Supplying a support to

competitive benchmarking. (4) Preservation of coherence

(5) Provision of an audit trail from

the manufacturing floor back to

customer demands. (6) Auto documenting the project

during its evolution. Jagdev et al., 1997

(1) Identify current performance

measures that are closely linked to

CR. (2) Identify current performance

measures that are redundant. (3) Identify new customer oriented

performance measures that are

required. (4) Identify conflicts associated with

different performance measures. (5)

Identify target values for

customer oriented performance

measures. (6) Assess the degree of difficulty of

achieving the target value(s) for

specific performance measures.


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al., 1994), reduction in product lead times(Hauser and Clausing, 1988), improvedcommunications through teamwork (Griffin andHauser, 1992) and better designs (Mehta, 1994).In addition, Bicknell and Bicknell (In Chan andWu (2002a)) reported that tangible benefits thatare common when QFD is properly used are: a30-50% reduction in engineering changes, 30-50% shorter design cycles, 20-60% lower startup costs, and 20-50% fewer warranty claims.[10]

On the other hand, an empirical studyconducted by Martins and Aspinwall (2001) withinthe United Kingdom (UK), identified many QFDimplementation problems among the companiessurveyed. The results showed that there was aproblem in western companies associated with“working in teams”. Problems in maintaining acommitment to the methodology and anunsuitable “organizational culture” were alsohighlighted. Other aspects, such as “timeconsuming”, “costly”, and most important,complexity of the methodology, which arecommonly mentioned in the literature, weredeemed to be only secondary. Govers (1996)declared that most of the problems thatcompanies have to untangle, in order toimplement QFD, are related to organizationalcircumstances like project definition and projectmanagement as well as team selection and teambuilding. A critical factor concerning projectdefinition is the “Voice of the Customer” whilewith respect to project management and teamselection, it is essential to have the support oftop management and the integration of a teamwith receptive open-minded members who arewilling to challenge established practice. Theneed for a good facilitator, who knows the methodvery well and has the social skills to build and tomanage a team, was also mentioned [9][11].

Hauser and Clausing (1996) compared start-up and preproduction costs at Toyota auto bodyin 1977, before QFD, to those costs in 1984,when QFD was well under way. Ho Q meetingsearly on reduced costs by more than 60 %.Appendix 10, reinforces this evidence bycomparing the number of design changes at aJapanese auto manufacturer using QFD withchanges at a US automaker. Also, Hauser andClausing considered the difference betweenapplying QFD in Japanese companies and not

applying QFD in U.S. companies (Appendix 10).As the Appendix shows, Japanese automakerwith QFD made fewer changes than U.S.company without QFD. Some benefits of QFDare illustrated in Table 2.

Table 2: Major Benefits of QFD [13]

Benefits of QFD

Source Major reduction in

development, time and cost,

shorter design cycle and

changes. Significantly reduces

start up problems, times and

costs

Ferguson (1990), Stoker (1991),

Stauss (1993), Kathawala and Motwani (1994), Dhalgaard and

Kanji (1994), Kenny (1988),

Markland et al (1995, 1988), Hales (1995), Bendell (1993),

Bouchereau and Rowlands (1999,

2000a), Fortuna (1988), Lockamy

and Khurana (1995), Curry and

Herbert (1988), Zairi (1995),

Howell (2000)

Leads to truly satisfy and

delighted customer

Ermer and Kniper (1998),

Kathawala and Motwani (1994),

Kenny (1988), Lim and Tang

(2000), Stauss (1993), Howell

(2000), Stoker (1991), O‟ Neal

and Lafief (1992), Markland et al

(1995, 1988), Hales (1995),

Bendell (1993), Bouchereau and

Rowlands (1999, 2000a),

Lockamy and Khurana (1995),

Curry and Herbert (1988), Zairi

(1995)

Improved Communication

Designing for customers satisfaction (1994), Kathawala and

Motwani (1994), Stauss (1993),

Dhalgaard and Kanji (1994),

Stoker (1991), Markland et al

(1995, 1988), O‟ Neal and

Lafief (1992), Hales (1995),

Bendell (1993), Fortuna (1988),

Zairi (1995) The quality and productivity of

service become more precise in

a continual improvement

process and the company can

reach world class.

Designing for customers

satisfaction (1994), Kanko (1991),

Ermer and Kniper (1998), Howell

(2000), Stoker (1991), Markland

et al (1995, 1988), O‟ Neal and

Lafief (1992), Hales (1995),

Bendell (1993), Fortuna (1988),

Zairi (1995)

QFD clarifies the

customer priority

Ferguson (1990), Lim and Tang

(2000), Dhalgaard and Kanji

(1994), Stoker (1991), Markland

et al (1995, 1988), Hales (1995),

Bendell (1993), Fortuna (1988), Lockamy and Khurana (1995),

Curry and Herbert (1988), Zairi

(1995)

Enables one to focus

proactively on CR early in the

design stage. Critical items

identified for parameter design

and product planning is much

easier to carry out. Also,

ensure consistency between the

planning and the production

process.

Ferguson (1990), Ermer and

Kniper (1998), Kathawala and

Motwani (1994), Stauss (1993),

Dhalgaard and Kanji (1994), O‟ Neal and Lafief (1992), Zairi

(1995)

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QFD is not always easy to implement, andcompanies have faced problems using QFD,particularly in large, complex systems (Hardinget al., 2001). Govers (2001) emphasized that“QFD is not just a tool but has to become a wayof management”. He also categorized problemsof QFD in three groups as: methodologicalproblems, organizational problems and Problemsconcerning product policy. Table 3, presentssome regular problems of QFD.

Table 3: Some regular problems of QFD [13]

CONCLUSIONS

In this paper, an attempt was made todemonstrate the capabilities and weaknesses ofQFD which has been regarded as one of the mostimportant advanced quality engineeringtechniques. QFD has been found to have someconsiderable problems, most of which seem toaffect adversely its employment. Examples ofsome of the most important ones are: ambiguityin the voice of the customer (VoC), managing

large HoQ and conflicts between Customersrequirements (CR). In spite of the aboveproblems, there are however a wide range ofbenefits and advantages associated with usingsuch a customer satisfaction quality designtechnique, which make it beneficial to designingquality. QFD is a quality design and improvementtechnique and relatively is closer to thecustomers than other techniques. Also, QFD canserve as a flexible framework, which can bemodified, extended, and be combined with otherquality design and improvement techniques.There are still not enough publications about theuse of QFD in service areas. However, comparingwith other quality design techniques, QFD hasthe potential to be the most suitable techniquefor designing quality from customers point ofview. It is believed that the present investigationwill provide some good research opportunities;for instance, emphasizing on enhancing QFD scapabilities and improving the associatedproblems with this technique. The flexibility ofQFD has facilitated its integration with otheradvanced quality engineering techniques.However, the following recommendations aremade to enhance the capabilities of QFD:

1) More care should be taken to the beginningphases of QFD process (e.g. first house ofquality) and new models should be proposedto improve the evaluation of the input data(e.g. customers requirements), beforeentering into other Ho Qs.

2) The effectiveness of QFD should beimproved through its integration with otherquality engineering techniques which couldimprove the functioning of traditional QFD atits early stages with respect to: competitiveanalysis, correlation matrixes, determiningcritical items, number of phases needed andcomponents of its phases.

3) Enhancements must be designed to takeplace, with a focus on current problemsassociated with QFD (e.g. ambiguity in VoC, managing large Ho Q and conflictsbetween CR).

REFERENCES

1. D.J. Delgado & E.M. Aspinwall, (2003) “QFDMethodology and Practical applications – A Review”,Proceedings of the Ninth Annual Postgraduate

Problems of QFD

Source If all relational matrixes

combined into a single

deployment, the size of each

of the combined relational

matrixes would be very large.

Completing QFD late, does not

let the changes be implemented.

It takes a long time to develop a

QFD chart fully.

Kathawala and Motwani

(1994); Dahlgaard and

Kanji (1994); Prasad

(2000); Zairi (1995); Dale

et al. (1998); Bouchereau

and Rowlands (1999,

2000a); Designing for

customer satisfaction (1994)

QFD is a qualitative method.

Due to the ambiguity in the

voice of the customer, many of

the answers that customers

give are difficult to categorize

as demands.

Dahlgaard and Kanji

(1994); Bouchereau and

Rowlands (1999, 2000a);

Designing for customer

satisfaction (1994)

It can be difficult to

determine the connection

between customer demands

Dahlgaard and Kanji

(1994); Dale et al. (1998);

Bouchereau and Rowlands

(1999, 2000a) QFD is not appropriate for

all applications. For example,

in the automotive industry there

are only a limited number of

potential customers; the

customer identifies their needs

and the supplier acts to satisfy

them. For a product of limited

complexity and a small supplier

base, the effort required to

complete a thorough QFD

analysis might be justified by

customers. Setting target

values in the Ho Q is

imprecise. Strengths between

relationships are ill-defined.

Dale et al. (1998); Bouchereau and Rowlands

(1999, 2000a)


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Research Symposium, School of Engineering, TheUniversity of Birmingham, 1-5

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MANUFACTURING QUALITY

*ROHITASH KUMAR KAUSHIK1, B KUMAR2

1Research Scholar, Department of Mechanical Engineering,

Sai Nath University, Ranchi, India2 Professor, MIET, Greater Noida, Uttar Pradesh, India

*Address for correspondence: Rohitash Kumar Kaushik, Research Scholar, Department ofMechanical Engineering, Sai Nath University, Ranchi, India

ABSTRACT

This paper deals with the quality during manufacturing. It discusses various manufacturingsteps and methods of manufacturing keeping in view the quality of product at all stages. Itincludes Just-In-Time (JIT) and Just-In Sequences (JIS) in details. It emphasizes upon thatquality of a product has to be maintained during manufacturing employing different kinds ofgauges for example ‘Go’ and ‘No Go’ gauges, depth micrometer, level protractor, Vernier caliper,micrometer etc. Also at the end importance of Statistical Quality Control in discussed.

INTRODUCTION

This paper discusses in details the aspectsof quality involved during manufacturing. Itsystematically touches all the important pointsfor example Lean manufacturing, Six-Sigma, JIT,KANBAN etc. that how they help to improveproduction as well as quality. Particularly, firststep in Lean manufacturing is to restructure andreorganize the basic manufacturing system into manufacturing uses that fabricate families ofparts. Then it involves methods to change thetools, jigs, dies rapidly to avoid wastage of time.Also it integrates Quality Control with a multi-process worker who can run more than the biedof process. A multi-functional worker can do morethat operate machines. He is also an inspectorwho understands process capability, qualitycontrol, process improvement. In Leanproduction every worker has the responsibilityand the authority to make the product right thefirst time and every time and the authority tostop the process when something is wrong. Theintegration of quality control into themanufacturing system markedly reduces defectswhile eliminating inspectors. Calls provide thenatural environment for the integration of qualitycontrol. The functional idea is to inspect to thepresent defect from occurring.

MANUFACTURING STEPS

Manufacturing steps involve pre-productionactivity, pilot run, production run and delivery tocustomer. Pre-production activity involvesselection of suppliers, develop pilot run plan, anddevelop manufacturing strategy with productionplan, quality plan, test plan, material plan, andsupplier plan. The pilot run is done to validatemanufacturing process against objectives setforth in manufacturing strategy and productspecifications, standard cost, product quality,documentation, foiling, training, process control,validates supplier plan and contracts and internalfailure analysis and corrective action. Productionrun is done to produce high quality product ontime while continuing to time tune the process,first order manufacture and verification of productcost.

Delivery to customer is done to deliver firstproduction units to customer, refinemanufacturing process based on first build andmonitor field unit performance to correct anyproblems. This is explained stepwise below:

1. Definition of product need, marketinginformation.

2. Conceptual design and evaluation feasibilitystudy.

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3. Design analysis; codes standards review,physical and analytical models.

4. Prototype production testing and Evaluation.

5. Production drawings, instruction manuals.

6. Material specification, process andequivalent selection, safety review;

7. Pilot Production.

8. Production.

9. Inspection and Quality Assurance.

10. Packaging, marketing and Sales literatures.

11. Product.

Methods of manufacturing:

Methods of manufacturing have changedfrom the rigid, push-oriented productionprinciples of the early 20th century to moreflexible, pull principles. Assembly linemanufacturers used to push mass productionahead based on estimates of future demand.This often resulted in waste of effort andresources if short of estimated demand. To avoidwaste one needs to wait for actual demand formanufacturing products as per customerrequests or take previous batch of product sales.The modern manufacturing methods have threemain considerations:

i) Waste reduction is done by followingseveral techniques:

(a) Just-In-Time (JIT) Manufacturers: By justenough supplies to keep the process movingand schedule them to arrive at the factory “Just-in-time” for them to be used inproduction.

(b) Automatic requests for new supplies aresent to their supplier when supplies arerunning low. These alert KANBAN and theyare generally computerized. KANBAN is asystem for inventory control.

(c) Just-in-Sequences (JIS). Supplies arrive atthe factory at the exact instrument. Theyare needed within the manufacturingsequence. This means production maycome to a stand still if the supplies are justfew minutes late.

(d) Total Productive Maintenance (TPM) isfollowed to avoid stopping productions,some factories wait until the end of the day

to repair minor issues with their machines.

(e) Quick Response Manufacturing (QRM) inmaking the time period between acustomer’s request for a product and thefinal delivery of that product as brief aspossible.

(f) Cellular Manufacturing separates the factoryfloor into difference sections or cells.Machines area placed in a certain order sothat materials flow naturally towards thecompensation of the production.

(g) Single-minute Exchange of Die (SMED) isto reduce waste time. Even betweenprojects SMED focuses on changing thefactory process from working on an oldproduct to a new product as quickly aspossible.

ii) Quality of a product has to be maintained

A manufacturing process is a given a sigmarating based on the percentage of its productyield being defect free. A one sigma ratingdesignates a process with a yield of 31% and asix-sigma rating is a process which nearly perfectthat is 99.99966% defect free. Thus everycompany wants to achieve six-sigma methodfocuses on measuring and analyzing processdata in order to find and remove defects. During,the Lean manufacturing, it is concerned withimproving the flow between processes to reducewaste.

Define, Measure, Analyze, Design, Verify(DMADV) methodology is followed which is amore anticipatory approach. Based on ananalysis of customer demand, manufacturersplan ahead and try to design ways to avoiddefects in the first place.

Critical to Quality (CTQ) and QualityFunction Deployment (QFD) area two conceptswhich try to pinpoint the elements of a productthat are most important to customers andtranslate those needs into a manufacturingstrategy that focuses on getting the criticalelements exactly right.

Suppliers, Inputs, Process , Outputscustomers (SIPOC) is followed to allowmanufacturers to trace the life cycle of theirproducts from supplier to customer and identifyproblem areas.


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Taguchi Loss function is considered whichsuggests that production quality decreases asvariation increases.

iii) Accelerate Production:

Production is accelerated to make sureproducts are made available and demand is met.Machine flexibility should exist for change tomanufacture different products. Routing flexibilityconcept is used to focus on the adaptability ofthe manufacturing process as a whole.

Computer-aided-Design (CAD) andComputer-aided-manufacturing (CAM) should beadopted. If a factory has machine and routingflexibility, CAD is used for design of productionprocesses and CAM is to guide parts throughthose processes with robots and computer-controlled Machines (CCM).

Computer integrated Manufacturing (CIM)creates a network of computer that observes andoperate the manufacturing process. Computercan monitor every step of production for defectsand change the actions of a machine almostimmediately leading to flexibility.

Finally, the three major goals of reducingcost, maintaining quality and acceleratingproduction are achieved through the combinedefforts of Lean manufacturing theories, six-sigmamethodologies and flexible processes.

Steps for Quality Manufacturing:

Improving quality manufacturing processesleads to decreased waste, better quality products,and overall improvement in customersatisfaction. To begin with, a committee is formedto ensure the following steps are completed andtaken from beginning to end:

i) Actual process: Name the process and itspurchase, as well as its starting and endingpoints, inputs and outputs and overallrequirements. Identify the customers andsuppliers who will be affected by thisprocess.

ii) Areas of improvement: A random sampling(Statistical Quality Control) is done. Sampleplans to suit various sizes are available withBureau of standards. Product is tested fora variety of things that will have an impact

on the end user and customer, which mayinclude durability, materials, toxicity and soforth. Improvements in manufacturing caninclude disintegration of parts, loose fatnessand so forth and should be a main focus.

iii) Solution for the problems: Brain stormingis done in committee, or specialists areconsulted. Additionally, get feedback fromthose who work on or with the process ondaily basis.

iv) Detailed solution: A budget is included todetermine what personnel are necessary formaking the improvements, conduct, aprojected cost analysis and time frame forcompleting the overall improvements. Theremay also be a need to determine how therest of the manufacturing plant will beaffected by this and whether it will slowproduction at 999 level.

v) Put Plan into action: Involve everyone,from the highest levels of management inthe manufacturing company down to theworkers who util ize the process andimplement the action plan.

vi) Evaluate: Now, there will be a need toevaluate the improvements in the processesas a whole. The process should havedesired effect, the process should besuccessful, the problem should be fixed, andwastes should be eliminated. Theimprovements should be on time and withinbudget.

vii) The steps two to six should be continuouslyrepeated as often as necessary to achieveimprovement within the manufacturing plant.Final goal is to decrease the need for acommittee, and instead involve all membersof the plant continually working to improve.Six-sigma approach is used for maintainingquality in manufacturing which meansidentifying errors or defects in the productionand elimination of these defects to minimum.Also it means identifying errors or defectsin the production flow and eliminating themto maximize productivity.

CONCLUSION

Thus, we see that by following aboveprocedure it is possible to ensure zero defectsand make the production line more smooth and

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effective. The main point is procedure shouldbe followed very strictly. A team leader shouldemploy a team of inspectors to keep on checkingthat the work is carried out as per planning. Thisis very important, then only Lean manufacturing,JIT, SQC, KANBAN area possible for smoothproduction link.

REFERENCES

1. Total Quality Management by Dr. D.S. Kumar, Univ.Science Press.

2. Total Quality Management by Shailendra Nigam –Excel Books

3. Materials and Processes in Manufacturing by E.PaulDegarmo, J.T.Block, Ronald A, Kohser- PHI.

4. Quality Management by Kanishka Bedi - Oxford.

5. Strategic Management by Pearce II, Rabinson Jr.Mittal – T.M.H.

6. Management – Robbins, Coutler – T.M.H.

7. Total Quality Control by Mukherjee – TMH.

8. Management – C.A.Gupta – Sultan Chand and Sons.

9. Production and Operations Management – S.N.Chary

– TMH.


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A COMPARATIVE STUDY ON EMISSIONS FROM TWO

STROKE COPPER COATED SPARK IGNITION ENGINE WITH

ALCOHOLS WITH CATALYTIC CONVERTER

*N L MAHARAJA1 B. KUMAR2

1Research Scholar, Sunrise University, Alwar, Rajasthan, India2Professor, MIET, Greater Noida, Uttar Pradesh, India

*Address for correspondence: N L Maharaja, Research Scholar,Sunrise University, Alwar, Rajasthan, India

ABSTRACT

Experiments were conducted to control the exhaust emissions from two-stroke, single cylinder,spark ignition (SI) engine, with alcohol blended gasoline (80% gasoline, 20% methanol by vol;80% gasoline and 20% ethanol by volume) having copper coated engine [CCE, copper-(thick-ness, 300 ì) coated on piston crown, inner side of cylinder head] provided with catalytic con-verter with different catalysts such as sponge iron and manganese ore and compared withconventional engine (CE) with pure gasoline operation. A microprocessor-based analyzer wasused for the measurement of carbon monoxide (CO) and un-burnt hydro carbon (UBHC) in theexhaust of the engine at various magnitudes of brake mean effective pressure. Aldehydes weremeasured by DNPH (dinitrophenyl hydrazine) method. CCE with alcohol blended gasoline con-siderably reduced emissions in comparison with CE with pure gasoline operation. Catalyticconverter with air injection significantly reduced pollutants with test fuels on both configurationsof the engine. The catalyst, sponge iron in comparison with manganese ore reduced the pollut-ants effectively with both test fuels in both versions of the engine. Methanol blended gasolineeffectively reduced pollutants in comparison with ethanol blended gasoline.

Keywords: S.I. Engine, CE, CCE, Emissions, Catalytic converter, Sponge iron, Manganeseore, Air injection

NOMENCLATURE

Ø Fuel-equivalence ratio,

BMEP Brake mean effective pressure in bar

C Number of carbon atoms in fuel composi-

tion

CCE Copper coated engine

CE Conventional engine

CO Carbon monoxide

CO2

Carbon dioxide

DNPH Dinitrophenyl hydrazine

Gasohol 20% of ethanol blended with 80% of gaso-

line by volume

H Number of hydrogen atoms in fuel com-

position

HPLC High performance liquid chromatography

M Manganese ore

METCO A Trade name

S Sponge iron

Set-A Without catalyst and without air injection

Set-B With catalyst and without air injection

Set-C With air injection and with catalyst

SI Spark ignition

UBHC Un-burnt hydro-carbons

INTRODUCTION

CO and UBHC, major exhaust emissionsformed due to incomplete combustion of fuel,cause many human health disorders [1,2]. Suchemissions also cause detrimental effects3 onanimal and plant life, besides environmental dis-orders. Age and maintenance of the vehicle aresome of the reasons[4,5] for the formation of pol-lutants. Aldehydes which are intermediate com-

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pounds[6] formed in combustion are carcinogenicin nature and cause detrimental effects on hu-man health and hence control of these pollut-ants is an immediate task. Engine modification[7-

9] with copper coating on piston crown and innerside of cylinder head improved engine perfor-mance as copper is a good conductor of heatand combustion improved with copper coating.Catalytic converter was effective[10-14] in reduc-tion of emissions in SI engine. The present pa-per reported the control of emissions of CO,UBHC, and aldehydes from the exhaust of two-stroke SI engine with alcohol blended gasolinein different configurations of the engine with cata-lytic converter with different catalysts such assponge iron (S) and manganese ore (M) andcompared with pure gasoline operation on CE.The performance of the catalyst was comparedwith one over the other.


Fig.1 showed experimental set-up used forinvestigations. A two- stroke, single-cylinder, air-cooled, SI engine (brake power 2.2 kW at thespeed of 3000 rpm) was coupled to a rope brakedynamometer for measuring its brake power.

Speed was measured with speed sensorand torque with torque sensor. Compressionratio of engine was 7.5:1.

Exhaust gas temperature, speed, torque,fuel consumption, and air flow rate of theengine were measured with electronic sensors.

1. Engine,2. Electrical swinging field dynamometer,3. Loading arrangement,4. Fuel tank,5. Torque indicator/controller sensor, 6. Fuel

rate indicator sensor,7. Hot wire gas flow indicator,8. Multi channel temperature indicator,9. Speed indicator,10. Air flow indicator,11. Exhaust gas temperature indicator,12. Mains ON,13. Engine ON/OFF switch,14. Mains OFF,15. Motor/Generator option switch,16. Heater controller,17. Speed indicator,

18. Directional valve,19. Air compressor,20. Rotometer,21. Heater,22. Air chamber,23. Catalytic chamber,24. CO/HC analyzer,25. Filter,26. Round bottom flasks containing DNPH so-

lution,

Fig.1 : Experimental set up

In catalytic coated engine, piston crown andinner surface of cylinder head were coated withcopper by flame spray gun. The surface of thecomponents to be coated were cleaned and sub-jected to sand blasting. A bond coating of nickel-cobalt- chromium of thickness 100 microns wassprayed over which copper (89.5%), aluminium(9.5%) and iron (1%) alloy of thickness 300 mi-crons was coated with METCO flame spray gun.The coating had very high bond strength and didnot wear off even after 50 h of operation[7]. COand UBHC emissions in engine exhaust weremeasured with Netel Chromatograph analyzer atvarious magnitudes of BMEP. A catalytic con-verter [11] (Fig.2) was fitted to exhaust pipe of en-gine.

Fig.2. Details of Catalytic converter

Note: All dimensions are in mm.

1.Air chamber,


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2.Inlet for air chamber from the engine,

3.Inlet for air chamber from compressor,

4.Outlet for air chamber,

5.Catalyst chamber,

6. Outer cylinder,

7. Intermediate cylinder,

8.Inner cylinder,

9. Outlet for exhaust gases,

10.Provision to deposit the catalyst

11.Insulation

Provision was also made to inject a definitequantity of air into catalytic converter. Air quan-tity drawn from compressor and injected intoconverter was kept constant so that backpressuredid not increase. Experiments were carried outon CE and CCE with different test fuels [puregasoline, ethanol blended gasoline [gasohol],methanol blended gasoline (20% by volume)]under different operating conditions of catalyticconverter like Set-A, Set-B and Set-C. Air fuelratio was varied so as to obtain different equiva-lence ratios. For measuring aldehydes in theexhaust of the engine, a wet chemical method[6]

was employed. The exhaust of the engine wasbubbled through 2,4 DNPH in hydrochloric acidsolution and the hydrazones formed from alde-hydes were extracted into chloroform and wereanalyzed by HPLC to find the percentage con-centration of formaldehyde and acetaldehyde inthe exhaust of the engine.

RESULTS

Fig. 3-Variation of CO emissions with BMEPin different versions of the engine with both puregasoline and methanol blended gasoline.

Fig.4-Variation of CO emissions with equiva-lence ratio, f in both configurations of the enginewith pure gasoline and methanol blended gaso-line.

Fig.5- Variation of un-burnt hydro carbonemissions (UBHC) with BMEP in different ver-sions of the engine with both test fuels.

Fig. 6- Variation of UBHC emissions withequivalence ratio, f with pure gasoline and metha-nol blended gasoline with both configurations ofthe engine

Table1- Data of CO emissions (%) with dif-ferent test fuels with different configurations ofthe engine at different operating conditions ofcatalytic converter with different catalysts

Table 2- Data of UBHC emissions (ppm) withdifferent test fuels with different configurationsof the engine at different operating conditions ofcatalytic converter with different catalysts

Table3-Data of Formaldehyde emissions (%Concentration) with different test fuels with dif-ferent configurations of the engine at differentoperating conditions of catalytic converter withdifferent catalysts

Table 4-Data of Acetaldehyde emissions(%Concentration) with different test fuels withdifferent configurations of the engine at differentoperating conditions of catalytic converter withdifferent catalysts

DISCUSSION

From Fig.3, it could be observed that metha-nol blended gasoline decreased CO emissionsat all loads when compared to pure gasolineoperation on CCE and CE, as fuel-cracking re-actions were eliminated with methanol. The com-bustion of methanol produces more water vaporthan free carbon atoms as methanol has lowerC/H ratio of 0.25 against 0.50 of gasoline. Metha-nol has oxygen in its structure and hence itsblends have lower stoichiometric air require-ments compared to gasoline. Therefore moreoxygen that is available for combustion with theblends of methanol and gasoline, leads to re-duction of CO emissions. Methanol dissociatesin the combustion chamber of the engine form-ing hydrogen, which helps the fuel-air mixture toburn quickly and thus increases combustion ve-locity, which brings about complete combustionof carbon present in the fuel to CO

2 and also CO

to CO2 thus makes leaner mixture more combus-

tible, causing reduction of CO emissions. CCEreduced CO emissions in comparison with CE.Copper or its alloys acted as catalyst in combus-tion chamber, whereby facilitated effective com-bustion of fuel leading to formation of CO

2 in-

stead of CO. Similar trends were observed byother researchers also[7] with pure gasoline op-eration on CCE.

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Fig. 3: Variation of CO emissions with BMEP indifferent versions of the engine with pure gaso-line and methanol blended gasoline at a com-pression ratio of 7.5:1 and speed of 3000 rpm

From Fig.4, it could be noticed that at leaner mix-tures marginal increase in CO emissions, and atrich mixtures drastic increase in CO emissionswere observed with both test fuels

Fig. 4 : Variation of CO emissions withEquivalence ratio in both versions of the enginewith different test fuels with a compression ratioof 7.5:1 at a speed of 3000 rpm

In different configurations of the engine. Withmethanol blended gasoline operation minimumCO emissions were observed at f = 0.85, andwith pure gasoline operations, minimum COemissions were observed at f = 0.9 with bothconfigurations of the engine. This was due tolower value of stoichiometric air requirement ofmethanol blended gasoline when compared withgasoline. Very rich mixtures have incompletecombustion. Some carbon only burns to CO andnot to CO

2. From the Table-1, it could be observed

that CO emissions deceased considerably withcatalytic operation in set-B with methanol blendedgasoline and further decrease in CO was pro-nounced with air injection with the same fuel. Theeffective combustion of the methanol blendedgasoline itself decreased CO emissions in bothconfigurations of the engine. Sponge iron de-creased CO emissions effectively when com-pared with the manganese ore in both versionsof the engine with test fuels. CO emissions wereobserved to be more with gasohol operation incomparison with methanol blended gasoline inboth versions of the engine at different operat-ing conditions of the catalytic converter. This wasdue to the reason that C/H ratio of gasohol ishigher (0.33) in comparison with methanolblended gasoline 0.25).

TABLE 1: DATA OF ‘CO’ EMISSIONS (%)

From Fig.5, it could be observed UBHCemissions followed the same trend as CO emis-sions in CCE and CE with both test fuels, due toincrease of flame speed with catalytic activity andreduction of quenching effect with CCE.

Fig. 5 : Variation of UBHC emissions withBMEP in different versions of the engine with puregasoline and methanol blended gasoline at a

Conventional Engine (CE) Copper Coated Engine (CCE)

Pure Methanol Gasohol Pure Gasoline Methanol b lended Gasohol

S et G asoline blended gasoline

gasoline

S M S M S M S M S M S M

S et-A 5.0 5.0 3.0 3.0 3.5 3.5 4.0 4.0 2.4 2.4 2.9 2.9

S et-B 3.0 4.0 1.8 2.1 2.3 2.8 2.4 3.2 1.44 1.92 1.9 2.32

Set-C 2.0 3.0 1.2 1.5 1.5 2.1 1.6 2.4 0.96 1.44 1.26 1.74


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compression ratio of 7.5:1 and speed of 3000rpm

From Fig. 6, it could be seen that the trendsfollowed by UBHC emissions were similar tothose of CO emissions.

Fig. 6 : Variation of UBHC emissions withEquivalence ratio in both versions of the enginewith different test fuels with a compression ratioof 7.5:1 at a speed of 3000 rpm

Drastic increase of UBHC emissions wasobserved at rich mixtures with both test duels indifferent configurations of the engine. In the richmixture some of the fuel would not get oxygenand would be completely wasted. During start-ing from the cold, rich mixture was supplied tothe engine, hence marginal increase of UBHCemissions was observed at lower value of equiva-lence ratio. From Table-2, it could be noticed thatthe trends observed with UBHC emissions weresimilar to those of CO emissions in both versionsof the engine with both test fuels. Catalytic con-verter reduced pollutants considerably with CEand CCE and air injection into catalytic converterfurther reduced pollutants. In presence of cata-lyst, emissions got further oxidized to give lessharmful emissions like CO

2. Similar trends were

observed with pure gasoline operation on CCEby other researchers also[7]. Sponge iron wasproved to be more effective in reducing UBHCemissions in both versions of the engine with dif-ferent test fuels when compared with manganeseore in both versions of the engine with differentconfigurations of the engine. Gasohol operationincreased UBHC emissions marginally in com-parison with methanol blended gasoline in bothversions of the engine.

TABLE 2 : DATA OF UBHC EMISSIONS (ppm)

From Table-3 and Table-4, it could be no-ticed that the formaldehyde emissions in the ex-haust decreased considerably with the use ofcatalytic converter, which was more pronouncedwith an air injection into the converter. Methanolblend increased formaldehyde emissions consid-erably due to partial oxidation compared to puregasoline. The low combustion temperature leadto produce partially oxidized carbonyl (aldehyde)compounds with gasohol. CCE decreased form-aldehyde emissions when compared to CE. Thetrend exhibited by acetaldehyde emissions wassame as that of formaldehyde emissions. How-ever, acetaldehyde emission was observed to bemore with ethanol blend compared to methanolblend of gasoline in both versions of the engine(Table-4).

TABLE 3 : DATA OF FORMALDEHYDE EMISSIONS

(% CONCENTRATION)

TABLE 4 : DATA OF ACETALDEHYDE EMISSIONS (%

CONCENTRATION)

The partial oxidation of ethanol during com-bustion predominantly leads to formation of ac-etaldehyde. Copper (catalyst) coated enginedecreased aldehydes emissions considerably byeffective oxidation when compared to CE. Cata-lytic converter with air injection drastically de-creased aldehyde emissions in both versions ofthe engine due to oxidation of residual aldehydesin the exhaust.

CONCLUSION

CO emissions in exhaust decreased by 40%


Pure M ethanol Gasohol Pure Gasoline M ethanol Gasohol

Set Gasoline blended blended gasoline

gaso line


Set-A 750 750 525 525 562 562 600 600 420 420 450 450

Set-B 450 600 315 420 340 450 360 480 252 335 270 360

Set-C 300 450 210 315 225 330 240 360 168 250 180 270




gasoline


Set-A 9.1 9.1 23.6 23.6 14 .6 14.6 6.8 6.8 13.6 13.6 9.31 9.31

Set-B 6.3 8.2 10.8 12.6 7.0 9.2 4.1 5.9 10.2 12 5.0 7.1

Set-C 3.5 5.5 8.0 10.1 5.9 7.7 3.2 5 3.5 5 3.93 5.8




gasoline


Set-A 7.7 7.7 12.3 12.3 16.8 16.8 4.9 4 .9 9.3 9.3 12.6 12.6

Set-B 4.9 7.2 6.5 8.5 8.4 10.5 3.5 5 .3 7.7 9.5 7.5 9.3

Set-C 2.1 4.3 3.8 5.6 7.0 9.1 1.4 3 .1 3.9 5.6 5.2 7.2

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with sponge iron, while they decreased by 20%with manganese ore in CE with pure gasolineoperation. These pollutants decreased by 20%with CCE when compared to CE with both testfuels. Set-B operation decreased CO and UBHCemissions by 40% each, while Set-C operationdecreased these emissions by 60% with test fu-els when compared to Set-A operation. Spongeiron was proved to be more effective in reducingthe pollutants than manganese ore. Methanolblended gasoline reduced pollutants effectivelyin comparison with gasohol operation in bothversions of the engine.

ACKNOWLEDGEMENTS

Authors thank authorities of ChaitanyaBharathi Institute of Technology, Hyderabad forfacilities provided. The financial assistance fromAndhra Pradesh Council of Science and Tech-nology (APCOST), Hyderabad, is greatly ac-knowledged.

REFERENCES

1. Fulekar M H, Chemical pollution – a threat tohuman life, Indian J Env Prot, 1, 353-359, 1999.

2. Engineering Chemistry, edited by B.K. Sharma[Pragathi Prakashan (P) Ltd, Meerut] 150-160, 2004).

3. Environmental Pollution Analysis, edited by S.MKhopkar [New Age International (P) Ltd, Publishers,New Delhi] 180-190 , 2005.

4. Usha Madhuri T, Srinivas T and Ramakrishna K, Astudy on automobile exhaust pollution with regard tocarbon monoxide emissions, Nature, Environ & PollTech, 2, 473-474 , 2003.

5. Ghose M K, Paul R and Benerjee S K, Assessment ofthe impact of vehicle pollution on urban air quality, JEnviron Sci & Engg , 46, 33-40, 2004.

6. Murthy, P.V.K., Narasimha Kumar, S., Murali Krishna,M.V.S., Seshagiri Rao, V.V.R. and .Reddy, D.N., Al-dehyde emissions from two-stroke and four-strokespark ignition engines with methanol blended gaso-line with catalytic converter, International Journal ofEng. Research and Tech., 3(3),793—802 , 2010.

7. Nedunchezhian N and Dhandapani S, Experimentalinvestigation of cyclic variation of combustion param-eters in a catalytically activated two-stroke SI enginecombustion chamber, Eng Today, 2,11-18 , 2000.

8. Murali Krishna, M.V.S., Kishor, K., Murthy, P.V.K.,Gupta, A.V.S.S.K.S. and Narasimha Kumar, S., Per-formance evaluation of copper coated four strokespark ignition engine with gasohol with catalytic con-verter, International Journal of Eng. Studies, 2(4), 465-473, 2010.

9. Narasimha Kumar, S., Murali Krishna, M.V.S., Murthy,P.V.K., Seshagiri Rao, V.V.R... and Reddy, D.N., Per-formance of copper coated two stroke spark ignitionengine with gasohol with catalytic converter “ Interna-tional

10. Journal on Mechanical & Automobile Eng (IJMAE),12(1), 36-43, , 2011.

11. Murali Krishna, M.V.S. and Kishor, K., Control of pol-lutants from copper coated spark ignition engine withmethanol blended gasoline, Indian J. of Env. Prot.,25(8), 732-738 , 2005.

12. Murali Krishna, M.V.S., Kishor, K., Prasad, P.R.K. andSwathy, G.V.V., Parametric studies of pollutants fromcopper coated spark ignition engine with catalytic con-verter with gasoline blended methanol, Journal ofCurrent Sciences, 9(2), 529-534, 2006.

13. Murali Krishna, M.V.S., Kishor, K. and Ramana Reddy,Ch. V., Control of carbon monoxide emission in sparkignition engine with methanol blended gasoline andsponge iron catalyst”, Ecology, Environment &Con-servation. 13(4), 13-17 , 2008.

14. Murali Krishna, M.V.S. and Kishor, K., Investigationson catalytic coated spark ignition engine with metha-nol blended gasoline with catalytic converter, IndianJournal (CSIR) of Scientific and Industrial Research,67, 543-548 , 2008

15. Kishor, K., Murali Krishna, M.V.S., Gupta,A.V.S.S.K.S., Narasimha Kumar, S. and Reddy, D.N.,Emissions from copper coated spark ignition enginewith methanol blended gasoline with catalytic con-verter, Indian Journal of Environmental Protection,

30(3),177-18 , 2010.


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INTRODUCTION

The Optimal Power Flow (OPF) has beenwidely used for both the operation and planningof a power system. Therefore, a typical OPF so-lution adjusting the appropriate control variables,so that a specific objective in operating a powersystem network is optimized (maximizing or mini-mizing) with respect to the power system con-straints, dictated by the electrical network. Thispaper focuses on single objective OPF problemconsidering reactive loss minimization optimiza-tion. For optimization any optimization techniqueis required and Particle Swarm Optimization(PSO) is used in this research. Particle SwarmOptimization (PSO) is a relatively new evolution-ary algorithm that may be used to find optimal(or near optimal) solutions to numerical and quali-tative problems. Particle Swarm Optimization wasoriginally developed by a social psychologist(James Kennedy) and an electrical engineer(Russell Eberhart) in 1995, and emerged fromearlier experiments with algorithms that modeled

OPTIMAL POWER FLOW BY PARTICLE SWARM

OPTIMIZATION FOR REACTIVE LOSS MINIMIZATION

* G. SRIDHAR,1 RADHE SHYAM JHA ‘RAJESH’2

1Research Scholar, Sunrise University, Alwar, Rajasthan, India2Principal, S (PG) ITM, Rewari, (HR), India

*Address for correspondence: G. Sridhar, Research Scholar,Sunrise University, Alwar, Rajasthan, India

the flocking behavior seen in many species ofbirds.

OPTIMAL POWER FLOW SOLUTION METH-ODS CLASSICAL METHODS [2]:

1. Linear Programming (LP) Method2. Newton-Raphson (NR) Method3. Quadratic Programming (QP) Method4. Nonlinear Programming (NLP) Method5. Interior Point (IP) Method

Artificial Intelligence (AI) Methods:

1. Artificial Neural Network (ANN)

2. Fuzzy Logic Method (FL)

3. Genetic Algorithm (GA) Method

Pathak Smita is currently pursuing a masters degreeprogram in electrical (Powe) are engineered in GujaratTechnological University, India, PH-0919979858183.E-mail: [email protected]

Prof. B. N. Vaidya is HOD Electrical of Shantilal Shah

Engg. College, Bhavnagar, Gujarat, India.

ABSTRACT

Optimal Power Flow (OPF) problem in electrical power system is considered as a static, non-linear,multi-objective or a single objective optimization problem. As the power industrial companies havebeen moving into a more competitive environment, OPF has been used as a tool to define the level ofthe inter utility power exchange. Basically, this research work provides a new approach to solve thesingle objective OPF problem considering critical objective function of reactive loss minimization forutility/ industrial companies, while satisfying a set of system operating constraints, including con-straints dedicated by the electrical network. Particle Swarm Optimization (PSO) has been used forthis purpose. Particle Swarm Optimization (PSO) is a population based stochastic optimization tech-nique. The system is initialized with a population of random feasible solutions and searches for op-tima by updating generations. The IEEE- 30 bus system is considered throughout this research workto test the proposed algorithm.

Keywords— OPF-optimal power flow, PSO-particle swarm optimization.

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4. Evolutionary Programming (EP)

5. Ant Colony Optimization (ACO)

6. Particle Swarm Optimization (PSO)

A. Comparison of Above Methods

Even though, excellent advancements havebeen made in classical methods, they suffer withthe following disadvantages: In most cases,mathematical formulations have to be simplifiedto get the solutions because of the extremely lim-ited capability to solve real-world large-scalepower system problems. They are weak in han-dling qualitative constraints. They have poor con-vergence, may get stuck at local optimum, theycan find only a single optimized solution in asingle simulation run, they become too slow ifthe number of variables are large and they arecomputationally expensive for the solution of alarge system. Whereas, the major advantage ofthe AI methods is that they are relatively versa-tile for handling various qualitative constraints.AI methods can find multiple optimal solutions ina single simulation run. So they are quite suit-able in solving multi-objective optimization prob-lems. In most cases, they can find the globaloptimum solution. The main advantages of ANNare: Possesses learning ability, fast, appropriatefor non-linear modeling, etc. whereas, large di-mensionality and the choice of training method-ology are some disadvantages of ANN. The ad-vantages of Fuzzy method are: Accurately rep-resents the operational constraints and fuzzifiedconstraints are softer than traditional constraints.The advantages of GA methods are: It only usesthe values of the objective function and less likelyto get trapped in a local optimum. Higher com-putational time is its disadvantage. The advan-tages of the EP are adaptable to change, abilityto generate good enough solutions and rapidconvergence. ACO and PSO are the latest entryin the field of optimization. The main advantagesof the ACO are positive feedback for recovery ofgood solutions, distributed computation, whichavoids premature convergence. It has beenmainly used in finding the shortest route in thetransmission network, short-term generationscheduling and optimal unit commitment. PSOcan be used to solve complex optimization prob-lems, which are non-linear, non-differentiable andmulti-model. The main merits of PSO are its fast

convergence speed and it can be realized sim-ply for less parameters need adjusting. PSO hasbeen mainly used to solve Bi-objective genera-tion scheduling, optimal reactive power dispatchand to minimize total cost of power generation.Yet, the applications of ACO and PSO to solveSecurity constrained OPF, Contingency con-strained OPF, Congestion management incorpo-rating FACTS devices etc. Of a deregulatedpower system are to be explored out.

TABLE I : SUITABLE METHODS FOR SOLVING THEVARIOUS OPTIMIZATION PROBLEMS OF ELECTRI-

CAL ENGINEERING.

PARTICLE SWARM OPTIMIZATION

Particle Swarm Optimization (PSO) is a rela-tively new evolutionary algorithm that may beused to find optimal (or near optimal) solutionsto numerical and qualitative problems. ParticleSwarm Optimization was originally developed byJames Kennedy and Russell Eberhart in 1995,

Objective Suitable method(s) Reason to use

function to be that method

optimized

Economic LP, NR Fast methods

dispatch

Economic AI Nonlinear

dispatch with problem

non-smooth cost

function

Economic Fuzzy Suitable for

emission conflicting

dispatch objectives

Reactive power NLP, OP, IP, AI Accurate

methods

optimization

Optimal AI Multi objective

location of non-linear

FACTS device problem

Social welfare QP, AI Multi objective

non-linear

problem

Congestion AI Multi objective

management non-linear

problem

Security NLP, IP Stable

constrained convergence

OPF


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and emerged from earlier experiments with al-gorithms that modeled the flocking behavior seenin many species of birds .In simulations, birdswould begin by flying around with no particulardestination and spontaneously formed flocks untilone of the birds flew over the roosting area. Dueto the simple rules the birds used to set their di-rections and velocities, a bird pulling away fromthe flock in order to land at the roost would resultin nearby birds moving towards the roost. Oncethese birds discovered the roost, they would landthere, pulling more birds towards it, and so onuntil the entire flock had landed. Finding a roostis analogous to finding a solution in a field ofpossible solutions in a solution space. The man-ner in which a bird who has found the roost, leadsits neighbors to move towards it, increases thechances that they will also find it. This is knownas the “socio-cognitive view of mind”. The “socio-cognitive view of mind” means that a particlelearns primarily from the success of its neigh-bors .The concept of the PSO consists of, at eachtime step, changing the velocity of (accelerating)each particle toward its pbest and lbest loca-tions (local version of PSO). Acceleration isweighted by a random term, with separate ran-dom numbers being generated for accelerationtoward pbest and lbest locations. In the past sev-eral years, PSO has been successfully appliedin many research and application areas. It isdemonstrated that PSO gets better results in afaster, cheaper way compared with other meth-ods.

A. Basic Terms Used in PSO

The basic terms used in PSO technique arestated and defined as follows [11]:

1. Particle X (I): It is a candidate solutionrepresented by a k-dimensional real-valued vec-tor, where k is the number of optimized param-eters. At iteration i, the jth particle X (i,j) can bedescribed as:

X i (i ) = [ X j 1 (i ); X j 2 (i );.....X jk (i );.....X jdWhere:

x’s are the optimized parametersd represents number of control variables

2. Population: It is basically a set of n par-ticles at iteration i.

pop (i )= [ X 1 (i ), X 2 (i ), .........X n (i)]T

Where: n represents the number of candi-date solutions.

3. Swarm: Swarm may be defined as anapparently disorganized population of movingparticles that tend to 2 cluster together while eachparticle seems to be moving in a random direc-tion.

4. Particle velocity V (i): Particle velocityis the velocity of the moving particles representedby a d-dimensional real-valued vector. At itera-tion i, the jth particle Vj (i) can be described as:

V j (i ) = [V j1 (i );V j2 (i );.....V jk (i );.....V jd(i);] Where:

V jk (i) is the velocity component of the jthparticle with respect to the kth dimension.

5. Inertia weight w (i): It is a control pa-rameter, which is used to control the impact ofthe previous velocity on the current velocity.Hence, it influences the trade-off between theglobal and local exploration abilities of the par-ticles. For the initial stages of the search pro-cess, large inertia weight to enhance the globalexploration is recommended while it should bereduced at the last stages for better local explo-ration. Therefore, the inertia factor decreases lin-early from about 0.9 to 0.4 during a run. In gen-eral, this factor is set according to the followingequation :

W = Wmax –( (Wmax - Wmin) / itermax)*iter

Where: itermax is the maximum number ofiterations and iter is the current number of itera-tions.

6. Individual best X* (i): When particles aremoving through the search space , it comparesits fitness value at the current position to the bestfitness value it has ever reached at any iterationup to the current iteration. The best position thatis associated with the best fitness encounteredso far is called the individual best X* (i).

For each particle in the swarm, X*(i)can bedetermined and updated during the search.

For the jth particle, individual best can beexpressed as: X j (i ) = [ X j ,1 *(i ), X j ,2. *(i),..........X j ,d *(i)]

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In a minimization problem with only one ob-jective function f, the individual best of the jthparticle Xj*(i) is updated whenever f (Xj*(i)) < f(Xj*(i-1)). Otherwise, the individual best solutionof the jth particle will be kept as in the previousiteration.

7.Global best X** (t): Global best is the bestposition among all of the individual best positionsachieved so far.

8. Stopping criteria: Termination of thesearch process will take place whenever one ofthe following criteria is satisfied:

B. Advantages of PSO

Many advantages of PSO over other tradi-tional optimization techniques can be summa-rized as follows :PSO is a population-basedsearch algorithm. This property ensures PSO tobe less susceptible in being trapped on localminima. PSO makes use of the probabilistic tran-sition rules and not deterministic rules. Hence,PSO is a kind of stochastic optimization algo-rithm that can search a complicated and uncer-tain area. This makes PSO more flexible androbust than conventional methods. PSO can eas-ily deal with non-differentiable objective functionsbecause PSO uses payoff (performance indexor objective function) information to guide thesearch in the problem space. Additionally, thisproperty relieves PSO of assumptions and ap-proximations, which are often required by tradi-tional optimization models. PSO has the flexibil-ity to control the balance between the global andlocal exploration of the search space. This uniquefeature of a PSO overcomes the premature con-vergence problem and enhances the search ca-pability which makes it different from GeneticAlgorithm (GA) and other heuristic algorithms.

C. Flowchart for Basic Particle Swarm Opti-mization Algorithm

OPF USING PSO Step 10: If one of the stop-ping criteria is satisfied then we go

A. The Objectives: Minimization of Reac-tive Power to Step 11. Otherwise, we go to Step5.

Transmission Loss

Static network-related system Voltage Sta-bility Margin (VSM) depends on the availabilityof reactive power to support the transportationof real power from sources to sinks. In practice,the QL is not necessarily positive. The expres-sion for reactive power loss minimization is asbelow:


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QL=∑Qgi-

∑

Qdi

B. The various steps involved in the imple-mentation of PSO to the OPF problem are[3]

Step 1: Firstly read the Input parameters ofthe system (bus, line and generator data) andalso specify the lower and upper boundaries ofeach variable. For N generators, optimization iscarried out for N-1 generators and generator oflarge capacity is considered at slack bus.

Step 2: Then the particles of the populationare randomly initialized i.e. are randomly selectedbetween the respective minimum and maximumvalues. Also assign the velocity V initially be-tween [-1 and 1].

Step 3: Obtain power flow solution and com-pute losses by Newton-Raphson method.

Step 4: The best fitness is assign

ed as pBest . At this stage the pBest is alsothe gBest .

Step 5: Iteration i = i+1 is updated.

Step 6: Update the inertia weight w givenby

W =– (Wmax - Wmin) / itermax = iter

Step 7: Modify the velocity v of each par-ticle according to the mentioned equation.

V (k,j,i+1) = w*V(k,j,i) + C1*rand*(pbestx (j,k)- x(k,j,i)) + C2*rand*(gbestx (k) - x(k,j,i)) .....(a)

Step 8: Position of each particle is alsomodified according to the mentioned equation.

If a particle violates its position limits in anydimension, its position is set at the proper limit.

x( k , j , i 1) x( k , j 1,i ) v( k , j , i)

Step 9: Evaluation of each particle is doneaccording to its updated position by runningpower flow and calculate the fitness function. Ifthe evaluation value of each particle is better thanthe previous pBest then the current value is setto be pBest . If the best pBest is better than gBest, the value is set to be gbest.

Step 10: If one of the stopping criteria issatisfied than we go to step 11 otherwise we goto step 5.

Step 11: gBest is the optimal value that islatestly generated by the particle.

C. Flow chart for PSO based OPF

D. The parameters that must be selectedcarefully for the efficient TABLE IIIperformance ofPSO algorithm are:-

1. Both acceleration factors C1 & C2. (0-4)2. Number of particles3. Inertia factor w

The search will terminate if one of the be-low scenario is encountered:

-gbest f(i) – gbest f(i-1)| < 0.0001 for 50 it-erations Maximum number of iteration reached(500 iterations)

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SIMULATION RESULTS

The OPF using PSO has been carried outon the IEEE 30 bus system. The OPF solutionhas been attempted for minimizing the reactivepower loss by considering the (i) Generated PVand slack bus voltages, (ii) Voltage limits for loadbus voltages as control variables.

The simulation has been carried out on thesystem having an Intel core i5 2.67 GHz proces-sor with 4 GB of RAM in MATLAB 7.7.0 environ-ment. Results are viewed as reactive power lossas objective function. For the studies, the popu-lation size is considered as 50 Generated PV andslack bus voltages between 0.95 to 1.15, Volt-age limits for load buses are 0.95 to 1.05

A. Various Case studies:

TABLE II : THE ABOVE STUDY HAS BEEN SUMMA-

RIZED UNDER THE FOLLOWING CASES

TABLE III:COMPARISON OF VOLTAGE MAGNITUDE

Fig. 1 : Voltage Magnitute- BUS No.

voltage as per specification voltage beforeoptimization voltage after optimization

TABLE : IV : COMPARISON OF REACTIVE LOSSES

Fig. 2 : MVR Losses-Iteration No.

Case

no. Name

Case Base case power flow solution Newton-

1 Raphson method.(before optimization)

Case Optimal Power Flow solution by Particle

swarm optimization for Minimizing

2 Reactive Power Loss

Bus Voltage Voltage Voltage No. Magnitude Magnitude Magnitude

as per IEEE before after specification applying applying In p.u. PSO PSO In p.u. In p.u.

1 1 1 1.032481 2 1 0.98 1.015079 3 1 0.953318 0.994568 4 1 0.944309 0.98718 5 1 0.95 0.987554 6 1 0.944243 0.989664 11 1 1 1.046949 12 1 0.983506 1.031638 13 1 1 1.047678 14 1 0.967354 1.016218 15 1 0.962282 1.011325 16 1 0.969677 1.01818 17 1 0.963589 1.012103 18 1 0.951564 1.000944 19 1 0.948617 0.998025 20 1 0.952909 1.002041 21 1 0.955973 1.004804 22 1 0.956607 1.005427 23 1 0.950896 1.000395 24 1 0.944794 0.994448 25 1 0.942281 0.992299 26 1 0.923133 0.974157 27 1 0.949998 0.999746 28 1 0.94009 0.986903 29 1 0.928441 0.979388 30 1 0.91598 0.967615

Reactive loss before Reactive loss after applying applying PSO PSO In Mvar In Mvar

79.5 73.5

75

74 .9

74 .8

74 .7

74 .6

u.74 .5

.

74 .4

i n

s7 4.3

sse 74 .2 l o

74 .1

R

V

74

M

73 .9

73 .8

73 .7

73 .6

73 .5

0 1 2 3 4 5 6 7 8 9 1 0 1 1 12 13 14 1 5 1 6 1 7 18 19 20 2 1 2 2 2 3 2 4 25 26 27 2 8 2 9 3 0 31 32 3 3 3 4 3 5 3 6 3 7 38 3 9 4 0 4 1 4 2 4 3 44 45 4 6 4 7 4 8 49 50


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These control variables include: activepower generation except the slack bus; all PV-bus voltages; all transformer load tap changers;and the setting of all switched reactors or staticVAR components.

CONCLUSION

This paper focuses on single objectiveOptimal Power Flow ( OPF) problem consider-ing reactive loss minimization optimization. Thevarious research findings can be summarized asfollows implementing a single OPF objectivefunction optimization algorithm based on theParticle Swarm Optimization (PSO). An algorithmis developed and applied to a practical powersystem network. The developed OPF algorithmoffers to : provide a flexibility to add or deleteany system constraints and objective functions,having this flexibility it will help electrical engi-neers in analyzing other system scenarios andcontingency plans, calculate the optimum gen-eration pattern as well as all control variables inorder to minimize reactive loss together withmeeting the transmission system limitations, re-active loss decrease after applying PSO and busvoltages uplift after applying PSO ,to find theoptimum setting for system control variables thatachieve a minimum objective

REFERENCES

1. Carpinter J., “Contribution to the Economic DispatchProblem”, Bulletin Society Francaise Electricians,Vol.3, No.8, pp. 431-447,1962.

2. K.S.Pandya, S.K.Joshi “Survey of Optimal PowerFlow Methods” ,Journal of Theoretical and Applied In-formation Technology

3. Nakhon Ratchasima “ Power Loss Minimization Us-ing Optimal Power Flow Based on Particle Swarm Op-timization”, U. Leeton, University of Technology, THAI-LAND 30000

4. P.R.Sujin, Dr.T.Ruban Deva Prakash and M.MaryLinda, “ Particle Swarm Optimization Based ReactivePower Optimization”, Journal Of Computing, Volume2, Issue 1, January 2010, Issn 2151-9617

5. Jean-Carlos Hernandez, “Particle Swarm Optimiza-tion: Basic Concepts, Variants and Applications inPower Systems”, Student Member, IEEE, and RonaldG. Harley, Fellow, IEEE

6. A. H. Mantawy M. S. Al-Ghamdi, “A New ReactivePower Optimization Algorithm”,Electrical EngineeringDepartment King Fahd University of Petroleum & Min-erals, Dhahran 31261 Saudi Arabia Iteration No. Fig.II : MVR losses-Iteration No.

B. Interpretation of results After applying optimizationtechnique (PSO) Reactive loss decreases. Nodal Volt-age uplift

7. Malihe M. Farsangi “Multi-objective VAr Planning withSVC for a Large Power System Using PSO and GA” ,Hossien Nezamabadi-Pour, and Kwang Y. Lee, Fel-low, IEEE

8. Vladimiro Miranda Nuno Fonseca, “Epso – Best-Of-Two-Worlds Meta-Heuristic Applied To Power SystemProblems” , INESC Porto – Instituto de Engenhariade Sistemase Computadores do Porto, Portugal &FEUP – Faculdade de Engenharia da Universidadedo Porto, Portugal

9. Numphetch Sinsuphun, Uthen Leeton, UmapornKwannetr,Dusit Uthitsunthorn, and ThanatchaiKulworawanichpong “Loss Minimization Using Opti-mal Power Flow Based on Swarm Intelligences” Non-members ECTI Transaction on electrical eng., Elec-

tronics, an communication vol.9, NO.1 February 2011

10. B. Mozafari, T. Amraee1,A.M. Ranjbarand M. Mirjafari,“ Particle Swarm Optimization Method for OptimalReactive Power Procurement Considering VoltageStability”, Scientia Iranica, Vol. 14, No. 6, pp 534 cSharif University of Technology, December 2007

11. M.A.Abido, “ Optimal Power flow using Particle SwarmOptimization “,Department of Electrical engineering,King Fahd University of Petroleum and Minerals,KFUPM Box 183, Dhahran 31261,Saudi Arebia,14 aug2000. Electrical power and energy system.

12. N.P.Padhy, Artificial intelligence and intelligent sys-tems, Oxford university

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ABSTRACT

Pollution, in general, may be defined as the addition of undesirable, unwanted or objectionableforeign matter to water, air and land which adversely change the natural quality of the environmentand results in harmful effect on human, plant and animal life. The pollution caused by industriesor industrial processes are termed as industrial pollution. Pollution includes water, air, noise,solid waste and radioactive waste. This paper critically discusses in brief the aspect of water,air, noise, solid waste and radioactive waste pollutants in the environment and the concernedgovernment regulations thereof. (a) Water Pollution: it is caused by industrial effluents, surfacerun off, waste water discharge, toxic/chemical elements in waste water.(b) Air Pollution: it iscaused due to release of chemicals, particulates into the atmosphere e.g. carbon monoxide(CO), sulphur dioxide (SO

2), nitrogen dioxide (NO

2), hydrogen sulphide (H

2S) etc. (c) Noise

Pollution: it is caused by industrial processes, machine operations, construction activities, workingof earth moving equipments, operation of generators, loco movement inside the factory etc.(d)Solid Waste Pollution: any material which is discarded because of its negligible value comesunder solid waste. Such solid wastes generated, domestically or industrially, create one of themajor concerns for the environment. (e) Radioactive Waste Pollution: radioactive wastes aregenerated from the nuclear fuel cycle right from mining of uranium, fuel fabrication throughreactor operations and subsequent reprocessing of the spent fuel. These wastes are alsogenerated from use of radio-nuclides in medicines, research and industries. There is muchlegislation enacted by the Government of India to control the environmental pollution. A fewimportant ones are: (a)The Environment (Protection) Act, 1986 (b)The Water (Prevention andControl of Pollution) Act, 1974 (c) The Air (Prevention and Control of Pollution) Act, 1981 (d)The Noise Pollution (Regulation and Control) Rules, 2000 (e) The Municipal Solid Wastes(Management and Handling) Rules, 2000 (f)The Atomic Energy (Safe Disposal of RadioactiveWastes) Rules, 1987 .These legislations are complete in totality and cover the most importantaspects, but our level of pollution control is not up to the level of developed countries. The basicreason for which is the lack of awareness amongst the people and weak implementation oflegislations by the law enforcing authorities.

Keywords : Industrial pollution, Pollution control, Pollution control legislations, Environmentalpollution, Radioactivity, Environmental acts and rules.

INDUSTRIAL POLLUTION AND RELATED LEGISLATIONS IN

INDIA

M.I.KHAN1,*NIAZ AHMED SIDDIQUI2

1 Department of Mechanical Engineering, Integral University, Lucknow, (UP), India2 Research Scholar, Department of Mechanical Engineering, Sai Nath University, Ranchi, India

*Address for correspondence : Niaz Ahmed Siddiqui, Research Scholar,Department of Mechanical Engineering, Sai Nath University, Ranchi, India,

email:[email protected]

INTRODUCTION

Pollution caused by industries is becominga serious concern for all. Government tries toensure that industries take adequate safetymeasures to treat the effluents from their plantbefore disposing off the effluents so that the

environment does not get polluted. Pollution ofthe environment may take place either throughwater, air, noise, solid wastages and radioactivewastages.

At the stage of establishing of an industry, itshall be seen whether the industry is polluting in


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nature and if so, the prior approvals that arerequired to be obtained from the concernedauthorities are to be taken into consideration.Certain industries that are highly polluting innature need prior clearance from the, Ministry ofEnvironment and Forests, Government of India

The industries have to apply for consentorder from Pollution Control Board of therespective State Government after gettingenvironmental clearance from the Ministry ofEnvironment and Forests, Government of India.The Pollution Control Board issues consent orderfor starting the industry stipulating the necessaryPollution Control measures to be followed /adopted.

The consent order once given is not apermanent one, but needs to be renewed atstipulated intervals as specified. Renewedconsent order is given by the Pollution ControlBoards after ensuring that the effluent treatment/ pollution control measures taken by the industryare as per the norms stipulated.

Types of Pollutions

There are main five types of pollutionscreated by the industries/individuals:

1. Water Pollution

2. Air Pollution

3. Noise Pollution

4. Solid Waste Pollution

5. Radioactive Waste Pollution

Water Pollution

The problem is worse in case of waterpollution. Untreated effluents have increased thelevel of toxins like cyanide and chromium up to20 times. The surface water is the main sourceof industries for waste disposal. It is found thatalmost all rivers are polluted by some industry orthe other.

Different norms and guidelines are given forall the industries depending upon their pollutioncreating potentials. In India, there are sufficientevidences available related with themismanagement of industrial wastes. Analysishas been performed for 56 sectors, out of which6 sectors appear to be non-polluting, 26 sectorsare high polluting and 24 sectors are low

polluting. Sectors such as dairy, textile, paper,leather, rubber, chemicals, drugs, fertilizers,synthetic fiber etc. are responsible for most ofthe pollution.

The polluted water must be treatedthoroughly and tested before discharging it outof the industry’s premises. If the practice ofeffluent treatment is adopted in true sense, ourrivers can again get back to their original cleanand refreshing shape.

Disadvantages of Water Pollution

a. Adverse effect on human life like skindiseases, stomach disorder, eye infectionetc.

b. Adverse effect on soil and vegetation.

c. Adverse effect on marine life.

Air Pollution

Air in atmosphere is a reserve of oxygen andcarbon dioxide without which survival of plant andanimal is not possible. The other gases in theatmosphere perform vital functions that maintainliving environment in balance.

Dust and Fume, generated by industries, tryto become air borne and then spread in thesurrounding atmosphere. Pollutants includeoxides of carbon, nitrogen, sulphur,hydrocarbons, inorganic/organic acids,insecticides etc. Air pollutants contain 22minerals. Most of them are very poisonous.

The industries must control the emissionlimits of the exhausts as per the set norm of thePollution Control Boards and avoid unrestricteddischarge of solid and gaseous pollutants to theatmosphere.

It is always suggested that the industriesshould consider the dust / fume generationaspects seriously while designing theirequipment and should try to minimize the same.Unavoidable dust and fume generated in theprocess should be controlled at the source ofgeneration through the system of capture,extraction, conveying, and collection. In somecases fine dusts are suppressed with the help offine mist / fog.

Many large polluting industries have someDust Extracting System installed already but

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could not be used properly either for deficiencyin equipment design or deficiency in the systemdesign or both. In this situation, the OriginalEquipment Manufacturer (OEM) has big roles toplay. They are required to study the problems ofdifferent systems separately and analyze themcritically and give solutions which are workableand effective.

Disadvantages of Air Pollution

a. CO (carbon monoxide): It is a chockinggas. This acts on hemoglobin and releasesoxygen from blood. It causes drowsiness,headache and even death.

b. SO2 (sulphur dioxide): It causes burning

sensation, bronchitis, asthma and lungcancer. It is oxidized to trioxide and reactingwith moisture from acids which is washeddown to earth with rain causing acid rain.Acid rain causes extreme damage tobuildings, vegetation, marine life etc.

c. NO2 (nitrogen dioxide): It is foul odoured,

poisonous gas causing diseases likerespiration, digestion and nervous system.

d. H2S (hydrogen sulphide): It is also a fouled

smelled gas having hazardous effects onhuman beings.

Noise Pollution

Industrial noise refers to noise that is createdin the factories which is jarring and unbearable.Sound becomes noise when it becomesunwanted and unpleasant. Heavy industries likeship building and steel making have long beenassociated with noise induced hearing loss.

Normal sound level should not be more than50 decibels. It has been scientifically proved thatnoise more than 85 decibels can cause hearingimpairment.

Disadvantages of Noise Pollution

Main disadvantages caused by the noisepollution are listed below:

a. Increase in blood pressure.

b. Increased stress.

c. Fatigue.

d. Stomach ulcers.

e. Headache.

f. Sleep disturbance.

g. Annoyance.

h. Speech problem.

i. Aggression.

j. Anxiety.

k. Withdrawal.

l. Psychological problem.

m. Cardiac arrest

Solid Waste Pollution

All materials which are thrown awaybecause of no value are called solid waste. Thesolid waste that we generate, industrial ordomestic, represents one of the majorenvironmental challenges. The enhancement inindustrialization resulted in vast increase in theamount of refuse generated per person.

Types of Solid Wastes

a. Garbage: Decomposable biologicaldomestic waste e.g. food, vegetables,animal related wastes etc.

b. Rubbish: Waste excluding decomposablepart of garbage e.g. paper, beverage, plasticcans etc.

c. Solid waste: These are industrial productslike metals, ceramics, paints, pigments,plastic, rubber, leather, glass etc. and alsomunicipal solid wastes like sewage sludge,ash, dirt, rubble, farm wastes, wood, paperproducts etc.

d. Litter: Street and highway refuse.

Disposal of Solid Waste

There are four main ways of disposing of solidwastes:

a. Ocean Dumping: It creates water pollutionand destroys marine life.

b. Incineration: It leads to atmospherepollution if not conducted under controlledconditions.

c. Land Fill: This has been by far the mostwidely used method till its limitations arerealized in recent years.

d. Recycling: This is the least offensive of themethod with respect to spreading of


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pollution. However, limited types of materialscan be subjected to this operation.

Land fill has been the most common way ofdisposing of non-hazardous solid wastes. Sincemost of these operations were carried out withoutadequate precautions, their safety is beingreviewed and remedial measures are underway.

Disadvantages

Improper handling of solid wastes leads tospread of many diseases. Glass / metal waste ishazardous. Moist and warm environment favorsgeneration of pathogens. Those of substancesretaining water are breading grounds for insectsleading to gastroenteritis, hepatitis, dysenteryand encephalitis. Mosquitoes and flies give riseto typhoid, cholera, malaria, filarial etc.

The containers with unused pesticides orherbicides cause problem due to indiscriminatedisposal. Some may lead to explosion if theycontain some inflammable material.

The health of workers at disposal site is alsoof concern. They must always use safetyhelmets, dust masks, protective gloves, eyeprotectors, safety shoes to protect themselves.Enclosed trucks should always be used forcarrying waste.

Radioactive Waste Pollution

An industrial activity, invariably, generatessome sort of waste material. Nuclear industry isno exception and the presence of radioactivematerials which may have adverse impact onliving beings and which is likely to continue tothe subsequent generation as well is what setsradioactive wastes different from otherconventional hazardous wastes. Another uniquefeature of the radioactive waste is the decay ofradioactivity with time. This fact can be exploitedby the nuclear waste management.

Management of radioactive waste in Indiancontext includes all types of radioactive wastesgenerated from the entire nuclear fuel cycle rightfrom mining of uranium, fuel fabrication throughreactor operations and subsequent reprocessingof the spent fuel. Radioactive wastes are alsogenerated from use of radio-nuclides inmedicines, research and industries.

Effective management of radioactive wastesinvolves segregation, characterization, handling,treatment, conditioning and monitoring prior tofinal storage/disposal.

Types of Radioactive Wastes

Radioactive wastes arise in different formsviz. solid, liquid and gas with variety of physicaland chemical/radiochemical characteristics.

(a) Solid Radioactive Waste

Significant quantities of solid wastes ofdiverse nature are generated in the differentnuclear installations. They are essentially of thefollowing two types:

(i) Primary Waste: This comprises componentsand equipments contaminated withradioactivity e.g. metallic hardware, spentradiation sources etc.

(ii) Secondary Waste: This results from differentoperational activities. Some solid radioactivewastes include protective rubber and plasticwear, miscellaneous metallic components,cellulosic and fibrous materials, spentorganic ion-exchange resins, filter cartridgesetc.

Treatment and conditioning of solid wastesare practiced to reduce the waste volume so asto minimize the consumption of space and alsothe movement of the radioactive material. Lowactive combustible wastes are incinerated andcompactable wastes are reduced in volume bymechanical compaction.

The final packaged conditioned waste isthen disposed off a few meters below the earth’ssurface in specially made trenches lined withreinforced concrete. A multi-barrier approach isfollowed to ensure confinement and isolation ofthe wastes. Special emphasis is laid on closureof such areas after it gets filled. These includeappropriate closure with a concrete cover.

(b) Liquid Radioactive Waste

Liquid radioactive wastes are generated inrelatively large volumes with low levels of radio-activity. If a particular stream of radioactive liquidwaste contains short-lived isotopes, it may bestored for adequate time period to ensure thatmajority of the radio-nuclides die down, thus,

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following the ‘delay and decay’ principles.Similarly, if the level of radioactivity present inthe liquid waste is small, it is required to dilute itsufficiently to render the specific activity levelswell below the stipulated limits and discharge itto a large water body following the ‘dilute anddischarge’ principles. In all other cases, the wastemay call for suitable treatment in order to makethe waste satisfactorily fit to discharge.

Many processes like chemical precipitation,ion exchange, evaporation reverse osmosis etc.can be used singly or in combination for thetreatment of liquid radioactive wastes.

(c) Gaseous Radioactive Waste

Radioactive gases generally carry radio-nuclides. This must be removed before the gasesare released to the atmosphere through tallchimneys. That is why always a comprehensivegas treatment and ventilation system is installedin nuclear power plants and other fuel cyclefacilities in order to keep the air free fromradioactive contamination. Various designs ofscrubbers are deployed so as to retain theradioactive element in the liquid phase. Specificabsorbers are also used to remove volatile radio-nuclides like iodine, ruthenium etc.

Surveillance and monitoring of the cleangases ensure that the discharges are well belowpermissible limits.

Disadvantages of Radioactive Pollution

Radioactive waste, whether natural orartificial, is a potential threat of radioactiveexposure to humans through many channels.The routes are direct exposure to radioactivematerials, inhalation and ingestion of suchmaterials through air that one breathes or foodthat one consumes. The quantum of exposure(dose x duration of exposure) decides theadversity that may result. Exposure may occurto particular organ locally or to the whole body.Sufficiently high exposure can lead to cancer. Theradio-activity of a particular radio-nuclide isquantified in terms of what is referred to as‘potential hazard index’ that is defined in termsof the nuclide availability, its activity, maximumpermissible intake annually and its half-life. Thisdepends on a variety of factors like physical half-life, biological half-life, sensitivity of the organ or

tissue where the nuclide is likely to concentrate,ionizing power of the radiation from the nuclidethat depends on the energy of the radiationemitted from the radio-nuclides etc. It is from suchconsiderations that one concludes thatradioactive nuclides of few elements are the mosthazardous for human beings. In few other cases,the effect of nuclides poses long-term hazards,even to future generations also. The thought ofAtomic Bomb has set a certain perception in thepublic mind. The dangers, use and abuse ofnuclear facilities, operations and waste areenormous. Radioactive waste is potentially toxicfor many years, it is also the most difficult to bedisposed safely because of its heat and radiationoutput.

The exposure to radioactivity has thefollowing main adverse effect on human life:

(i) Damage to genetic system (DNA)(ii) Cancer(iii) Cataract(iv) Skin burns(v) Vomiting(vi) Hair loss(vii) Temporary sterility(viii) Blood change/clotting(ix) Damage of reproductive cells(x) Deformed limbs in future generations

Acts for Controlling Environmental Pollution

Few of the important Acts are discussedbelow :

The Environment (Protection) Act, 1986

Scientific and industrial growth, withoutsustainable development and proper care forenvironment, invite the disasters like heavypollution of natural resources, depletion ofenvironment, severe health problems for humanbeings etc. At this period penal laws of thecountry did not suffice to take stringent steps tocheck, control and reduce these regressingphenomena. A new law was then formed to defineand explain the importance of certain terms likeenvironment, pollution etc.

This Act empowers Central Government tomake rules and lay procedures for prevention ofany event which may cause environmentalpollution. Central Government may for thispurpose provide for certain rules for following


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matters.

a. The standards of quality of air, water, soiletc.

b. The maximum allowable limits ofconcentration of pollutants affectingenvironment.

c. The procedures and safeguards for thehandling of hazardous substances.

d. The prohibition and restrictions on locationof industries etc.

Persons who carry on industry, operation orany process etc. are not allowed to emit ordischarge any of the environmental pollutions inexcess of standards prescribed by theGovernment.

The penalty and punishment prescribed forcontravention of any of the provisions of this Actare purposely determined in a very harsh mannerto avoid any kind of mischief or non-observance.Any failure of any rule will invite imprisonmentfor the term up to 5 years and/or with the fine upto rupees one lakh.

The Central Government is also authorizedto issue directions for closure, prohibitions orregulation of any industry, operation or processand also to stop or regulate the supply ofelectricity, water or any other amenities or servicewhich are essential for the process of any suchdefaulting industries even without the directionof the court.

Supreme Court, in one of its very importantrulings, ruled that ‘the right to environmentalprotection’ should be considered as part of ‘theright to life’ under Article 21 of The Constitutionof India.

The Water (Prevention and Control ofPollution) Act, 1974

The objective of this Act is to control thepollution of water and also to preserve andprotect the purity of water. The Act also lays downpreventive and precautionary measures to betaken by industrial owners.

In order to cover all sorts of water resourcesunder this Act, the definition of ‘stream’ waswidened. This will include rivers, tanks, inland

water, all water courses, sea and tidal waters etc.

The Central Government and the StateGovernments are authorized to appoint CentralBoard and State Board respectively to control andcheck all kinds of activities polluting water andalso to promote cleanliness of streams and wells.These Boards shall also make plans andprograms for prevention, control or abatementof pollution of streams and wells. The Boardshave to lay down and modify the effluentstandards for sewage and trade effluents andalso evolve methods of utilization or recycling ofsewage.

The authorities of such Boards areempowered to take any samples of water sourceor sewage from any area which is an effluent ofany industry for the purpose of analyzing/testingthe percentage of contamination in it. The Boardscan also carry out operations of cleaning and toremove the matters from water source anddispose it off in proper manner.

Contravention of any provision of this Actwill call for the imprisonment from minimum 3months to maximum 7 years and/or with fine fromone thousand to five thousand rupees.

The Air (Prevention and Control of Pollution)Act, 1981

With the increasing industrialization andtendency of the majority of industries tocongregate in already heavily industrialized area,the problems of air pollution began to be felt inthe country, more acutely so in such areas whichare also densely populated.

The presence in air of various pollutantsdischarged through industrial emissions and fromcertain human activities connected with traffic,heating, use of domestic fuel, refuse incinerationsetc. has a detrimental effect on the health of thepeople as also of animal life, vegetation andproperty.

To check air pollution, The Air (Preventionand Control of Pollution) Act, 1981 was enactedby the Parliament under Article 253 of the IndianConstitution. The Act exclusively deals with thepreservation of air quality and control of airpollution. The Act envisages the setting up of AirPollution Control Boards at the Centre as well as

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in the States with power to issue and revokelicenses to polluting industries, enforce emissionstandards and to frame rules and regulations forthe control of air pollution.

The legislation is directly against pollutingindustries called scheduled industries. Theschedule has a list of 20 types of industries suchas textile, power plants, iron and steel,engineering, chemical, fertilizer, coal industriesetc. It covers all sources of pollution such asindustries, transport, railways, automobiles aswell as domestic fuel with extensive powers tothe Boards for effective action.

Under this Act, Government is empoweredto declare any area as the pollution control area.The State Boards are formed for the purpose ofkeeping check on all activities causing airpollution. The Board can prohibit the use of anysuch kind of fuel which may cause air pollutionand no one is allowed to use any other fuel thanthe approved fuel.

No one is allowed to operate or start anyindustrial plant specified in the schedule, in anair pollution control area without taking priorconsent of the State Board. Every person has tosubmit an application before the State Board forconsent of the Board to start such industry.

None of the industrial unit will be allowed todischarge or emit any of the air pollutant in excessof the standards laid down in prescribed manner.

Penalties for contravening the provisions ofthis Act are stringent, imprisonment ranging fromsix months to seven years with or without fine.

The Noise pollution (Regulation and Control)Rules, 2000

Whereas the increasing ambient noiselevels in public places from various sources e.g.industrial activity, construction activity, generatorsets, loud speakers, public address systems,music systems, vehicular horns and othermechanical devices have adverse effects onhuman health and the psychological well beingof the people, it is considered necessary toregulate and control noise producing source withthe objective of maintaining of ambient air qualitystandards in respect of noise.

Keeping in view of the above, the CentralGovernment has made the rules for regulationand control of noise producing sources as ‘TheNoise pollution (Regulation and Control) Rules,2000’

The various noise levels, in decibels (dB),and its effects on human being is shown below :

Noise Effects Observed(dB)

0 Threshold of audibility

50 Normal audible level

85 Hearing impairment

110 Stimulation of reception in skin

120 Pain threshold

130 Nausea, vomiting, dizziness

140 Pain in ear, insanity

150 Burning of skin

160 Minor permanent damage if prolonged

190 Major permanent damage in a short time

The Rules elaborates the following:

a. All authorities, while planningdevelopmental activity or carrying outfunctions relating to town and countryplanning shall take into consideration allaspects of noise pollution as a parameterof quality of life to avoid noise menace andto achieve the objective of maintaining theambient air quality standards in respect ofnoise.

b. An area comprising not less than 100meters around hospitals, educationalinstitutions and courts may be declared assilence zone.

c. A loud speaker or a public address systemshall not be used except after obtainingwritten permission from the authority, alsothe public address system shall not be usedat night (between 10.00 PM to 6.00 AM).

Violation

Whoever, in any place covered under thesilence zone, commits any of the followingoffence; he shall be liable for penalty under theprovision of the Rule:


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a. Whoever plays any music or uses any soundamplifiers.

b. Whoever beats a drum or blows a horneither musical or pressure or trumpet orbeats or sounds any instrument.

c. Whoever exhibits any mimetic, musical orother performances of a nature to attractcrowds.

Complaints / Punishment

a. A person may, if the noise level exceeds theambient noise standards by 50 dB or more,make a complaint to the authority.

b. The authority shall act on the complaint andtake action against the violator inaccordance with the provisions of theserules and any other law in force.

The Municipal Solid Wastes (Management &Handling) Rules, 2000

Solid Wastes, if not handled properly is amajor health hazard. Its collection, transportation,processing and disposal are critical activities.Processing involves physical, chemical orbiological procedures. The recycling and disposalby land filling are most common methodsemployed so far. To regulate all these activities,under controlled system, Government of Indiaenacted a set of Rules known as ‘The MunicipalSolid Wastes (Management & Handling) Rules,2000’.

Application

These rules shall apply to every municipalauthority responsible for collection, segregation,storage, transportation, processing and disposalof municipal solid wastes.

Responsibility

a. Every municipal authority shall, within theterritorial area of municipality, be responsiblefor the implementation of the provisions ofthese rules and for any infrastructuredevelopment for collection, storage,segregation, transportation, processing anddisposal of municipal solid wastes.

b. The municipal authority shall make anapplication in the prescribed Form for grantof authorization for setting up waste

processing and disposal facility includinglandfills from the State Board.

c. The municipal authority shall comply withthese Rules as per the implementationschedule.

d. The municipal authority shall furnish itsannual report in the prescribed Form –

i. To the Secretary-in-charge of theDepartment of Urban Development of theconcerned State or as the case may beof the Union Territory in case of ametropolitan city.

ii. To the District Magistrate or the DeputyCommissioner concerned in case of allother towns and cities with a copy to theState Board.

Implementation of Rules

a. The Secretary-in-Charge of the Departmentof Urban Development of the concernedState or the Union Territory, as the case maybe, shall have the overall responsibility forthe enforcement of the provisions of theserules in the metropolitan cities.

b. The District Magistrate or the DeputyCommissioner of the concerned district shallhave the overall responsibility for theenforcement of the provisions of these ruleswithin the territorial limits of their jurisdiction.

The Atomic Energy (Safe Disposal ofRadioactive Wastes) Rules, 1987

The above said legislation, The AtomicEnergy (Safe Disposal of Radioactive Wastes)Rules, 1987, has many clauses and sub-clauses.Few of them are detailed below:

1. Restriction on the disposal ofradioactive waste : No person shall dispose ofradioactive waste –

(a) unless he has obtained an authorizationfrom the competent authority under theserules;

(b) in any manner other than in accordance withthe terms and conditions specified in theauthorization issued under these rules;

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(c) in any location different from those specifiedin the authorization;

(d) in quantities exceeding those specified inthe authorization.

2. Application for authorization : Eachapplication for authorization to dispose or transferradioactive waste shall be made in the prescribedformat and shall give the brief description of –

(a) the process, materials and equipmentgenerating radioactive wastes in theinstallation;

(b) the equipment and systems provided in thewaste generating installation to monitor andcontrol the radioactive wastes and to reduceenvironmental releases;

(c) the environment around the installation;

(d) the processes and equipments in theinstallation for conditioning, treatment anddisposal of radioactive waste and the staffemployed for the purpose;

(e) safety devices incorporated in the wastedisposal installation to contain theradioactive effluent and control their releaseto unrestricted areas during normaloperations;

(f) an estimate of the amounts of annualreleases, discharges and leakages fromradioactive waste repositories during normalcondition and an analysis of their anticipatedenvironmental impact;

(g) an analysis of the potential accidents whichmay occur in the installation and designfeatures and monitoring equipmentincorporated in the waste disposalinstallation to control the release ofradioactivity in the event of such accidents.

3. Duties of the authorized person : Everyauthorized person shall ensure that –

(a) disposal of radioactive wastes is done inaccordance with the provisions of theserules and in accordance with the terms andconditions laid down in the authorization;

(b) records of waste disposal are maintainedby the competent authority;

(c) any operation likely to result in a morehazardous accident than that envisaged inthe safety analysis given by the applicantare not carried out in the installation;

(d) personnel monitoring and environmentalsurveillance is carried out in a continuedbasis to evaluate the risks and to monitorthe environmental impact of the wastedisposal operations;

(e) after the waste disposal installation isclosed, institutional control is maintained forsuch time as stipulated by the competentauthority in each specific case.

4. Maintenance of records of wastedisposal : Every authorized person shallmaintain records of disposal of radioactive waste,giving the following particulars -

(a) the description, quantity, physical state,chemical characteristics and the date ofdisposal of each consignment of radioactivewaste;

(b) mode of disposal, concentration ofradioactive material in the waste disposedoff and site of disposal;

(c) data on periodic radiation surveillance in andaround the site of the disposal of radioactivewaste.

5. Prevention of entry into restrictedareas: The authorized person shall makeadequate arrangements to prevent entry ofunauthorized members of the public in therestricted areas and shall further ensure that onlythe essential staff remains in the said areas toperform necessary operations.

6. Power to inspect installations : Anyperson duly authorized by the competentauthority for inspection and enforcement of theserules may at any time –

(a) inspect any installation where disposal ofradioactive waste is carried out;

(b) inspect any equipment, permanentlyinstalled or mobile, therein;

(c) make such tests and measurements as maybe necessary for purposes of evaluatingradiation hazards;


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(d) order disposal of such radioactive wastesas he deems necessary in the interest ofradiation protection.

7. Closure and institutional control:Closure of a radioactive waste disposalinstallation and institutional control shall beundertaken by the authorized person afterobtaining permission from the competentauthority and in accordance with the procedureas prescribed by the competent authority in eachcase.

CONCLUSION

The environmental consequences of rapidindustrialization have resulted in countlessincidents of lands, air and water resources sitesbeing contaminated with toxic materials and otherpollutants, threatening humans and ecosystemswith serious health risks. More extensive andintensive use of materials and energy hascreated cumulative pressures on the quality oflocal, regional and global ecosystems.

Applications of pollution control methodshave demonstrated considerable effectivenessin controlling pollution problems. Application ofappropriate technologies is based on asystematic analysis of the source and nature ofthe emission or discharge, its interaction with theecosystem and development of appropriatetechnologies to monitor pollution impacts.

India is one of the first countries which hasmade provision for the protection andimprovement of environment in its legal systemwhich empowers State to make endeavor forprotection and improvement of the environmentand for safeguard the environment andecosystem of the country. A landmark provisionis also incorporated as one of the Fundamental

Duties of every citizen of India to safeguard andprotect the environment. However, with ourcountry’s emerging environmental scenario withindustrialization, these legislations were foundeither inadequate or being not effectivelyapplicable to check the degradation of ourenvironment. Over the years, severalamendments have also been made in the variousexisting legislations to meet the requirements ofthe unfolding environmental issues. But, the needof the day is to implement the existing legislationswith full sincerity to protect the environment forpeaceful and healthy co-existence of climate,vegetation, land, rivers, human and animal lives.

REFERENCES

1. Prof. K C Mathur and Prof. R N Shukla, “PollutionManagement”.

2. G N Pandey and G C Carney, “EnvironmentalEngineering”.

3. Gilbert M. Masters, “Introduction to EnvironmentalEngineering and Science”.

4. Anjaneyulu Y, “Introduction to EnvironmentalScience”.

5. Trivedi R K, “Handbook of Environmental Laws,Acts, Guidelines, Compliances and Standards”.

6. Press Information Bureau, Government of India,http://pib.nic.in/newsite erelease. aspx? relid =94087

7. Rao, K R, “Radioactive waste: The problem andits management”.

8. Wattal P K, “Indian programme on radioactive

waste management”.

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CARBON TRADING : SUSTAINABLE DEVELOPMENT WITH

POTENTIAL WEALTH

IMRAN FAROOQ1 , *KAMLESH KUMAR SHUKLA 2

1Research Scholar, Sai Nath University, Ranchi, India,2Department of Commerce, Kalicharan P.G. College, Lucknow, Uttar Pradesh, India

* Address for correspondence: Dr. Kamlesh Kumar Shukla , Assistant Professor,Department of Commerce, Kalicharan P.G. College, Lucknow, Uttar Pradesh, India,

email :[email protected]

ABSTRACT

In response to the global warming crisis, in Rio deo Janeiro of Brazil, the 1992 UN Conferenceon the Environmental and Development clearly raised the concept of sustainable development.Through this conference more than 150 countries had established “United Nations FrameworkConvention on Climate Change”, which was called UNFCCC for short. UNFCCC is the firstconvention to take full control of greenhouse gas emissions including carbon dioxide dischargeand is an international convention to fight global warming which is causing a lot of adverseeffect to the development of society and economy. After that, in December 1997, the thirdConference of the Parties (COP) under the UNFCCC held in Kyoto of Japan, which aimed atlimiting carbon emissions in developed countries. In this way, we can curb global warming.Carbon trading is a advances format, where firms or countries buy and sell carbon permits aspart of a program to trim out carbon emission. It is a widespread method and countries utilise itin order to meet their obligations specified by international Kyoto Protocol (1997) of UnitedNations Framework Convention on Climate Change; namely the reduction of carbon emissionsin order to mitigate future climate changes. It specifically targets carbon dioxide calculated interms of CO

2 equivalent or CO

2. Currently, future contracts in carbon credits are actively traded

in European Exchanges (ECX).The European Union Emission Trading Scheme (EU ETS) isthe largest multinational, greenhouse emissions scheme in the world and is committed to reduce8% 1990 levels of emission in 2008-2012.Carbon Development Mechanism (CDM) is anothertrading project which is administered by the CDM executive which reports and is accountable tothe Conference of Parties(COP) Carbon Trading. In India, though we are potentially the largestmarket for carbon credits on the MCX, we still need to implement proper policies to allow tradingof certified emission reductions (CERs), carbon credit. To increase the market for carbon tradingForward Contracts (Regulation) Amendment Bill has been introduced in the Parliament. Thuswe see that Carbon Trading is definitely the “Greenest” pastures for business trading for thesmall and large scale private and governmental sectors in India with opportunities for everyone.So, in this paper, we have reviewed and put forward the technologies and market standardsthat we can set so that the concept of carbon trading can have its roots in India too.

Keyword: Carbon Permits, Kyoto Protocol, Carbon Development Mechanism (CDM), CarbonFootprint .Carbon trading in India

INTRODUCTION

Increase in GHGs mostly the Carbon dioxideis the serious problem of the era. The problemwith humans contributing so much carbon dioxideis that Earth’s natural system is overwhelmed and

can’t keep up with the rate of our CO2 release.

The natural carbon cycle is disrupted and Earth’scarbon ‘sinks’ or places that carbon can be safelyabsorbed are either diminishing or saturated. Theterms ‘Global Warming’ and ‘Climate Change’,


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describes what is happening..!! Global economicgrowth is driving higher carbon dioxide emissionsand we really must manage the tremendousamounts of carbon dioxide we are emitting.

Definition of ‘Carbon Trade’

An exchange of credits between nationsdesigned to reduce emissions of carbon dioxide.The carbon trade allows countries that havehigher carbon emissions to purchase the right torelease more carbon dioxide into the atmospherefrom countries that have lower carbon emissions.The carbon trade originated with the 1997 KyotoProtocol and is intended to reduce overall carbondioxide emissions to 5% below 1990 levelsbetween 2008 and 2012.

Carbon emissions trading is a form ofemissions trading that specifically targets carbondioxide calculated in tonnes of carbon equivalentor tCO

2e and it currently constitutes the bulk of

emissions trading. This form of permit trading isa common method and countries utilize it in orderto meet the obligations specified by KyotoProtocol; namely the reduction of the carbonemissions in an attempt to mitigate the futureclimate change. Emission trading works bysetting a quantitative limit on emissions producedby emitters.

How are carbon credits created?

The carbon market can be divided into two:the voluntary market and the regulatory(compliance) market .In the compliance market,carbon credits are generated by projects thatoperate under one of the United NationsFramework Convention on Climate Change(UNFCCC) approved mechanisms such as theClean Development Mechanism (CDM).Creditsgenerated under this mechanism are known asCertified Emissions Reductions (CERs). In thevoluntary market, carbon credits are generatedby projects that are accredited to independentinternational standards such as the VerifiedCarbon Standard (VCS). These credits areknown as Verified Emission Reductions (VERs).Carbon Trade Exchange supports the trading ofboth voluntary and compliance credits. It isimportant to note that carbon credits differ fromcarbon allowances although the term carboncredit is interchangeably used to represent both.

Although in most cases, they both representone tonne of carbon dioxide equivalent,allowances do not originate from carbon projectsbut are allocated to companies under a ‘cap andtrade’ system such as the EU Emissions TradingScheme – therefore, they represent the right toemit.

How are carbon credits issued?

All projects listed on CTX are certified,verified and registered, ensuring that actualemission reductions take place before the creditsare issued thus providing a secure andtransparent environment for carbon trading. Theprocess of getting credits issued variesdepending on the credit type i.e. CERs vs VERs.However, below is a very general overview ofthe process a project developer needs to followbefore credits can be issued:

1. The selection of a approved methodologywhich quantifies the GHG benefits of aproject

2. The development of a Project DesignDocument (PDD) which describes the wholeproject in detail including the projectcrediting period and the demonstration ofadditionality

3. An independent auditor reviews the PDDand validates the project

4. The project is monitored to ensure that GHGreductions are occurring

5. The monitoring reports are verified by anindependent auditor

6. The project gets credits issued into aappropriate registry account

Where are carbon credits held?

Carbon credits are stored electronically in‘registries’. Registries are essential for issuing,holding, and transferring carbon credits. Once acarbon project is issued with credits, the registrygives each one a unique serial number so thatthey can be tracked through their entire life-cycle.Registries also facilitate the retirement(surrendering) of credits for carbon neutralitypurposes, ensuring credits are not resold at alater date.

In the voluntary carbon market, the largestregistry is the Market Environmental Registrywhich CTX is directly connected to. In the

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compliance markets, each scheme has its ownarrangements with regards to registries. CTX isconnected to various national registries in the EUvia CDC Climate’s Registry Electronic Interface(REI).

Greenhouse gases

Greenhouse gases trap heat in the Earth’satmosphere. Cars, planes, power plants andfactories all emit GHG. The Kyoto Protocol, aninternational GHG agreement, defines sixtroubling types of emissions:

· Carbon dioxide (CO2): When fossil fuels,

waste and plant matter burn, they emit CO2,

the most common GHG emission.

· Methane (CH4): Landfills, l ivestock,

agricultural activities and the production ofcoal, natural gas and oil all generate CH

4, an

emission far more powerful than CO2.

· Nitrous oxide (N2O): Sewage treatment and

the combustion of fossil fuels both produceN

2O. s However, fertilizer and agricultural soil

management release the majority of thispotent emission.

· Sulphur hexafluoride (SF6): The electric

power industry uses this man-madecompound for insulation and currentinterruption.

· Hydro fluorocarbons (HFCs): Solvents,refrigerants, fire fighting agents andpropellants for aerosols use HFCs as areplacement for ozone-depletingchlorofluorocarbons (CFCs).

· Per fluorocarbons (PFCs): There arerelatively low amounts of PFCs in theatmosphere, but they’re hard to get rid of.The estimated atmospheric life of this solventand component of aluminium productionranges from 10,000 to 50,000 years!

KYOTO PROTOCOL:

United Nations Framework Convention onClimate Change

The Kyoto Protocol is an historicalagreement. It was the first internationalagreement in which many of the world’s industrialnations concluded a verifiable agreement toreduce their emissions of six greenhouse gases

in order to prevent global warming. The majorfeature of the Kyoto Protocol is that it sets bindingtargets for 37 industrialized countries and theEuropean community for reducing emissions.These amount to an average of five per centagainst 1990 levels over the five-year period2008-2012.The Kyoto Protocol was adopted inKyoto, Japan, on 11 December 1997 and enteredinto force on 16 February 2005. 184 Parties ofthe Convention have ratified its Protocol to date.It is an international agreement linked tothe United Nations Framework Convention onClimate Change. The conference ended with anagreement of “Kyoto Protocol”. The Protocoltook formal effect on February 16th 2005. “KyotoProtocol” is internationally binding andenforceable agreements that will encouragecountries to reduce greenhouse gas emissions.The Kyoto Protocol has introduced groundbreaking concepts on carbon credits, carbonfootprint and emissions trading.

Annex - I Countries:

United States of America, United Kingdom,Japan, New Zealand, Canada, Australia,

Austria, Spain, France, and Germany etc.agree to reduce their emissions (particularlycarbon dioxide) to target levels below their 1990emissions levels. A total of 41 industrializedcountries are currently listed in the Convention’sAnnex-1 including the relatively wealthyindustrialized countries that were members of theOrganization for Economic Co-operation andDevelopment (OECD) in 1992, plus countrieswith economies in transition (EITs), including theRussian Federation, the Baltic States, andseveral Central and Eastern European States.

Annex II Countries:

Annex II countries are a sub-group of theAnnex I countries. Developed countries whichpay for costs of developing countries if theycannot reduce their emissions, they must buyemission credits from developing countries orinvest in conservation are included in thiscategory. Countries like United States of America,United Kingdom, Japan, Newzealand, Canada,Australia, Austria, Spainetc are also included inAnnex- II.

This serves three purposes:


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a) Avoids restrictions on growth becausepollution is strongly linked to industrialgrowth, and developing economies canpotentially grow very fast.

b) It means that they cannot sell emissionscredits to industrialized nations to permitthose nations to over-pollute.

c) They get money and technologies from thedeveloped countries in Annex II.

Kuwait, Malaysia, Pakistan, Phillippines,Saudi Arabia, Sigapore, South Africa, UAE etc.Developing countries have no immediaterestrictions under the UNFCCC.

This serves three purposes:

a) Avoids restrictions on growth becausepollution is strongly linked to industrialgrowth, and developing economies canpotentially grow very fast.

b) It means that they cannot sell emissionscredits to industrialized nations to permitthose nations to over-pollute.

c) They get money and technologies from thedeveloped countries in Annex II.

CARBON EMISSIONS TRADING

It is relatively a new market and has tradeda bit at minor levels in the OTC market since the1990s .Recent developments in this vibrantmarket is due to significant global governmentalinvolvement which has facilitated the tremendousgrowth for carbon emission trading since 1997from $727 million in 2004 to over $120 billion in2008. The carbon credit market emerged due tovarious regularity bodies that collaborated withgovernments to establish the framework forcarbon emission trading in a proactive attemptto involve the world to decrease their carbonfootprint.

Furthermore, due to the complexity of thismarket, carbon emission trading has attractednumerous intermediaries including brokers,exchangers, aggregators and financiers.

Opportunities for market participants areexpected to continue to increase as the value ofglobal carbon markets are forecast to grow by68% per year to $669 billion in 2013.With the EU

members taking common commitment to reducetheir average greenhouse emissions by 8% inthe first Kyoto commitment (2008-2012), the EUhas set up a European Emissions TradingScheme. With the Japanese and Canadiangovernments entering the markets, andincreased pressure on US companies to complywith the carbon emission reduction, the end-userin this market has grown and will continue to doso. Further to this, Britain’s Department of Energyhas committed to cut carbon emission by 8%before 2050. Even, Barack Obama’s new USadministration is considering whether to set upits own federal carbon emissions trading scheme.

CARBON CREDITS

The primary purpose of the Protocol was tomake developed countries pay for their ways withemissions while at the same time monetarilyrewarding countries with good behaviour in thisregard. Since developing countries can start withclean technologies, they will be rewarded bythose stuck with “dirty ones. This system poisesto become a big machine for partially transferringwealth from wealthy, industrialised countries topoor, undeveloped countries.

A CER or carbon Credit is defined as theunit related to reduction of 1 tonne of CO

2

emission from the baseline of the project activity.

For example, India decided to invest in anew power station, and has decided on aparticular technology at the cost of X crore. Anentity from an industrialised country (which couldeven be a company) offers to provide India withslightly better technology, which costs more (sayY crore), but will result in lower emissions. Theindustrialised country will only pay theincremental cost of the project – viz. Y minus X.In return, the investing” country will get certifiedemission reductions (CERs), or credits, which itcan use to meet its Kyoto commitments. This is

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a very good deal indeed – but for the investingcountry. Not only do they sell developingcountries their technology, but they also meettheir Kyoto commitments without lifting a fingerto reduce their domestic emissions. Countries likethe US can continue to pollute at home, so longas it makes the reductions elsewhere.

MECHANISMS OF EMISSION REDUCTONSTO EARN CARBON CREDITS

Kyoto Protocol worked out threemechanisms of the energy conservation andemission reduction;

Clean Development Mechanism (CDM)Joint Implementation (JI)Emissions Trade (ET)

a) Clean Development Mechanism (CDM):

The Clean Development Mechanism(CDM), defined in Article 12 of the Protocol,allows a country with an emission-reduction oremission-limitation commitment under the KyotoProtocol (Annex B Party) to implement anemission-reduction project in developingcountries. Under the UNFCCC charter, anycompany from the developed world can tie upwith a company in the developing country that isa signatory to the Kyoto Protocol. Thesecompanies in developing countries must adoptnewer technologies, emitting lesser gases, andsave energy.

Only a portion of the total earnings of carboncredits of the company can be transferred to thecompany of the developed countries under CDM.There is a fixed quota on buying of credit bycompanies in Europe.

b) Joint Implementation (JI):

The mechanism known as “jointimplementation,” defined in Article 6 of the KyotoProtocol, allows a country with an emissionreduction or limitation commitment under theKyoto Protocol (Annex B Party) to earn emissionreduction units (ERUs) from an emission-reduction or emission removal project in anotherAnnex B Party, each equivalent to one tonne ofCO

2, which can be counted towards meeting its

Kyoto target. Joint implementation offers Partiesa flexible and cost-efficient means of fulfilling apart of their Kyoto commitments, while the hostParty benefits from foreign investment andtechnology transfer.

c) Emissions Trading (ET):

Parties with commitments under the KyotoProtocol (Annex B Parties) have accepted targetsfor limiting or reducing emissions. These targetsare expressed as levels of allowed emissions,or “assigned amounts,” over the 2008-2012commitment periods. The allowed emissions aredivided into “assigned amount units”(AAUs).Emissions’ trading, as set out in Article17 of the Kyoto Protocol, allows countries thathave emission units to spare – emissionspermitted them but not “used” - to sell this excesscapacity to countries that are over their targets.Thus, a new commodity was created in the formof emission reductions or removals. Since carbondioxide is the principal greenhouse gas, peoplespeak simply of trading in carbon. Carbon is nowtracked and traded like any other commodity. Thisis known as the “carbon market.”

INDIA AND CARBON CREDITS

India being a developing country has noemission targets to be followed. However, it canenter into CDM projects. As mentioned earlier,industries like cement, steel, power, textile,fertilizer etc emit green houses gases as anoutcome of burning fossil fuels. Companiesinvesting in windmill, bio-gas, bio-diesel, and co-generation are the ones that will generate carboncredits for selling to developed nations. Pollutingindustries, which are trying to reduce emissionsand in turn earn carbon credits and make moneyinclude steel, power generation, cement,fertilizers, waste disposal units, plantation


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companies, sugar companies, chemical plantsand municipal corporations.

DELHI METRO RAIL CORPORATION (DMRC)

A must mention project is The Delhi MetroRail Corporation (DMRC): It has become the firstrail project in the world to earn carbon creditsbecause of using regenerative braking systemin its rolling stock. DMRC has earned the carboncredits by using regenerative braking system inits trains that reduces 30% electricityconsumption.

Whenever a train applies regenerativebraking system, the released kinetic energy startsa machine known as converter-inverter that actsas an electricity generator, which supplieselectrical energy back to the Over HeadElectricity (OHE) lines. This regeneratedelectrical energy that is supplied back to the OHEthat is used by other accelerating trains in thesame service line. DMRC can now claim 400,000CERs for a 10-year crediting period beginningDecember 2007 when the project was registeredby the UNFCCC. This translates to Rs 1.2 croreper year for 10 years. India has the highestnumber of CDM projects registered and suppliesthe second highest number of Certified EmissionReduction units. Hence, India is already a strongsupplier of Carbon Credits and can improve onit. (Refer Annexure No. 3 & 4 for projectsregistered and expected average annual CERsgenerated respectively)

BENEFITS FOR INDIA

By switching to Clean DevelopmentMechanism Projects, India has a lot to gain fromCarbon Credits:

a) It will gain in terms of advancedtechnological improvements and relatedforeign investments.

b) It will contribute to the underlying theme ofgreen house gas reduction by adoptingalternative sources of energy

c) Indian companies can make profits byselling the CERs to the developed countriesto meet their emission targets.

Trading of CERs

As a welcome scenario, India now has two

commodity exchanges trading in Carbon Credits.This means that Indian companies can now geta better trading platform and price for CERsgenerated. Multi Commodity Exchange (MCX),India’s largest commodity exchange, haslaunched future trading in carbon credits. Theinitiative makes it Asia’s first-ever commodityexchange and among the select few along withthe Chicago Climate Exchange (CCE) and theEuropean Climate Exchange to offer trades incarbon credits. The Indian exchange alsoexpects its tie-up with CCX which will enableIndian firms to get better prices for their carboncredits and better integrate the Indian market withthe global markets to foster best practices inemissions trading. On 11th April 2008, NationalCommodity and Derivatives Exchange (NCDEX)also started future contract in carbon trading fordelivery in December 2008.

MCX is the future exchange. People hereare getting price signals for the carbon tradingfor the delivery in next five years. The exchangeis only for Indians and Indian companies. Everyyear, in the month of December, the contractexpires and at that time people who have boughtor sold carbon will have to give or take delivery.They can fulfil the deal prior to December too,but most people will wait until December becausethat is the time to meet the norms in Europe. Ifthe Indian buyer thinks that the current price islow for him he will wait before selling his credits.The Indian government has not fixed any normsnor has it made it compulsory to reduce carbonemissions to a certain level. So, people who arecoming to buy from Indians are actually financialinvestors. If the Europeans were unable to meettheir target of reducing the emission levels by2009, 2010 or 2012, then the demand for thecarbon would increase and then they would makemore money. There was a huge requirement ofcarbon credits in Europe before 2012. Only thoseIndian companies that meet the UNFCCC normsand take up new technologies will be entitled tosell carbon credits. There are parameters set anddetailed audit is done before you get theentitlement to sell the credit.

Financing support in India:

Carbon Credit projects require huge capitalinvestment. Realizing the importance of carboncredits in India, World Bank has entered into an

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agreement with Infrastructure Developmentfinance Company (IDFC), wherein IDFC willhandle carbon finance operations in the countryfor various carbon finance facilities. Theagreement initially earmarks a $10-million aid inWorld Bank-managed carbon finance to IDFC-financed projects that meet all the requiredeligibility and due diligence standards .IDBI hasset up a dedicated Carbon Credit desk, whichprovides all the services in the area of CleanDevelopment Mechanism/Carbon Credit(CDM).In order to achieve this objective, IDBI hasentered into formal arrangements with multi-lateral agencies and buyers of carbon credits likeIFC, Washington, KfW, Germany and SumitomoCorporation, Japan and reputed domestictechnical experts like MITCON.HDFC Bank hassigned an agreement with Cantor CO

2E India Pvt

Ltd and MITCON Consultancy Services Limited(MITCON) for providing carbon credit services.As part of the agreement, HDFC Bank will workwith the two companies on awareness building,identifying and registering Clean DevelopmentMechanism (CDM) and facilitating the buy or sellof carbon credits in the global market.ss

Examples of Carbon trading in India

Jindal Vijaynagar Steel

The Jindal Vijaynagar Steel has recentlydeclared that by the next ten years it will be readyto sell $225 million worth of saved carbon. Thiswas made possible since their steel plant usesthe Corex furnace technology which prevents 15million tonnes of carbon from being dischargedinto the atmosphere.

Powerguda in Andhra Pradesh

The village in Andhra Pradesh was selling147 tonnes equivalent of saved carbon dioxidecredits. The company has made a claim of havingsaved 147 MT of CO

2. This was done by

extracting bio-diesel from 4500 Pongamia treesin their village.

Handia Forest in Madhya Pradesh

In Madhya Pradesh, it is estimated that 95very poor rural villages would jointly earn at leastUS$300,000 every year from carbon paymentsby restoring 10,000 hectares of degradedcommunity forests.

LEGAL ASPECT OF CARBON TRADING ININDIA

The Multi Commodity exchange startedfuture trading on January 2008 after Governmentof India recognized carbon credit as commoditieson 4th January. The National Commodity andDerivative Exchange by a notification and withdue approval from Forward Market Commission(FMC) launched Carbon Credit future contactwhose aim was to provide transparency tomarkets and help the producers to earnremuneration out of the environmental projects.

Carbon credit in India is traded on NCDEXonly as a future contract. Future contract is astandardized contract between two parties to buyor sell a specified asset of standardized quantityand quality at a specified future date at a priceagreed today (the future price). The contracts aretraded on a future exchange. These types ofcontracts are only applicable to goods which arein the form of movable property other thanactionable claims, money and securities .Forward contracts in India are governed by theIndian Contract Act, 1872.

Under the present provision of the ForwardContracts Regulation Act, the trading of forwardcontracts will be considered as void as nophysical delivery is issued against thesecontracts. To rectify this Forward Contracts(Regulation) Amendment Bill 2006 wasintroduced in the Indian Parliament. The UnionCabinet on January 25, 2008 approved theordinance for amending the Forward Contracts(Regulation) Act, 1952. This Bill also amends thedefinition of ‘forward contract’ to include‘commodity derivatives’. Currently the definitiononly covers ‘goods’ that are physicallydeliverable. However a government notificationon January 4th paved the way for future tradingin CER by bringing carbon credit under thetradable commodities.

Mandatory Carbon Trading

The Kyoto Protocol, an international treatyon climate change that came into force in 2005,dominates the mandatory carbon market. Itserves as both a model and a warning for everyemerging carbon program.

In the early 1990s, nearly every member


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state of the United Nations resolved to confrontglobal warming and manage its consequences.Although the resulting United Nations FrameworkConvention on Climate Change (UNFCCC)international treaty recognized a unified resolveto slow global warming, it sets only loose goalsfor lowering emissions. In 1997, the Kyotoamendment strengthened the convention.

Under the Protocol, members of theconvention with industrialized or transitionaleconomies (Annex I members) receive specificreduction targets. Member states with developingeconomies are not expected to meet emissionstargets—an exception that has causedcontroversy because some nations like Chinaand India produce enormous levels of GHG. TheProtocol commits Annex I members to cut theiremissions 5 percent below 1990 levels between2008 and 2012. But because the Protocol doesnot manage the way in which members reducetheir emissions, several mechanisms havearisen. The largest and most famous is theEuropean Trading Scheme (ETS), still in its two-year trial phase.

The ETS is mandatory across the EuropeanUnion (EU). The multi sector cap and tradescheme includes about 12,000 factories andutilities in 25 countries. Each member state setsits own emissions cap, or national allocation plan,based on its Kyoto and national targets.Countries then distribute allowances totalling thecap to individual firms. Even though countriesdistribute their own allowances, the allowancesthemselves can be traded across the EU.Independent third parties verify all emissions andreductions.

There has been, however, some questionas to whether the ETS has actually helped reduceemissions. Some people even call it a “permit topollute” because the ETS allows member statesto distribute allowances free of charge. The ETSalso excludes transport, homes and public sectoremissions from regulation and as with all cap-and-trade schemes, governments can essentiallyexempt influential industries by flooding themwith free allowances.

The ETS allows its members to earn creditsby funding projects through two other Kyotomechanisms: the Clean Development

Mechanism (CDM) and Joint Implementation (JI).CDM allows Annex I industrialized countries topay for emissions reduction projects in poorercountries that do not have emissions targets. Byfunding projects, Annex I countries earn certifiedemissions reduction (CER) credits to add to theirown allowances. JI allows Annex I parties to fundprojects in other Annex I countries.

The Kyoto Protocol expires in 2012.Lawmakers around the world are rushing toanalyze its achievements and shortcomings andnegotiate a successor. The United States,Kyoto’s most famous holdout, lacks any nationalmandatory carbon legislation but, ironically, hasa booming voluntary carbon market. In the nextsection we’ll learn about the Chicago ClimateExchange.

CRITICISMS

One criticism of carbon trading is that it is aform of colonialism, where rich countries maintaintheir levels of consumption while getting creditfor carbon savings in inefficient industrial projects(Liverman, 2008, p. 16). Nations that have fewerfinancial resources may find that they cannotafford the permits necessary for developing anindustrial infrastructure, thus inhibiting thesecountries economic development. Othercriticisms include the questionable level ofsustainable development promoted by the KyotoProtocol’s Clean Development Mechanism.

Another criticism is of non-existent emissionreductions produced in the Kyoto Protocol dueto the surplus (“hot air”) of allowances that somecountries have. For example, Russia has asurplus of allowances due to its economiccollapse following the end of the Soviet Union(Liverman, 2008, p. 13). Other countries couldbuy these allowances from Russia, but this wouldnot reduce emissions. Rather, it would simply bea redistribution of emissions allowances. Inpractice, Kyoto Parties have as yet chosen notto buy these surplus allowances (PBL, 2009)

In China some companies started artificialproduction of greenhouse gases with solepurpose of their recycling and gaining carboncredits. Similar practices happened in India.Earned credits were then sold to companies inUS and Europe.

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Critics of carbon trading, such as CarbonTrade Watch, argue that it placesdisproportionate emphasis on individual lifestylesand carbon footprints, distracting attention fromthe wider, systemic changes and collectivepolitical action that needs to be taken to tackleclimate change. Groups such as the CornerHouse have argued that the market will choosethe easiest means to save a given quantity ofcarbon in the short term, which may be differentfrom the pathway required to obtain sustainedand sizable reductions over a longer period, andso a market-led approach is likely to reinforcetechnological lock-in. For instance, small cutsmay often be achieved cheaply throughinvestment in making a technology more efficient,where larger cuts would require scrapping thetechnology and using a different one. They alsoargue that emissions trading are underminingalternative approaches to pollution control withwhich it does not combine well, and so the overalleffect it is having is to actually stall significantchange to less polluting technologies. InSeptember 2010, campaigning group FERNreleased “Trading Carbon: How it works and whyit is controversial”] which compiles many of thearguments against carbon trading.

The Financial Times published an articleabout cap-and-trade systems which argued that“Carbon markets create a muddle” and “...leavemuch room for unverifiable manipulation”.Lohmann (2009) pointed out that emissionstrading schemes create new uncertainties andrisks, which can be commoditised by means ofderivatives, thereby creating a new speculativemarket.

Recent proposals for alternative schemesto avoid the problems of cap-and-trade schemesinclude Cap and Share, which was being activelyconsidered by the Irish Parliament in May 2008,and the Sky Trust schemes. These schemesstate that cap-and-trade or cap-and-tax schemesinherently impact the poor and those in ruralareas, who have less choice in energyconsumption options.

STRUCTURING ISSUES

Corporate and governmental carbonemission trading schemes (a trading systemdevised by economists to reduce CO

2 emissions,

the goal being to reduce global warming) havebeen modified in ways that have been attributedto permitting money laundering to take place. Theprincipal point here is that financial systeminnovations (outside banking) open up thepossibility for unregulated (non-banking)transactions to take place in relativityunsupervised markets. The principle being thatpoorly supervised markets open up the possibilityof structuring to take place.

CONCLUSION

Even though India is the largest sbeneficiaryof carbon trading and carbon credits are tradedon the MCX, it still does not have a proper policyfor trading of carbon in the market. As a result,the Centre has been asked by The NationalCommodity and Derivatives Exchange Limited(NCDEX) to put in place a proper policyframework for allowing trading of certifiedemission reductions (CERs), carbon credit, in themarket. Also, India has huge number of carboncredits sellers but under the present Indian law,the buyers based in European market are notpermitted to enter the market. To increase themarket for carbon trading Forward Contracts(Regulation) Amendment Bill has beenintroduced in the Parliament. This amendmentwould also help the traders and farmers to utilizeNCDEX as a platform for trading of carboncredits. However, to unleash the true potential ofcarbon trading in India, it is important that aspecial statue be created for this purpose as theIndian Contracts Act is not enough to govern thecontractual issues relating to carbon credits.Having cornered more than half of the global totalin tradable certified emission reduction (CERs),India’s dominance in carbon trading under theclean development mechanism (CDM) of theUnconventional on Climate Change (UNFCCC)is beginning to influence business dynamics inthe country.

REFERANCES

1. http://carbontradexchange.com/

http://carbontradexchange.com/knowledge/what-is-carbon-credit

http://www.carbontradewatch.org/publications/carbon-trading-how-it-works-and-why-it-fails.html

2. AEA (2009) Reducing the emissions of HFC-23 withinand outside of the clean development mechanism,


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May 2009, Oxfordshire, UK. Work commissioned bythe Department of Energy and Climate Change

3. AEA Technology (2009) Report on InternationalAviation and Maritime Emissions in a Copenhagen(post 2012)

Agreement: Final Report, AEA Technology,Oxfordshire, Ambrosi, P and Capoor, K (2009) Stateand Trends of the Carbon Market 2009, The WorldBank,Washington DC

4. Anderson, J and Mehling, M (2009) Linking the EU’semissions Trading System to any future USEmissions Trading Scheme, European ParliamentPolicy Department Economic and Scientific Policy,European Parliament Associated Press (2009)’Automakers, Obama announce mileage, pollutionplan’, 19 May 2009

5. Associated Press (2009) ’Obama team debuts at U.N.climate talks’, Msnbc, 29 March 2009

6. Australian Government (2008) Carbon PollutionReduction Scheme: Australia’s Low Pollution Future,White Paper Volume 1. Available at http://www.climatechange.gov.au/emissionstrading/index.html

7. Haites, E (2003) Harmonisation between Nationaland International Tradeable Permit Schemes: CATEPSynthesis Paper, Organisation for Economic Co-operation and Development, Paris.

8. Haites, E (2008) Linking emissions trading schemesfor international aviation and maritime emissions,Climate Strategies, Cambridge Harbury, C andLipsey, R (1992) First principles of economics,Second Edition, Oxford University Press, Oxford

FERN: www.fern.org

Point Carbon: http://www.pointcarbon.com/

REDD Monitor: www.redd-monitor.org

SinksWatch: www.sinkswatch.org

9. The Corner House: www.thecornerhouse.org.uk

UN Risoe: http://uneprisoe.org/

UNFCCC CDM database: http://cdm.unfccc.int/index.html

10. World Bank State of the Carbon Market annual report:http://siteresources.

worldbank.org/INTCARBONFINANCE/Resources/State_and_Trends_of_the_

Carbon_Market_2010_low_res.pdf

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SOCIAL MEDIA AND ITS ROLE IN BRAND BUILDING

SHALINI BARIAR*

Assistant Professor, Durga Devi Saraf Institute of Management, Mumbai, India

*Address for Correspondence : Dr. Shalini Bariar, Assistant ProfessorDurga Devi Saraf Institute of Management, Mumbai, India

Email: [email protected]

ABSTRACT

Advancement in technology in recent years has transformed the purpose of communicationand encouraged the emergence of new communication channels based on internet technology,that have fashioned bold new approaches in the management of the marketing mix. The growingimportance of social media marketing has come with a revolution in the IMC approach. The lowcost and greater benefits have been the major reason for the success of the social mediamarketing. The study reveals how the consumer awareness generated by social media leadsto success in the marketing communications. The continuous updates about the products onthe social media generate interest which leads to higher customer involvement and henceenjoys the top of mind recall.

Keywords: Social media marketing, consumer awareness, consumer involvement, top-of-mindrecall.

INTRODUCTION

During the last decade, the business worldhas experienced and reached to an absolutelynew horizon of technological advancements. Theconsumers have started experiencing asubstantial change in their lifestyles due to theinternet, and mobile technology. The way oflearning, working, living, and communicating haschanged dramatically. Brain Solis (2010) states,“ the democratization of information, transferringpeople from content readers into publishers, it isthe shift from a broadcast mechanism , one-to -many and many to many model, rooted inconversations between authors, people andpeers”. Blackshaw and Nazzaro stated that “avariety of new sources of online information thatare created, initiated, circulated and used byconsumers intent on educating each other aboutproducts, brands, services, personalities, andissues” (Blackshaw & Nazzaro , 2004). Griffin(1997) stated that, with the increase in socialmedia networking, building a relationship withyour targeted audience and conversing with themhas become a major part of marketing adoptingthe erstwhile “pull” marketing strategy. Socialmedia offers a quicker and more cost-effectiveway to reach highly targeted markets than

marketing through traditional media, (Mannonen& Runonen, 2008).

In the today’s scenario, the social media(consumer generated media) are continuouslygrowing and being treated as one of the mostimportant vehicle for creating word of mouthpublicity. It can be in form of consumer toconsumer email, discussion forum, newsgroups,blogs, social networking sites etc. The businessmarketers are paying too much importance to thisas they believe that it often carries much highercredibility and trust than any other traditionalmedia, especially the advertisements which arebelieved as misleading and untruthful. During thepast few years, along with the traditional modesof marketing communications, the reliance hasshifted to the one-to-one promotions, mostimportantly the social media. Due to theemergence of social media, the marketers havefound an inexpensive method to create andimplement the marketing campaigns. The socialmedia marketers focus on creating such acontent which generates desirable attention andalso influence people for sharing it on their socialnetwork. The social media relies on the activelyparticipating users who contribute to the entirecampaign by their involvements. The key to the


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success of this media are user participation, userloyalty, user motivations, and the interactionbetween people.

WHAT IS SOCIAL MEDIA?

There are many definitions of social mediabut, at its core, social media uses Internet-basedtechnologies that facilitate the creation andexchange of user-generated content. Socialmedia refers to Web sites that permit people tointeract with the site and with each other usingsimple interfaces. The social media mainlyincludes, the social networking, email marketing,blogs, multimedia sharing, viral marketing,affiliated marketing. At the time of publication,Face book, qq.com, Twitter and YouTube areamong the most popular social media sites.Social media provides the information that peopleshare on those sites, including status updates,image and video comments, responses to blogsand forums, and any other individualcontributions to the online space. This informationreflects naturally occurring conversations amongpeople who may or may not personally knoweach other. The low cost of social mediamarketing as well as the amount of users anduser information available has contributed inmaking social media marketing big business.

The consumer’s current lifestyle has shownspecial influence of the word of mouth impact onconsumer’s buying behaviour. These changes inlifestyle have imposed various challenges andopportunities for marketers on social media. Thesocial media provides numerous opportunities forexpanding and strengthening relationships tocustomers. These include targeted brand buildingwith the help of activities like executive blogs ormicro sites, podcasts which are speciallydeveloped to focus on specific target markets.The social media offers a quicker and costeffective technique to approach the highlytargeted market than targeting through traditionalmedia like television, websites, newspapers orpublic relations etc .

Viewing this recent development in socialmedia marketing, there are opportunities forresearch and development to get immediatefeedback on the product , make corrections andcounter challenge. Social media can includecustomers in the product development process

and test market for promoting the product in longterms and enjoy customer loyalty for longerperiod.

BENEFITS OF SOCIAL MEDIA MARKETING

The marketers believe that the use of Socialmedia along with other IMC tools helps in fasterBrand Building due to the following benefits.

The benefits of social media marketing are:

1. Social media is extremely targeted

2. Increases business exposure

3. Gives insight about current and potentialcustomers

4. Reduces marketing expenses

5. Strengthen customer loyalty

6. Lead generation

7. Creates competitive advantage

STATEMENT OF PROBLEM

It is observed that the social media isconsidered as the latest tool for promoting abrand and creating a competitive advantage overthe competitors by enjoying consumer’s top ofthe mind recall. It has become very necessary tostudy how the effective strategy be applied tosocial media that it efficiently manages to build abrand and reap benefits of customer preference.

OBJECTIVE

The objective of the research is to explorehow social media is helping in brand building andhow consumers perceive it.

SUB OBJECTIVE

1. To find out how social media helps in brandbuilding.

2. To study the consumer’s perception aboutthe social media usage

3. To find out what factor helped social mediamarketing attained success

HYPOTHESIS

1. Social media generates consumerawareness and hence leads to greaterbrand building

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2. Consumers believe that continuous anddetailed product information on social medialeads to top of mind recall.

3. Consumer involvement and relationshipplays important role in the success of thesocial media marketing


· Research Design : Exploratory

· Variable : Social media marketing

· Sampling : Convenience Sampling

· Instrument: Personal interview andQuestionnaire

· Data Collection: Primary and Secondary

· Sample size: 50

· Population and Segmentation : social mediausers and Media agencies

· Research techniques: Measure of centraltendency, measure of dispersion ,hypothesistesting, error testing

· Level of significance :test is done at the 5%level of significance

DATA INTERPRETATION

With the help of questionnaire and personalinterview analysis;

1. It was observed that 64% respondentsbelieved that social media generatedawareness which leads to stronger brandbuilding

2. It was observed that 88% people believedthat continuous updates about the productson social media generates interest and laterleads to top of mind recall

3. It was observed that 67% people believedthat customer involvement and relationshipplays important role in the success of socialmedia marketing.

HYPOTHESIS TESTING

The hypothesis testing is done at 5% levelof significance and as the sample size is 50, usenormal distribution as an approximation to thesampling distribution. Z test is done to prove thehypothesis.

As we conduct a one –tailed test, i.e. lefttailed test, at the level of significance at 5%

The values of Z TAB = -1.645 (5% Level ofsignificance, for left tailed test )

ZCAL is calculated using the formula ZCAL= p^ –p

“p q/NWhere,If Z TAB < Z CAL, we accept the hypothesis.

Hypothesis 1 : Social media generatesconsumer awareness and hence leads to greaterbrand building

The results of Hypothesis 1 states that outof 50 respondents, 32 believed that social mediagenerates consumer awareness about the brandand hence it leads to the greater brand building.

p ^ = 0.64 q= 0.5 p= 0.5 n=50Z cal = 0.64- 0.5/0.035 = 4

The value of Z calculated being 4 showsthat the value is greater than the value of Ztabulated which is -1.645

Hence, the Hypothesis 1 is accepted andthe chances of Type II error is less than 1%

Hypothesis 2 : Consumers believe thatcontinuous and detailed product information onsocial media leads to top of mind recall.

The results of Hypothesis 1 state that out of50 respondents, 40 believed that consumersbelieve that continuous and detailed productinformation on social media leads to top of mindrecall.

p ^ = 0.8 q= 0.5 p= 0.5 n=50Z cal = 0.8- 0.5/0.035 = 8.6

The value of Z calculated being 8.6 showsthat the value is much higher than the value of Ztabulated which is -1.645


Hypothesis 3 : Consumer involvement andrelationship plays important role in the successof the social media marketing.

The results of Hypothesis 3 state that out of50 respondents, 34 believed that consumerinvolvement and relationship plays important rolein the success of the social media marketing.

p ^ = 0.68 q= 0.5 p= 0.5 n=50Z cal = 0.68- 0.5/0.035 = 5.1


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The value of Z calculated being 5.1 showsthat the value is much higher than the value of Ztabulated which is -1.645


CONCLUSION

The importance of traditional marketing mixtools cannot be ignored when it comes toconnecting with consumer still in the era of technosavvy consumers, the consumers give enoughtime to the social media. The active online usersfully expect companies to be present on socialmedia and be willing to interact with them.However, as much as companies are alsorealising the importance of social media, it isimportant that every company’s in-house expertor media marketing agency must understand therules of this new medium to correctly involvecompanies and customers together, and to beable to measure the importance of social mediaactivities. In order to succeed a robust strategyis an absolute imperative. In other words, everycompany/ brand needs to take a strategic ratherthan a tactical approach to incorporating socialmedia into their marketing planning. It has beenobserved that social media is an importantplatform in generating consumer awarenesswhich leads to generating desire and hencegiving a chance for greater brand buildingopportunity to the branding organisations. Duringthe leisure time the customers prefers to socialiseand when the information is interesting enoughto be involved with, the customers get emotionallyattached to the said brand and hence makes itan alternative option in the buying process. Dueto the continuous updates and in detailedinformation about the products on the socialmedia sites, it leads to top of mind recall andhence it leads to the success of social mediamarketing. Good and relevant content may playa very important role in any social media strategy.The content represents the brand and givescustomers a reason to stay engaged. Whenconsumers participate actively and haspersonalized interaction with customers it mayhelp companies to build strong relationships andcreate a sense of loyalty among the customerswhich my play a important role as a referencegroup. The success of the social media campaigncan be enhanced by the effectiveness with whichthe customers get engaged through the various

activities. The integration of social media withcustomer relationship management strategiesmay become an important element fororganizations that want to optimize the power ofsocial interactions to get closer to customers ashighlighted by social media experts. But in spiteof any other reason, the customers are moreinterested in getting a tangible value. Businessorganizations need to realize that the basicobjective of most of the customers to interact withcompanies on social media is not to feelemotionally connected. To successfully exploitthe potential of social media, marketingcompanies need to deliver tangible value bydesigning proper experiences in return forcustomers’ valuable time, attention, andendorsements.

REFERENCES

1. BELCH G.E., BELCH M.A. (1996) Advertising andPromotion; An integrated marketing communicationsperspective Irwin/McGrawhill Publishing USA.

2. CLOW K.E., BAACK .D. (2004) Integrated Advertising,Promotions and Marketing Communications PearsonEducation Inc Upper Saddle Rwer, New Jersey USA.

3. GILSON – C. and HAROLD .E.B (1980) Advertisingconcepts and strategies. Banden Publishers, RandomHouse, New York USA.

4. LEVIT .T. (1969) Marketing Principles HarvardBusiness Review. Harvard USA.

5. Drury, Glen., 2008. Social Media: Should marketersengage and how can it be done effectively.

6. Journal of Direct, Data and Digital Marketing Practice,(9), pp.274-277.

7. Duncan, T., and Caywood, C., Ed. 1996. The Concept,Process, And Evolution of Integrated

8. Marketing Communication. Mahwah, N.J., LawrenceErlbaum Associates.

9. Eley, B. and Tilley, S., 2009. The Online MarketingInside Out. Sitepoint.

10. Idman, RM. et al., 1993. Modern Marketing. London:Weiling and Göös.

11. Griffin, A. (1997) PDMA Research on New ProductDevelopment Practices: Updating Trends andBenchmarking Best Practices. Journal of ProductInnovation Management, vol. 14, pp. 429 – 458

12. Blackshaw P, Nazzaro M. 2004. Consumer-generatedmedia (CGM) 101: word-of-mouth in the age of theweb-fortified consumer. http://www.brandchannel.com/images/Papers/222_CGM.pdf [29 January 2011].

13. Mannonen, Petri; Runonen, Mikael SMEs in SocialMedia

Proceedings of NordiCHI 2008 Workshop: How CanHCI Improve social Media Development, Lund, 20.-22.10.2008, pp. 86-91, 2008.

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INTRODUCTION

The journey of human life, from womb totomb is full of woes, worries and unlimited needs.Man is endowed with highly intellectual abilitywhich encourages him for the betterment andadvancement of his life so as to achieve happi-ness and comfort, also benefiting in that processall those who depend on him for economic secu-rity, which gave rise to the business of insurance.The insurance is primarily a social deviceadopted by civilized society for mitigating the in-cidence of loss of income to families by unfore-seen contingencies. Life Insurance Corporationof India (LIC) came into existence on 1st Sep-tember, 1956 after nationalization of all the 245companies engaged in life insurance business.From its very inception, the Corporation hasmade impressive growth always striving for fur-ther improvement. American psychologistAbraham Maslow’s theory of hierarchy of needshas calibrated human needs into five stages: (1)Physiological needs ( 2) Safety/Security needs (3) Social needs, 4) Ego needs and 5) Self Actu-

IMPORTANCE OF LIFE INSURANCE IN MEETING OUT FI-

NANCIAL NEEDS AND SECURITY IN CURRENT SCENARIO

WITH CHALLENGES AND EMERGING TRENDS

*JYOTI AGARWAL1, S.C. PANDEY2

1 Research Scholar, Bhagwant University, Ajmer, Rajasthan, India,2 Department of Commerce,

Kalicharan P.G. Degree

College, Lucknow, Uttar Pradesh, India

*Address for correspondence : Jyoti Agarwal, Research Scholar, Bhagwant University, Ajmer,Rajasthan, India, email: [email protected]

alization/Self Fulfillment needs. In the present so-cioeconomic scenario, the human needs can berestructured in a FEP module i.e. on financial,emotional and philosophical aspects and herewe will throw light on these three with referenceto insurance.

While earlier studies on life insurance sec-tor mainly focused upon LIC, it was only afterreforms in this sector that certain studies cover-ing private players have taken place. Amongearly studies, Arora (2002) highlighted that LICwas likely to face tough competition from privateinsurers having large established network andtheir trained intermediaries throughout India.Verma (2003) analyzed the various type of prod-ucts offered by public sector giant and the newglobal players in the private sector. Kumar andTaneja (2004) highlighted the opportunities andchallenges before the insurance industry in In-dia due to liberalization, globalization andprivatization. Kulshrestha and Kulshrestha (2006)highlighted that demand for life insurance in ru-ral India was expanding at the annual rate of 18

ABSTRACT

From the above discussion it is evident that life insurance industry expanded tremendouslyfrom 2000 onwards in terms of number of offices, number of agents, new business policies,premium income etc. Further, many new products (like ULIPs, pension plans etc.) and riderswere provided by the life insurers to suit the requirements of various customers. However, thenew business of such companies was more skewed in favor of selected states and union terri-tories. During the period of study, most of life insurance business was underwritten in the lastfour months of the year. Private life insurers used the new business channels of marketing to agreat extent when compared with LIC. Investment pattern of LIC and private insurers alsoshowed some differences. Solvency ratio of private life insurers was much better than LIC inspite of big losses suffered by them.


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per cent as compared to 3.9 per cent in urbanareas which provided good opportunity for lifeinsurers to perform.

The present paper is an attempt to study therecent life insurance scenario in the light ofchanges mentioned above. For this purpose,various indicators like number of policies andproducts, growth of life insurance business andpremium income , operating expenses, profit &loss A/c have been analyzed.

DATA COLLECTION AND ANALYSIS

The study is based upon secondary datawhich has been collected from annual reports ofIRDA, IRDA journal and Life Insurance Today.Besides, a few websites have also been con-sulted. The data used in the paper covers theperiod from 2001-02 to 2011-12. For the analy-sis of data, statistical tools like percentages, ra-tios, growth rates and coefficient of variation havebeen used.

ANALYSIS AND DISCUSSION

Table 1 : Profit & Loss Position (Rs. crore)

Year Profits/Loss (+) (–)

2000-01 316.65

2001-02 821.79

2002-03 496.97

2003-04 551.81

2004-05 708.37

2005-06 631.58

2006-07 773.62

2007-08 844.63

2008-09 957.35

2009-10 1060.72

2010-11 1171.80

2011-12 1313.34

2012-13 1489.92

Source - IRDA Annual Report

Table 2: Operating expenses for conducting Insur-

ance Business

Year Operating Totalexpenses Premium

(Rs. crores) (Rs. crores)

2000-01 3706.56 34892.02

2001-02 4260.40 49821.91

2002-03 4621.09 54628.49

2003-04 5186.50 63533.42

2004-05 6241.26 75127.28

2005-06 6041.55 90792.22

2006-07 7080.86 127822.84

2007-08 8309.32 149789.99

2008-09 9064.29 157288.04

2009-10 12245.82 186077.31

2010-11 16980.28 203473.40

2011-12 14914.40 202889.28

2012-13 16707.66 208803.58

Source: IRDA, Annual Reports

Financial Aspect

Finance plays a crucial role in a human life.Every human being exerts himself to acquire fi-nancial power, using his muscle power and in-tellectual power; so that he can have that moneypower. The financial needs can be split into fourS’s, i) Swapping, ii) Saving, iii) Stocking and iv)Securing. While people roll in the first three steps,i.e. Swapping, Saving and Stocking gradually inthat order; the fourth one, i.e. Securing lacksbehind. Man seems to relegate ‘financial secu-rity’ to a lower down position. Financial securityis as important need in the personal financialplanning of an individual as other needs are.Hence it deserves the full attention for enduringfinancial stability. Insurance is a firm fulcrum forproviding this stability. Yet people are by instinctaverse to insurance. This can be attributed tothe peculiar characteristics of insurance, suchas, intangibility of the product and benefits ap-pearing to come to fruition at too distant a future.

Emotional Aspect

Insurance is significantly concerned withemotions. Insurance is meant for catering to un-predictable and deferred needs. It should, how-

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ever, be purchased well before its need arises,lest it get too late. It is of little use digging a wellwhen thirsty. People postpone availing of insur-ance cover as they don’t sense the immediateneed thereof. Some people sarcastically feel thatnot many persons are really benefited by insur-ance. It is true that many people come out ‘un-hurt and safe’ in the journey of life. But quite agood number of unfortunate people, though rela-tively lesser in number, face the ‘storm’ and theyand/or their loved ones are forced to bear thebrunt and to face a life of hardship by the hap-pening of an unfortunate tragedy which appar-ently had a low probability but turned out to be acalamity of utmost severity. It is therefore betterto keep the life boat ready when one gets set fora voyage. It is rightly said that “It is better to haveinsurance for a hundred years and not need it,than to need it one day and not have it”. Insur-ance is concerned with dreaded and dislikedeventualities like death, disease, disability anddilapidation. Everyone is exposed to these risks.Everyone has to accept these realities of life andbe well prepared to face them. Insurance is un-doubtedly the best way out. People act on emo-tions rather than on reason. Insurance is a longterm contract. The benefits fructify in future. Thetiming of fructification is to be decided in the ini-tial stage by proper planning. The fruit reaper hasto have patience, if he wants to enjoy the fruit.

Philosophical Aspect

Insurance means spreading of risk and shar-ing of loss amongst the community of insuredpeople. It is a co-operative venture. Insurance isbeneficial not only to the individual but to theentire community of the insured people. Thus itpromotes fraternal concern. When an individualdies, three deaths occur, that of i) the individualhimself or herself, ii) a father, a mother, a brother,a sister, a son, a daughter or some such rela-tive, iii) a breadwinner of the family. The thirddeath is the most disastrous. As it results in stop-page of the income, the family is made to face afinancial crisis. Nevertheless, if the deceased in-dividual were to be insured, there would be onlytwo deaths. The third death would be avoided,economically at least, and the family would befinancially secure. If the number of such securedfamilies is more in the society, the socio-eco-nomic inadequacy would be minimized to a great

extent. The money paid by the insured public byway of premium does not remain idle in the cof-fer. World over, it is used for promoting indus-tries, business, commerce and developmentalprograms particularly in developing countries likeIndia. Indirectly, the insured community contrib-utes for a noble cause – nation building activity.With a proper perspective, insurance can be usedas a means to achieve many objectives. One canperform his duties as a father, as a husband oras a son by insuring himself so that financiallythe dependents do not become orphaned in theevent of his premature death. He can expresshis love and affection towards his beloved oneseven from beyond the graveyard. Finance canbe managed in a better way with the help of in-surance. Men have many wants, needs and de-sires. They can fulfill their desires by means ofinsurance, which means freedom or liberationfrom all worries, which insurance undoubtedlyensures. It can, therefore, be said that insuranceis a multifaceted tool in the hands of mankind fora number of purposes. About 10% of the GDP ofthe developed countries comes from insurancepremium (in India it is a little over 4%). Insur-ance as a business activity is a driver of eco-nomic development. Insurance is an effectivedevice which promotes stability, prosperity andhappiness to the individual and the society atlarge. Development and insurance are alsocomplementary to each other. Prudent men willrealize the importance of insurance and will ac-cept it as an integral part of the way of financialplanning in life.

Decisions of quantum of insurance

For an individual, having decided to obtaininsurance, the next logical dilemma to deal withis to the quantum of insurance that he or sheshould purchase. With the dynamics of financeand economy ever being so volatile, it is certainlya major decision and is something that is not easyto arrive at. Besides, current affordability as alsothe projected affordability in future, consideringthe fact that it is a long term commitment, is an-other factor that has to be weighed sensibly. Insuch a scenario, the Human Life Value (HLV)provides the most objective and need-basedsolution. Human life has an economic value. It isthe monetary worth of an earning person and isthe capitalized value of his net future earnings


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less cost of his current self maintenance. It isexactly to preserve or secure this economic valueof human life, which is subjected to vagaries ofnature, that life insurance was devised. Once theprospect realizes this important fact, his endeavorto purchase life insurance is to protect hisdependants from any eventuality. If the humanlife value-based selling and after sales serviceare rendered by the agent in letter and spirit tothe client’s utmost satisfaction, there will be fur-ther development and conservation of life insur-ance business. Human life’s value may be de-fined as the capitalized value of the net futureearnings of an individual after taking into accountappropriate costs for his/her self maintenance. Itis the monetary value of an earning person. Thefacts that determine it are training and educa-tion, character and health and, above all, hisability to work. The higher these factors, thehigher are the values; and the lower these fac-tors, the lower is his economic value.

Human life value-based selling and appro-priate after-sales service are the need of the hour.The emphasis should be on the total needs con-cept, as the basis for developing life insuranceprograms for individuals. In the same vein, em-phasis should be on the concept of building alife insurance clientele, which can be achievedonly by an agent who gives professionally com-petent service and advice. If these two aspectsare pursued by the insurer in letter and spirit,there is ample scope for increase in volumes ofbusiness, and its retention.

Challenges of the Industry

Life insurance industry is passing through adifficult phase in our country. There is enormousscope for the industry to grow. Yet, the industryis unable to grow in recent years. There has beende-growth in 2012-13 to the extent of 6.32% interms of First Premium Income (FPI). Theeconomy is growing and so is the per capita in-come in all the segments of the economy. But,the life insurance industry finds it difficult to makeuse of this golden opportunity. Insurance inter-mediaries lost much of their credibility after theULIPs failed to generate expected returns. A lotof ULIPs were sold on false promises. So, nowthe insurance intermediaries find it difficult to re-gain the same confidence of people. This is agreat challenge. This challenge is greater for

those agents who operate in the rural and semi-urban areas. As agents still contribute 78.69%of total business, their success is critical for thesuccess of the life insurance industry in India.

The productivity of the agents is low becauseof miss-selling of ULIPs. Barring a small propor-tion of agents who have got MDRT or similar rec-ognition for the consistency of their performance,a very large number of agents have failed to be-come true professionals. They are mostly parttimers and do not even have the inner motiva-tion to grow. If insurance industry has to grow,the same way, the skills, competencies and atti-tudes of all agents have to get a total face lift.Professionalizing a vast sales force is a big chal-lenge for all insurers. The average number ofpolicies sold by the agents in 2011-12, provesthat an insurance agent, on an average, has notbeen able to make a career out of his job. If anagent is not fully devoted in this profession on aregular basis, it is very difficult for him to bringquality business and also to give proper servicesto the customers.

Perhaps the biggest challenge is the lack ofproper insurance awareness. Even after 57 yearsLIC was formed , many people still do not under-stand the value of insurance properly. AlthoughLIC did a commendable job in spreading themessage of insurance, most people still can notdistinguish insurance from other forms of invest-ments. That is why only a few products are de-manded by the market. Our agents have failedto market need based insurance. At best, insur-ance is sold as a savings instrument or an in-vestment instrument. Most of the agents continueto push products which give more commissionsor where service obligations are less. Agentscould have been the ideal medium for generat-ing insurance awareness as they are in directcontact with the customers. But lack of compe-tency, professionalism and integrity on the partof many of the agents (and of other intermediar-ies as well) have prevented them from improv-ing insurance awareness to the extent it shouldhave been.

Recent Trends in the life insurance industry

The good news is that the insurers are try-ing their best to meet the challenges. Recenttrends in the industry show that the insurers are

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fast changing the way of their functioning. Insur-ers are now trying to sell a blend of linked andnon-linked products. They are also trying to sellmore of long term products. This is a step in theright direction. People indeed need more of longterm insurance products, covering them protec-tion throughout their working life. This will alsoensure consistency of business for the insurers.Many insurers, especially the private insurers arenow successfully marketing term assuranceamong the youth. This is great as the youth canget a large cover at the minimum of premium.Term assurance carries no maturity value andtherefore it is heartening that the new genera-tion is able to pick up a product which is pureinsurance. But, while granting a huge cover, theinsurers have to assess the quality of each riskcarefully because if a claim is repudiated later, itcan shake the confidence of the people in theinstitution called life insurance .

Another important trend in insurance indus-try is that a large volume of selling is happeningonline. Some private insurers have been doingbusiness online for quite some time. Since thenew generation is tech savvy and makes a lot ofbuying online, insurers are rightly catching theyoung customers in the internet. After all, an in-surer has to be present wherever the customersare i.e. purely customer friendly . The insurersare rightly doing a lot of marketing and brandbuilding activities in the social media.

Although insurers know that it is difficult toprofessionalize lakhs of tied agents with diversesocial and educational backgrounds, they under-stand the importance of training in improving theskills and attitudes of the agents working acrossthe length and breadth of the country. Even to-day, common people get to interact with theagents only, before buying insurance. If the agentis found knowledgeable and trustworthy, it im-proves the image of the insurers.

All insurers have started depending heavilyon their bank assurance partners, for increasinginsurance penetration in special segments. In ourcountry, people depend a lot on banks and there-fore banks have earned more acceptability inrural as well as in urban areas. New IRDA regu-lation is going to allow banks to sell insuranceproducts of multiple insurers. So, all insurers

have a great chance to increase their sales aspeople will have a freedom to choose whicheverinsurer they want to go with. LIC has been askedto make its presence felt in areas where popula-tion is more than 10,000. Probably, LIC will dothis by opening one man offices within the pre-mises of its bank assurance partners. Other in-surers are surely contemplating similar actions,to go deeper into the insurance market.

Another important and heart warming trendin insurance industry is that the insurers are try-ing to discharge their Corporate Social Respon-sibility as much as they can. An insurer is judgednot just by the greatness of its products but alsoby its human face. When insurers directly dosome work in building the infrastructures of thesociety or help some underprivileged sectionsof society, people become more respectful ofthem and can eventually become loyal custom-ers.

Insurance can indeed change the face ofIndia as it can provide confidence to people totake more risks which are very important for tak-ing the country to the next level of growth anddevelopment. If the insurers can involve rural andurban youths as volunteers in this campaignalong with employee volunteers of the insurers,the required level of awareness can surely begenerated in a few years.

Emerging Trends

· Multi-distribution i.e. increasing penetrationthrough new modes of distribution such asthe internet, direct and telemarketing andNGOs

· Product innovation i.e. increased levels ofcustomization through product innovation

· Claims management i.e. timely and efficientmanagement of claims to prevent delayswhich can increase the claims cost

· Profitable growth i.e. expanding productrange, developing innovative products andexpanding distribution channels

· Regulatory trends i.e. mandated regulatorychanges by the IRDA to promote a competi-tive environment in both the life and non-life insurance sectors


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Globalization- The Dynamic Force

Globalization has become a broad headingfor a multitude of global interactions, ranging fromthe expansion of cultural influences across bor-ders to the enlargement of economic and busi-ness relations throughout the world. It has differ-ent dynamic force for different person. It may betreated as a phenomenon, a philosophy and aprocess, which affects human beings.Insurancebeing an integral part of financial service couldnot claim immunity to the impact of the global-ization process and opened up to private andglobal players world over, including India. Somany MNCs are now entering into the insurancesector which is now a booming sector. Market-ing after globalization has become more cus-tomer oriented, better service oriented and morecompetitive. To sustain in present era insurancesector has to provide better satisfaction, morevalue addition and strategic development.

CONCLUSION

From the above discussion it is evident thatlife insurance industry expanded tremendouslyfrom 2000 onwards in terms of number of offices,number of agents, new business policies, pre-mium income etc. Further, many new products(like ULIPs, pension plans etc.) and riders wereprovided by the life insurers to suit the require-ments of various customers. However, the newbusiness of such companies was more skewedin favor of selected states and union territories.During the period of study, most of life insurancebusiness was underwritten in the last four monthsof the year. Private life insurers used the newbusiness channels of marketing to a great ex-tent when compared with LIC. Investment pat-tern of LIC and private insurers also showedsome differences. Solvency ratio of private lifeinsurers was much better than LIC in spite of biglosses suffered by them.

REFERENCES

1. Arora, R.S.. “Financial Reforms and Service Sector–

A Study of Life Insurance Industry in India”, In B.B.Tandon and A.K. Vashisht (Eds.), Financial Sector Re-forms–An Unpublished Agenda for Economic Devel-opment: 259-270, New Delhi: Deep & Deep, 2002.

2. JOHN, JIMMY. “THE WAR FOR MARKET SHARE –A VIEW FROM INDIA”, INSURANCE CHRONICLE:37-39, 2008.

3. KULSHRESTH, LAXMI R., KULSHRESTH, ANUJA.2006. “LIBERALIZATION AND RURAL INSURANCEPROSPECTS AND CHALLENGES”, LIFE INSUR-ANCE TODAY, 1(10): 9-13.

4. Verma, Vinay,”New Trends in Product Design: AnOverview of Life Insurance Products”, The InsuranceTimes, 23 (6): 16-28, 2003.

5. Taneja, Aruna, Kumar Narendera. “Insurance in India–Challenges and Opportunities”.

6. IRDA Annual Reports, “Insurance Regulatory andDevelopment Authority”, Mumbai, 2001 to 2007.

7. IRDA Journal, Various Issues (2000-01 to 2009-10).

8. Life Insurance Today, Various Issues (2000-01 to 2009-10)

9. [Online] Available : www.irdaindia.org

10. [Online] Available : [email protected]

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FDI IN INDIAN RETAIL SECTOR: ANALYSIS OF

COMPETITION IN

AGRIFOOD SECTOR

*P NIXON DHAS1, N P SHARMA2

1 Research Scholar, Sunrise University, Alwar, Rajasthan , India2Director, Nimbus Academy of Management, Dehradun, Uttara Khand, India

*Address for correspondence : P Nixon Dhas, Research Scholar,

Sunrise University, Alwar, Rajasthan , India

ABSTRACT

Indian retail industry is one of the sunrise sectors with huge growth potential. According to theInvestment Commission of India, the retail sector is expected to grow almost three times itscurrent levels to $660 billion by 2015. However, in spite of the recent developments in retailingand its immense contribution to the economy, retailing continues to be the least evolved industriesand the growth of organized retailing in India has been much slower as compared to rest of theworld. Undoubtedly, this dismal situation of the retail sector, despite the on-going wave ofincessant liberalization and globalization stems from the absence of an FDI encouragingpolicy in the Indian retail sector. In this context, the present paper attempts to analyze thestrategic issues concerning the influx of foreign direct investment in the Indian retail industry.Moreover, with the latest move of the government to allow FDI in the multiband retailing sector,the paper analyses the effects of these changes on farmers and agri -food sector. The findingsof the study point out that FDI in retail would undoubtedly enable India Inc. to integrate itseconomy with that of the global economy. Thus, as a matter of fact, FDI in the buzzing Indianretail sector should not just be freely allowed but should be significantly encouraged.

Keywords: Organized retail, Globalization, Foreign direct investment, Strategic issues andProspects, Farmers and Agri-food sector.

INTRODUCTON

Retailing is one of the most important sectorsof India economy. It provides 9% employment tothe total workforce and contributes around 15%to the Indian GDP. It could have been a welcomestep in strengthening India’s FDI regime withmaking it in tune with country’s needs. The FDIpolicy has been moving away from the licensementality of protection against imagined foreigndictators towards a more open, healthy andcompetitive environment. This policy would haveprovided a window for the world class retailerHermes, Tiffany & Co and Wal- Mart etc. to settheir foot in the booming Indian retail sector. TheIndian Government believes that the opportunityof FDI in multiband retail and further liberalizationof single-brand retail trade will facilitate greater

FDI inflows providing new opportunities andbenefits besides quality improvement. At a timewhen declining investments have led to slowerGDP growth, however, a healthy competition,between the large domestic retailers and thosewith FDI, should be maintained. Imposing sociallydesirable constraints on FDI funded retailerswould lead into unfair competition. In spite of therecent developments in retailing and its immensecontribution to the economy, retailing continuesto be the least evolved industries and the growthof organized retailing in India has been muchslower as compared to rest of the world. Onemain cause for this is that retailing is one of thefew sectors where foreign direct investment isnot allowed. Within the country, there have beenprotests by trading associations and otherstakeholders against allowing FDI in retailing. In


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2004, The High Court of Delhi referred to Black’sLaw Dictionary to define the term retail. The term‘ retail’ is defined as a sale for final consumptionin contrast to a sale for further sale or processing(i.e. wholesale). Thus, retailing can be said to bethe interface between the producer and theindividual consumer buying for personalconsumption. This excludes direct interfacebetween the manufacturer and institutionalbuyers such as the government and other bulkcustomers. Retailing is the last link that connectsthe individual consumer with the manufacturingand distribution chain. A retailer is involved inthe act of selling goods to the individual consumerat a margin of profit.


The study is based on secondary sourcesof data. The main source of data are variousEconomic Surveys of India and Ministry ofCommerce and Industry data, RBI bulletin, onlinedata base of Indian Economy, journals, articles,news papers, etc.

INDIAN RETAIL SECTOR OVERVIEW

Retailing in India is one of the pillars of itseconomy and accounts for 14 to 15% of its GDP.The Indian retail market is estimated to be US$450 billion and one of the top five retail marketsin the world by economic value. India is one ofthe fastest growing retail markets in the world,with 1.2 billion people. India’s retailing industryis essentially owner manned small shops. In2010, larger format convenience stores andsupermarkets accounted for about 4% of theindustry, and these were present only in largeurban centers. India’s retail and logistics industryemploys about 40 million Indians (3.3% of Indianpopulation). Until 2011, Indian centralgovernment denied foreign direct investment(FDI) in multi-brand retail, forbidding foreigngroups from any ownership in supermarkets,convenience stores or any retail outlets. Evensingle-brand retail was limited to 51% ownershipand a bureaucratic process.

In November 2011, India’s centralgovernment announced retail reforms for bothmulti-brand stores and single-brand stores.These market reforms paved the way force retailinnovation and competition with multi-brand

retailers such as Walmart, Carrefour and Tesco,as well single brand majors such as IKEA, Nike,and Apple. The announcement sparked intenseactivism, both in opposition and in support of thereforms. In December 2011, under pressure fromthe opposition, Indian government placed theretail reforms on hold till it reaches a consensus.In January 2012, India approved reforms forsingle-brand stores welcoming anyone in theworld to innovate in Indian retail market with100% ownership, but imposed the requirementthat the single brand retailer source 30% of itsgoods from India. Indian government continuesthe hold on retail reforms for multi-brand stores.IKEA announced in January that it is putting onhold its plan to open stores in India because ofthe 30% requirement. Fitch believes that the 30%requirement is likely to significantly delay if notprevent most single brand majors from Europe,USA and Japan from opening stores and creatingassociated jobs in India.

ENTRY OPTIONS FOR FOREIGN PLAYERSPRIOR TO FDI POLICY

Although prior to Jan 24, 2006, FDI was notauthorized in retailing, most general players hadbeen operating in the country. Some of entranceroutes used by them have been discussed in sumas below:-

1. Franchise Agreements:

It is an easiest track to come in the Indianmarket. In franchising and commission agentsservices, FDI (unless otherwise prohibited) isallowed with the approval of the Reserve Bankof India (RBI) under the Foreign ExchangeManagement Act. This is a most usual mode forentrance of quick food bondage opposite a world.Apart from quick food bondage identical to PizzaHut, players such as Lacoste, Mango, Nike asgood as Marks as good as Spencer, have enteredIndian market place by this route.

2. Cash and Carry Wholesale Trading:

100% FDI is allowed in wholesale tradingwhich involves building of a large distributioninfrastructure to assist local manufacturers. Thewholesaler deals only with smaller retailers andnot consumers. Metro AG of Germany was thefirst significant global player to enter India throughthis route.

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3. Strategic Licensing Agreements:

Some foreign brands give exclusive licensesand distribution rights to Indian companies.Through these rights, Indian companies caneither sell it through their own stores, or enterinto shop-in-shop arrangements or distribute thebrands to franchisees. Mango, the Spanishapparel brand has entered India through thisroute with an agreement with Piramyd, Mumbai,SPAR entered into a similar agreement withRadhakrishna Foodlands Pvt. Ltd

4. Manufacturing and Wholly OwnedSubsidiaries:

The foreign brands such as Nike, Reebok,Adidas, etc. that have wholly-owned subsidiariesin manufacturing are treated as Indian companiesand are, therefore ,allowed to do retail. Thesecompanies have been authorized to sell productsto Indian consumers by franchising, internaldistributors, existent Indian retailers, own outlets,etc. For instance, Nike entered through anexclusive licensing agreement with SierraEnterprises but now has a wholly ownedsubsidiary, Nike India Private Limited.

FDI POLICY IN INDIA

FDI as defined in Dictionary of Economics(Graham Bannock et.al.) is investment in aforeign country through the acquisition of a localcompany or the establishment there of anoperation on a new (Greenfield) site. To put insimple words, FDI refers to capital inflows fromabroad that is invested in or to enhance theproduction capacity of the economy. ForeignInvestment in India is governed by the FDI policyannounced by the Government of India and theprovision of the Foreign Exchange ManagementAct (FEMA) 1999. The Reserve Bank of India(RBI) in this regard had issued a notification,which contains the Foreign ExchangeManagement (Transfer or issue of security by aperson resident outside India) Regulations, 2000.This notification has been amended from time totime. The Ministry of Commerce and Industry,Government of India is the nodal agency formotoring and reviewing the FDI policy oncontinued basis and changes in sectoral policy/sectoral equity cap. The FDI policy is notifiedthrough Press Notes by the Secretariat for

Industrial Assistance (SIA), Department ofIndustrial Policy and Promotion (DIPP). Theforeign investors are free to invest in India, exceptfew sectors/activities, where prior approval fromthe RBI or Foreign Investment Promotion Board(FIPB) would be required.

FDI Policy with Regard to Retailing in India

It will be prudent to look into Press Note 4 of2006 issued by DIPP and consolidated FDI Policyissued in October 2010 which provide the sectorspecific guidelines for FDI with regard to theconduct of trading activities.

a) FDI up to 100% for cash and carry wholesaletrading and export trading allowed under theautomatic route.

b) FDI up to 51 % with prior Governmentapproval (i.e. FIPB) for retail trade of SingleBrand products, subject to Press Note 3(2006 Series).

c) FDI is not permitted in Multi Brand Retailingin India.

Prospected Changes in FDI Policy for RetailSector in India

The government (led by Dr.ManmohanSingh, announced following prospective reformsin Indian Retail Sector.

1. India will allow FDI of up to 51% in multi-brand sector.

2. Single brand retailers such as Apple andIkea, can own 100% of their Indian stores,up from previous cap of 51%.

3. The retailers (both single and multi-brand)will have to source at least 30% of theirgoods from small and medium sized Indiansuppliers.

4. All retail stores can open up their operationsin population having over 1million.Out ofapproximately 7935 towns and cities inIndia, 55 suffice such criteria.

5. Multi-brand retailers must bring minimuminvestment of US$ 100 million. Half of thismust be invested in back-end infrastructurefacilities such as cold chains, refrigeration,transportation, packaging etc. to reduce


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post-harvest losses and provideremunerative prices to farmers.

6. The opening of retail competition (policy) willbe within parameters of state laws andregulations.

SINGLE AND MULTI-BRAND RETAILING

FDI in Single-Brand Retail

The Government has not categoricallydefined the meaning of Single Brand anywhereneither in any of its circulars nor any notifications.In single-brand retail, FDI up to 51 per cent isallowed, subject to Foreign Investment PromotionBoard (FIPB) approval and subject to theconditions mentioned in Press Note 3 that (a)only single brand products would be sold (i.e.,retail of goods of multi-brand even if producedby the same manufacturer would not be allowed),(b) products should be sold under the same brandinternationally, (c) single-brand product retailwould only cover products which are brandedduring manufacturing and (d) any addition toproduct categories to be sold under single-brandwould require fresh approval from thegovernment. While the phrase single brand hasnot been defined, it implies that foreigncompanies would be allowed to sell goods soldinternationally under a single brand viz., Reebok,Nokia, and Adidas. Retailing of goods of multiplebrands, even if such products were produced bythe same manufacturer, would not be allowed.Going a step further, we examine the concept ofsingle brand and the associated conditions.

FDI in Single brand retail implies that a retailstore with foreign investment can only sell onebrand. For example, if Adidas were to obtainpermission to retail its flagship brand in India,those retail outlets could only sell products underthe Adidas brand and not the Reebok brand, forwhich separate permission is required. If grantedpermission, Adidas could sell products under theReebok brand in separate outlets.

FDI in Multi-Brand Retail

The government has also not defined theterm Multi Brand. FDI in Multi Brand retail impliesthat a retail store with a foreign investment cansell multiple brands under one roof. In July 2010,Department of Industrial Policy and Promotion

(DIPP), Ministry of Commerce circulated adiscussion paper [14] on allowing FDI in multi-brand retail. The paper does not suggest anyupper limit on FDI in multi-brand retail. Ifimplemented, it would open the doors for globalretail giants to enter and establish their footprintson the retail landscape of India. Opening up FDIin multi-brand retail will mean that global retailersincluding Wal-Mart, Carrefour and Tesco canopen stores offering a range of household itemsand grocery directly to consumers in the sameway as the ubiquitous ‘ kirana’ store.

EFFECTS OF FDI ON VARIOUSSTAKEHOLDERS

Impact on Farming Communities

A supermarket revolution has beenunderway in developing countries since the early1990s. Supermarkets (here referring to allmodern retail, which includes chain stores ofvarious formats such as supermarkets,hypermarkets, and convenience andneighborhood stores) have now gone wellbeyond the initial upper- and middle-classclientele in many countries to reach the massmarket. Within the food system, the effects of thistrend touch not only traditional retailers, but alsothe wholesale, processing, and farm sectors.When supermarkets modernize theirprocurement systems, they require more fromsuppliers with respect to volume, consistency,quality, costs, and commercial practices.Supermarket’s impact on suppliers is biggestand earliest for food processing and food-manufacturing enterprises, given that some 80%of what supermarkets sell consists of processed,staple, or semi-processed products. But byaffecting processors, supermarkets indirectlyaffect farmers, because processors tend to passon the demands placed on them by their retailclients. Supermarket chains prefer, if they areable, to source from medium and largeprocessing enterprises, which are usually betterpositioned than small enterprises to meetsupermarket’s requirements. The rise ofsupermarkets thus poses an early challenge toprocessed food microenterprises in urban areas.By contrast, as supermarkets modernize theprocurement of fresh produce (some 10–15% ofsupermarket’s food sales in developingcountries), they increasingly source from farmers

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through specialized and dedicated wholesalers(specialized in product lines and dedicated tomodern segments) and occasionally throughtheir own collection centers.

Where supermarkets source from smallfarmers, they tend to buy from farmers who havethe most non-land assets (like equipment andirrigation), the greatest access to infrastructure(like roads and cold chain facilities), and theupper size treacle of land (among small farmers).Where supermarkets cannot source frommedium or large-scale farmers, and smallfarmers lack the needed assets, supermarketchains (or their agents such as the specializedand dedicated wholesalers) sometimes helpfarmers with training, credit, equipment, and otherneeds. Such assistance is not likely to becomegeneralized, however, and so overtime asset-poor small farmers will face increasingchallenges surviving in the market as itmodernizes.

When farmers enter supermarket channels,they tend to earn from 20 to 50% more in netterms. Among tomato farmers in Indonesia, forexample, net profit (including the value of ownlaborer as imputed cost) is 33– 39% higheramong supermarket channel participants thanamong participants in traditional markets. Farmlaborer also gains. But supplying supermarketchains requires farmers to make more up-frontinvestments and meet greater demands forquality, consistency, and volume compared withmarketing to traditional markets.

Support for retail reforms

In a pan-Indian survey conducted over theweekend of 3 December 2011, overwhelmingmajority of consumers and farmers in and aroundten major cities across the country support theretail reforms. Over 90 per cent of consumerssaid FDI in retail will bring down prices and offera wider choice of goods. Nearly 78 per cent offarmers said they will get better prices for theirproduce from multiform at stores. Over 75 percent of the traders claimed their marketingresources will continue to be needed to pushsales through multiple channels, but they mayhave to accept lower margins for greatervolumes.

Farmer groups

Various farmer associations in India haveannounced their support for the retail reforms.For example:

1. Shriram Gadhve of All India VegetableGrowers Association (AIVGA) claims hisorganization supports retail reform. Heclaimed that currently, it is the middlemencommission agents who benefit at the costof farmers. He urged that the retail reformmust focus on rural areas and that farmersreceive benefits. Gadhve claimed, “A bettercold storage would help since this could helpprevent the existing loss of 34% of fruits andvegetables due to inefficient systems inplace.” AIVGA operates in nine statesincluding Maharashtra, Andhra Pradesh,West Bengal, Bihar, Chattisgarh, Punjab andHaryana with 2,200 farmer outfits as itsmembers.

2. Bharat Krishak Samaj, a farmer associationwith more than 75,000 members says itsupports retail reform. Ajay Vir Jakhar, thechairman of Bharat Krishak Samaj, claimeda monopoly exists between the private guildsof middlemen, commission agents at thesabzi mandis (India’s wholesale markets forvegetables and farm produce) and the smallshopkeepers in the unorganized retailmarket. Given the perishable nature of foodlike fruit and vegetables, without the optionof safe and reliable cold storage, the farmeris compelled to sell his crop at whatever pricehe can get. He cannot wait for a better priceand is thus exploited by the current monopolyof middlemen. Jakhar asked that thegovernment make it mandatory for organizedretailers to buy 75% of their produce directlyfrom farmers, bypassing the middlemenmonopoly and India’s sabzi mandi auctionsystem.

3. Consortium of Indian Farmers Associations(CIFA) announced its support for retailreform. Chengal Reddy, secretary general ofCIFA claimed retail reform could do lots forIndian farmers. Reddy commented, India has600 million farmers, 1,200 million consumersand 5 million traders. I fail to understand whypolitical parties are taking an anti-farmer


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stand and worried about half a million brokersand small shopkeepers. CIFA mainlyoperates in Andhra Pradesh, Karnataka andTamil Nadu; but has a growing member fromrest of India, including Shetkari Sanghatanain Maharashtra, Rajasthan Kisan Union andHimachal Farmer Organisations.

4. Prakash Thakur, the chairman of the Peoplefor Environment Horticulture & Livelihood ofHimachal Pradesh, announcing his supportfor retail reforms claimed FDI is expected toroll out produce storage centers that willincrease market access, reduce the numberof middlemen and enhance returns tofarmers. Highly perishable fruits like cherry,apricot, peaches and plums have a hugedemand but are unable to tap the market fullybecause of lack of cold storage and transportinfrastructure. Sales will boost with theopening up of retail. Even though India is thesecond-largest producer of fruits andvegetables in the world, its storageinfrastructure is grossly inadequate, claimedThakur.

5. Sharad Joshi, founder of ShetkariSangathana (farmers association), hasannounced his support for retail reforms.Joshi claims FDI will help the farm sectorimprove critical infrastructure and integratefarmer-consumer relationship. Today, theexisting retail has not been able to supplyfresh vegetables to the consumers becausethey have not invested in the backwardintegration. When the farmers’ producereaches the end consumer directly, thefarmers will naturally be benefited. Joshi feelsretail reform is just a first step of neededagricultural reforms in India, and that thegovernment should pursue additionalreforms.

Suryamurthy, in an article in The Telegraph,claims farmer groups across India do not supportstatus quo and seek retail reforms, because withthe current retail system the farmer is beingexploited. For example, the article claims:

a) Indian farmers get only one third of the priceconsumers pay for food staples, the rest istaken as commissions and mark-ups bymiddlemen and shopkeepers.

b) For perishable horticulture produce,average price farmers receive is barely 12to 15% of the final price consumer pays.

c) Indian potato farmers sell their crop for Rs.2to 3 a kilogram, while the Indian consumerbuys the same potato for Rs.12 to 20 akilogram.

CASE STUDIES OF HOW MNC’s AREHELPING FARMERS

CASE 1 . PepsiCo India helping farmersimprove yield and income

The company’s vision is to create a cost-effective, localized agro-supply chain for itsbusiness by:

1. Building PepsiCo’s stature as adevelopment partner by helping farmersgrow more and earn more.

2. Introducing new high yielding varieties ofpotato and other edibles.

3. Introducing sustainable farming methodsand practicing contact farming.

4. Making world-class agricultural practicesavailable to farmers and helping them raisefarm productivity.

5. Working closely with farmers and stategovernments to improve agro sustainabilityand crop diversification.

6. Providing customized solutions to suitspecific geographies and locations.

7. Facilitating financial and insurance servicesin order to de-risk farming.

THE JOURNEY SO FAR

Where stand today, at a glimpse

1. Today PepsiCo India’s potato farmingprogram reaches out to more than 12,000farmer families across six states. We providefarmers with superior seeds, timelyagricultural inputs and supply of agriculturalimplements free of charge.

2. We have an assured buy-back mechanismat a prefixed rate with farmers. This insulatesthem from market price fluctuations.

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3. Through our tie-up with State Bank of India,we help farmers get credit at a lower rate ofinterest.

4. We have arranged weather insurance forfarmers through our tie-up with ICICILombard.

5. We have a retention ratio of over 90%, whichreveals the depth and success of ourpartnership.

6. In 2010, our contract farmers in West Bengalregistered a phenomenal 100% growth incrop output, creating in a huge increase infarm income.

7. The remarkable growth has resulted infarmers receiving a profit between Rs.20,000– 40,000 per acre, as compared toRs.10000–20,000 per acre in 2009.

Case 2. Bharti Walmart initiative throughDirect Farm Project:

Corporate Social Responsibility (CSR)initiatives in Bharti Walmart are aimed atempowerment of the community therebyfostering inclusive growth. Through ourphilanthropic programs and partnerships, wesupport initiatives focused on enhancingopportunities in the areas of education, skillstraining and generating local employment,women empowerment and communitydevelopment. In conjunction with the farmersdevelopment program in Punjab, communitybuilding activities have been implemented invillage, Haider Nagar. Due to lack of sanitationfacilities, households tend to use the farm fields,thereby affecting yields and impacting theproduce that is being supplied to stores. In orderto improve the yields and the community’s wayof life, we are working on the issues of Sanitationand Biogas, Education, Awareness Building andHealth and Hygiene.

Education: 100% children enrolled in formaleducation program. Children groups had beenformed to discuss children issues. All thenonschool going children had been given non-formal basic education required to mainstreamthem in the government schools. A sanitationblock has been constructed, hand pump has

been installed and school uniforms have beendonated to create a better learning environmentfor children. Fifteen students have beenmainstreamed back in school.

Health and Hygiene: A dispensary has beenstarted in Haider Nagar to help people availmedical facilities in the village itself. Nearly 2000patients have availed the dispensary facilities.Twenty Community Dustbins have also beeninstalled in the village to bring about a change inthe living conditions of the people and to providethem garbage free environment.

Sanitation and Biogas: Ensured that 100%households have toilets in the village. Eighty BioGas plants have been installed to help peopleconserve gas energy and utilize the wastegenerated from their cattle and toilets; thusmaking the environment healthier.

Waste Management: twenty CommunityDustbins have been installed in the village tobring about a change in the living conditions ofthe people and to provide them garbage freeenvironment thus ensuring a healthier living.

This and many other cases suggest thatopening of Indian retail sector to FDI is a win-winsituation for farmers. Farmers would benefitsignificantly from the option of direct sales toorganized retailers. For instance, the profitrealization for farmers selling directly to theorganized retailers is expected to be much higherthan that received from selling in the mandis. Alsorise in the organized retail whether domestic orthrough entry of foreign players will lead to anincrease in investments in both forward andbackward infrastructure such as cold chain andstorage infrastructure, warehousing anddistribution channels thereby leading toimprovement in the supply chain infrastructurein the long run. Global majors such as Wal-mart,Carrefour and Tesco are expected to bring aglobal scale in their negotiations with the MNCssuch as Unilever, Nestlé, P&G, Pepsi, Coke, etc.The improved cold chain and storageinfrastructure will no doubt lead to a reduction inlosses of agriculture produce. It may also lead toremoval of intermediaries in the retail value chainand curtail other inefficiencies. And this may,result in higher income for a farmer.


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Source:http: / /bhart i -walmart . in /Community

.aspx?id=64

Impact on Consumers and existingSupermarkets

Supermarkets tend to charge consumerslower prices and offer more diverse products andhigher quality than traditional retailers .Thesecompetitive advantages allow them to spreadquickly, winning consumer market share. In mostcountries supermarkets offer lower prices first inthe processed and semi processed foodsegments. Only recently, mainly in the first andsecond wave countries have supermarket pricesfor fresh fruits and vegetables been lower thantraditional retailers (except in India). The foodprice savings accrue first to the middle class, butas supermarkets spread into the food marketsof the urban poor and into rural towns, they havepositive food security impacts on poorconsumers. For example, in Delhi, India, thebasic foods of the urban poor are cheaper insupermarkets than in traditional retail shops: riceand wheat are 15% cheaper and vegetables are33% cheaper.

Existing Indian retail firms such asSpencer’s, Food world Supermarkets Ltd, Nilgiri’sand ShopRite support retail reform and considerinternational competition as a blessing indisguise. They expect a flurry of joint ventureswith global majors for expansion capital andopportunity to gain expertise in supply chainmanagement. Spencer’s Retail with 200 storesin India, and with retail of fresh vegetables andfruits accounting for 55% of its business claimsretail reform to be a win-win situation, as theyalready procure the farm products directly fromthe growers without the involvement ofmiddlemen or traders. Spencer claims that thereis scope for it to expand its footprint in terms ofstore location as well as procuring farm products.Foodworld, which operates over 60 stores, plansto ramp up its presence to more than 200locations. It has already tied up with Hong Kong-based Dairy Farm International. With therelaxation in international investments in Indianretail,

India’s Foodworld expects its globalrelationship will only get stronger.

Following are the few recommendations forformulation of policies by government

Much of the Indian retail trade (particularlygrocery) still has traditional features: small family-run shops and street hawkers dominate thesituation in most of the country. However, theretail trade in India is now undergoing anintensive structural change which could causeirreversible damage to local commodity supplychains and competition. The existing regulationsare not adequate to fulfil the new requirements.India can learn (and perhaps forestall loss ofgenuine competition and product variety) fromthe experience of south-east Asian countrieswhich are improving regulatory frameworks andsome advanced retailing economies likeGermany which are already considered moresuccessful regulators in this sector. Germancompetition policies in content andimplementation are significant for India to theextent that they are different from other advancedretailing countries like the US and Great Britain.German policy now proactively aims to preservesmall and medium competitors in retail sector.

Policies for Competitiveness withInclusiveness in the Supermarket Revolution:As the supermarket revolution proceeds indeveloping countries, governments have severaloptions for helping small farmers participate insupermarket channels (or gain access to viablealternatives) and traditional retailers coexist orcompete with the modern retail sector.

Option 1: Regulate Modern Retail. To the extentdeveloping countries have regulated modernretail; their goal has been to reduce the speedand scope of its spread. The regulations havemainly limited the location and hours of modernretail. On balance, these regulations have donelittle to limit supermarket spread, partly becausealthough regulations tend to target large-formatstores (and thus not limit small traditional stores),modern retail comes in a wide variety of formats,including neighborhood stores and conveniencestores.

Option 2: Upgrade Traditional Retail. A numberof good examples of programs to upgradetraditional retail exist. Of particular interest arethose of East and Southeast Asia, such as inChina, Hong Kong, the Philippines, Singapore,

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and Taiwan. In most of these countries, theprograms in question are municipal, sometimesunder a national umbrella policy.

Option 3: Upgrade Wholesale Markets to ServeRetailers and Farmers Better. Small shops andwet-market stall operators typically source foodproducts from wholesale markets, which typicallybuy from small farmers. Upgrading wholesalemarkets infrastructure and services is thusimportant to the whole traditional supply chain.Private-sector actors are helping traditionalretailers (and supermarket independents andchains) obtain the services and products theyneed. Governments need to supplement privateefforts with public investments in improvingfarmers access to assets, services, training, andinformation. Some of these assets are publicgoods, such as regulations on retailer-supplierrelations to promote fair commercial practices,wholesale market upgrading, market information,and physical infrastructure such as cold chainsand roads.

Option 4: Help Farmers Become CompetitiveSuppliers to Supermarkets. Private-sectorprograms are emerging to help small farmers getthe assets and services they need to supplysupermarket channels. Metro, for example, hasdirect procurement links to fish and vegetablefarmers in China. Agri- food businesses in India,like ITC, Tata, Godrej, Reliance, and DSCLHariyali , have rural business hubs that offerconsumables, farm inputs, and technicalassistance and procure output from farmers.

Option 5: Regulation of misleading statementsand advertisements. The law against dishonestcompetition (referred to as unfair trade practicesin India) forbids a number of marketing practiceswhich are regarded as dishonest. These includemisleading statements or advertisements aboutbusiness circumstances, especially the nature,origin, manner of manufacture or the pricing ofgoods or commercial services or the size of theavailable stock. In a recently reported case inIndia a leading corporate retailer, Subhikshaclaimed in advertisements that its prices werethe lowest compared to rivals like Big Bazar,DMART, and Apana Bazar, etc. Big Bazar filed acase against the advertisements and theAdvertising and Standards Council of India isunderstood to have given its verdict in April 2007.

However, the verdict has not been made publicas yet.

Option 6: Regulatory Framework to avoidmonopolistic practices. The possiblemonopolistic/ monopolistic tendencies of thelarge retailers (fears of predatory behavior andabuse of dominance) would have to beproactively dealt to ensure competition in themarket. Appropriate policy formulation can alsoaide this cause, as was done during the telecomsector liberalization with the National TelecomPolicy mandating that each circle should have atleast 4-6 players. It is to be understood that freeand fair competition in procurement of farmproduce is the key to farmer‘s enhancedremuneration.

CONCLUSION

The discussion above highlights:

(1) Small retailers will not be crowded out, butwould strengthen market positions by turninginnovative /contemporary.

(2) Growing economy and increasing purchasingpower would more than compensate for theloss of market share of the unorganizedsector retailers.

(3) There will be initial and desirabledisplacement of middlemen involved in thesupply chain of farm produce, but they arelikely to be absorbed by increase in the foodprocessing sector induced by organizedretailing.

(4) Innovative government measures couldfurther mitigate adverse effects on smallretailers and traders.

(5) Farmers will get another window of directmarketing and hence get betterremuneration, but this would requireaffirmative action and creation of adequatesafety nets.

(6) Consumers would certainly gain fromenhanced competition, better quality, assuredweights and cash memos.

(7) The government revenues will rise onaccount of larger business as well asrecorded sales.


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(8) The Competition Commission of India wouldneed to play a proactive role.

Thus from developed countries experienceretailing can be thought of as developing throughtwo stages. In the first stage, modern retailing isnecessary in order to achieve major efficienciesin distribution. The dilemma is that when thishappens it inevitably moves to stage two, asituation where an oligopoly, and quite possiblya duopoly, emerges. In turn this impliessubstantial seller and buyer power, which mayoperate against the public interest.

REFERENCES

1. The Bird of Gold - The Rise of India’s ConsumerMarket”. McKinsey and Company. May 2007.

2. Anand Dikshit (August 12 2011). “The UneasyCompromise – Indian Retail”. The Wall Street Journal.“Winning the Indian consumer”. McKinsey & Company.2005.

3. Majumder, Sanjoy (25 November 2011). “Changingthe way Indians shop”. BBC News.

4. “Retailing in India Unshackling the chain stores”. TheEconomist. 29 May 2008.

5. Agarwal, Vibhuti; Bahree, Megha (7 December 2011).“India puts retails reforms on hold”. The Wall StreetJournal.

6. Sharma, Amol; Sahu, Prasanta (11 January 2012).“India Lifts Some Limits on Foreign Retailers”. TheWall Street Journal.

7. IKEA shelves Indian retail market move”. The FinancialTimes. 22 January 2012.

8. Association of Traders of Maharashtra v. Union ofIndia, 2005 (79) DRJ 426.

9. The Supermarket Revolution in Developing Countries,Policies for ¯Competitiveness with Inclusiveness ,Thomas Reardon and Ashok Gulati, IFPRI Policy Brief2 • June 2008.

10. The Impacts of Supermarket Procurement on FarmingCommunities in India: Evidence from Rural Karnataka,Bill Pritchard, C. P. Gracy and Michelle Godwin,

Development Policy Review, 2010, 28 (4): 435-456.

11. Association of Traders of Maharashtra v. Union ofIndia, 2005 (79) DRJ 426.

12. Indian retail: The supermarket s last frontier”. TheEconomist. 3 December 2011.

13. INDIAN RETAIL INDUSTRY: A Report”. CAREResearch. March 2011.

14. Global Powers of Retailing 2011". Deloitte. 2011.

15. India’s retail reform: No massive rush”. The Economist.2 December 2011.

16. Retail Global Expansion: A Portfolio of Opportunities”.AT Kearney. 2011.

17. MIND THE GAP”. Calcutta, India: The Telegraph. 1December 2011.

18. Tripathi, Salil (29 December 2011). “India needsSupermarkets”.London: The Guardian.

19. WalmartFact Sheets”. Walmart. November 2011.

20. Indian retail kings around the world”. Rediff, 6December 2011.

21. Walmart Asia to make India an export hub”. BusinessStandard. April 14, 2010.

22. Grant, Tavia (January 25, 2011). “The Wal-Mart effect:food inflation tame in Canada”. Toronto: The Globeand Mail.

23. Aam bania is more powerful than the aam aadmi”.The Times of India. 4 December 2011.

24. FDI POLICY IN MULTI BRAND RETAIL”. Ministry ofCommerce, Government of India. 28 November 2011.

25. Tripathi, Salil (29 December 2011). “India needsSupermarkets”.London: The Guardian.

26. India government puts foreign supermarkets “onpause””. Reuters. 4 December 2011

27. Farmer Organisations back retail FDI”. The FinancialExpress, 2 December 2011.

28. Suryamurthy, R. (2 December 2011). “Enter, farmerwith an FDI in retail query”. Calcutta, India: TheTelegraph.

29. FDI in retail is first major step towards reforms inagriculture, feels Sharad Joshi”. The Economic Times.2 December 2011.

30. Major Benefits of FDI in Retail”. The Reformist India.

30 November 2011.

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SIX SIGMA – DMAIC FRAMEWORK FOR ENHANCING

QUALITY IN

ENGINEERING EDUCATIONAL INSTITUTIONS

*VIKAS SINGH1, N P SHARMA2

1Research Scholar, Department of Management, Sai Nath University, Ranchi, India2Director, Nimbus Academy of Management, Dehradun, Uttara Khand, India

*Address for correspondence : Vikas Singh, Research Scholar, Department ofManagement, Sai Nath University, Ranchi, India

ABSTRACT

Six Sigma is a proven business strategy for improving the organization’s effectiveness andachieving higher levels of performance. Six Sigma applications have proved its success inproduct and process / service Industries by deploying any one of its models like DMAIC orDFSS during implementation. In the recent times, educational institutions are attempting toleverage the success of industries in improving their efficiency and the quality of service thatare delivered by them. In the context of educational institutions, the customer and products arecomplex phenomenon to describe unlike an industry. Engineering educational institutions, underthe globalised industrial scenario faces lots of challenges in their service offerings of qualityeducation and also in their output of students as products for employment in industry. Thisissue of quality in higher education is a concern not only for the stake holders, but also for thesociety at large. There have been many initiatives at the national level by government and otherinterested stake holders at the macro level. Attempts have been made in this work to deliver abroader framework of DMAIC approach to impact quality of engineering education at the microlevel of institutions themselves by leveraging the success of industries in applying six sigma forcomplex problems. The scope of the work also includes review the published literatures relatedto this work

Keywords: Six Sigma, DMAIC, Engineering Education, Educational Enterprise, EngineeringColleges

INTRODUCTION

Six Sigma and its Success with Industries

Quality is a measure for success of anyorganization. It helps in setting metric forachieving higher goals of accomplishments fromthe historical data of the own organization andfor bench marking the current level ofperformance with leaders in the particular domaintowards setting targets for achievements. It alsohelps in continuous improvement and excel inthe given function. There have been manyinitiatives of quality in the industries for achievinghigher standards like Zero Defects, TQM, 5S andmany others. Quality Gurus like Deming, Juranand many others during various phases have

immensely contributed to the quality movementthat benefitted the industries at large. One suchquality movement is Six Sigma, which originatedat Motorola in early 1980s [1] and was recognizedwith the prestigious Malcom Baldrige NationalQuality Award (MBNQA) in 1988 [2]. Six sigmawas popularized by demonstrating it as asuccessful business model, by Jack Welch at GEduring late 1980s and 1990s [3]. Success of SixSigma either in Motorola, GE or any otherorganizations later can be attributed to themanagement and leadership commitments. SixSigma word is not always a smooth one andrequires the patience of a saint, never-give-upphilosophy and long-term perspective to work onquality [4]. Some of the organizations failed in its


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first attempt of implementation in makingconsiderable business impact, recognized thatthey did not create enough of sustainableinfrastructure or force fit Six Sigma into theorganization and without management support[4].

Six Sigma is a structured approach and adiscipline. DMAIC (Define, Measure, Analyze,Improve and Control) is the most familiar modelof Six Sigma to the industries in general, whichis applicable to both process and productindustries. This model leverages effectiveutilization of existing resources, without anyadditional investments on resources orinfrastructure to achieve entitlement [3] in SixSigma implementation in delivering businessresults. Basically DMAIC strategy aims at low-hanging fruits. Design for Six Sigma (DFSS) isanother model aimed at delivering defect freeproducts / process with a focus at the designstage itself. It is largely applicable for completelynew process or product development, or newdesign to process or product quality whenexisting process / product quality attainedentitlement.

Six Sigma methodologies in brief, starts withthe customer by closely understanding theirneeds / expectations, making appropriatechanges / improvements to the process / productand delivering the solution that exceeds customerexpectations rather than meeting theexpectations.

QUALITY CHALLENGES OF THEENGINEERING EDUCATIONAL ENTERPRISE

Quality and its sustenance in highereducational institutions, more particularly inprofessional institutions is a great challenge forthe mere existence of the educational institutionsthemselves. Employability of the studentsproduced by the engineering institutions, foremployment by the industry at 25% [5, 6] is a majorcause of worry for all the stake holders and hasbeen elaborated [7]. Apart from the need forabsorption by the industries for employment, theproducts of engineering institutions have also tobe equipped with the knowledge necessary forcarrying forward research work in institutions ofhigher learning. The requirements of thecustomers (industry and research institutions) of

engineering institutions from its products(students) are quite different, industry requiringmore emphasis on practical knowledge forapplications and applied research, whileresearch institution requiring strong knowledgeon concepts for theoretical research. This throwsa good challenge for the institutions and itsproducts. Unlike the industry, the engineeringinstitutions have to meet the needs of complexdemands of varying stake holders, regulatorybodies like AICTE, funding members for theeducational process like parents, industriesunder globalised scenario and expectations ofstudents themselves as stake holders in the inputprocess.

Educational Institutions in general andEngineering Educational Enterprise (EEE) inparticular, have been attempting to address thequality challenges of EEE by leveraging variousmodels that were found to be successful inindustries for this complex issue. In this work,attempts have been made to focus on Six Sigmamethodology towards this cause, review theliteratures towards this work and deliver abroader frame work to be carried forward at theinstitutional level.

LITERATURE SURVEY

Joan [8] in his work has briefed on how toapply Six Sigma methodology to project levelsin the mechanical engineering department of theinstitution, which is comparable to Green BeltProjects of a Six Sigma Enterprise and is not dealton the frame work at the institution level,nevertheless explains the usefulness of six sigmato educational institution. Prabhakar and Dinesh[9]

in their work explained how Six Sigmamethodology to a specific problem of increasingthe pass percentage of students in engineeringinstitutions is similar to that of a task as explainedby Joan [8]. Jayanta and Robert [10] in their workvery nicely brought out the usefulness of SixSigma approach in impacting quality andproductivity improvement in higher educationalinstitutions in United States. Interestingly, authorshave brought out the wastages / under utilizationof resources by quantifying academic work of 9months in a year, with an idle time of 3 monthson resources. They briefed further on, whetheracademic institutions can be run like a businessenterprise, quantifying the importance of faculty

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role and explained the lack of investments in theirdevelopment. They have also briefly explainedall the 5 phases of DMAIC model.Ramasubramanian [11] has nicely captured in hisliterature the various roles of Six Sigma, DMAICone of the most familiar model of Six Sigma andbroadly listed various tools applicable in variousphases of Six Sigma to educational institutionsat macro level. The focus is not to dwell into theapplication of six sigma to the specific issueunder discussions. Imam et. al. [8] briefed in theirwork traces the Six Sigma origin, developmentand the different phases of the Six SigmaMethodology. They also compared variouscategories of educational system across theglobe. Interestingly this article quantifies levelsof defects generated across global poles inproducts and process. It is not within the scopeof the work to include suggesting a method orapproach.

Ramanan et. al [7] in their work attempted toexplain the application of Six sigma in addressingemployability issues of engineering graduates,which is task specific similar to studies reportedearlier [8,9]. Sean [13] while attempting to explainthe implications of Six Sigma in industry andeducational institutions narrated the variousroles, tools and phases of the Six Sigma modeland has not delivered a frame work. Ramananet.al. [14] focused in explaining the necessity andbenefits of having Six Sigma as a measurementmetric for measuring quality of higher education.

SIX SIGMA – DMAIC FRAME WORK FORENGINEERING EDUCATIONAL ENTERPRISE(EEE)

From the success and also from the failuresof the industry from Six Sigma implementation,it is confidently learnt that effectiveness andbenefits from Six Sigma implementation is largely

dependent on leadership / managementcommitments and involvement of everyone in theprocess, of Six Sigma deployment.

Hence, the delivery of a successful framework for EEE, starts from the top most level ofthe enterprise, thus ensuring commitment andsupport for six sigma deployment leading tomeasurable results.

1. System and Sub-System of DMAIC and itsAnalogy to EEE

DMAIC as briefed [7] is the processimprovement methodology of Six Sigmaapproach either at the system level or at thecomponent / task level for the product or processindustry. It shall be of benefit in explaining themodel and frame work with an example of aproduct and apply the analogy to EEE for systemlevel approach. Fig.1 captures one of the highlysophisticated, highly safety critical medicaldevice from GE [15] used in interventionaldiagnostics and also in procedure like stentingin coronary artery of the heart. The medicaldevice as a system (Fig. 1), integrates varioussub-systems (Fig. 2) by leveraging cutting edgetechnology across various domains ofengineering [15] in delivering the flaw less functionto the doctors and patients. We can extend thesame analogy of the system approach to EEE,which has to integrate with various sub-systemsof like various departments of academicexcellences, various departments ofadministrative functions and various externalagencies like regulatory authorities, investors(parents), society etc. in delivering a flawlessservice and outputs from EEE. Fig. 3 covers abroader system and sub-system involvement toan EEE and can be extended / expanded /modified according to the structure and disciplineof EEE.

Fig. 1 & 2 Typical Medical Device & System and Sub-System[15] Fig. 3 System and Sub-System of EEE


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1.1: Impact of Quality – Flowing fromComponent to Sub-System to System

It could be appreciated from the industrialproduct example explained here, if the systemhas to function flawless, each one of thecomponents as small as a screw or a capacitoretc., in the sub-system has to function flawlessall the time. Hence it can be realized that theimportance the smallest component like a bolt ina complex product is as important as the systemitself in its flaw less function. This analogy isapplicable to educational institutions comprisingof various functions, departments, internal andexternal shareholders etc. For example, atypographical mistake in a mark sheet of an EEEby a clerk in an examination section of anadministrative department is as important as aresearcher’s publication in an accredited journalin measuring the quality of an engineeringeducational enterprise.

2. Typical DMAIC Model for EEE and aligningit with Quality System’s Vision and Mission

It could visualize EEE as a systemcomparable to that of the product as explainedearlier. Each of the EEE has its ‘Mission andVision’ (V&M) statements towards what they wantto achieve, by aligning Six Sigma model withQuality System’s vision and mission it can beeasily tracked towards measurable objectives atall levels. A generic DMAIC model of an EEE isdepicted in Fig. 4 with broader objectives to beachieved in each one of the phase of the DMAICSix Sigma Model towards EEE. This frame workcan be adopted at sub-system and also at theindividual levels by having the V&M or ‘Goalsand Objectives’ (G&O) by aligning it with a flowdown from system level to component. Toachieve these objectives industries have adopteda structure of Six Sigma Roles towards

effectiveness and efficiency of deployment andsustenance.

3. Typical DMAIC Structural Model for EEE

As explained earlier, success of Six Sigmadepends on leadership involvement andcommitment. The head of the organization –Chairman / President / Director / Principal isassigned / assumes the role of Sponsor orChampion depending on the size of theorganization, which is accountable for V&M inquality systems. The defined goals are then flowndown to department heads, to individuals in chainof implementation to achieve desired goal. Ageneralized EEE structure for implementation ofDMAIC is depicted in Fig. 5. Depending on thesize of the EEE and its function Champion,Sponsor and MBB roles can get merged thusperforming all the intended function. The broadDMAIC – EEE Structural model is depicted forone department and function to explain how V&Mis flown into individual levels towards achievableobjectives. This can be extended / expanded /adopted based on various stated V&M or G&Oof the EEE.

Though this structure is explained keepingengineering educational enterprise in mind, butadoptable with modifications to any educationalenvironment with suitable modifications asappropriate. As the faculty develops the passionin adopting and leveraging the Six Sigmaapproach in their research and academic work,it further flows down into their respective studentand research scholar projects, thus full potentialof Six Sigma is realized into the EE enterpriseas a whole. This is the way, Motorola, GE and allother great leaders demonstrated success bydriving Six Sigma as a DNA of the organization.

4. Typical DMAIC Tools Applicable to EEEModel

Fig. 4: DMAIC Model for EEE Fig. 5: DMAIC Structural Model for EEE Fig. 6: Tools in DMAIC

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Fig. 6 is suggestive in nature of the varioustools that could be used in various phases of theDMAIC model in achieving the desired G&O orV&M. It is not a rule that a specific tool has to beused only in that phase as mentioned.

5. Typical CTQ Flow-Down, Flow-Up for Roles& Responsibilities in a DMAIC Model for EEE

As explained earlier, the Six Sigma successis at the organization level and hence itsdeployment requires commitment andengagement at the highest level. A typicalengagement of various levels of the organizationand their alignment to Six Sigma role in a framework for achieving the desired targets or realisticgoals are captured in Fig. 7. It flows from toplevel (like system in a product) to the bottom level(like that of a component in a system) in assigningthe roles and responsibilities to achieve thequality goals, with achieved goals flowing-up from

lowest level to the highest level of the system. Atypical example is captured what could beachieved at the each phase at various level forthe given cause / target from top level and whatcan be achieved at next levels as it flows downto the level like that of a system in a product tocomponent. This explains the CTQ (Critical toQuality) flow down from system level tocomponent / part level. It also explains how thequality rigor is achieved in component / part leveland is flown back to build the quality rigor intothe system with the broad structure of roles andresponsibilities and mapping it to the DMAIC –EEE Structure. It is a typical example and has tobe altered based on the CTQ at the institutionlevel which is comparable to that of a systemand to the departments comparable with that ofa sub-system and to the individuals of theinstitution comparable to that of a part /component level quality.

SCOPE FOR FURTHER WORK

The structure of the DMAIC for the EEE hasbeen structured and formulated. Each of thephase and the complexity with the applicabletools along with the case study are dealtseparately in the future publications. It has alsobeen included to bring-out how to merge DMAICFrame work proposed in this work can be mergedwith ISO Standards adopted by the EEE, thusavoiding / repeating administrative work. DFSSmodel for the institutions which has theopportunity to introduce new papers / coursesare dealt separately in future work.

SUMMARY AND CONCLUSION

From the literatures surveyed andreferences, broader structural frame work of aDMAIC Model for EEE with organizationstructure, applicable tools and assignable rolesand responsibilities has been delivered.

REFERENCES

1. Bossert, J, Lean and Six Sigma—Synergy Made inHeaven, Quality Progress, 2003, 31-32

2. Bhote, K. (2002). The Ultimate Six Sigma: BeyondQuality Excellence to Total BusinessExcellence.NewYork: American ManagementAssociation, 2002

Fig. 7: DMAIC Model for EEE - Roles and Responsibilities – CTQ Flow Down from System to Individual vs

Achievement of Quality from Individual to System


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3. L Ramanan and KPV Ramanakumar, Six Sigma – Asa Measurement Metric in Measuring Quality of HigherEducation, Intnl Journal of Business ManagementInvention, Vol 3, Issue 1, pp 28-30, 2014

4. James L Bossert, Second Chances,ASQSix SigmaForum Magazine, Vol 13, No. 1, 2013, 4-5

5. Andreas Blom Hiroshi Saeiki, Employability and Skillsof Newly Graduated Engineers in India” PolicyResearch Working Paper 5640, pp 2-3, 2011

6. Chithra R, Employability Skills – A Study on theperception of the Engineering Students and theirProspective Employers, Global Journal ofManagement and Business Studies, Vol 3, Number5, pp 525-534, 2013

7. L Ramanan, M Kumar and KPV Ramanakumar, SixSigma Methodology for Addressing EmployabilityIssue of Engineering Graduates, Intnl Journal ofModern Education Forum - Spl Edition (Submitted)

8. Joan Burtner, The Adoption of Six Sigma Methodologyto the Engineering Educational Enterprise,Proceedings of the ASEE South East SectionConference, 2004

9. PrabhakarKaushik, and Dinesh Khanduja, Utilising SixSigma for Improving the pass percentage of Students– A Technical Institute Case Study, EducationalResearch and Review Vol. 5 (9), pp. 471-483, 2010

10. JayantaK Bandyopadhyahand Robert Lichman, SixSigma approach to quality and productivityimprovement in Institution of Higher educational in theUnited States, International Journal of Management,Vol 24, No. 4, 2007

11. P Ramasubramanian, Six Sigma in EducationalInstitutions, Intnl Journal of Engineering PracticalResearch, Vol 1, Issue 1, pp 1-5, 2012

12. Imam M and Pradeep B, Transforming US HigherEducation with Six Sigma, Proceedings of theIntnlNetwork of Quality Assesment Agencies in HigherEducation, Abudhabi, 2009

13. Sean P Goffnett, Understanding Six SigmaImplications for Industry and Education,Journal ofIndustrial Technology, Vol 20, No.4, 2004

14. L Ramanan and KPV Ramanakumar, Necessity of SixSigma – As a Measurement Metric in MeasuringQuality of Higher Education, Intnl Journal of BusinessManagement Invention, Vol 3, Issue 1, pp 28-30, 2014

15. L Ramanan, Six Sigma – An Ingredient of InnovativeProduct Design, Proceedings of the Indo-USWorkshop on Product Design – Impact from Research

to Education to Practice, pp 353-355, 2010

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BIO MEDICAL WASTE: A SERIOUS ENVIRONMENTAL

CONCERN

*KUSHAGRA SAH1, SWAPNIL SRIVASTAVA1, 2 SHUBHAM SINGH1Damodaram Sanjivayya National Law University, Visakhapatnam,

2Symbosis Law School, Pune

*Address for correspondence : Kushagra Sah, Damodaram Sanjivayya National Law University,Visakhapatnam, India,


ABSTRACT

Though hospitals make relatively insignificant contribution to the total garbage mountain, theyhave an obligation to deal with bio-medical waste in an effective and safe manner beinghazardous and infectious in nature. Because of its composition, there are significant risksassociated with hospital waste. Infections are the most common health hazards associatedwith poor hospital waste management, which has been magnified with the advent of AIDS andhepatitis B virus infections and increase in the prevalence of disease in the health care providers(HCP). Good collection, handling, transport, treatment and ultimate disposal procedures areessential for well-being of patients, hospital staff, the community and the environment. Althoughthe risk posed by bio-medical waste can never be totally eradicated, it can be significantlyreduced by careful planning. An effective programme of hospital waste management can havedistinct economic benefits such as cost saving linked to waste reduction and improved purchasingpower. Ministry of Environment and Forest, Government of India, notified the rules formanagement and handling of bio-medical waste called Bio-medical waste (Management andHandling) Rules 1998.These rules apply to all hospitals that generate, collect, receive, store,transport, treat, dispose or handle bio-medical waste in any form .It is extremely unfortunatethat medical waste regulation has never before focused on the immediate and extremely highrisk faced by the hospital workers and waste handlers. There is no mention of worker’s safety,procedure, training and operation and monitoring the activities. Now, hospital waste managementis one of the thrust areas which is drawing the attention of health authorities and the government.Biomedical waste is generated by the health care providers. Therefore, it becomes theresponsibility of this group to segregate and manage the waste in such a way, that it is nolonger hazard for them, public and environment.

INTRODUCTION

Medical care is vital for our life, health andwell-being. Hospital is a place to provide medicalcare and serve the patient. But the wastesgenerated from the medical activities carried onduring patient care have many adverse andharmful effects to the environment includinghuman beings. The huge amount of the ‘HospitalWaste’ can be hazardous, toxic and even fatalbecause of their high potential for diseasestransmission. Because of its composition, thereare significant risks associated with ‘HospitalWaste’. Infections are the most common health

hazards associated with poor hospital wastemanagement, which has been magnified with theadvent of AIDS and Hepatitis B virus infectionsand increase in the prevalence of the diseaseslike hospital acquired infections and transfusiontransmitted diseases. The hazardous and toxicpart of waste from health care establishmentscomprising infectious, bio-medical and radio-active material as well as sharps (hypodermicneedles, knives, scalpels etc.) constitute a graverisk, if these are not properly treated/disposedor is allowed to get mixed with other municipalwaste. The situation gets more worsen due to itsability to contaminate other non-hazardous/non-


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toxic municipal waste. The rag pickers and wasteworkers are often worst affected, becauseunknowingly they rummage through all kinds ofpoisonous material while trying to collect itemsto sell for reuse. Beside this air pollution due toemission of hazardous gases by incinerator suchas furan, dioxin, hydrochloric acid etc. havecompelled the authorities to think seriously abouthospital waste and the diseases transmittedthrough improper disposal of hospital waste. Thisproblem has now become a serious threat forthe public health and, ultimately, the CentralGovernment had to intervene for enforcing properhandling and disposal of hospital waste and aBio-medical Waste (handling and management)Rule was introduced in 1998.

A modern hospital is a complexmultidisciplinary system which consumesthousands of items for delivery of medical careand is a part of physical environment. All theseproducts consumed in the hospital leave someunusable leftovers i.e. hospital waste. The lastcentury witnessed the rapid mushrooming ofhospital in the public and private sector, dictatedby the needs of expanding population. Theadvent and acceptance of “disposable” has madethe generation of hospital waste a significantfactor in current scenario.[1]

WHAT IS A HOSPITAL WASTE?

Hospital waste is generated during thediagnosis, treatment, or immunization of humanbeings or animals or in research activities in thesefields or in the production or testing of biologicalwaste. It may include wastes like sharps, soiledwaste, disposables, anatomical waste, cultures,discarded medicines, chemical wastes, etc.These are in the form of disposable syringes,swabs, bandages, body fluids, human excreta,etc. This waste is highly infectious and can be aserious threat to human health if not managed ina scientific and discriminate manner. It has beenroughly estimated that of the 4 kg of wastegenerated in a hospital at least 1 kg would beinfected.[2] Hospital waste contaminated bychemicals used in hospitals is consideredhazardous.These chemicals includeformaldehyde and phenols, which are used asdisinfectants, and mercury, which is used inthermometers or equipment that measure blood

pressure. Most hospitals in India do not haveproper disposal facilities for these hazardouswastes.Thus we can say hospital waste refers toall waste generated, discarded and not intendedfor further use in the hospital.

AMOUNT AND COMPOSITION OF HOSPITALWASTE GENERATED3

(a) Amount

Country Quantity (kg/bed/day)

U. K. 2.5

U.S.A. 4.5

France 2.5

Spain 3.0

India 1.5

(b) Hazardous/non-hazardous

Hazardous 15%

a) Hazardous but non-infective 5%

b) Hazardous and infective 10%

Non-hazardous 85%

(c) Composition

By weight

Plastic 14%

Combustible

Dry cellulosic solid 45%

Wet cellulosic solid 18%

Non-combustible 20%

Indian Scenario

country wide

waste

generation (approx.)

Approx. beds-10 lakhs

Total waste generated 15 lakh Kgper day

Govt. Hospital- 9.45 lakh Kg

Pvt./Corporate - 5.25 lakh Kg

Local body hospital 0.30 lakh Kg

BIOMEDICAL WASTE

Any solid, fluid and liquid or liquid waste,including its container and any intermediateproduct, which is generated during the diagnosis,treatment or immunisation of human being or

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animals, in research pertaining thereto, or in theproduction or testing of biological and the animalwaste from slaughter houses or any other similarestablishment. All biomedical waste ishazardous. In hospital it comprises of 15% of totalhospital waste.

COMPONENTS OF BIO-MEDICAL WASTE4

i) Human anatomical waste (tissues, organs,body parts etc.)

ii) Animal waste (as above, generated duringresearch/experimentation, from veterinaryhospitals etc.)

iii) Microbiology and biotechnology waste, suchas, laboratory cultures, micro-organisms,human and animal cell cultures, toxins etc.

iv) Waste sharps, such as, hypodermic needles,syringes, scalpels, broken glass etc.

v) Discarded medicines and cytotoxic drugs(wastes comprising of outdated, contami-nated and discarded medicines)

vi) Soiled waste, such as dressing, bandages,plaster casts, material contaminated withblood etc.

vii) Solid waste (disposable items like tubes,catheters etc. excluding sharps),

viii) Liquid waste generated from any of theinfected areas (waste generated fromlaboratory and washing, cleaning,housekeeping and disinfecting activities)

ix) Incineration ash (ash from incineration of anybio-medical waste)

x) Chemical waste (chemicals used inproduction of biological, chemicals used indisinfection, as insecticides, etc.) wash andwaste water. It is a potential source of pests.

Medical wastes are also classified into fivedifferent categories based on their sources andpotential hazards they may cause.

A) Clinical Waste:

This includes body fluid, drainage bags,blood collection tubes, vials, culture dishes, othertypes of broken/unbroken glassware that werein contact with infectious agents, gauze,

bandages or any other materials that were incontact with infectious agents or blood,pathological waste including organs, body parts,tissues. These are potentially dangerous andpresent a high risk of infection to the generalpublic and to the staff.

B) Laboratory Waste:

This is also high risk category waste. Thisincludes chemicals used in the pathologicallaboratory, microbial cultures and clinicalspecimens, slide, culture dish, needle, syringes,as well as radioactive waste such as Iodine-125,Iodine -131 etc.

C) Non-clinical Waste:

This includes wrapping paper, office paper,and plastic that has not been in contact withpatient body fluid.

D) Radioactive waste:

This describes waste resulting from nuclearmedicine treatments, cancer therapies andmedical equipment that uses radioactiveisotopes. Pathological waste that is contaminatedwith radioactive material is treated as radioactivewaste rather than infectious waste.

E) Kitchen waste:

This includes food waste, wash and wastewater. It is a potential source of pests and vermin,such as cockroach, mice and rats and is thus anindirect potential hazard to the staff and patientsin a hospital.

THE WORLD HEALTH ORGANIZATIONCLASSIFIES MEDICAL WASTE INTO:

· Sharps

· Infectious

· Pathological

· Radioactive

· Pharmaceuticals

· Others (often sanitary waste produced athospitals)

Sharp wastes make up most of the volumeof medical wastes produced by SQGs. The nexthighest is blood and body fluids.


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BIO MEDICAL WASTE: A SERIOUSCONCERN

The problem of bio-medical waste disposalin the hospitals and other healthcareestablishments has become an issue ofincreasing concern, prompting hospitaladministration to seek new ways of scientific, safeand cost effective management of the waste, andkeeping their personnel informed about theadvances in this area. The need of properhospital waste management system is of primeimportance and is an essential component ofquality assurance. This topic has assumed greatimportance in our country, especially in the lightof honourable Supreme Court Judgement andthe notification of the Bio-medical waste(Management &handling) Rules, 1998.

HONOURABLE SUPREME COURTJUDGEMENT5

1. Supreme Court judgment dated 1st March1996 in connection with safe disposal of hospitalwaste ordered that

(a) All hospitals with 50 beds and aboveshould install either their own incinerator orequally effective alternative method before 30thNovember 1996.

(b) The incinerator or the alternative methodshould be installed with a necessary pollutioncontrol mechanism conforming to the standardlaid down by Central Pollution Control Board(CPCB).

(c) Hazardous medical waste should besegregated as source and disinfected before finaldisposal.

BIO-MEDICAL WASTE (MANAGEMENT ANDHANDLING) RULES, 1998

The Central Govt. has notified these ruleson 20th July, 1998 in exercise of section 6[6], 8[7]

and 25[8] of the Environment (Protection) Act,1986. Prior to that, the draft rules were gazettedon 16th October, 1997 and Public suggestions /comments were invited within 60 days. Thesesuggestions were considered before finalising therules.

SCOPE AND APPLICATION OF THE RULES9

These rules apply to all those who generate,collect, receive, store ,transport, treat, disposeor handle bio-medical waste in any form.

According to these rules, it shall be the duty ofevery occupier of an institution generating bio-medical waste, which includes hospitals, nursinghomes ,clinics, dispensaries, veterinaryinstitution, animal houses, pathology laboratories,blood banks etc., to take all steps to ensure thatsuch wastes are handled without any adverseeffect to human health and the environment. Theyhave to either setup their own facility within thetime frame (schedule VI[10]) or ensure requisitetreatment at a common waste treatment facilityor any other waste treatment facility.

HEALTH HAZARDS ASSOCIATED WITHPOOR MANAGEMENT OF BIO-MEDICALWASTE11

Hospital waste management is a part ofhospital hygiene and maintenance activities. Infact only 15% of hospital waste i.e. “Biomedicalwaste” is hazardous, not the complete. But whenhazardous waste is not segregated at the sourceof generation and mixed with non-hazardouswaste, then 100% waste becomes hazardous.The question then arises that what is the needor rationale for spending so much resource interms of money, man power, material andmachine for management of hospital waste? Thereasons are:

a) Injuries from sharps leading to infection toall categories of hospital personnel andwaste handler.

b) Nosocomial infections in patients from poorinfection control practices and poor wastemanagement.

c) Risk of infection outside hospital for wastehandlers and scavengers and at timegeneral public living in the vicinity ofhospitals.

d) Risk associated with hazardous chemicals,drugs to persons handling wastes at alllevels.

e) “Disposable” being repacked and sold byunscrupulous elements without even beingwashed.

f) Drugs which have been disposed of, beingrepacked and sold off to unsuspectingbuyers.

g) Risk of air, water and soil pollution directlydue to waste, or due to defectiveincineration emissions and ash.

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APPROACH FOR HOSPITAL WASTEMANAGEMENT

Based on Bio-medical Waste (Managementand Handling) Rules 1998, notified under theEnvironment Protection Act by the Ministry ofEnvironment and Forest (Government of India).

1. IDENTIFICATION OF VARIOUSCOMPONENTS OF THE WASTEGENERATED12

The Bio-medical Waste (Management andHandling) Rules, 1998 says that such waste shallbe segregated into containers/bags at the pointof generation in accordance with Schedule II[13]

of the Rules prior to its storage, transportation,treatment and disposal. This would help in easyidentification of the various components of healthcare waste. All containers bearing hazardousmaterial must be adequately labelled accordingto Schedule IV[14] of the Rules.

2. SEGREGATION OF WASTE

Segregation is the essence of wastemanagement and should be done at the sourceof generation of bio-medical waste e.g. all patientcare activity areas, diagnostic services areas,operation theatres, labour rooms, treatmentrooms etc. The responsibility of segregationshould be with the generator of biomedical wastei.e. doctors, nurses, technicians etc. (medical andparamedical personnel). The biomedical wasteshould be segregated as per categoriesmentioned in the rules.

The colour, coding, type of container to beused for different waste category and suggestedtreatment options are listed below:

COLOR CODING & TYPE OF CONTAINERFOR DISPOSAL OF BIO-MEDICAL WASTE15

3. COLLECTION OF WASTE:

Collection of bio-medical wastes should bedone as per rules in colour coded plastic bagsas mentioned in the earlier table. There is a needto be vigilant so that intermixing of differentcategories of waste is not done inadvertently bythe patients, attendants or visitors. Thecontainers for collection should be strategicallylocated at all points of generation as mentionedin the earlier table. The process of collectionshould be documented in a register, the colouredpolythene bags should be replaced and thegarbage bin should be cleaned with disinfectantregularly.

4. STORAGE OF WASTE:

Storage refers to the holding of bio-medicalwaste for a certain period of time, after which itis sent for treatment and disposal. In other wordsit means that the duration of time wastes are keptat the site of generation and transit till the pointof treatment and final disposal.

5. TRANSPORTATION OF WASTE

Within hospital, waste routes must bedesignated to avoid the passage of waste throughpatient care areas. Separate time should beearmarked for transportation of bio-medicalwaste to reduce chances of its mixing withgeneral waste. Desiccated wheeled containers,trolleys or carts should be used to transport thewaste/plastic bags to the site of storage/treatment.

Trolleys or carts should be thoroughlycleaned and disinfected in the event of anyspillage. The wheeled containers should be sodesigned that the waste can be easily loaded,remains secured during transportation, do nothave any sharp edges and is easy to clean anddisinfect. Hazardous biomedical waste needingtransport to a long distance should be kept incontainers and should have proper labels. Thetransport is done through desiccated vehiclesspecially constructed for the purpose having fullyenclosed body, lined internally with stainless steelor aluminium to provide smooth and impervioussurface which can be cleaned. The driver’scompartment should be separated from the loadcompartment with a bulkhead. The loadcompartment should be provided with roof ventsfor ventilation.

Colour

Coding

Type

of Contain

ers

Waste

Categ

ory

Treatment

Options as per

Schedule 1

Yellow Plastic bag 1,2,3,

6

Incineration/d

eep burial

Red Disinfected

Container/

Plastic bag

3,6,7 Autoclaving/Mi

cro waving/

Chemical

Treatment

Blue/

White

translu

cent

Plastic

bag/punctu

re proof

container

4,7 Autoclaving/Mi

cro waving/

chemical

treatment and

destruction/sh

redding

Black Plastic bag 5,9,10

(Solid

)

Disposal in

secured

landfill


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6. TREATMENT OF HOSPITAL WASTE:16

Improper treatment of hospital waste creates alot of health risks to the public. The failure toproperly dispose of syringes and needles canresult in them being repackaged, leading to anunsafe reuse. Also, mismanagement of hospitalwaste leads to health risks to all those who areexposed to it.Treatment of waste is required:

· To disinfect the waste so that it is no longerthe source of infection.

· To reduce the volume of the waste.

· Make waste unrecognizable for aestheticreasons

· Make recycled items unusable.

6.1 General Waste

The 85% of the waste generated in thehospital belongs to this category. The safedisposal of this waste is the responsibility of thelocal authority.

6.2 Bio-medical Waste: 15% of hospital waste

· Deep burial: The waste under category 1and 2 only can be accorded deep burial andonly in cities having less than 5 lakhpopulations.

· Autoclave and microwave treatment:

Standards for the autoclaving andmicrowaving are also mentioned in theBiomedical Waste (Management andHandling) Rules 1998. All equipmentinstalled/shared should meet thesespecifications. The waste under category3,4,6,7 can be treated by these techniques.Standards for the autoclaving are also laiddown.

· Shredding: The plastic (IV bottles, IV sets,syringes, catheters etc.), sharps (needles,blades, glass etc) should be shredded butonly after chemical treatment/microwaving/autoclaving. Needle destroyers can be usedfor disposal of needles directly withoutchemical treatment.

· Secured landfill: The incinerator ash,discarded medicines, cytotoxic substancesand solid chemical waste should be treatedby this option.

· Incineration: The incinerator should beinstalled and made operational as perspecification under the BMW Rules 1998 anda certificate may be taken from CPCB/StatePollution Control Board and emission levelsetc. should be defined. In case of smallhospitals, facilities can be shared. The wasteunder category 1, 2,3,5,6 can be incinerateddepending upon the local policies of thehospital and feasibility. The polythene bagsmade of chlorinated plastics should not beincinerated.

7. SAFETY MEASURES17

7.1 Safety Measures for the Medical and Para-medical Staff

The following instructions need to be notifiedand strictly adhered to:

Clear directives in the form of a notice to bedisplayed in all concerned areas.

Issuance of all protective clothes such as,gloves, aprons, masks etc. without fail.

Sterilisation of all equipment and issue of onlyproperly sterilised equipment and tool, suchas, surgical tools to the medical personneland maintenance of registers for thispurpose.

Provision of disinfectant, soap etc of the rightquality and clean towels/tissue papers

Regular medical check-up (half-early).

7.2 Safety Measures for Cleaning andTransportation Staff

Display of illustrated notices with clearinstructions for do’s and don’ts in Hindi andthe local language.

Issuance of all protective gears such as,gloves, aprons, masks, gum boot etc .withoutfail.

Provision of disinfectant, soap etc of the rightquality and clean towels.

Provision of a wash area, where they cantake bath, if needed/desired.

Washing and disinfecting facility for thecleaning equipment and tools.

Regular medical check-up (at least half-yearly).

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8. TRAINING

Each and every hospital must have wellplanned awareness and training programmefor all personnel working in the instituteincluding administrators, medical,paramedical and sanitary staff.

The administration of the establishment,whether big or small, should provide writteninstructions to all the departments generatingor managing waste, stating the policy of theorganisation and the decisions taken whichare to be adhered to.

All the medical professionals must be madeaware of Bio-medical Waste (Managementand Handling) Rules 1998.

Training should be conducted to allcategories of staff in appropriate language/medium and in an acceptable manner.

A core group of trainers should be trained forcontinued in-house training of theadministrative, para-medical and sanitationstaff.

8. MANAGEMENT AND ADMINISTRATION

A Hospital Waste Management Committeeshould be constituted in each hospital for properimplementation of Bio-Medical WasteManagement Rules’ 98, under the chairmanshipof the Medical Superintendents. It is a broadbased committee with representatives fromhospital administration, clinical departments,pathology and microbiology departments and haspowers to take decisions on all matters relatingto bio-medical waste management in theirrespective hospitals. Heads of each hospital willhave to take authorization for generation of wastefrom appropriate authorities as notified by theconcerned State /U.T. Government, well in timeand to get it renewed as per time schedule laiddown in the rules. The annual reports, accidentreports, as required under BMW rules should besubmitted to the concerned authorities as perBMW rules format.

9. MEASURES FOR WASTE MINIMIZATION

Proper collection and segregation ofbiomedical waste are important. At the sametime, the quantity of waste generated is equally

important. A lesser amount of biomedical wastemeans a lesser burden on waste disposal work,cost-saving and a more efficient waste disposalsystem. Hence, health care providers shouldalways try to reduce the waste generation in day-to-day work in the clinic or at the hospital. As faras possible, purchase of reusable items madeof glass and metal should be encouraged. Selectnon PVC plastic items. Adopt procedures andpolicies for proper management of wastegenerated, the mainstay of which is segregationto reduce the quantity of waste to be treated.Establish effective and sound recycling policy forplastic recycling and get in touch with authorisedmanufactures.18

9.1 Authorization

Every occupier of the institution generating,collecting, receiving, storing, transporting,treating, disposing or handling bio-medicalwastes in any other manner, except suchoccupier of clinics, dispensaries, pathologicallaboratories, blood banks providing treatment/service to less than 1000 patients per month andevery operator of bio-medical waste facility shallmake an application in the prescribed Form No.I to the Prescribed Authority for the grant ofauthorization.19A prescribed fee shall alsoaccompany the application for the grant ofauthorization.20

9.2 Role of Advisory Committee

“In order to check the waste managementan Advisory Committee should be formed. Rule(1) puts an obligation on the Government of everyState to constitute an Advisory Committee. TheCommittee will include experts in the field ofmedical and health, animal husbandry andveterinary sciences, environmental manage-ment, municipal administration and any otherrelated department or organization including non-governmental organizations.21 The committeeshall advise the Government and the PrescribedAuthority about matters related to theimplementation of these rules.

The Ministry of Defence shall constitute anAdvisory Committee in respect of all health careestablishments to advise the Director General,Armed Forces Medical Services and Ministry ofDefence in matters relating to implementation of


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these rules.22 Further Rule 9-A provides that theCentral Pollution Control Board shall monitor theimplementation of these rules in respect of allthe Armed Forces health care establishmentsunder the Ministry of Defence.

9.3 Common Disposal/ Incineration Sites

Rule 14[23] which was inserted in 2000,provides that the Municipal Corporations,Municipal Boards or Urban Local Bodies, as thecase may be, shall be responsible for providingsuitable common disposal/ incineration sites forthe bio-medical wastes generated in the areaunder their jurisdiction. In the areas outside thejurisdiction of any Municipal Body, it shall be theresponsibility of the occupier generating the bio-medical waste/ operator of the bio-medical wastetreatment facility to arrange for suitable sites,individual or in association, so as to comply withthe provisions of these rules.[240

10. COORDINATION BETWEEN HOSPITALAND OUTSIDE AGENCIES

Co-ordination between the civic authorityand the common treatment / disposal facility isextremely important for timely removal of thewaste. There should be no confusion regardingplacement of the waste components, theircontainers and colour coding, removal scheduleetc. The hospitals should always be in co-ordination with:

I. Municipal authority : A large percentageof waste (in India up to 85%), generatedin Indian hospitals, belongs to generalcategory (non-toxic and non-hazardous).The hospital should haveconstant interaction with municipalauthorities so that this category of wasteis regularly taken out of the hospitalpremises for land fill or other treatment.

II. Co-ordination with Pollution ControlBoards: Search for better methodstechnology, provision of facilities fortesting, approval of certain models forhospital use in conformity with standardslaid down.

III. Private Agencies: To search for costeffective and environmental friendlytechnology for treatment of bio-medical

and hazardous waste. Also, to search forsuitable materials to be used ascontainers for bio-medical wasterequiring incineration/autoclaving/microwaving.

IV. Development of non-PVC plastics as asubstitute for plastic which is used in themanufacture of disposable items.

CONCLUSION

The safe and effective management of bio-medical waste is not only a legal necessity butalso a social responsibility. Lack of concern,motivation, awareness and economic factors aresome of the problems faced in proper hospitalwaste management. Clearly there is a need forawareness and education about the hazardsassociated with improper waste management.Lack of apathy to the concept of wastemanagement is a major obstacle to the practiceof waste disposal. An effective communicationstrategy is imperative keeping in view the lowawareness level among different category of staffin the health care establishments regardingbiomedical waste management. Therefore, it isemphasised on the following policy initiatives:

1. To ensure that the regulations areimplemented and supported by regulatorybodies. Strict instructions by authoritiesshould be given and fear for punitive actionshould be there in the Para medical staff.

2. To ensure an access to clean disposaltechnologies and clean medical productswhich do not create undesirable waste sothat the sector can benefit from them.

3. Addressing worker safety issues thoughprocedures, information and training,involving various stakeholders such asnurses and ward boys and otherparamedical staff without whom any wastesystem can hope to succeed.

4. An accreditation system for health careunits, for the waste management system,can only be as good as other systems withinthe hospital.

5. Incorporating training and awarenessthrough on-going programs and

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incorporating waste management focusesin course curriculum.

6. The development of safe and reliabletransport and collection systems for hospitalwaste to support the sharing of facilities andthe setting up of common treatment facilities.

7. Solid waste utilization practices after propertreatment for cost containment for wastemanagement /cost recovery should beadopted by other large hospitals especiallytertiary care hospitals where the treatmentcost is very high and bulk of solid waste isgenerated.

8. Awards and incentives are components forthe success of the programme. ‘Awards’should be instituted for medical, surgical,laboratory and research staff for suggestinginnovative ideas/ designs/systems tocombat with the problem. Similarly, thenursing and the Para medical staff andsanitation staff may also be given awardsto suggest practical ideas for improvementin their sphere of activities.

REFERENCES

1. Hospital Waste: An Environmental Hazard And ItsManagement — Dr. Hem Chandra



4. Biomedical Waste (Management and Handling) Rules1998 : Gazette of India extraordinary, Part II, Section-3, Subsections II), 1998, dated 28th July 1998.

5. Dr. B.L.Wadehravs.Union of India&ors. [AIR 1996 SC2969];

6. Rules to regulate environmental pollution

7. Persons handling hazardous substances to comply withprocedural safeguardsPower to make rules

8. Biomedical Waste (Management and Handling) Rules1998

9. Schedule for waste management facilities likeincinerator/autoclave / microwave system

10. Hospital waste an environmental hazard and itsmanagement,by: Dr. Hem Chandra


12. Colour coding and type of container for disposal of bio-medical wastes

13. Label for transport of bio-medical waste containers/bags

14. Schedule II of the bio-medical waste (management andhandling) rules, 1998

15. Hospital waste: an environmental hazard and itsmanagement,by: Dr. Hem Chandra


17. hospital waste an environmental hazard and itsmanagement,by: Dr. Hem Chandra

18. P.S.Jaswal, NishthaJaswal, Environmental Law,Allahabad Law Agency, 3rd Edition, pg.430

19. Rule 8 of The Bio-Medical Waste (Management andHandling) Rules, 1998.

20. P.S.Jaswal, NishthaJaswal, Environmental Law,Allahabad Law Agency, 3rd Edition, pg.430.

21. Rule 9(2) of The Bio-Medical Waste (Management andHandling) Rules, 1998.

22. Rule 14 of The Bio-medical Waste (Management andHandling) Rules, 1998.

23. P.S.Jaswal, NishthaJaswal, Environmental Law,Allahabad Law Agency, 3rd Edition, pg.431.


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A CRITICAL STUDY ON FINANCIAL PERFORMANCE OF

SIDBI

*PRAKASH YADAVA

Research Scholar, BBD University, Lucknow, Uttar Pradesh, India

ABSTRACT

The financial performance of SIDBI in recent years is critically analyzed in this paper. Theresearch paper suggests the recommendations for improvement in financial performance ofSIDBI.

*Address for correspondence : Prakash Yadava, Research Scholar,BBD University, Lucknow, Uttar Pradesh, India


INTRODUCTION

The Small Industries Development Bank ofIndia (SIDBI) was set up in 1990 under an Actof Parliament- the SIDBI Act, 1989. The charterestablishing SIDBI envisaged SIDBI to be “theprincipal financial institution for the promotion,financing and development of industries in thesmall scale sector and to coordinate the functionsof other institutions engaged in similaractivities.”SIDBI commenced its operations onApril 2, 1990, by taking over the outstandingportfolio and activities of IDBI pertaining to thesmall-scale sector.


(I) RESEARCH DESIGN

Descriptive Research

(II) SAMPLE DESIGN

Sample Unit : SIDBI

(III) DATA COLLECTION METHOD

Secondary data is used such as SIDBI’swebsite, Published data of SIDBI, internet etc.

(IV) TOOLS FOR ANALYSIS-

Ratios, Dupont analysis

DATA ANALYSIS & INTERPRETATION

LIQUIDITY RATIO –

CURRENT RATIO

INTERPRETATION

We can see that the current ratio of SIDBIis first decreasing from 2011 to 2012 and then itis increasing from 2012 to 2013. Hence, thefinancial position at present sounds good.

QUICK RATIO

YEAR 2011 2012 2013

CURRENT

RATIO

1.11 155129/146804

= 1.05

181856/202099

= 0.899

%

CHANGE

11

5.41 14.29

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INTERPRETATION

The Quick Ratio is seen as 0.72, 0.67, and0.16 for 2011, 2012, and 2013 respectively. It isdecreasing from 2011 to 2013.

LEVERAGE RATIOS

DEBT EQUITY RATIO

YEAR 2011 2012 2013

TOTAL DEBT 0.00 0.00 0.0014RATIO

CHANGE (%) 0.00 0.00 0.00

INTERPRETATION

In the total debt ratio, we can see that theratio is constant 0.00 in the year 2011and 2012respectively and then it increased and became0.0014 in the year 2013.

TURNOVER RATIO

INTERPRETATION

In the turnover ratio we can see that the ratioof the company is decreasing from 0.99, 0.68and 0.13 for the year 2011, 2012 and 2013respectively. This shows that the company’sturnover is decreasing.

GROSS MARGIN RATIO

INTERPRETATION

The gross margin for the company in ratiois calculated as Gross Margin Ratio and here wecan see that the Gross Margin Ratio for the year2011, 2012 and 2013 is 1.30, 6.41 and 7.55respectively.

DUPONT ANALYSIS

0

20

40

60

80

201120122013

quick

ratio

percenta

ge

change

0

0.001

0.002

201120122013

total debt

ratio

percentag

e change

YEAR 2011 2012 2013

TURNOVER

RATIO

0.99 0.68 0.13

CHANGE % 98 -31.31 -80.88

-100

0

100

200

2011 2012 2013

turnover

ratio

percentage

change

YEAR 2011 2012 2013

GROSS

MARGIN RATIO

1.30 6.41 7.55

CHANGE (%) 30.00 393.07 17.78

0

200

400

600

2011 2012 2013

gross margin

ratio

percentage

change

RATIO FORMULAE 2011 2012 2013

a)Turnover ratio Sales/ Net Asset 1.84 3.91 1.18

b)Gross margin ratio Gross Profit/ Sales 1.30 6.41 7.55

c)Operating leverage EBIT/ Gross Profit 0.58 0.86 2.71

d)Return on Net

Asset(RONA)

a * b * c 13.87 21.55 24.14

e)ROI (before tax) EBIT / Net Asset 4.09 6.13 6.80

f)Financials

Leverage Income

Profit After Tax/

EBIT

0.55 0.58 0.57

g)Financial leverage

(B/S)

Net Asset/ Net Worth 0.56 0.44 0.37

h)Return on equity

(ROE)

e * f * g 1.25 1.56 1.43

i)Retention ratio Retained Earnings /

Profit After Tax

0.75 0.76 0.76

j)Equity growth h * i 0.94 1.19 1.09


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Graphical Presentation of Du Pont Analysis

INTERPRETATION

From the above Graphical Presentation it isclear that the Return on Net Assets is increasingyear by year which is a good sign for theenterprise. On the other hand, the values of theReturn on Equity and Equity Growth are facingthe fluctuations as they are first increasing andthen they tend to fall.

FINDINGS

· Since the SIDBI is a premier institution henceit is playing a very important role indevelopment of SSIs.

· Passing through financial fluctuations SIDBIstill is the big devotee in the development ofthe SSI.

· Various ratios and analysis showed that thefinancial position of the SIDBI is somewhatviable.

· The Return on Net Assets is increasing yearby year.

· The equity‘s return is in a fluctuating stage,as it increased first and then decreased.

· The equity growth is also in fluctuating stage.

· The enterprise is presently in the gray areawhich means that it is unpredictable to saythat if the firm will become bankrupt in futureor not.

· Also the analysis showed that the differentratios calculated are also showing thefluctuating nature for the last three years.

SUGGESTIONS AND RECOMMENDATIONS

Although the organisation serves the nationwith various benefits and vitality but while goingthrough the study of this organisation I wouldsuggest this enterprise to make alterations.

In Du Pont Analysis, it is seen that the Returnon Net Assets is at a good growth but the Returnon Equity and Equity growth is decreasing yearby year.

Hence the efforts should be made in orderto improve these two also.

REFERENCES

1. Kotahri C.R. (2002), Research Methodology: Methods& techniques, Viswa Prakashan

2. Pandey I.M. (2008).Financial Management, VikasPublication house Pvt. Ltd.

3. www.sidbi.co.in

0

10

20

30

2011 2012 2013

RONA

ROE

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ROLE OF GEOGRAPHICAL ENVIRONMENT ON

ENVIRONMENTAL DEGRADATION COGNITION IN TRIBAL

AND NON-TRIBAL ZONES

* MAHENDRA SINGH1, ROHTASH MALIK2

1Research Scholar, Department of Geography, Sai Nath University, Ranchi, India2 Principal, Mahila Mahavidyalaya, Jhojhu Kalan, Bhiwani, India

*Address for correspondence: Mahendra Singh, Research Scholar, Department of Geography,Sai Nath University, Ranchi, India

ABSTRACT

Environmental degradation is the complex process involving transformation and material lossfrom any one of the environmental components. Environmental degradation arises by naturalprocesses or by man-made activities. The primary knowledge about environmental degradation,causes and consequences of environmental degradation and planning measures aboutenvironmental degradation are the three main parameters selected to know the cognition aboutenvironmental degradation in different geographical environment in the Jalgaon district of theMaharashtra state considered for the study. Among the geographical environment, parameterssslike location, slope of land, physiography, climate, soils, resources, accessibility, socio-economic status, population etc. are considered to demarcate the tribal and non-tribal zonesof the study region. Geographical environmental zones and their relation with environmentaldegradation cognition were studied with the help of statistical method.

Keywords : Material Loss, Natural Process, Consequences, Cognition Process

INTRODUCTION

The major form of environmentaldegradation varies from region to region,depending upon the geographical environment.The major causes of environmental degradationare water pollution and scarcity, air pollution,global atmospheric changes, solid andhazardous wastes, congestion and noise invarious areas, soil loss, forest loss in rural areas,depletion of raw materials and energy resources,ecosystem losses. The main consequence of theenvironmental degradation is on health,productivity and amenity in the region. In thisresearch article, investigators have studied therole of geographical environmental factors oncognition about environment degradation.

STUDY REGION

In this research work, Jalgaon district ofMaharashtra state is selected for study due tosizable variations in geographical environment.

Northern part of the study region is occupied bySatpura Mountainous area, steep slope,undulating relief, lower agricultural land, unfertilesoil, low accessibility, inhabitance of tribalcommunity like Pawara, Tadavi, Bhil. Theextreme southern part is occupied by Ajanta hills,a offshoots of Sahyadri Mountain habited by tribalcommunity “Banjara”. The central part of thestudy region is occupied by Central Tapti riverplain, which is agriculturally fertile, prosperous,high literacy area, accessible and is inhabitedby non-tribal community hindu, muslim, harijanpopulation. This area is well developed areaknown as cotton and banana belt of India. Thetribal and non-tribal zones dominate themonsoon climate.

OBJECTIVES

1) To study and mark the geographicalenvironmental zones in the study region

2) To know the environmental degradation


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cognition among the tribal and non-tribalpopulation

3) To study the comparison betweenenvironmental area and cognition ofenvironmental degradation.

4). To suggest some planning measures toimprove cognition of environmentaldegradation.

SOURCE DATA AND RESEARCH

METHODOLOGY

To complete this basic and applied researchwork, investigators have used the secondary datafor the study and demarcation of geographicalenvironmental zones. Gazetteers,census handbook, general population report, atlas, socio-economic data are gained from secondarysources. To achieve our objectives primary datais generated from door to door to survey with thehelp of questionnaire, interview of experts andfield observations. The identified ten questionsrelated to three parameters like primaryknowledge about environmental degradation,cognition about causes and consequences ofenvironmental degradation and planningmeasures, views about environmentaldegradation are included in questionnaire. Fromthe both tribal and non -tribal environmentalzones, ten villages are selected by stratifiedsampling method. From these villages onehundred houses were selected for questionnairesurvey with the help of stratified samples. Thequestionnaire data was developed in tabulationand processed by statistical method. Thecomparative study was done and the results wereobtained.

GEOGRAPHICAL ENVIRONMENT AND

COGNITION OF ENVIRONMENT

DEGRADATION

In the study region, two environmental zonesare demarcated i.e. central Tapti river plain, aagriculturally prosperous region inhabited by non-tribal population and northern Satpura isolatedhilly area, inhabited by tribal community. For thisstudy, two geographical environmental regionswere considered. Both the regions are havingidentical environment reflecting theenvironmental degradation cognition among thepopulation.

Table I : Tribal environment and Cognition of

environmental degradation

Source – Field Work, 2010

Table I revels the gender variations ofcognition among the tribal population among theten tribal villages. There are variations inenvironmental degradation, cognition among thetribal males and females. There are alsovariations in environmental degradationparameters like primary knowledge aboutenvironmental degradation, cognition aboutcauses and consequences of environmentaldegradation and environmental planning. Amongthe ten tribal villages there are sizable variationsin primary knowledge about environmentaldegradation i.e. ranges from 50.70 % to 53.50%among the male population. Among the malepopulation we can see lower level of cognitionabout environmental degradation i.e. 35.90 % to40.80 %. The tribal parameter of environmentaldegradation planning is lowest among the tribalmales population. i.e. 25.10% to 29.10%. Ascompared to tribal male population, tribal femalepopulation is having lower level of environmentaldegradation parameter. As we see in table, asizable tribal women population is having primaryknowledge about environmental degradation i.e50.15 % to 52.80%. While cognition about causesand consequences of environmental degradationis lower than first parameter i.e. 32.10% to38.50%. The planning views about environmental

Sample

Villages

% of Population

(Males)

% of Population

(Females)

Primary

Knowled

ge in

Env.

Degradat

ion

Cognition

about

cause &

Consequen

ces

of Env.

Degradatio

n

Planning

about

Env.

Degradat

ion

Primary

Knowled

ge in

Env.

Degradat

ion

Cognition

about

cause &

Consequen

ces

of Env.

Degradatio

n

Planning

about

Env.

Degradat

ion

Borkheda

53.50

38.50

28.50

52.50

35.80

25.70

Nimade

54.30

37.40

27.50

51.60

36.90

26.50

Garbardi

51.50

40.15

29.30

50.15

38.50

28.50

Haripura

52.80

40.80

28.50

51.80

39.80

27.30

Mohamma

dali

50.70

35.90

25.10

51.00

36.80

23.10

Lalmati

47.80

37.80

28.50

50.10

37.50

25.50

Jamne

51.90

38.90

26.10

50.80

35.30

25.90

Sakshtrali

52.80

39.40

27.80

51.50

32.10

26.10

Langda

amba

53.50

38.50

28.50

52.80

33.50

27.50

Chichati

52.50

39.50

29.10

51.50

34.10

28.90

Avg.

52.13

38.68

27.89

51.37

36.03

26.50

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degradation is lowest among the tribal womeni.e only 23.10 %to 28.90%. There are sizablevariations among the tribal women aboutenvironmental degradation in the ten samplevillages. Lastly, we can see that tribal malepopulation is having higher environmentaldegradation cognition than tribal females in thestudy region.

TRIBAL LITERACY AND COGNITION ABOUT

ENVIRONMENT DEGRADATION

On this aspect, investigators have studiedthe co-relation between illiterate and literacypopulation and cognition about environmentaldegradation. From the ten villages, illiterate andliterate males / females were surveyed byidentified questionnaire to study the relationshipbetween literacy and cognition aboutenvironmental degradation.

In the identified questionnaire on cognitionabout environmental degradation, 50 questionsfor illiterates and literates were keenly observedand from that it was noted that there is closerelationship between literacy and cognition ofenvironmental degradation. The illiterate malesand females are having the lower level ofcognition about environmental degradation thanthe tribal literates in the study region. There aregender variations in cognition aboutenvironmental degradation. Males are having thehigher cognition about environmentaldegradation than tribal females. In therepresentative questionnaire, we can see thatthere are variations in environmental degradationparameter. Almost tribal males and female arehaving higher cognition about primary knowledgeof environmental degradation, than cognitionabout causes and consequences ofenvironmental degradation and environmentaldegradation planning. The same pattern we cansee in the Table II about environmentalparameters among the tribal males and females.

NON-TRIBAL ENVIRONMENT AND

COGNITION OF ENVIRONMENTAL

DEGRADATION

The central part of the study region isoccupied by Tapti river basin, which is extensivefertile plain, accessible area and socially andeconomically developed region, and inhabited by

non-tribal Hindu population. This area isagriculturally prosperous region known as cottonand banana belt of India. This area has higherinfrastructure facilities. Ten villages from thisenvironmental zone were selected for case studyand one hundred questionnaires from eachvillage were considered as sample study. Whileselecting the samples for study, males, females,literacy levels were also considered

Table II : Non-tribal environment and cognition of

environmental Degradation

Source – Field work 2010

Table II shows the gender variations ofcognition about environment degradation amongthe non-tribal population in the study villages.There are sizable variations in cognition aboutenvironmental degradation among males andfemales. In the environmental degradation study,we have considered the three parametersprimary knowledge about environmentaldegradation cognition, causes andconsequences of environmental degradation andplanning view. Among the non-tribal malepopulation, we can see higher cognition about

Sample

Villages

% of Population (Males)

% of Population (Females)

Primary

Knowledg

e in Env.Degradati on

Cognition

about cause &Consequen

ces of Env.

Degradation

Planning

about Env. Degradati on

Primary

Knowledg e

in Env. Degradati on

Cognition

about cause &Consequen

ces of Env.

Degradation

Planning

about Env. Degradati on

Hingone

65.50

52.50

45.90

64.50

51.50

42.80

Mohorale

66.80

53.80

42.95

65.80

52.30

41.90

Bhadali

67.50

54.50

43.80

66.60

53.50

42.80

Nashirabad

65.30

53.00

45.80

65.80

50.80

44.50

Anjale

68.35

52.80

49.30

68.20

51.90

45.90

Dhanova

69.15

51.50

46.50

67.50

51.30

45.50

Mehunbare

6.20

52.30

45.80

65.10

51.50

44.80

Fattehpur

65.50

51.90

46.60

63.30

52.00

46.50

Bodwad

62.50

50.80

47.50

61.50

51.00

46.80

Anturli

65.90

51.50

46.30

64.30

51.20

45.50

Avg.

60.27

52.46

46.04

65.26

51.70

44.70


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environmental degradation than the non-tribalfemales. The basic knowledge aboutenvironmental degradation value ranges from62.50% to 69.15% for the males. The secondparameter causes and consequences effect viewvalue ranges between 50.80% to 54.50% formales. The third parameter planning measuresvalue is lowest for the males. Among the non-tribal females, we can see variations in theenvironmental degradation parameters. As ourexpectations, there is lower value about causesand consequences and planning measures aboutenvironmental degradation among females.

To study the relationship between educatedlevel and cognition about environmentaldegradation, investigators selected fiftyquestionnaire of literates and non-tribal persons.The detail observation of these questionnaire andinterviews show that there are very closerelationship between cognition aboutenvironmental degradation and literacy levels.As our expectations, illiterates are having lowerlevel of cognition about environmentaldegradation.

OBSERVATIONS AND FINDINGS

* There are sizable variations about cognitionenvironmental degradation among tribal andnon-tribal population.

* There is difference in cognition aboutenvironmental degradation among the malesand females in both geographicalenvironment.

* In both environment zones, male and femalesare having higher level of cognition aboutprimary knowledge on environmentaldegradation than other parameters.

* All most whole population of the study regionhas lowest level of planning measures aboutenvironmental degradation.

* To improve the environmental degradationcognition among the population, awarenessprograms like documentary films, posters,exhibitions, street plays, essay competitionetc. should be implemented.

REFERENCES

1. Maharashtra State Gazetteers, Govt. of India, 1981.

2. Choondowat, Samiksha (2005). Assessment of Naturalresources and Environmental Degradation in Udaipurbasin”, Ph.D thesis, Dept. of Geography. M. Z. SukhadiaUniversity, Udaipur, (Rajasthan) India.

3. Mittal, S. Agrawal M (2004) : Environment andEnvironmental education in 21st Century, NavchetanaPublication, Jaipur.

4. Santra, S. C. (2009). Environmental Science, NewCoastal Book Agency (P) Ltd., Kolkata

5. Sinha, S. K. and Swaminathan M.S. (1989).Deforestations, Climate Change and sustainableNewton Security : A case study of India Climate change19. 2001-09.

6. Singh, Savindra (2000). Environment Geography.Prayag Pub. Allahabad.

7. Saxena, H. M. (2000). “Environmental Degradation”

Rawat publication, New Delhi

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ANALYSIS OF RESPONSIVENESS & ASSURANCE DIMENSIONS OF

SERVICE QUALITY & CUSTOMER SATISFACTION IN INDIAN

AIRLINES

*RENUKA SINGH,

Former Lecturer, Chandra Shekhar Azad University of Agriculture & Technology ,

Kanpur, Uttar Pradesh, India

*Address for Correspondence: Dr . Renuka Singh, Former Lecturer, Chandra ShekharAzad University of Agriculture & Technology , Kanpur, Uttar Pradesh, India


ABSTRACT

Delivering high quality service to passengers is important for airlines to survive, gainingcompetitive advantages through repeated customer patronage, preferred transportation supplierstatus, market share gains and eventually increased profitability for the airlines . Airlinecompanies have realized the importance of satisfied customers to find a place for themselvesin this competitive world and initiated many projects to measure service quality and satisfy thecustomers by improving service quality. Based on this, in this study, in order to evaluatecustomer’s satisfaction at Domestic Airlines, with special reference to Indian Airlines the factorsaffecting customer’s experience were analyzed using weighted SERVQUAL SCALE & GAPANALYSIS methodology.

This research paper evaluates the underlying forces of service quality- influences on passenger’ssatisfaction in domestic Airline, with special reference to Indian Airlines. The study examineswhich dimensions have a positive influence on service quality and which dimensions have themost and least important impact on service quality in domestic air travel, as perceived by Indianairline passengers. The findings of this study are based on the analysis of a sample of 300respondents. The findings reveal that the service quality dimensions are positively related tocustomer’s satisfaction.

Keywords: Service Quality, Customer’s Satisfaction, Service Quality Dimensions, GAPAnalysis, CRM.

INTRODUCTION

An essential aspect of managing servicequality is the identification of client expectations,and then designing the service system to focuson these requirements. The airline businessmust aim at fulfilling the individual customer’sneeds or even reaching beyond these. Theairline companies have realized that they haveto listen to consumers to survive in a competitivemarket.(Booth M;2000) and airline companiesalso have become aware of the importance ofhaving happy customers (Riddleberger EJ;IBMGlobal Business Services;2009). The pre-requisite of the customer’s satisfaction isunderstanding and knowing what they want.

The aviation sector has become the mostimportant segment in the economic developmentof a nation. It plays a vital role in moving peopleor products from one place to another, especiallywhen the distances involved are far. In a highlycompetitive environment the provision of highquality services to passengers is the corecompetitive advantage for an airline’s profitabilityand sustained growth. In the past decade, as theair transportation market has become even morechallenging, many airlines have turned to focuson airline service quality to increase servicesatisfaction. Service quality conditions influencesan industry’s competitive advantage by retainingcustomer patronage, and with this gain market


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share. Delivering high-quality service topassengers is essential for airlines survival, soairlines need to understand what passengersexpect from their services. Understandingexactly what customers expect is the most crucialstep in defining and delivering high-qualityservice. Service quality is one of the best modelsfor evaluating customer’s expectations andperceptions. The performance of a companyleads to passenger’s satisfaction with a productor service. According Heskett et al. (1994), profitand growth are simulated by customer’s loyaltyand loyalty in its turn is driven by customer’ssatisfaction, and customer’s satisfactiondepends on the value customers receive fromthe service.

Understanding importance and sources ofcustomer satisfaction is important for anycompany or any industry to grow and remainprofitable, but in airline industry customers arecarriers’ only assets (Carlzon, 1987). Henceunderstanding and managing satisfactionthrough service quality is essential, and requiresgreater attention from carriers nowadays, instruggling and challenging environment.According to Parasumaran et al. (1991),continuously providing consistent, reliable andfair services is a key to achieve customer’sloyalty.

Airlines should also know their competitorsand consider the market competition campaign.CRM is an essential component of the corporatestrategy of airline companies to differentiatethemselves from competitors in the eyes ofcustomers.( Boland et al 2002). In recent years,customer relationship management has beenexpanded to include an integrated perspectiveon marketing, sales, customer service, channelmanagement, logistics and technology forengaging in customer’s satisfaction. Practitionersare calling it customer relationship management(CRM) and are interested in all aspects ofinteractions with customers to maintain a long-term profitable relationship with them.

The purpose of this study is to identify thedimensions of service quality and aims atinvestigating how these dimensions contributeto customer’s satisfaction in Indian Airlines. Thisresearch work discusses a process approach toservice quality in the airline Industry, taking a

customer’s point of view. The process describessteps from ticket purchase to the completion ofthe journey, analyzing each step from servicequality perspective and assigning attributes thathelp to measure customer’s satisfaction in IndianAirlines.

The results from this research may be usefulfor airline industry, airline managers to improvetheir service quality and customer’s satisfaction,finally the growth of the airline industry.

PROBLEM STATEMENT

Excellent passenger’s satisfaction is one ofthe greatest assets for airline industry in today’scompetitive environment . The research relatedto service quality and customer’s satisfaction inthe airline industry has been growing in interestbecause the delivery of high service quality isessential for airline’s survival andcompetitiveness. A number of studies have beenconducted in service quality related theories andmethods in the airline industry. . Althoughexamining the effect of individual dimensions ofservice attributes has potentially great utility forairline managers, the effects of individualdimensions of airline service quality has not beenfully investigated in previous airline servicestudies. Keeping in view all these aspects, thisstudy is conducted. The main aim of the study isto analyze service quality and customer’ssatisfaction of domestic airlines with specialreference to Indian Airlines. In addition, thefindings would enhance the airliners to improvetheir service quality, customer relationshipmanagement CRM, and finally customer’ssatisfaction.

LITERATURE REVIEW

Customers consider five dimensions in theirassessment of service quality-Reliability,Responsiveness, Assurance, Empathy,Tangibles. Of the five dimensions, Reliability isconsidered to be the most important one. It refersto the company delivering on its promises. Theother four dimensions relate to the process ofservice delivery or how the service was delivered.

Service is intangible, performed by people,providing satisfaction to customers. Services areessentially performance. Services have uniquecharacteristics i.e. intangibility, inseparability ,

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heterogeneity , perishability and ownership.Quality of a service , as perceived by thecustomer is the result of a comparison betweenthe expectations of the consumer and his real –life experiences. A service quality can bedescribed as the delivering of excellent orsuperior service relative to customer ’sexpectations . According to Parasuraman ,Zeithaml and Berry(PZB) ;

Perceived Service Quality = PerceivedService – Expected Service .

Most important factor for the risingimportance of service quality is that it is provingto be a winning competitive strategy. The ultimateaim of an excellent service quality system is tosatisfy the customer’s need and go beyond todelight the customers. A good or excellentservice quality would result in customer’ssatisfaction or customer’s delight. Increasedcustomer’s satisfaction in turn leads to higherlevel of customer retention and also positive wordof mouth.

In an era of increased competition, theimportance of achieving high levels ofcustomer’s satisfaction has gained the attentionof researchers and practitioners alike. This isespecially the case in the service sector, wheremany companies are focusing upon servicequality improvement issues in order to drive highlevels of customer’s satisfaction.

Numbers of common factors have beenidentified as critical drivers of customer’ssatisfaction. The service profit chain is one of themost widely supported theories of customer’ssatisfaction Heskett et al. (1994). In brief, itproposes a positive linear relationship betweenstaff satisfaction, service quality and customersatisfaction leading, ultimately, to profitability.Parasuraman etal. (1985) also recognized thesignificance of staff satisfaction and servicequality as drivers of customer satisfaction indeveloping their SERVQUAL measurement tool.

Airlines need to have valid and reliablemeasures for a better understanding of thevariables likely to impact the perception of servicequality being offered by them. They need tomeasure not only customer perceptions but alsoexpectations of airline passengers. If significantvariations are found in the perceptions of airline

passengers’ vis-à-vis service quality on thedifferent flights, changes in the marketing mixneed to be implemented to improve theperception of quality. But, in general, passengerhardships have increased after Sept 11 attacks (Gkritza, Niemeier & Mannering 2006). Much ofthe research in services marketing centers onunderstanding services and service quality fromcustomer’s point of view (Brown et al. 2006).

Maintaining quality are the main concernsof business today. Providing quality is not aconcern of manufacturing companies alone. Thedelivery of high-quality service becomes amarketing requirement among air carriers as aresult of competitive pressure (Ostrowski et al.,1993).

OBJECTIVES OF THE STUDY

The Indian Airline is suffering from veryintense competitions on its national market. Theairline is not only enduring from low market shareon most routes, on which other airlines are alsohaving flight operations but also losing themarket share on some others. The pre-requisiteof the customer’s satisfaction is understandingand knowing what they want. In such a scenario,service quality is a significant driver of passengersatisfaction, loyalty and choice of airlines. Thusscientific investigations into service quality andcustomer’s satisfaction is need of the hour Themain aim of the study is to analyze service qualityand customer satisfaction of domestic airlineswith special reference to Indian Airlines. Specificobjectives of the study are as follows –

1- To examine in detail the services being offeredin domestic airlines with special referenceto Indian Airlines .

2- How can the passenger’s satisfaction withinIndian Airlines be described?

3- To investigate how much satisfied IndianAirlines passengers are with its services?

4- To evaluate how can Indian Airlinesmanagers improve and promote satisfactionlevel among the passengers?

In order to evaluate the customer ’ssatisfaction and service quality in domesticairlines industry with special reference to IndianAirlines, the following hypotheses have beenmade ;


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1- Service quality leads to customer ’ssatisfaction.

2- Service quality creates brand loyalty.

3- Empathy is one of the important dimensionsin service quality.

4- Reliability has a direct positive effect onservice quality.

5- Tangiblity has an importance in servicequality.

METHODOLOGY

In this study, sampling was done byinterviewing, randomly selected 300 passengers,at different Air Ports i.e. Indira GandhiInternational Airport , New Delhi , ChoudharyCharan Singh Airport Lucknow. A structuredquestionnaire was used for data collection. Thequestionnaire was divided into two sections, inwhich first section reveals the demographicprofile of respondents and second part was forevaluation of their overall experiences, as theyreceived from the Indian airline’s services. Thequestions were phrased in the form of statementsscored on a 5-point Likert type scale, rankingfrom “highly dissatisfied / highly disagree” to“highly satisfied/ highly agree”. Average scoreanalysis was used to evaluate to various servicequality dimensions. Service quality andcustomer’s satisfaction were analyzed on thebasis of Mean Difference, which is presented inTable-1&2

SERVICE QUALITY AND CUSTOMER’SSATISFACTION ANALYSIS

TABLE 1: DEMOGRAPHIC ANALYSIS

Demographic Profile of of Respondents

In demographic profile of respondents , it isfound that there was total 64% male and 36%female respondents who replied the researchquestions regarding service quality and customersatisfaction in Indian Airlines, in which 69%respondents were married and 31% respondentswere unmarried. Regarding age group analysisof respondents there were 24% respondentsbelonging to age group of 21- 30 years, 29%respondents were of age group between 31- 40years, 31% respondents were of age group 41-50 years, and 16% respondents belonged to

age group 51 to 60 years . Regardingbackground of respondents there were

91% urban respondents who were usingIndian Airlines flights , while remaining 09%respondents belonged to rural background.Regarding education level of respondents , it isfound that 09% respondents were havingeducation up to Intermediate, 44% Graduate,37% Post Graduate, 03% having PhD, while 07%were doctors, engineers and othersprofessionals. It is found that the main reasonto use airline’s flights by the respondents was

GENDER Total No of Respondents

N=300

%

MALE 192 64%

FEMALE 108 36%

MARITAL STATUS

MARRIED 207 69%

UNMARRIED 93 31%

AGE 21-30

31-40

41-50

51-60

72

87

93

48

24%

29%

31%

16%

BACKGROUND

URBAN

RURAL

273

27

91%

09%

EDUCATION INTERMEDIATE

GRADUATE

POST GRADUATE

PhD.

Dr/ Engg/ Other

Proffessional

27

132

111

9

21

09%

44%

37%

03%

07%

Reason to Fly-

Business

Jobs

Education

Others

300

108

111

42

39

36%

37%

14%

13%

Frequent Flyer 231 77%

Since How Long

Flying-

More then one Years

More then three years.

Less then one year

111

90

69

37%

30%

23%

Common way to

purchase ticket

On- Line

Other.

258

42

86%

14%

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jobs/ service related works(37%), followed bybusiness related trips (36%)and 14% foreducational purpose. Majority of therespondents (86%) said that they perform theselection and purchase of air tickets bythemselves, via online bookings. Out of 300respondents, 77% respondents were frequentflyers of Indian Airline’s. The study shows that37% respondents were using airline servicesmore than one year, 30% were using airlineservices more than three years, while 23%respondents were using airlines services lessthan one year.

Table 2: Gap Analysis

Expected services (E) & Perceived services (P)

Gap Analysis –

“ The difference between expectations minusperceptions (D=E-P). A negative differenceindicates on the average that perceived realityexceeds expectations that should producesatisfied customers. On the other hand, apositive difference indicates that on theaverage. Perception of service delivery failedto meet the expected level of service qualityindirectly producing dissatisfied customers.”(Parasuraman et al).

1. It is found in study that majority ofrespondents 99% are satisfied withservice quality attribute of “ getting properinformation about time of various servicesof the Indian Airline’s”. There is –ve GAP ;D= -0.04, in expected services andperceived services ,which indicatescustomers are satisfied with this servicequality.

2. The study reveals that there is positivegap D= 0.07 regarding “ Prompt andAccurate services of the Indian Airlines”.

“ A positive difference indicates that on theaverage, perception of service deliveryfailed to meet the expected level of servicequality indirectly producing dissatisfiedcustomers.” So it indicates that customersare dissatisfied with ‘ Prompt and Accurateservices of the Indian Airlines’. So there isneed to improve this service quality,because customer’s satisfaction dependson service quality and finally makes profitto company.

3. Regarding “ Efficient check –in & BaggageHandling services, of the Indian Airlines, itis found that there is +ve GAP ,D= 0.18, inexpected service mean and perceivedservice mean. .” So it indicates thatcustomers are dissatisfied with thisservices quality of the Indian Airlines. Soimprovement is needed for this servicequality also.

4. It is found that there is –ve GAP (D= -0.03), in service quality dimension ofwillingness to help to passengers by theIndian Airlines staff. It indicates thatcustomers of Indian Airlines are satisfied

SERVICE

QUALITY

DIMENSIONS:

RESPONSIVENES,

ASSURANCE,

TANGIBILITY ,

EMPATHY,

RELIABILITY i.e.

(RATER MODEL)

& ATTRIBUTES

Total

No

YES

f

f

%

Mean Yes

f

f

%

Mean Gap(D)=

(Expected

service –

Perceived

service).

D =E-P

(~ Mean)

Gap(D)=

(Expected

service –

Perceived

service).

D = E-P

( ~ f %)

Reponsiveness

1. Get Informations

about time of

service.

300

285

95%

0.95

283

99%

0.99

D= - 0.04

D=

~0 4%

2. Prompt& accurate

services.

300 288 96% 0.96 257 89% 0.89 D= 0.07 D=

~ 07%

3. Efficient Check –

in & Baggage

Handling services

300

291

97%

0.97

232

79%

0.79

D= 0.18

D= 18%

4. Willingness to

help

300 288 96% 0.96 286 99% 0.99 D= - 0.03 D= 0

~3%

5-Prompt handling

of

request/complaints

300 252 84% 0.84 197 78% 0.78 D= 0.06 D=

~06%

ASSURANCE :

6. Knowledge to

answer customers'

questions.

300

294

98%

0.98

291

98%

0.98

D= 0

D=

~0%

7. Trustworthy crew.

300 291 97% 0.97 290 99% 0.99 D= - 0.02 D=

~02%

8. Employees instill

confidence to

passengers.

300

273

91%

0.91

272

99%

0.99

D= - 0.08

D=

~8%


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with service quality attribute of the IndianAirlines.

5. Regarding Prompt handling of request/complaints: The study reveals that thereis positive gap D = 0.06, “ a positivedifference indicates that on the average,perception of service delivery failed tomeet the expected level of service qualityindirectly producing dissatisfiedcustomers.” So it indicates that customersare dissatisfied with services qualityattribute of prompt handling of requests/complaints by the employees of IndianAirlines. So there is need to improve thisservice quality attribute for more customersatisfaction, because customer satisfactiondepends on service quality.

6. There is no GAP (D=0) found in perceivedservices and expected services of theIndian Airlines in reference to ‘ Knowledgeto answer customers’ questions: by theemployees of the Indian Airlines.

7. The study reveals that there is negativegap D = - 0.02, “ The difference betweenexpectations minus perceptions (D=E-P).A negative difference indicates on theaverage that perceived reality exceedsexpectations, means that produce satisfiedcustomers. It indicates good service qualityattribute of the Indian Airlines havingtrustworthy crew.

8. It is found that there is negative GAP (D =-0.02) for service quality attribute‘employees in stil l confidence topassengers’, which indicates thatpassengers of the Indian Airlines aresatisfied with this service quality attributeof the Indian Airlines.

9. It is found that there is positive GAP (D=0.14), which indicates customersdissatisfaction regarding feel safe andsecured during flights. So improvement isneeded by the Indian Airlines for theircustomers to feel safe and secured duringflights.

10. The study reveals that there is positivegap D = 0.14 for services quality attributeof ‘flights breakdown,’ “a positive difference

indicates that on an average, perceptionof service delivery failed to meet theexpected level of service quality indirectlyproducing dissatisfied customers. Itindicates that passengers of the IndianAirlines are dissatisfied with service qualityattribute of flights breakdowns. So thereis need to improve this service qualityattribute too.

CONCLUSION

Airline service dimensions were found tohave direct and positive influences on airlineimage and passengers satisfaction intentions.In this study, passengers are satisfied to theservice provided and overall facilities deliveredby the airline companies. The passengers aresatisfied with the services quality delivered in in-flight services. While analyzing demographicprofile of the passengers, educated and workingpassengers mostly belonging to urban areas areusing flights more frequently. The resultssuggested that according to the gap scores,responsiveness dimension has better customer’ssatisfaction level and assurance dimensionfollowed the responsiveness. In these twodimensions, it is observed that customers aresatisfied in general with service qualitydimension of responsiveness and assurance.When considered in totality, the results of thisstudy suggest that majority of passengers aresatisfied with basic services provided by IndianAirlines. To combat the growing competition dueto globalization, it is suggested that there shouldbe satisfaction among passengers of IndianAirlines regarding vast network of services, safeand secured flights, waiting time etc. Unsatisfiedpassengers expect airline to ensure safe journey,to meet time commitments, convenient flightschedules, less waiting time for baggage arrival,better baggage handling mechanism etc.

REFERENCES

1. Boland Declan,Doug Morrison & Sean O’Neill ( 2002),“The future of Airline CRM’’.

2. Booth M (2000) Integrated Marketing Communications.MediaCat Publications, Istanbul , Compiled by: Iron ,F. and Kirdar , F., “ Customer Relationship Management: CRM , Review of Social , Economic & Business Studies7/8 : 293-308. Carlzon ,Jan (1987) , Moment of Truth,Ball inger Publications Company: Cambridge,Massachusets, USA.

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3. Gkritza, K., Niemeier, D. & Mannering, F. (2006). Airportsecurity screening and changing passengersatisfaction: An exploratory assessment. Journal of AirTransport Management 12, 213–219

4. Heskett, J.L., Jones, T.O., Loveman, G.W., Sasser,W.E. Jr and Schlesinger, L.A. (1994), “Putting theservice-profit chain to work”, Harvard Business Review,March/April, pp. 164-74.

5. IBM Institute for business value, The future of airlineCRM.page 1- 19.

6. Parasuraman, A., Zeithaml, V. A., & Berry, L. L. (1985).A conceptual model of service quality and itsimplications for future research. Journal of Marketing,49, 41-50.

7. Parasuraman, A., Berry, L.L., and Zeithaml V.A. (1988).SERVQUAL: A multiple-item scale for measuringconsumer perceptions of service quality. Journal ofRetailing, 4(1), 12-37.

8. Parasuraman, A., Zeithaml, V. A., and Berry, L. L.(1991). Refinement and reassessment of theSERVQUAL scale. Journal of Retailing, 67(4), 420-50.

9. Riddleberger EJ (2009) Leading a SustainableEnterprise. IBM Global Business Services 1-16 NewYork.

10. Ostrowski, P. L., O Brien, T. V., and Gordon, G. L.(1993). “Service quality and customer loyalty in thecommercial airline industry”, Journal of Travel

Research, Vol. 32, pp. 16-28.


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A STUDY ON MORAL JUDGMENT ABILITY OF TEENAGERS

(14-19 YEAR)

*SUNIL KUMAR SINGH1, MANISHA SINGH2

1Department of Education, Geeta P.G. College of Education, Panipat, Haryana, India, 2Research Scholar,

Dr. R. M. L. Awadh University, Faizabad, Uttar Pradesh, India

*Address for correspondence: Dr. Sunil Kumar Singh, Professor ,Department of Education,Geeta P.G. College of Education, Panipat, Haryana, India,

e mail: [email protected]

ABSTRACT

Moral judgment involves a cognitive capacity to define situation in terms of right and duties.Pre-adolescent can see themselves better from other people’s view and thus develop awarenessfor moral issues. The sample consisted of 300 children, 150 of which were in the age group of14-16 years and 150 in the age group of 17-19 years. Sex ratio was also maintained. Moraljudgment was measured by Moral judgment Test developed by Meera Verma and Durga NandSinha. Results revealed a significant difference in the moral judgment ability between two groupswith older children (17-19 years) scoring higher than younger ones (14-17 years), whichsuggested that maturity is a necessary (though not sufficient) condition for development ofmoral judgment ability.

Key words: Morality, Judgment ability, Teenagers

INTRODUCTION

Morality, which is defined as the sum of anindividual’s way of behaving that is judgedthrough person’s ethical rightness or wrongness,refers to how human beings come to resolvediscrepancies between their centered egoisticneeds and obligations to act in favor. The abilityto make moral judgment plays an important rolein the development of morality. Moral judgmentinvolves a cognitive capacity to define situationin terms of rights and duties. It is the ability toevaluate the situations and moral issues as rightor wrong keeping in view the knowledge of moralstandards. Developmental theorizing andresearch have centered on the three moralcomponents mentioned below.

An affective, or emotional, component thatconsists of the feelings (guilt, concern for otherfeelings) that surround right or wrong actions andmotivate moral thoughts and actions.

A cognitive component that centers on theway we conceptualize right and wrong and makedecisions about how to behave.

A behavioral component that reflects howwe actually behave when we experience thetemptation to lie, cheat or violate other moralrules.

Table 1: Six Dimensions of Character that Define

Moral Maturity

Developmental theorists generally agreed on six

aspects of moral maturity shown in table.

THE COGNITIVE COMPONENT OF MORAL

DEVELOPMENT:

Cognitive develop mentalists study moralityby examining the development of moralreasoning that children display when decidingwhether various acts are right or wrong.According to cognitive theorists, both cognitive

S.

No.

Character

Dimension

Sample traits

1 Principle –

Idealistic

Clear values, concerned about doing right,

highly development conscience, law abiding.

2 Dependable – loyal Responsible, loyal, reliable faithful, honorable.

3. Has integrity Consistent, rational, hard working.

4. Caring-Trustworthy Honest, trustful, sincere, kind, considerate.

5. Fair Virtuous, fair, just.

6. Confident Strong, self assured self confident.

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growth and social experiences help children todevelop progressively richer understandings ofthe meaning of rules, laws and interpersonalobligations. As children acquire these newunderstandings, they are said to progressthrough an invariant sequence of moral stages,each of which evolves from and replaces itspredecessor and represents a more advancedor mature perspective on moral issues. Piagetformulated a stage theory of moral developmentthat includes a pre moral period and two moralstages. Kohlberg has refined and extendedPiaget’s theory. He discovered that moraldevelopment extends for beyond Piaget’sautonomous stage, becoming increasinglycomplex through out adolescence and into youngadulthood. Like Piaget, Kohlberg assumes thateach succeeding stage evolves from andreplaces its predecessor; once the individual hasattained a higher stage of moral reasoning, heor she should never regress to earlier stages.

IMPACT OF PARENTING ON THE

DEVELOPMENT OF MORAL JUDGEMENT

ABILITY :

The child gets the first idea of right andwrong from his parents. There is also animportant cognitive component to parents’interaction with their children that may facilitatechildren’s moral development, parents arecentrally important by virtue of their concern withtheir affective relationship with their child, andtheir ability to provide the types of interactionsthat facilitate moral judgment. Moral judgmentis generally affected by disciplinary techniquesthat parents actually use. Three majorapproaches are: -

(1) Love withdrawal: A form of discipline inwhich an adult withhold attention, affection,or approval in order to modify or control achild’s behavior.

(2) Power Assertion: A form of discipline whichan adult relies on his or her superior powerto modify or control a child’s behavior.

(3) Induction: Explaining why a behavior iswrong and should be changed byemphasizing how it affects other people,often suggesting how the child might repairany harm done.

Parents with inductive discipline are moreeffective for various reasons. First, it provideschildren with cognitive standard (or rationales)to evaluate their conduct. Second, this form ofdiscipline helps children to sympathies withchildren and allows parents to talk about suchmoral affects as pride, guilt and shame.

So induction may be an effective method ofmoral socialization because it calls attention tothe cognitive, affective and behavioral aspectsof morality.

An approval of studies reveals that the abilityof moral judgment passes through adevelopmental phase which follows aprogressive increase for judging in terms ofinternal purposes, norms and value. This occursin predictable stages related to stages inintellectual development. As children’s ability toperceive change, they move into a higher levelof moral development.

In view of the above, the present study hasbeen planned with the objective to study theimpact of age difference, gender, parentseducation for learning moral judgment ability.

OBJECTIVES:

Bearing in mind all the points discussed, thepresent study focuses on the following objectives:

* To study the moral judgment of respondents.

* To study the impact of age on moraljudgment.

* To study the effect of gender on moraljudgment.

HYPOTHESES:

i) There will be a significant difference in moraljudgment ability of 14-16 years and 17-19years age groups.

ii) There will be no significant difference in moraljudgment of boys and girls.

SAMPLE AND SAMPLING PROCEDURE

The sample for the study consisted of 300students in the age group 14-19 years. Thesample further comprised of 150 children in 14-16 years age group and 150 in 17-19 years agegroup. The ratio between boys and girls was alsomaintained in each category i.e. 75 boys and 75


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girls in each age group.

FIGURE 1 : DISTRIBUTION OF RESPONDENTS

RESEARCH DESIGN :

When more than one independent variableis included in a study, a factorial design isnecessary. By using 2 x 2 factorial design theresearcher has studied the significant impact ofgender and age.

TOOLS USED:

Moral Judgment Test by Meera Verma &Durganand Sinha (1967)

General- Information Performa

ANALYSIS OF DATA:

FREQUENCY DISTRIBUTION FOR

SELECTED VARIABLES

Table 2: Frequency Distribution of Respondents

according to their Age

Table3: Frequency Distribution of Respondents

According to their Sex

MORAL JUDGEMENT OF RESPONDENTS

The moral judgment of the respondent wasassessed by Moral Judgments Test. Scores formoral judgment were calculated. Mean, standarddeviation and z score and chi-square values werecomputerized in the view of the findings and theresults were interpreted.

Table 4: Frequency distribution of respondents

according to their moral judgment ability

A close perusal of Table-4 reveals thatmaximum subjects in the age group 17-19 years(85) fall under ‘average’ category while in the agegroup 14-16 years 59 respondents were under‘average’ category. This indicates that morenumber of older children i.e. 17-19 years old hadthe average ability to make moral judgment ascompared to younger children i.e. 14-16 yearsold.

There were 27 subjects of 14-16 years agegroup in “Very High Ability” category where asthere were only12 subjects of 17-19 years agegroup in this category. In the ‘High Ability’category the number of subjects from both agegroups was similar. In ‘Low Ability’ category also,the number of subjects from 2 age groups wasagain almost similar. Thus although the numberin the very high ability is slightly higher for theyounger age group; the majority of respondents

Total No. of Respondents

(N = 300)

14-16 years age group 17-19 years age group

(N=150) (N=150)

Boys Girls Boys Girls

(N=75) (N=75) (N=75) (N=75)

Age Group Subject N

14-16 Years Boys 75

Girls 75

17-19 Years Boys 75

Girls 75

Age Group Very

High

Ability

High

Ability

Average

Ability`

Low

Ability

Very

Low

Ability

Total

14-16 years 27 25 59 17 22 150

17-19 years 12 25 85 13 15 150

Total 39 50 144 30 37 300

Age Group N

14-16 Years 150

17-19 Years 150

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lie in the average category, where the oldsterspredominate.

Table 5: Comparison of Mean Scores of subjects at

two age-levels over their Moral Judgment

*Statistically significant at .01 and .05 probabilitylevel

It is clear from Table-5 that mean score ofrespondents in the 17-19 years age group washigher than the mean scores of respondents inthe younger age group 14-16 years. Also thevalue of Z was significant.

In agreement with the above finding, Gibbset al. (1982) reveals the fact from a study thatmaturity of moral reasoning is strongly related toage. A combined data from a cross-sectionalstudy reveals that age is correlated with moralmaturity at .72.

Higher moral judgment ability of subjects inthe age group 17-19 years, who are almost onthe threshold of adolescence, can be accountedto their ability to think rationally and understandother person’s perspective which comes withincrease in age. As children begin to interact withother people and their social sphere broadens,they come to know that others may have differentview point from theirs. They start judging asituation in a rational way and become able toconsider consequences and intentionssimultaneously when judging the morality of anact.

In case of 14-16 years age bracket thecomputed value of Z is greater than 1.96 butLevels than 2.58, so, it is significant at 5% levelof significance but insignificant at 1% level ofsignificance.

Table 6: Comparison of Mean Scores of Boys and

Girls over their Moral Judgment

*Statistically Significant at .05 level ofsignificance.

It is inferred from Table-6 that the meanscores for girls was slightly higher than the meanscores for boys at both the age levels but thevalue of z was significant which indicates thatthere is no significant difference between moraljudgment of boys and girls.

In line, walker (1984) found no consistentgender differences in the stages at which peoplewere scored when responding to Kohlberg’sdilemmas. Rather he believed that the moralreasoning of males and females is more similarthan different.

In contrast, research finding has found thatin females and males moral reasoning oftencenters on different concerns and issues. Whilefemales often articulate a care perspective andmales a gender perspective, the genderdifference is not absolute and the two orientationsare not mutually exclusive (Yons1990).

Thus, these general patterns may be theresult of the different ways in which males andfemales are socialized in our society. A womantaught since childhood to value compassiontoward others and social obligations and a manto value his freedom to make choices.

MAJOR FINDINGS

Major findings of the present study aresummarized as follows:-

i). A significant difference was found in moraljudgment level in the two age groups; witholder children (17-19) scoring higher thanthe younger ones (14-16 years).

Age Group Mean Standard

Deviation

Z

Score

14-16 years boys 25.8 5.5

4.9* 17-19 years boys 32.8 7.9

14-16 years girls 26.8 7.8

2.2* 17-19 years girls 29.7 6.8

Age

Group

Subject Mean

Scores

Standard

Deviation

Z

Score

14-16

years

Boys 27.4 5.1

2.1 * Girls 29.7 7.8

17-19

years

Boys 30.6 2.5

.53 Girls 29.9 12.3


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ii). Insignificant gender difference wasobserved in the moral judgment ofrespondents.

CONCLUSION

It was concluded from the research findingsthat cognitive maturity is closely related to maturemoral judgment. This is not surprising as a highlevel of abstract thinking is required in thedevelopment of evaluation of intent, rationalethical standards and sensitivity to the roles,perceptions and feelings of others. Also, definiteshifts in moral judgment occur with increase inchronological age, as older subjects were foundhigher in moral judgment. Further, certainantecedent conditions like sex, father’s educationshowed negligible impact on moral judgment butmother’s education was found to be of paramountimportance.

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17. Kothari, S. 1994. The role of SES, IQ and sex in thedevt. of moral concepts among 6th graders. PrachiJournal Psychocultural Dimensions. 9(2) : 69-75.

18. Krevans, J & Gibbs, J.C. (1996) Parents’ use ofinductive discipline. Retations to children’s empathyand pro social behaviour. Child Devt., 67, 3263-3277.

19. Lin, S. & Jun, Y. 1992. Case control study of familybackground and intelligence structure of children withacademic difficulties. Chinese Mental Health Journal.6 (4) : 157-159.

20. Lind, P & Smith, E.J.1984. Moral reasoning and socialfunctioning among educable mentally handicappedchildren. Journal of Developmental Disabilities. 10(4): 209-215.

21. Lyons, N.P. 1990. Listening to voices we have notheard. In C.Gilligan, N.P. Lyons (Eds), MakingConnections. Cambridge : Harvard Univ. Press.

22. Newton, G.B. 1984. A study of selected factors relatedto moral devt. in children ages 7-10 Diss. Abstr. Int.44 (9) : 2707.

23. Nichols, K.E. 1982. A longitudinal study of deliberatemoral and psychological educational intervention :moral and ego devt. in early adolescence. Diss. Abstr.Int. 42 (2) : 4707.

24. Papalia, Diane E. & Olds, Sally. W. 1986. A Child’sWorld. 4th Ed. New Delhi. Mc Grow - Hill BookCompany.

25. Piaget, J. 1932. The Moral Judgement of the Child.Newyork : Free Press.

26. Ratcliff, D.E. 1987. Predicting the moral developmentof the mentally retarded. Journal of Psychology andChristianity. 6(1): 65-67.

27. Sharma, V. & Kaur, K. 1992. Moral judgement asfunction of intelligence, birth order and age of thechildren. Psychologia - An International Journal ofPsychology. 35(2) : 121-124.

28. Sigmand, M & Erdynast, A. 1988. Interpersonalunderstanding and moral judgement in adolescentswith emotional and cognitive disorders. Child

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Psychiatry and Human Devt. 19 (1) : 36 - 44.

29. Speicher, B. 1992. Adolescent moral judgement andperception of family interaction. Journal of FamilyPsychology. 6 (2) : 128 - 138.

30. Speicher, B. 1994. Family patterns of moral judgementduring adolescence and early childhood.Developmental Psychology. 30(5) : 624-632.

31. Verma, B.P. &Murti, R. 1998. Intgerface betweenprolonged deprivation and intelligence as determinantsof values, needs and adjustments of male and femalestudents. Indian Educational Review. 34 (2) : 79-89.

32. Walker, L.J. 1984. Sex differences in the devt. of moral

reasoning : A Critical Review. Child Development. 55: 677 - 691.

33. Walker, L.J. & Taylor, J.H. 1991. Family interactionand the devt. of moral reasoning. Child Development.62 : 264 - 283.

34. Wygant, S.A. & William, R.N. 1995. Perceptions of aprincipled personality; An interpretive examination ofthe Defining Issues Test. Journal of Social Behaviour

and Personality. 10 (1) : 53 - 66.


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E –GOVERNANCE IN HIGHER EDUCATION

*S.K. SINGH1, MANISHA SINGH2,

PRIYANKA SINGH3

1Geeta P. G. College of Education, Panipat, Haryana, India, 2Research Scholor, Dr.R. M. L.Awadh University,

Faizabad, UP, India, 3Research scholar, Sai Nath University, Ranchi, India

*Address for correspondence: Prof. Sunil Kumar Singh, Principal, Geeta P. G. College of Education,Panipat, Haryana, India,


ABSTRACT

Higher education in India has seen massive growth in recent years. On one hand, this growthpromises to produce more skilled individuals to fulfill needs of ever growing Indian economyand on the other hand it poses a huge challenge for the governing bodies like UGC, AICTE andothers to maintain or improve the quality of education. An integrated Higher Education ServiceSystem (HESS) at a national level can be one of the key ICT initiatives to help India become aprovider of world-class education. This system can provide deep visibility to governing bodiesat a university and student level to analyze their performance and hence gear up for futurerequirements. HESS will enable various stakeholders to leverage the improved operationalefficiency in various key processes like grants, utilization certificates, approval processes,feedback mechanism etc. With deeper visibility and increased operational efficiency the IndianHigher Education System would be bolstered not only to satisfy the needs of students by makingthem more employable but also combat possible competition from foreign universities.

Keywords : e-Governance, Higher Education Service System, Integrated System

INTRODUCTION

India has seen a lot of change in itseducational system since independence. Thegovernment has shown great commitment interms of funds for educational sector over manyyears. These funds have created many world-class institutions like IITs, IIMs etc. but these kindsof institute are few in number. Pressing need ofan emerging India necessitates theestablishment of high quality institutions/universities in sufficient number. India has oneof the largest Higher Education System in theworld. The higher education system, which catersto needs of approximately 99.54 lacks ofstudents, definitely deserves applause for itscommendable work so far. Despite having thelargest Higher Education System, the quality ofeducation, in general, cannot be claimed to bethe best. Providing education to such a massivestudent base brings with it a number ofchallenges both at operational and strategic levelas described below:

OPERATIONAL CHALLENGES

(1) Duplication of procedures

According to a survey conducted by FICCI,most of the promoters of institutions/universitiesfeel that multiplicity of regulating agencies likeUniversity Grant Commission (UGC), All IndiaCouncil for Technical Education (AICTE), MedicalCouncil of India ( MCI), Central Council of IndianMedicine, etc. leads to duplication of procedurescausing immense loss of time and resources.Ideally, a single window should exist for approvalprocess. The university/institute should be askedto submit all the documents at once online forapprovals. Various regulating agencies shouldthen internally coordinate to fetch the documents/details from that common pool. This would greatlyreduce the unnecessary duplication of work foruniversity.

(2) Long funding cycles

The approval cycle for funds tends to be longdue to verification and various performance

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analysis of the university being funded.Performance analysis consumes a lot of time andresource. In general, the time from request forfunds to disbursement of funds is approximatelyseven months. The difference between time ofrequest for fund and disbursement of fund leavesmuch to forecasting and guesswork. If thisdifference can be reduced then the expenditurecan be planned better. It will not only improvethe utilization rate of grants but also preventinstitute from making an unplanned and hastydecision for utilizing the remaining amount.

(3) Long Approval Processes

There are various accrediting bodies likeNAAC, NBA etc. to maintain and improve thequality of education in a university/institute.These bodies take approximately nine monthsfor the accreditation process to be completed.

The process of approval and accreditationshould be faster and preferably paperless foruniversities to get the rating quickly. If the processis short then the frequency for accreditation for auniversity can be more i.e. a university that hasbeen rated ‘A’ in one year can continue to begraded every year or every two year hence,keeping itself up-to-date with the norms and rulesset by governing bodies. This also will helpstudents who seek admission based on rankings/ratings of the colleges.

(4) Fraudulent Practices

Despite a great control of governing bodiesin Higher Education, there are many colleges andstudents who get involved in fraudulent activities.This is a cause of concern of various recruiters/other universities. It also is a negative indicatorof Indian Higher Education System for variousMNCs, present in the country, who take this newsback to their countries.

The verification of any college or student’squalification should be possible from a singlesource. This would help large universities/corporate keep a check on students trying to seekadmission/job with forged certificates.

STRATEGIC CHALLENGES

(1) Deteriorating quality of education

India has some of the great institutes anduniversities but the number of employable

students is very less. According to NASSCOM,of 3 million graduates and post-graduates addedto the workforce in India every year only 25% oftechnical and 10-15% of non-technical graduatesare employable by growing IT and ITES sector.In today’s environment, it is essential for thegoverning bodies to keep a track of universitiesbased on monthly basis. There should be a metricto assess the performance of a university on anoverall basis and on course basis. Some of thecriteria can be the progression of course duringa specified period, number of students attendingthem etc. Based on these metrics, the university/college can be asked to explain the reason forgood/bad performance. To achieve all this, thereshould be consolidated information about eachuniversity/college to track their performanceversus grants allocated.

(2) Outdated curriculum

A major issue in Higher Education today isobsolete and irrelevant course curriculum. Today,the demand of industry is far from the learningthat a student has gone through. In fast growingeconomy, the preference will always be given toa person who understands the industry practices.Based on this criterion of little practicalknowledge, many graduates are losing out onpossible job opportunities for various MNCsinside and outside the country. The need todayis to analyze the trend being followed byinstitutions of excellence. Also, by seeing howthe students are selecting their courses, a trendcan be obtained about the movement ofpreferences among students. This kind ofanalysis can help governing bodies determinethe academic plan and course curriculum for thelesser performing universities.

(3) Unemployed Students

It would be a mistake to assume thatsmaller colleges/universities would not havebright or employable students. There have beenmany cases where bright students from lesser-known colleges do not even get an opportunityto showcase their potential. It should be a dutyof governing bodies to provide someopportunities to these bright students. This canbe achieved if industry interaction is improvedthrough a common medium. The governingbodies should provide a common platform for


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best performing students and industry seekingemployees to interact for jobs, projects, researchwork etc. If a governing body is involved in thisprocess then the industry will see it as a credibleplatform to recruit.

E-GOVERNANCE

E –governance has played a major role inreducing operational inefficiency and improvingdecision-making in many areas of governance.An integrated “Higher Education Service System( HESS) “ is one such concept that can empowerthe governing bodies to administer the progressof the education plan in the whole country andserve various stakeholders in a much bettermanner.

STAKEHOLDERS OF HESS

Higher Education Service System isconceptualized to be an integrated system havinginterfaces with all the Universities. The datarequired for this system will be as following:

INPUTS REQUIRED FOR THE SYSTEM

(1) Universities/Colleges

All the universities and colleges in Indiashould have an interface with UGC by registeringthemselves with HESS. Each university will haveaccess to the system, where it would have tofurnish the following details on a periodic(quarterly/monthly) basis:

Ø Details of fund utilization

Ø Details of all the registered studentsincluding their grades, attendance etc.

Ø Courses offered and curriculum

Ø Progress of course on a periodic basis

Ø Details of academic/research project wherehuman resource is required

(2) Governing Bodies

All the governing bodies including UGC,AICTE, MCI (Medical Council of India) etc. shouldalso be registered with the system (HESS). Eachbody will have separate access to the system.These bodies will have to furnish following detailsto the system:

Ø Details of fund allocation

Ø Details of approval processes for a

university/college along with all the requireddocuments

Ø List of necessary details required foraccreditation.

(3) Industry/Corporate Bodies

Governing bodies can empanel some of theorganizations selected through a process tobecome key contributors in providing inputsregarding the latest trends in the industries. Thiswould enable the governing bodies to keep theuniversities/colleges in synch with the marketneeds. Organizations can provide input to thesystem in terms of:

Ø Desired skill set in current scenario

Ø Obsolete course contents

Ø Details of upcoming projects/employment

These contributions can be made at acommon place in the system.

OUTPUT FROM HIGHER EDUCATIONSERVICE SYSTEM

(1) Consolidated information for analysis

HESS will have consolidated information ofall the registered universities and their students.It would enable the governing bodies analyzetrends and take strategic decision in future. Forillustration, in many universities across UnitedStates, a system is used to analyze thedemographics of students registering with auniversity. It helps them analyze the applicationtrend based on geography and demographicse.g. students from which part of the country arenot applying to the university and why. Similaranalysis can be done in India by governingbodies to see and compare the performances ofvarious universities based on regions. Thisanalysis can then help them in devising a strategyfor the overall growth of a region and itspopulation.

Once the data about universities/collegesand their students is consolidated, many kindsof analysis can be carried out for the bettermentof the education system. Some of the analysiscan be:

Ø Trend Analysis of Demand: The choice ofcourses by students is probably the best

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indicator of changing market needs. Thistrend can be proactively tracked by thegoverning bodies and a mechanism can bedeveloped in short time to empower variousuniversities to deliver a quality education inthose courses.

Ø Performance Analysis: With the dataavailable about colleges and universities,various metrics can be defined to measurethe performances. Some of the metrics canbe employment rate vs. passing graduationrate. This kind of analysis will help governingbodies to concentrate on specifically onthose universities that have bademployment to passing graduates ratio.

(2) Visibility into fund utilization byuniversities

By enforcing universities/colleges to updatethe fund utilization status on a periodic (monthly/quarterly) basis the governing bodies can havea deeper visibility into the efficacy of funds. Thiswould help the governing bodies to improve theutilization rate by monitoring on a regular basisand preventing hasty decisions by universitiesto utilize the fund before its expiry.

(3) Single point of contact for universities/colleges

The system will gather all the pre-requisitesfrom governing bodies and professional councilsfor funding/approval process. This informationwill be consolidated at a place to reduce theduplication of efforts. To illustrate, when auniversity applies for funds/approval or any otherengagement with UGC (as example) then theentire necessary documents can be submittedonline by the university without any manualinteraction. These documents will stay in therepository of the HESS so that if university hasto interact with any other body like AICTE etc.then the university needs not resubmit commoninformation. The system will fetch the informationfrom the repository for AICTE. This will reducesubmission of similar information by theuniversities to different governing bodies. Thedata will be submitted by the university at acommon place and will then be re-routed tovarious governing bodies as and when required.

(4) Benchmarking against better performingcolleges

It is really astonishing to see the gapbetween some of the top institutes (IITs, IIMs etc.)of India and the other institutes. The gap amongthese institutes needs to be reduced to raise theoverall level of higher education in the country.

With HESS having consolidated informationabout all the colleges and universities,benchmarking of lesser performing colleges canbe done with the better performing collegesbased on some common criteria like:

Ø Efficacy of fund utilization: If two collegeswith similar funding perform at differentlevels then the governing bodies canorganize a knowledge sharing sessionbetween the two colleges.

Ø Better student performances: If twocolleges with same course offering andsimilar faculty - student ratio have drasticallydifferent results then the best practices canbe replicated from one college to another.

Ø Course modification: Based on feedbackfrom the industry, the system (HESS) canidentify intelligently which courses need tobe modified. Subsequently, with theapproval of authorities necessary changescan be made to the curriculum in a shorttime making our system dynamic andadaptable to change.

All this kind of analysis can be performed ina short time by using HESS.

(5) Intelligent feedback mechanism

The voices of the end consumer of educationi.e. students are rarely heard directly by thegoverning bodies. There are too many levels forthe voice or opinion of a student to remain originalbefore reaching the concerned authorities. HESScan have an interface with the students to getthe direct feedback on some critical matters likeefficacy of course etc. The feedback then can beintelligently analyzed by the system to show theimpact of suggested change on the key resultareas (like governance, teaching, evaluation etc)set by the governing bodies.


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(6) Industry orientation and improvedemployment rate

The yardstick to measure the quality ofeducation in a country is either the contributionin Research & Development ( R & D ) or theemployment rate. Assuming that every institutehas a limited number of R & D aspirants,measuring the quality of education dependsmainly on employment rate. Though governingbodies need not be responsible for creating jobopportunities yet they can play a significant rolein reducing the unemployment rate in lesser-known colleges by re-directing some of the jobopportunities. This would be a great help forbright students in lesser-known colleges. Forcreating such opportunities projects/jobs invarious fields can be published in the system byindustry/other colleges. These projectrequirements can then be internallycommunicated to select institutes based on somerules e.g. colleges with low employment rate butgood academic results can be given preference.This is not to say that governing bodies shouldact like placement agencies but like a body thatwill make sure that good universities or goodcandidates in remote areas don’t lose out anopportunity to change their lives. Assumptionhere is that the corporate houses andorganizations would trust a governing body morethan an individual university.

KEY BENEFITS

A. Single window approval/clearance system

As discussed above, the HESS can providea single window for approval/clearance for aninstitution. The documents/details to besubmitted need not be duplicated. A commonrepository would hold the documents from wherethe concerned governing body can fetch theinformation anytime.

B. Faster approval and funding processes

HESS can reduce long cycle of accreditationand approval by automating most of the manualprocesses. This will not only help in betterutilization rate but also encourage the universitiesto go for accreditation/approval on a regularbasis.

C. Keeping a check on fraudulent colleges

The integrated system can respond to any

university/college’s request to verify the statusof a college. In case of transfer/admission/placement of a student to a university/organization, his / her credentials can be verifiedon a real-time basis. This will prevent studentsfrom using fake degrees to get admission/job.

D. Improved quality of education

An integrated system like HESS can enablethe authorities to analyze the performance of oneof the best performing institute in related fieldand compare it with other colleges to identify thegap areas. Also, the system can obtain feedbackfrom industry and students to modify coursecurriculum if deemed appropriate by theauthorities. This will allow all the lesserperforming colleges to reduce the gap with betterperforming institutes. It will be helpful in thebetterment of the higher education in the countryand increase the number of employable students.

E. Increased and broadened employment

The HESS can be used as an analytical toolto assess the performance of an institute basedon employment rate vs. the number of passinggraduates. This would enable the governingbodies to capture the reason behind the lowemployment rate in a college. The opportunitiesfrom corporate houses/colleges can then bebroadly diverted to lesser-known colleges forsome bright students.

POSSIBLE ROADBLOCKS

The HESS can be a significant step inimproving the governance and service levels inhigher education but there can be someroadblocks in the success of this concept.

A. Furnishing data by universities/colleges

The biggest roadblock in the success of thiskind of system would be the availability of datawith universities/colleges. At the moment, thisdata would have to be uploaded on a monthly/quarterly basis manually in most cases. The best-case scenario would be if these institutes/universities have the required data maintainedin their own systems. In such a scenario, the datacan be fetched /requested at any moment foranalysis and decision can be taken on real dataand not past data.

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B. Threat of losing control

One possible concern area for universities/colleges would be of losing control over theutilization of funds, innovation in teaching etc.This threat would require to be attended by thegoverning bodies. Actually, it is not a threat butan opportunity to gear up for possible competitionfrom foreign universities in the long run by beingtransparent and more efficient.

C. Concern about sharing best practices

Another area of concern especially for thebetter performing institutes can be that of sharingtheir practices through which they achieved betterresults. This again needs to be addressed bythe authorities by giving some incentives forsharing their practices in an open manner withlesser performing colleges.

CONCLUSION

Higher Education Service System (HESS)is a concept that can possibly revolutionize thegovernance in higher education. It has thecapability of improving quality of higher educationand increasing number of employable students.Despite its great potential to help the highereducation in India, the success of this conceptwill be based on a great coordination and supportfrom governing bodies and universities/colleges.

REFERENCES

1. FICCI Survey on Understanding of Private HigherEducation in India, 2006

Higher Education Sector in India: Opportunities &Reforms(Foundation for Democratic Reforms / LokSatta), Tulika Khemani & Jayaprakash Narayan,March 2006.

2. Higher Education in Science and Research &Development: The Challenges and Road Ahead(INSA, New Delhi and Indian Academy of Sciences,Bangalore), August 2006.

3. Measuring Returns: Examining the Financial andProcess Improvement Impact of StudentAdministration, Human Resources, and FinanceSystems in Higher Education, White Paper by Eduventures, 2004.

4. Ministry of Education Website: http:/ /www.education.nic.in

5. National Accreditation and Assessment Council(NAAC) website,http://www.naac-india.com

6. http://www.education.nic.in

7. Proposed Plan submission is in Sept-Oct andDisbursement happens after April next year.

8. National Accreditation and Assessment Council(NAAC),http://www.naac-india.com

9. NASSCOM Report 2004White Paper by Eduventures

2004: Measuring Returns


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WOMEN EDUCATION FOR

NATIONAL DEVELOPMENT IN INDIA

* B.C. TRIPATHI1, M. AWASTHI2, R. SHUKLA3

1Department of Education, Rama Mahavidyalaya, Chinhat, Lucknow, Uttar Pradesh., India, 2Research Scholar, Sai Nath

University, Ranchi, India, 3Research Scholar, Himalayan University, Arunachal Pradesh, India

*Address for correspondence: Dr. Brijesh Chandra Tripathi, Assistant Professor, Department of Education,Rama Mahavidyalaya, Chinhat, Lucknow, Uttar Pradesh, India,

[email protected]

ABSTRACT

Education of women is most important for development of society in a holistic way. Educationhelps the women in improving their status within her family and it brings a reduction in inequalities.With an aim to encourage education to women at all levels and to remove gender bias inproviding knowledge and education, there is urgent need to establish schools, colleges anduniversities exclusively for women in various states of the country. Although some schemeshave been launched by central government and state governments in our country to educategirls, especially from marginalized families of below poverty line (BPL), followed by giving apackage of incentives in the form of providing free books, uniform, boarding and lodging, clothing,midday meals, scholarships etc., these are not sufficient considering the population size of thecountry. Concerted efforts involving educationists, social workers and policy makers arewarranted in this important sector for overall development of the country.

Keywords: Women education, Development

INTRODUCTION

Education is considered a key instrumentfor the change which is responsible for nationaldevelopment. It is true fact – “If you educate aboy, you educate an individual, but if you educatea girl , you educate a family, society and untimelythe nation”. Education liberates women fromignorance and enhances their self esteem. Itenabled them to choose their own way and lookafter their families in better way. Women’seducation brings about more vigilant enhancingability to rear and bring up children in a betterway. There is a positive correlation betweenwomen literacy rate and life expectancy. Whileilliteracy is invariably associated with poverty,malnutrition, deprivation, high mortality, highpopulation growth and all other aspects ofunderdevelopment; women’s education becomesimperative. When women are educated, theirdependence may disappear or decrease.Education helps women to resist exploitation,besides of course empowering them to be self-reliant. The National Policy on Education 1986

states “Education will be used as an agent ofbasic change in the status of women. In order toneutralize the accumulated distortions of the past,there will be a well-conceived edge in favor ofwomen. The National Education System will playa positive interventional role in the empowermentof women. It will foster the development of newvalues through redesigned curricula, test books,training and administration.”

The aim of education to women should bein such a way that they may apply their acquiredknowledge to the pursuits of daily life and theymay be able to get desired employment in orderto make themselves economically independent.Further, education for women should always bedirected towards their holistic development sothat they can adjust themselves to thecomplexities of the society. Education mustcreate an awareness to them about their rightsand duties so as to make them independent inthinking and decision making. If women are tocontribute effectively to national development inthe 21st century, the fundamental question arises

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whether they will be sufficiently equipped toparticipate fully by receiving a quality educationthat will prepare them to enter in any fieldexposing them to science, technology andcommunications and stimulating their creativity.Government has laid many policies andprograms for the development of womeneducation.

LITERACY/ ILLITRACY

Female literacy rate has improved from 7.95per cent to 24.82 per cent between 1951 to 2011.The decadal growth rates and changes in thesex ratio among literates at the national levelduring this period are indicated in the table givebelow. The table indicates that while the decadalgrowth rate in female literacy is higher ascompared to males, the trend shows a steepdecline for both sexes:

EMERGING CONCERN

Table 1: Female literacy rate (1951-2011)

Elementary education has emerged as a keypolicy to programmatic concern of the IndianGovernment. Some important schemes havebeen launched viz. Sarva Shiksha Abhayan(SSA) or Education for All with very ambitiousgoal launched in the year 2001,Spearfishprograms within SSA, National Program forEducation of Girls at Elementary Level (NPEGEL)and Kasturba Gandhi Balika Vidyalaya focusingexclusively on girls in educationally backwarddistricts. Another landmark scheme : Mid DayMeal Scheme has been launched to encouragechildren in rural areas for education. In addition,Mahila Samkhya (Education for Women’s

Equably) program lunched by Govt. of India isan affective way to provide education toeconomically and socially backward women.This program was launched in 1989 by theGovernment of India and was operational in fewstates like Uttar Pradesh, Gujrat and Karnataka.The Mahila Samkhya Programme addressseveral gander issues, including violence againstwomen. It includes a number of innovative non-formal educational programs for women andadolescent girls. This involves enabling womento address and deal with problems of isolationand lack of self confidence, oppressive socialcustoms and struggle for survival, all of whichinhibit their empowerment. In the present time ,Mahila Samkhya Scheme is active in about12,000 villages, over than 60 districts in India,including Bihar. It may be added that UNICEFhas been active an collaborator with MahilaSamkhya Scheme for a long time. It strives tomake women aware, empowered, capable andself-reliant. It has been particularly successful inlaagering out of school girls by working with thecommunity to create learning opportunities inalternative centers, residential camps and earlychildhood development centers.

NATIONAL PROGRAME FOR EDUCATION IFGIRLS AT ELEMENTRY LEVEL

This program under the existing scheme ofSarva Shiksha Abhiyan (SSA) provides additionalcomponents for education of underprivilegedgirls at the elementary level. This scheme is beingimplemented in educationally backward blocks(EBBs) where the level of rural female literacy isless than the national average and the gendergap is above the national average, as well as inblocks of districts that have at least 5 % SC/STpopulation having female literacy below 10% asper census data 1991.

KASTURBA GANDHI VIDYALAYA: Morethan 750 residential schools are being setup indifficult areas with boarding facilities atelementary level for girls predominatelybelonging to the SC/ST/ OBC and minorities. Thescheme would be applicable only in identifiededucationally backward blocks. Whereas percensus data 2001, the rural female literacy isbelow the national average. Among these blocks,schools may be set up in areas with concentrationof tribal population, with low female literacy.

Year Male Literacy to Total Male Population

(%)

Female Literacy to

Total Female Population (%)

1951 24.95 7.95

1961 34.44 12.95

1971 39.52 18.70

1981 46.82 24.82

1991 64.2 39.2

2001 75.85 54.16

2011 82.14 65.46


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CONDENSED COURSES OF EDUCATIONFOR WOMEN

This scheme provides education toadolescent girls who do not have opportunity ofjoining formal education system to pass primary,upper primary and secondary level examinationsand it helps to develop their skills.

CONCLUSION

This paper reveals that there has beenconsiderable improvement in participation of girlsduring the post-Independence period, yet itcontinues to be below 50% both at primary andupper primary levels of school education.Although the increase in enrolment has beenmore significant at the upper primary level ascompared to primary level have a sufficientprogress has been made.

REFERENCES

1. Ali khan mohsin (2001) ,- Women’s education still adistant dream Yojana V. 4, 5 December pp.40-42.

2. Anju Vyas and Sunita Singh (1993), Womenprogrammes and Schemes/Women studies in India,New Delhi Sage Publication p.-129

3. Bhasker Rood (1994), Women education andEmployment. In. International Encyclopeadia ofWomen – 2, New Delhi, Discovery Publishing Hencep.6

4. India, (1996), Department of women and child welfare,states refort p.5

5. Jayantic (2002), Rural education and ruralreconstruction Yojana. V.46, June pp.54-56.

6. Nisha Singh (2001),- Technology Education and theIndian Women, University News 39(10) pp. 12-14.

7. Singh O R (2001) , Education and Women’sempowerment social welfare 40(1) pp. 35-36.

8. Verma Devi, K (2000),- Women’s education – what

direction? Social Welfare 40(1) pp.6-8.

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ROLE OF E-GOVERNANCE TO STRENGTHEN HIGHER

EDUCATION SYSTEM IN INDIA

*CHARANJEET KAUR1, PREM MEHTA2

1Research Scholar, Department of Education, Sai Nath University, Ranchi ,India2Principal, V B College of Education, Rohtak, India

*Address for correspondence: Charanjeet Kaur, Research Scholar, Department of Education,Sai Nath University, Ranchi ,India

ABSTRACT

A good higher education system is required for overall development of a nation. Aremarkable growth in the higher education sector had made the administration of highereducation institutions intricate. Many researches reveal that the integration of ICT helps toreduce the intricacy and enhance the overall administration of higher education. ElectronicGovernance (e-Governance) is the use of Information and Communication Technologies(ICT) for the planning, implementation, and monitoring of government programs, projects,and activities. E-Governance is expected to help deliver cost-effective and easy-to-accesscitizen services, and improve processing of transactions both within the government, andbetween the government and other agencies. E-Governance is understood as a set ofactivities involving the effective contribution of information and communication technology(ICT) for strengthening administration and management in higher education system . InIndia, it has declined somewhat over the past three decades due to remarkable increase inthe number of colleges and universities and their privatization. It has become very importantfor the government to keep track of their functioning. Educational institutions may havevarious requirements that include computerization and management of processes such asregistration, admission, student information, classes, time table, transport, attendance,library, salary and expenses, examinations, performance, grades, hostels, security andreports. Many of the software providers allow their clients to choose from the availablemodules to suit their needs to monitoring of these aspects. In this study, an attempt hasbeen made to discuss the concept of E-Governance and use of latest application in highereducation sector.

Keywords: E-Governance, Information and Communication Technologies (ICT), Indianhigher education system (IHS), IMS (Management Information System)

INTRODUCTION

e- Governance can transform citizenservice, provide access to information toempower citizens, enable their participation ingovernment and enhance citizen economic andsocial opportunities, so that they can make betterlives, for themselves and for the next generation.Formation of communication transactions,integration of various stand-alone systems andservices between Government-to-Citizens (G toC), Government-to-Business (G toB),Government-to-Government( G to G) as well

as back office processes and interactions withinthe entire government frame work. Through thee-Governance, the government services will bemade available to the citizens in a convenient,efficient and transparent manner. The three maintarget groups that can be distinguished ingovernance concepts are government, citizensand businesses/interest groups. In e-Governance there are no distinct boundaries.Generally, four basic models are available-Government to Customer (Citizen), Governmentto Employees, Government to Government andGovernment to Business. Governments are


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specialized institutions that contribute togovernance. Representative governments seekand receive citizen support, but they also needthe active cooperation of their public servants.Governance is the outcome of politics. [9]

Change has been happening at an unevenpace in any growth-oriented industry, and theeducation sector is no exception. Rapid growthin the field of education has made governancein academic sector a very complex task. The 21stcentury has witnessed tremendous advance-ments in technology which has led to far-reachingdevelopments in the administrative system. Cost-effective technology combined with the flexibilityin learning and administrative activities isessential to enhance efficiency. Computers canbe used extensively for educationaladministration. There are some of the areaswhere computers can be used for effectiveeducational administration (Ben-Zion Barta et al.1995). These are given below :

· General Administration

· Pay Roll and Financial Accounting ·Administration of Student Data

· Inventory Management

· Personnel Records Maintenance · L i b r a r ySystem

Information and Communication Technology(ICT) plays a vital role in supporting powerful,efficient management and administration ineducation sector. It is specified that technologycan be used right from student administration tovarious resource administration in an educationinstitution (Christiana Maki 2008). Sharad Sinha(2008) mentioned the various administrativechallenges for Indian education system of the21st century as given below:

· Global and local challenges

· Universal and individual challenges ·Competition and equity challenges

· Extraordinary expansion of knowledge

Moreover, many studies revealed the needfor ICT integration into administrative activitiesof higher education institutions. The various waysof introducing technology in education institutionadministration are the following (Caroline Salerno2009):

· Sending e-mail notices and agendas to staff,rather than printing and distributing them ·Submission of lesson plans through e-mail

· Foster technology growth by asking parentsto write e-mail addresses on medical forms.

· Insist that all teachers create a class Webpage

· Attend technology conferences to see whatother schools are doing, what other teachersare doing to integrate technology, and whatprincipals are doing to encourage the use oftechnology in their schools and classrooms

· Admissions through web-enabled services

· All day-to-day activities of the institution(General Administration)

· Staff administration

· Single window system for students [2]

ROLE OF HIGHER EDUCATION IN SOCIETY

Higher education is generally understood tocover teaching, research and extension. If wecritically analyze the different concept of highereducation, it can list the various roles of highereducation in the society. Higher education is thesource or feeder system in all walks of life andtherefore supplies the much-needed humanresources in management, planning, design,teaching, and research. Scientific andtechnological advancement and economicgrowth of a country are as dependent on thehigher education system as they are on theworking class. Development of indigenoustechnology and capabilities in agriculture, foodsecurity and other industrial areas are possiblebecause of our world- class higher educationinfrastructure. Higher education also providesopportunities for lifelong learning, allowing peopleto upgrade their knowledge and skills from timeto time based on the societal needs. The Kotharicommission (1996) listed the following roles ofthe universities (Higher education institutions inthe modern Society):

(i) To seek and cultivate new knowledge, toengage dynamically and fearlessly in thepursuit of truth, and to interpret oldknowledge and benefits in the light of newneeds and discoveries

(ii) To provide the right kind of leadership in all

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walk of life, to identify gifted youth and helpthem develop their potential to the full ofcultivating physical fitness, developing thepowers of the mind and cultivating rightinterests, attitudes and moral andintellectual values

(iii) To provide the society with competent menand women trained in agriculture, art,medicine, science and technology andvarious other professions who will also becultivated individuals, imbibed with a senseof social purpose

(iv) To strive to promote quality and social justiceand to reduce social and culture differencesthrough diffusion of education

(v) To foster in the teachers, students andthrough them in the society generally, theattitudes and the values needed fordeveloping the good life in individuals andsociety (GOI, 1996)

E-GOVERNANCE IN HIGHER EDUCATION

India has one of the largest higher educationsystem in the world .Despite having the largesthigher education system, the quality of education,in general, cannot be claimed to be the best.Technical and vocational education in India hasseen enormous growth in recent years with alarge increase in total number of institutesimparting higher education. On one hand, thisgrowth promises to produce more skilled youthto fulfill needs of ever growing Indian industryand on the other hand it poses a huge challengefor the governing bodies like UGC, AICTE, NCVT,NCTE, PCI, MCI, INC, DCI etc and state technicaleducation boards to maintain and improve thequality of education being imparted through thesenew and existing technical and vocationalinstitutes. But according to data reported byNASSCOM(National Association of Software andService Companies) in its 2004 report, out of 3million graduates and post-graduates added tothe workforce in India every year only 25% oftechnical and 10- 15% of non-technical graduatesare employable by growing IT, and other sectors.It is a very serious situation.

The lack of knowledge, qualities and skillsdesired by the employers, from the youth, maylead to the problems like unemployment/underemployment, which will lead to their

disapproval and hence their offense will bereflected in terms of an increase in crime andother antisocial activities.[4]

Now a days, our education system is untidy,to say the least. It is characterized bysubstandard technical and vocational institutionslagging good infrastructure and qualifiedteachers, teacher truancy, obsolete syllabi,inadequate infrastructure, unemployablegraduates and a lot more other problems. Thescenario has been further worsened due lack ofsome effective and real time monitoringmechanism and widespread corruption prevalentin government. regulatory bodies that help suchsubstandard institutes to start and remainfunctional without bothering to maintain anyquality at all. Mushrooming of a large number ofunrecognized and substandard fake universities/institutions, distribution of fake certificates ofdiploma, degree and Ph.D, courses fraudulently,without being caught, is also another outcomeof such a untidy system. [5]

NECESSITY OF E- GOVERNANCE IN HIGHEREDUCATION

If the quality of our higher education systemhas to be improved to make these institutes reallyword class, then there is no alternative to theintroduction of e-governance in this sphere at thefastest possible pace. Implementation of e-governance in technical and vocational instituteswill enable their effective and real time monitoringby government/the regulatory bodies and otherstakeholders their own managements, parentsof the students and the society, thereby forcingthem to maintain quality and become moreresponsible. E-governance process bringstransparency in the system, so e-governanceinitiatives in the field of higher education will helpreduce the corruption up to a large extent. Theintroduction of e-governance in higher educationis one such concept that can empower thegoverning bodies to administer the progress ofthe education plan in the whole country andserves various stakeholders in a much betterways. E-Governance is becoming a globalphenomenon that is increasingly attracting theattention of community citizens includingpoliticians, economists, decision and policymakers amongst others (Naheed et al., 2009).


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According Info Dev Report (2002) aneffective e-governance satisfies these followingneeds:

· Providing greater access to governmentinformation

· Promoting public engagement by enablingthe public to interact with government officials

· Making government more accountable bymaking its operations more obvious and thusreducing the opportunities for corruption

· Providing development opportunities,especially benefiting rural and traditionallyunderserved communities

E-Governance in higher education systemwill enable various stakeholders to control theimproved operational efficiency in various keyprocesses like grants, utilization certificates,approval processes, feedback mechanism etc.With deeper visibility and increased operationalefficiency the Indian higher education system(IHS) would be implemented not only to satisfythe needs of students by making them moreemployable but also combat possible competitionfrom foreign universities.

In order to remove the copying ofprocedures, there should be consolidatedinformation about each university and college totrack their performance. The tools of e-governance may enable the universities orcolleges to submit the documents online forapproval. All agencies should internally co-ordinate to carry the details from common pool.This would greatly reduce the unnecessaryduplication of work in the university. Apart fromthis, there may be a number of other servicesthat can be provided with the introduction of suchtype of governance.[1]

MODELS OF PRIVATE SECTORPARTICIPATION IN HIGHER EDUCATION

Recently, the University Grants Commission(UGC) has recommended four models of PublicPrivate Partnership to the Planning Commissionand according to an estimate the country requiresan investment of over US $ 150 billion in the next10 years. The four models proposed by thePlanning Commission are in terms of basicinfrastructure model. [10]

Basic Infrastructure Model: The privatesector invests in infrastructure and thegovernment runs the operations andmanagement of the institutions in turn,making annualized payments to the privateinvestor.

Outsourcing Model: Private sector investsin infrastructure and runs operations andmanagement and the responsibility of thegovernment is to pay the private investorfor the specified services.

Equity/Hybrid Model: Investment ininfrastructure is shared betweengovernment and private sector whileoperation and management is vested withthe private sector.

Reverse Outsourcing Model: Governmentinvests in infrastructure and the privatesector takes the responsibility of operationand management.

Colleges and universities will need tochange radically in the coming years andfirst think social intranets may be a key tothis transformation.

BENEFITS OF E-GOVERNANCE IN HIGHEREDUCATION

The benefits of e-governance in aneducational sector are improved efficiency,increase in transparency and accountability ofeducational administrative activities convenientand faster access to services, and lower costsfor administrative services. The multi-facetedbenefits of e-governance can be described asunder these points [7]:

Benefit to university

(i) Centralized information access fromanywhere

(ii) Increase in student enrollment ratio.

(iii) Provide quality e-services, e-participation,

(iv) Increase clearness

(v) inventive teaching tools

(vi) Improved decision making, Private PublicParticipation

(vii) less paper work

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Benefits to students

(i) Increase participation in education affairs

(ii) Personalized login for each students

(iii) extensive saving in time, cost &efforts

(iv) Information & transaction services

(v) Job opportunities

(vi) Social connectivity for collaboration

(vii) Students can access virtual lectures&Seminars.

(viii)Students can solve their problems like-examination queries, result verification etc.

(ix) Students can submit feedback to university.

Benefits to colleges

(i) Data can be accessed easily

(ii) Electronic data exchange with university

(iii) Saving of hidden operational cost

(iv) Instant statistical report generation

(v) Helpful for NAAC accreditation

Overall education system

(i) Long term impact on organization goals

(ii) Improve education system

(iii) Empowerment of faculties, students &encouragement of their participation ingovernance

SUGGESTIONS AND RECOMMENDATIONS

The online methods enable more effectiveeducation and offer significant advantages overtraditional services.[7]

Provide E Services – After theimplementation e-governance, we improve thedelivery of services to students, faculty byproviding services like enrollment, examination,result, feedback, requests for documents,requests for certificates, issuing admit cards andID cards, employment etc.. The system providestimely alert to colleges through SMS /Emails. E-governance in education provides new ways ofcommunicating to the students, impartingeducation and organizing and deliveringinformation and services.

Improved education system - E-governance in education sectors allows use of

information and communication technologieswith the aim of improving education, information,service delivery, encourage student participationin the decision making process, makingadministration transparent and effective and giveuniversities a new channel of educationalunemployment. Also, the system can obtainfeedback from industry and students to modifycourse curriculum if deemed appropriate by theauthorities. This will allow all the lesserperforming colleges to reduce the gap with betterperforming institutes. It will be help in thebetterment of the higher education in the countryand increase the number of employable students.

Innovative Teaching Tools – The newtechnologies offer vast opportunities for progressin all walks of life. With the introduction of newtechnological initiatives, the structure of highereducational institutions has changed. Thechanging role of lecturers, the changeablelearning environment and the design of e-Learning facilities all contribute to a potentiallymore flexible organizational structure of highereducation in rural areas. The future delivery ofeducation will be based through e-Learningtechnology providing lecturers with superiorteaching tools. The online methods enable moreeffective education and offer significantadvantages over traditional teaching methods.This has been possible by technologicalimplementation based environments such asbulletin, boards, virtual lectures and e- Librariesand video conferencing. In e- learningenvironment can support communication withclassmates and lecturers.

Private Public Participation – Almost alle-government projecst have found it convenientto involve different private agencies for differenttasks through public-private-partnership (PPP)arrangements. These tasks include design anddevelopment of application software, populationof data and content in the regional language,procurement and installation of networking andcomputer systems, deployment of software anddelivery of services.

Centralized Information - E-Governancehas provided electronic information infrastructureto simplify service delivery, reduce duplication,and improve the level and speed of service at alower cost. The centralized information approach


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of e-Governance keeps all information at oneplace in electronic form. This approach of makinginformation secure prevents it against any theftor leakage.

Use of intranet - Intranet-based trainingprovides a low cost and knock-on savings, thatcan be a virtual two-way system, with studentsconnected to mentors and teachers receivingreal-time feedback and support. Managers withemployees scattered among sites and locations,particularly if they are so far flung that they arein different areas, need a cheap and effectiveway to communicate them. ICT is already provenas the way to access knowledge basedinformation from anywhere to anytime but alimitation of the university that they can’tcommunicate with other colleges.

With the help of above benefits andsuggestions it is possible to design a system thatis student centric and can provide a variety ofservices—informative, interactive, andtransactional and integrated system across theentire spectrum of the education sector. Centraluniversities, state universities, autonomousinstitutes, deemed and private universities andaffiliated colleges will enter the data and catersthe need of MIS of regulating and coordinatingbodies.

Fig: Use of e-governance in Higher Education

Users can tap the system and find out therelated information needed. The higher educationcoordinating and regulating bodies could obtainthe reports on various issues about futureplanning like budget, demand of courses etc. Theregulatory body has a critical role to playaccording to this model. These units will beresponsible of data integration and will cater theneed of various stakeholders. . The MIS working

at this level in the model will provide theinformation to the regulating and accreditationbodies.

CONCLUSION

Planning for efficient administration of highereducational institutions, increasing globalcommunication skill and to achieve the worldclass standard, it is necessary to have a improvedcollaboration and access to information availablein all the parts of the world which are possibleonly by introducing IT in educational sector withe-governance as a security for maintainingstandard. The e-governance needs security forsmooth information flow, best practice databaseand enhanced capacity for information analysisetc. Government should support by enactingfavorable legislations and updated amendmentsfor maintaining standards in the educationalprocess and improvements in the related field. Itrequires completely new infrastructure,procedures, policies and working skills forproducing and collecting online information. Withthe advent of ICT, electronic governance is anemerging trend to re-invent the way thegovernment works, becoming a new model ofgovernance. Such a comprehensive andintegrated system can also enable authorities toanalyze the performance of one of the bestperforming institutes and compare it with otherschools and colleges to identify the gaps.Through e-governance we improve the qualityof higher education system in India. E-governance can create the transparencybetween the universities, colleges and students.It will bring forth, new concepts of governance,both in terms of needs and responsibilities. Manyproblems of higher education system can besolved by the Public Private Partnership modeland e-governance.

REFERENCES

1. Ashok Kumar (GIAN JYOTI E-JOURNAL, Volume 1,Issue 2, Jan – Mar 2012) E-Governance in EducationSector

2. Dr.R.Krishnaveni and J.Meenakumari(InternationalJournal of Environmental Science and Development,Vol. 1, No. 3, August 2010)Usage of ICT forInformation Administration inHigher educationInstitutions – A study

3. HarshitaBhatnagar.( International Journal of Scientific& Engineering Research, Volume 4, Issue 5, May-

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2013) e-Governance in Higher Education: A CaseStudy of IGNOU, New Delhi.

4. JatinderGarg, SonuBalaGarg and NavdeepChoudhary(Research Cell: An International Journal ofEngineering Sciences. Issue Sept 2011, Vol. 4)Effective Implementation of E-Governance in TechnicalInstitutions in India using ICT to Make them WorldClass.

5. Mr. Sanjeet Kumar Tiwari, Mr. JubrajKhamari, AnjaliSingh.(IOSR Journal of Research & Method inEducation. Volume 2, Issue 3, Jul. –Aug. 2013)Promoting E- Governance Culture in Higher EducationInstitutions.

6. Prateek Bhanti1, Dr. S. Lehri2, Dr. Narendra Kumar(International Journal of Emerging Technology andAdvanced Engineering. Volume 2, Issue 8, August2012) E-Governance: An Approach towards theIntegration of Higher Education System in India.

7. RanjeetaKapoor and NishthaKelkar(NationalConference on New Horizons in IT - NCNHIT 2013)E-Governance: Higher Education in Rural Area.

8. Sebahat Bartýn Orman Fakültesi Peyzaj MimarlýðýBölümü 2007(Importance of e-education and e-governance: Case of zonguldakkaraelmas university,Department of Landscape Architecture)

9. SudipSuklabaidya, AngshuMaanSen(InternationalJournal of Emerging Trends & Technology in ComputerScience.Volume 2, Issue 3, May – June 2013)Challenges and Prospects of E-governance inEducation.

10. Report of the Working group on Higher Education for

the XII Five Year Plan. September 2011


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GROWTH OF HIGHER EDUCATION IN INDIA DURING THE

PERIOD 1950-2005

*PREM YADAV1, PREM MEHTA2

1Research Scholar, Department of Education, Sai Nath University, Ranchi, India2Principal, V. B. College of Education, Rohtak, India

*Address for correspondence: Prem Yadav, Research Scholar, Department of Education Sai Nath University, Ranchi, India

ABSTRACT

Education influences economic development directly and also indirectly. The direct impact isthrough productivity, employment, composition of the labour force, division of labour, mobility oflabour, and other such factors. The indirect impact is through savings, limiting family size,inculcating right attitudes and skills, and by removing obstacles to social change and progress.It facilitates attitudinal changes for modernization and social transformation. This studyinvestigates the growth of higher education in India during the period 1950 to 2005. The objectiveof this study is to analyze growth of higher education in India using the year wise growth rateformula. The result shows that the there is satisfactory growth of higher education in IndiaDuring study period.

Keywords: Education Influences, Economic Development, Productivity, Employment,Modernization

INTRODUCTION

Developing countries and developed oneshave rapid economic development as the primaryobjective. Human beings play a crucial role inthis development. Gerald M, Meir has aptlyremarked: “The key to development is humanbeing and his (her) abilities, values and attitudesmust be changed in order to accelerate theprocess of development” (Meir G.M., 1975).Education plays a key role in this process.Theoretical and empirical researches havesubstantiated the fact that investment in humancapital formation of a country plays a fundamentalrole in improving the efficiency and productivityof human beings, and through them the variousfactors that complement and supplement theproduction process. This investment in people,especially through the medium of education hasattracted the attention of economists across theworld. A properly planned education systemcontributes significantly to the growth andeconomic development of a country (Agrawal P.,1982). The modern university system in India

came into existence during British rule. However,the seeds of higher learning have its deep rootedorigin since the vedic times in the form ofgurukuls and ashrams. In India, during the Britishrule, the first three universities were set up in1857 and the thrust of development was mainlyon liberal Arts education. Growth was modestwith 18 universities established over a period of90 years. Most of these followed the model ofthe three leading universities at Bombay, Calcuttaand Madras. At the time of independence, therewere 20 universities and about 500 colleges, withan enrolment of less than 150,000. Presently, theIndian system of higher education is one of thelargest in the world (Tilak JBG, 2007).

REVIEW OF LITERATURE

Lakdawala D.T. and Shah K.R. (1978)studied the funding pattern of education inGujarat state during 1960-61 to 1969-70. Thestudy examined the unit cost in colleges and theireconomic and optimum size. The study proposedpolicy actions and revision of funding pattern inhigher education. Tilak J.B.G. and Varghese N.V.

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(1991), in their study entitled “Financing ofEducation in India,” analyzed various aspects ofpublic financing of education in India, particularlythe centre-state partnership in deciding the totalamount of resource allocation to education, itsdistribution by levels of education and inter-statedifferences. The study also discussed possiblealternative sources of financing education. Thestudy argued that fee is an important source ofadditional financing for education in India.Majority of the resources spent on educationcome from government sources, which has littlepossibility of any further increase. Therefore,optimum utilization of existing resources andmobilization of additional resources become veryimportant for financing education in the comingyears. Another important aspect is the devolutionof financial and other authority between the stateand districts for evolving policies on financingeducation in India in the coming years. OECDconducted an economic survey of India (OECD,2007). It suggested that there is an urgent needto improve education in India. The study foundthat there are marked differences in educationalattainment across gender and socialbackgrounds. However, higher enrolment is justa first step to better outcomes. More needs to bedone to raise the quality of education, includingproviding stronger incentives for teachers to workand improving both the attendance andcompletion rates of students and teacherstraining. Educational reforms at the state-leveland in OECD countries suggest thatdecentralization helps to raise efficiency andshould be encouraged.

Agarwal Pawan (2006) in his paper on‘Higher Education in India: The Need for Change’lays down an agenda for reforms in the highereducation sector in India. The paper relates tothe growth of higher education in India in relationto the changing funding pattern and suggestsways to ensure that higher education remainsboth affordable and accessible to all. The authoremphasizes the need for greater adaptability inthe higher education system so that it continuesto provide the needed skills and trained workforceto the economy as it integrates with the worldeconomy. The author also suggests policymeasures required to promote, sustain, andenhance world-class research considering theweaknesses in the prevailing regulatory and

quality assurance environment. The paperprovides a road map for reforms towardsimproved accountability of the system...Mukherjee A.N. in his study “Public Expenditureon Education: A Review of Selected Issues andEvidence” (2007) discussed the role of educationin economic development which has beenrecognized in mainstream economic literature.Divergence between the private and social rateof return from education is the rationale forintervention by the state in ensuring equity inopportunity across the population. The “ NewGrowth Theories” predict that higher levels ofschooling and better quality of workforce will leadto an increase in the growth rate, furtherstrengthening the case for public expenditure oneducation. The outcome of such research hasimplications for the financing of education.

However, the effectiveness and efficiency ofresource allocation by the government hasgenerated considerable debate, both fromideological and technical points of view. It iswidely acknowledged that there is a large scopefor improvement in both the level and the qualityof publicly funded education. New institutionalarrangements are being designed to address thedeficiencies in incentives and monitoring, therebyimproving quality.

OBJECTIVE :

The specific objective of this study is toexamine the growth of higher education in Indiaduring the period 1950-2005.

HYPOTHESIS:

There is no significance growth of higherEducation in India during the Period 1950-2005.

DATA SOURCE AND RESEARCHMETHODOLOGY

The study used secondary data available inpublished sources. The time series data oninstitutions, enrolment and teachers in highereducation in India were compiled from variousreports published by the Department of HigherEducation, Ministry of Human ResourceDevelopment, Govt. of India, New Delhi. Yearwise growth rate was calculated by followingformula:

Growth Rate = (New Value - Old Value /Old Value)*100


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Empirical Results

Table 1: Growth of Institutions, Enrolment andTeachers in Higher Education in India

Source: Department of Higher Education, Ministry ofHuman Resource Development, Govt. of India, New

Delhi

Note: * Universities include central, state,private and deemed to be universities as alsoinstitutions of national importance establishedboth by the central and state Governments.

During 1950-51 to 2004-05, the number ofuniversities has increased from 28 to 418, andthe number of colleges from 578 to 17,635.During the same period, enrolment in highereducation has also increased from 0.174 millionto 10.48 million. The number of teachers has alsogone up from around 24,000 in 1950-51, to4,72,000 in 2004-05. The expansion of highereducation after independence was higher duringthe decades of 1950s and 1960s. This may bebecause of the growing demand for highereducation during this period which was a globalphenomenon. The growth of such institutions wascomparatively slow during the 1970s and 1980s.However, during 1990s and onwards, theexpansion of higher education system hasregained momentum.

Table 2 : Growth of Higher Education in India

(CAGR %)

Source: Author’s own calculation

During the year 1950-51 to 1960-61, thenumber of universities has grown at a compoundannual growth rate (CAGR) of 4.86% per annum,while colleges at a rate of 12.15% per annum.During 1970s, 1980s and 1990s, the rate ofgrowth was relatively low compared to the earlierperiod on all parameters. This has increasedconsiderably during the period 2000 and thenafter when the compounded annual growth rateof universities has been more than 11% perannum and that of students enrolment andteachers being around 5% per annum. In thepresent times, as shown in table 1.05, as of 2006,the number of institutions has grown considerablyduring the period 2001 and onwards. This maybe because of the efforts made by thegovernment in promoting the establishment ofinstitutions of higher education etc.

Table 3 : Number of Universities and Other Academic

Institutions till 2006

Source: Department of Higher Education, Ministry ofHuman Resource Development, Govt. of India, New

Delhi

As is shown in the table 3 there has been asharp increase in the number of state universitiesand institutions recognized as “deemed to beuniversities during the recent times” and the totalnumber of universities and other institutions hasincreased from 28 at the time of independencewhich has risen to 342 during 2006.

CONCLUSION

Nevertheless, in spite of these impressivefigures, India lags far behind the developedcountries with a population of 100 crores. Thecountry has only 417 universities. In contrast tothis, Japan with a population of 12.7 crores has684 universities and The USA, with a populationof 27.6 crores, has 2364 universities. Germanywith population of 8.2 crores has 330 universities.

Year

Universities *

Colleges

Enrolment ('000)

Teachers

1950-51

28

578

174

24

1960-61

45

1819

557

62

1970-71

93

3227

1956

190

1980-81

123

4738

2752

244

1990-91

184

5748

4925

271

2004-05

348

17625

10481

472

Year

Universities

Colleges

Enrolment

Teachers

1950-51 to 1960-61

4.86

12.15

12.34

9.96

1960-61 to 1970-71

7.53

5.90

13.38

11.85

1970-71 to 1980-81

2.84

3.92

3.47

2.53

1980-81 to 1990-91

4.11

1.95

5.99

1.06

1990-91 to 2000-01

3.75

6.85

5.48

3.84

2000-01 to 2004-05

11.22

12.14

5.69

4.55

Academic Institutions

Total number up to: Type of Universities and other

Academic Institutions till 2006 1947

1966

1980

1993

2006

Central Universities 3 5 8 10 18

Institutions recognized as 'Deemed

Universities' 5 11 12 30 95

Institutions of National Importance 2

9

9

10

13 State General Universities 18

56

81

112

176 State Agriculture Universities --- 6 20 25 40

Total 28

87

130

187

342

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The average size of Indian higher educationinstitution in terms of enrolment is much smalleras compared to that of Europe, US and China.

REFERENCES

1. Agarwal Pawan (2006), „Higher Education in India:The Need for Change www.icrier.org/pdf/icrier_wp180_Higher_Educaion_in_India_pdf (viewedas on 12-1-2009)

2. Agrawal, P. (1982) ‘Financing of Higher Education inIndia’, Ganga Kaveri Publishing House, Varanasi.

3. Lakdawala D. T. and Shah K. R. (1978) “fundingpattern of education in Gujarat state during 1960-61to 1969-70”.Optimum Utilization of EducationalExpenditure in Gujarat, Ahmedabad, sardar PatelResearch Institute

4. Meier G.M (1975), ‘Leading Issues in EconomicDevelopment’, Oxford University Press, London.

5. Mukherjee A (2007), „Public Expenditure onEducation: A Review of Selected Issues andEvidence’, Working paper from financing HumanDevelopment paper 1, National Institute of PublicFinance and Policy.

6. OECD (2007) www.oecd.org/dataoecd (viewed as on12-1-2009)

7. Tilak J.B.G and Varghese N.V. (1991) “Financing ofEducation in India’, International Institute ofeducational Planning, Anybool ltd. United Kingdom

8. Tilak, J.B.G. (2007), ‘Student loan and Financing ofHigher Education in India’, Journal of Educational

Planning and Administration, July, Volume XXI, No.3.


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VALUE-BASED EDUCATION: PROFESSIONAL

DEVELOPMENT VITAL TOWARDS EFFECTIVE

INTEGRATION

*VINAY KUMAR1, PREM MEHTA2

1Research Scholar, Department of Education, Sai Nath University, Ranchi, India2Principal, V. B. College of Education, Rohtak, India

*Address for correspondence : Vinay Kumar, Research Scholar, Department of EducationSai Nath University, Ranchi, India

ABSTRACT

Value-based education promotes a thought provoking and interactive environment for thestudents through the values incorporated in the curriculum. It promotes quality education andholistic development of each child for a bright future. Teachers play an important role in helpingstudents imbibe the values. Professional development is vital in integrating values in theclassroom. Understanding the principles and aim of values education enable teachers to createeffective learning environment for values education. This article suggests steps to construct avalue based curriculum towards quality education. This also emphasizes the importance andneed for teacher training for better outcome on the topic, and also suggests a plan to prepareteachers as values educators.

INTRODUCTION

Value based education instills educationaland cultural values among students and aims atachieving multi-faceted development of a humanbeing namely intellectual, physical, spiritual, andethical development. The values incorporated ina value-based curriculum may includecooperation, responsibility, happiness, simplicity,unity, peace, respect, love, tolerance, honesty,humility, and freedom. The main purpose ofholistic education is to prepare students to meetthe challenges of living as well as academics.Multiple studies have reported that value basededucation is a holistic approach to students’education, one that provides complete educationof body and mind through innovative approachesand critical educational thinking.

Education can be considered as a meansto impart general and specific information;teaching skills and most importantly inculcatevalues. The present system of education isalmost wholly geared to the first, a little to thesecond and only marginally to the third (Burra,2007). The neglect of ethical values, which

should form the substratum of any goodeducation, has led to ineffectual, decadent, emptylearning. Burra describes in the article that it isthe duty of every society to pass on the valuesenshrined in its scriptures and philosophical textsto each generation, in order, that the spirit of itsculture lives on. This can be achieved only wheneducation is value oriented. Education should bea process of acquiring true knowledge. Inplanning for good values and objectives, theteacher and student will have to cooperate andwork together. The purpose of education is tostrengthen character in the younger generationwhich is an answer to many of the problems thatface people today. It can bring about awidespread renewal of individual commitment toan active life of principle and this renewal isimperative. Values like truth, right action, love,peace and non violence include in a balancedway the profound moral insights of the greatcivilizations.

LINKING VALUE BASED EDUCATION TOTEACHERS AND TEACHER TRAINING

In the 21st century, it is vital to recognize

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that value-based education integrated into theschool curriculum promotes quality educationand positive school environment. Initiatives inschools around the world have stressed uponan all around development of the students byimplementing value-based education programs.Yet it is a greatest challenge in education to teachhow to imbibe values as it is different fromimparting knowledge of mathematics or science.

Teachers help student perceive informationand transform it to knowledge and to wisdom. Atthe same time, they help adolescent to developlove of knowledge and try to transform into a goodcitizen. More than ever, now our young peopleneed to have compassion, adaptability, moralcourage, patience, and increased tolerance.Cavazos (2002) noted that teaching values in ourschools is a vital part of preparing children forthe inevitable challenge and occasional pain ofreal-life decision making. In the article the writerbelieves that teaching values can enhanceeducation. Values can be positive or negative,depending on circumstances, and this authoradds that a values-based education is aneducation in thinking, in weighing and makingchoices, in exploring consequences, and inworking through problems to find whichapproaches are helpful in reaching positivehealthy solutions. In an attempt to balanceacademic achievement and character education,schools and teachers must respect the primaryrole of the parents and family (Cavazos, 2002).Value-based programs help schools andteachers go hand in hand with the parents byworking with them and incorporating values toprovide the best educational environmentpossible for their children.

Today’s world is aware of the importance andrelevance of value based education. It is sad tonote that the teachers today often are “unmindful”of the tremendous responsibility they have butfeel contented with covering the curriculum andproducing intellectuals rather than humans.Lickona (1993) noted that “Character educationis far more complex than teaching math orreading; it requires personal growth as well asskills development. Yet teachers typically receivealmost no pre-service or in-service training in themoral aspects of their craft. Many teachers donot feel comfortable or competent in the values

domain.” The teachers are trained and qualifiedto teach disciplines such as mathematics but arerarely trained to teach values which is usually avery challenging thing to do. This may also bebecause value education does not form aseparate subject of study or examination at anystage of the curriculum. Irrespective of why manytraining workshops are not available for theeducators to imbibe values education, there is astrong need for training teachers in the topic forbetter outcome. The question that arises is “Areteachers trained to implement such curriculum?”So, the question of how well the teachers knowto impart such knowledge or be effective inpromoting effective learning in values educationneeds to be answered.

IMPORTANCE OF TEACHER TRAININGTOWARDS A GOAL OF HIGH QUALITYEDUCATION

Values are essential building blocks onwhich an education for a humanistic andinternational society must be built on. This boostsself esteem both personal and cultural; promotesrespect and tolerance for others as individualsand as members of ethnic/cultural groups; andcreates a sense of belonging. Value basededucation promotes a secure physical, emotionaland political locus within society; a sense ofresponsibility in relation to social, political,economic, cultural and environmental factors, anappreciation of the importance of learning(Sanyal, 2000). This approach to education canprobe a well-rounded development and helpstudents aim the highest (Eidle, 1993).

“Practice what you preach is a saying thatis very apt for teachers when it comes to valueseducation. Teachers need to be able to imbibevalues in their attitude and in action to be able tobring them into their classrooms. Narvaez andLapsley (2008) looked at education as a value-infused enterprise and addressed the questionof how to train teachers for positive characterformation. They noted that teachers implicitlyimparts values when they select and excludetopics; when they insist on correct answers; whenthey encourage students to seek the truth of thematter; when they establish classroom routines,form groups, enforce discipline, encourageexcellence.


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PREPARING TEACHERS AS ‘VALUESEDUCATORS’ AND THE 21ST CENTURYVALUE EDUCATION SCHOOLS

Confucius has outlined the ethics of teachingin three beautiful words. “Ren - means an act ofutmost love. Yi - refers to moral uprightness. Li -indicates etiquettes in personal and institutionallife.” According to Confucian theory, only a personwho is always a source of love, morally uprightand whose behavior not only in personal but alsoin the institutional life is impeccable, is worthy ofbeing a teacher. An ideal teacher is a guide andsource of interest who loves the subject, theprofession and last but not the least loves thestudents. It is very challenging for the 21stcentury educators to keep up with the changingworld unless they are lifelong learners and aneffective catalyst to this social and economicchange.

Today we are in a technological world wherethings are happening fast. A question thateducators ask themselves is whether they arecapable of training the young citizens to be thetorch barriers of the noble human world. It is notjust enough for the young learners to acquireknowledge to earn a living but also require themto be a good citizen and be educated as a wholechild. Changing world at different levels raises abig concern to focus on the relevance andimportance of value education at the same timeemphasizes on the need to train teachers in newtechniques to promote a quality system ofeducation with a focus of value based education.Before planning an orientation workshop forteachers, it is important first to understand howto construct a values curriculum for qualityeducation. Following are the steps thatadministrators and curriculum developers cantake to structure the value based curriculum:

1. Articulate vision statements and theunderlying principles of value basedcurriculum

2. Outline values to be integrated in thecurriculum

3. Duration and formulation of detailed specificobjectives and lesson plans for each valueaccording to age and mental maturity.

4. Selection of appropriate activities, seminars,fieldwork, group-work and projects necessary

to achieve the objectives

5. Integrating values in every subject based onthe needs of the individual and society

6. Organizing these units meaningfully in acoherent simple way

7. Outlining an evaluation plan to assess themanner in which values objective is attained

8. Ongoing scope of open discussion withparents and community about theimprovement of the curriculum

9. Modifying and improving the curriculumbased on the above step and finalization.

10. Planning teacher training workshop andorientation on value based curriculum topromote understanding of the underlyingprinciples and aim to create robust learningenvironment

After a school has successfully planned avalues curriculum, it is very important that theschool plans orientation training workshop forteachers to enable them to implement andintegrate the curriculum into the class effectively.

IDEAS FOR SUCCESSFUL TEACHERTRAINING

Multiple schools worldwide have introducedvalue-based programs as part of their curriculum.These curriculums are getting very popular in theschools in UK and India, and are getting attentionin the schools in USA as part of charactereducation. Training and discussion are neededto understand the underlying principles, aim andapproach to value based education. Workshopscould provide a platform to teachers to practiceteaching an activity that imbibe values as wellas give them an opportunity to experience it as achild. Through these trainings teachers can notonly understand their own values and strengthsbut also gain a better understanding of theirstudents.

Values cannot be just taught students buthave to be modeled and imbibed by adults andteachers so that they become part of thecharacter of the individual. The values curriculumpromotes a learning environment where valuesare absorbed progressively and through a varietyof activities structured according to the relevanceand age of the students. The process of learning

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is based on experiences, action and reflectionthrough project-based learning, seminars, group-work, dialogue, role-play, films and other mediapresentations, fieldwork.

Teacher training is needed to help teachersequip with new strategies and techniques topromote values learning. The followingcomponents can be included in a 3-5 daysworkshop for training teachers to integrate valuesin their classroom and make it an experientiallearning:

1. Workshops need to be interactive

2. Discussion on underlying principles, aim andapproach to values education with mentors

3. Guide teachers in day to day lessons andtransactions. Practice teaching an activity,experience an activity as a student andreceive feedback from one another

4. Equip teachers to provide as many real-lifesituations to imbibe a value. Share creativethoughts among each other

5. Open discussion with teachers on new ideasfor improving and evolving the curriculum

Through value oriented teacher education,the challenge of teacher education to prepareteachers to take care of the holistic education ofchildren can be resolved. New courses andprofessional programs are being developed byseveral institutions to enable value education tobe integrated in the academic curriculum.National Council for Teacher Education (NCTE)is well aware of the challenge in providing valueorientation to teacher education and has beenconducting orientation programs on education inhuman values for teacher educators. Titlesrelated to value education available from theNCTE web site are: Education for CharacterDevelopment; Education for Tomorrow; Reportof the Working Group to Review Teachers’Training Programme; Role and Responsibility ofTeachers in Building up Modern India; Gandhion Education; Sri Aurobindo on Education; andTilak on Education (http://www.ncte-in.org ).

Furthermore, the following approaches canbe used for teaching values in character buildingactivities as reported on the UNESCO APIED onEducation for Affective Development

1. Telling: A process for developing values thatenables a pupil to have a clear picture of avalue _ laden situation by means of his ownnarration of the situation.

2. Inculcating: An approach geared towardsinstilling and internalizing norms intoperson’s own value systems.

3. Persuading: The process of convincing thelearner to accept certain values and behavein accordance with what is acceptable.

4. Modeling: A strategy in which a certainindividual perceived as epitomizingdesirable/ideal values are presented to thelearners as a model.

5. Role playing: Acting out the true feelings ofthe actor(s) by taking the role of anotherperson but without the risk of reprisals.

6. Simulating: A strategy in which the learnersare asked to pretend to be in a certainsituation called for by the lesson and thento portray the events and also by imitatingthe character’s personality.

7. Problem solving: An approach wherein adilemma is presented to the learners askingthem what decisions they are going to take.

8. Discussing situations, stories, pictures, etc:This technique asks the learners todeliberate on and explain the details in thelesson.

9. Studying biographies of great men: This isan approach that makes use of the lives ofgreat men as the subject matter for trying toelicit their good needs and thoughts worthyfor emulation.

10. Moralizing: The process of working out asense of morality through active structuringand restructuring of one’s socialexperiences (e.g. moral reasoning andanalysis)

11. Values clarification: Values clarification asa strategy for values development may beconsidered as learner-centered. It reliesheavily on the pupil’s ability to process hisbeliefs, behave according to his beliefs andto make a decision whenever confronted


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with a value dilemma. (Ascited in h t t p : / /www.ncte-india.org/pub/rimse/spk4.htm)

CONCLUSION

Values education help students find theirplace in the world and build their self-confidence.Values in a school curriculum add a dimensionto promote holistic development of the studentsand benefits their academic achievement.Teachers feel a need to introduce experientialapproaches to values education as a means tocounter an overly cognitive national curriculumand to address issues of behavior, discipline andsocial attitudes. The role of teachers cannot bedeemed minor in developing good characteramong students. Values educators must facilitatea student’s personal internalized discovery thatone would want to be a values-oriented andvalues-guided person because through suchactivity one can feel good about oneself, respectoneself, and esteem oneself well (Eidle, 1993).Professional development sessions allowingeducators to interact with each other letsindividuals examine and view his or her ownbeliefs differently by using thoughts andtestimonies from others; such experiences permitindividuals to make sense of the world aroundthem which is transformative learning (Cranton& King, 2003). There are some trainingworkshops available worldwide for implementingvalue based education that have tremendouslyhelped teachers develop skills to create a value

based environment that promotes inspiring andactive listening classrooms. Much remains to bedone in this direction to make this effortmeaningful and worthwhile, keeping in mind whatis best for the future.

REFERENCES

1. Arweck, E., Nesbitt, E., & Jackson, R. 2005. Commonvalues for the common school? Using two valueseducation programmes to promote „spiritual and moraldevelopment . Journal of Moral Education. 34 (3). 325-342.

2. Burra, H. 2007. Value Based Education: A Need ofToday. Associate Content. Retrieved from http://www.associatedcontent .com/art ic le/355207/value_based_education_a_need_of_today.html?cat=4.

3. Cavazos, L., F. 2002. Emphasizing Performance Goalsand high-quality education for all students. Phi DeltaKappan. 83 (9).

4. Cranton, P., & King, K. P. (2003). Transformativelearning as a professional development goal. NewDirections for Adult and Continuing Education, 98,31-37.

5. Eidle, W., R. 1993. Values education and self-esteem.Education. 113(4).

6. Lickona, T. (1993). The return of character education.Educational Leadership, 51(3), 6- 11.

7. Narvaez, D., & Lapsley, D. K. (2008). Teaching moralcharacter: Two alternatives for teacher education. TheTeacher Educator, 43 (2), 156 – 172.

8. National Council for Teacher Education (NCTE). 2013.Retrieved from http://www.ncte-india.org/pub/rimse/rimse.htm

9. Sanyal, B., C. 2000. Need for value-based educationin the twenty-first century. Here-now4u OnlineMagazine. Retrieved from http://www.here-now4u.de/

ENG/need_for_the_value-based_educa.htm

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3.____________________________________ ________________ __________________

*This undertaking must be submitted along with submission of the manuscript in IJSIR.


P-ISSN 2347-2189, E- ISSN 2347-4971

www.ijsir.co.in 293

COVER LETTER

Date

Place

From

(Name and Address of the corresponding author)

To,

Editor-in-Chief

International Journal of Scientific and Innovative Research (IJSIR)

Sir,

Ref: Title

Type

Subject

Branch

In reference to the above title, I as a corresponding author submit the manuscript for

publication in International Journal of Scientific and Innovative Research. I undertake that

animal study (if any) was taken after the prior approval of country/institutional ethical committee.

This manuscript has not been published or considered for publication by any other journal or

elsewhere. Kindly consider the manuscript for publication in your journal.

Thank you

Corresponding author name