International Journal of Scientific and Innovative Research 2014 2 (1) P-ISSN 2347-2189, E - ISSN 2347-4971

VOLUME 2, ISSUE 1 (JANUARY - JUNE) 2014
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 40
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,

P-ISSN 2347-2189, E- ISSN 2347-4971
EDITOR-IN-CHIEF
DR. B.R. PANDEY
FORMER
DIRECTOR (RESEARCH)
SKY INSTITUTE, KURSI ROAD, LUCKNOW, U.P, I NDIA
FORMER JOINT D IRECTOR, COUNCIL OF SCIENCE & TECHNOLOGY , UP, LUCKNOW
(D EPARTMENT OF SCIENCE AND TECHNOLOGY , UP GOVERNMENT ), INDIA
PROFESSOR, INTERNATIONAL INSTITUTE OF HERBAL M EDICINE (IIHM), LUCKNOW, U.P., INDIA
E- MAIL ID: editorijsir02@gmail.com, MOBILE-: 9794849800
COMMITTEE FOR EDITORIAL ASSISTANCE

Dr. B.C.Tripathi
Dr. Pankaj Verma
Shri Sanjay Pandey
Shri Ashish Tiwari
Assistant Prof.
Deptt. of Education,
Rama P.G. College,
Chinhat, Lucknow,
Uttar Pradesh
Senior Research Fellow,

Deptt. of Oral & Maxillofacial Surgery,
Faculty of Dental Sciences,
K.G. Medical University,
Lucknow, Uttar Pradesh
Assistant Prof.
National Institute of
Fashion Technology,
Raebareli,
Uttar Pradesh
Research Scholar,
Sai Nath University,
Ranchi,
Jharkhand
ADVISORY BOARD
Prof.(Dr.)S. P. Ojha
Prof. (Dr.) S.P. Singh
Former Vice Chancellor, CCS Meerut University, Meerut, Uttar Pradesh
Former Prof & Head, Deptt. of Pharmacology,

G. S. V. M. Medical College, Kanpur, Uttar Pradesh
Prof.(Dr.)V.K. Srivastava
Former Prof & Head, Deptt. of Community Medicine
Prof. (Dr.) R. L. Singh
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 & Head, Department of Biochemistry & Coordinator Biotechnology

Program , Dr. R. M. L. University Faizabad, Uttar Pradesh
Dr. Sarita Verma
Prof.(Dr.) M.I. Khan
Pro. & Ex-Head, Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.
Head, Deptt. of Home Sci., Mahila P.G. College, Kanpur, Uttar Pradesh
Prof. (Dr.) S.K.Agarwal
Prof & Head, Deptt. of Mechanical Engg.,

Integral University, Lucknow, Uttar Pradesh
Dr. Bharat Sah

Director,
National Institute of Fashion Technology, Raebareli, Uttar Pradesh
Prof. (Dr.) S.K. Avasthi

Former Director, H.B.T.I., Kanpur, Uttar Pradesh
Prof.(Dr.)N.S. Verma
Prof.(Dr.) Amrika Singh
Prof., Deptt. of Physiology,

K. G. Medical University, Lucknow, Uttar Pradesh
Prof & Head (Chemistry), Deptt. of Applied Sciences,

Institute of Engg. & Technology, Sitapur Road, Lucknow, Uttar Pradesh
Prof.(Dr.)A.K. Tripathi
Prof.(Dr.) U.N. Dwivedi
Prof. & Head, Deptt. of Clinical Hematology & Medical Oncology,

Prof & Ex- Head, Deptt of Biochemistry, Former Pro- Vice Chancellor,
Former Dean, Faculty of Science, University of Lucknow, Lucknow, U.P.
Prof.(Dr.)C.M. Pandey
Prof.(Dr.) U.K. Misra

Head, Deptt. of Neurology, Ex Dean,
Sanjay Gandhi Post Graduate Institute of Medical Sciences, Lucknow, U.P.
Prof. & Head, Deptt. of Biostatistics & Health Informatics,

Sanjay Gandhi Post Graduate Institute of Medical Sciences, Lucknow,
Uttar Pradesh
Dr. A.K. Gupta
Dr. Rupesh Chaturvedi
Former Deputy Director General,

Indian Council of Medical Research (ICMR), Ansari Nagar, New Delhi
Associate Prof., School of Biotechnology,

Jawaharlal Nehru University, New Delhi, Former Asstt. Prof., Deptt. of
Pharmaceutical Sciences , College of Pharmacy, Vanderbilt University,
Tennessee, USA
Prof.(Dr.) V.K.Tondon
Former Prof & Head, Deptt. of Chemistry, Ex- Dean Faculty of Science,
University of Lucknow, Lucknow, Uttar Pradesh
Dr. S.Sinha
Prof. (Dr.) Amod Kumar Tiwari,

Prof.- Director, Bhabha Institute of Engg.& Technology, Kanpur, U.P.
Asstt. Prof. Deptt. of Internal Medicine, CD University,

C. David Giffen School of Medi., University of California, Los Angeles, USA
Prof.(Dr.) Chandra Dhar Dwivedi
Dr. K.Raman
Former Prof. & Chairman, Deptt. of Pharmaceutical Sciences, College of

Pharmacy, South Dakota State University, Borokings, South Dakota, USA
Principal Scientist, Martek Biosciences Corporation,

6480 Dobbin Road, Columbia, MD 21045, USA
Prof.(Dr.) Vimal Kishore
Dr. P.K.Agarwal
Prof. & Chairman, Deptt. of Basic Pharmaceutical Sciences,

Xevier College of Pharmacy, University of Louisiana, 7325,
Palmetto Street New Orlens, Louisiana USA
Editor in Chief, Natural Product Communication,

Natural Product Inc 7963, Anderson Park Lane West Terville, OH, USA
Prof .(Dr.) M.C. Pant,
Chief Scientist, Division of Toxicology, CSIR-Central Drug Research

Institute, Jankipuram Extension, Lucknow, Uttar Pradesh
Dr. R.K.Singh,
Former Director,
R. M. L. Institute of Medical Sciences, Lucknow and Prof. & Head,
Deptt. of Radiotherapy, K. G. Medical University, Lucknow, Uttar Pradesh
www.ijsir.co.in
Dr. Mohd. Tarique

Prof., Deptt of Physical Edu., Lucknow University, Lucknow, Uttar Pradesh
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EDITORIAL BOARD
Prof.(Dr.) Y.B. Tripathi
Dr. Vinod Singh
Prof. & Head, Deptt. of Medicinal Chemistry,Institute of Medical Sciences,

Banaras Hindu University Varanasi, Uttar Pradesh
Assoc. Prof. & Head, Deptt. of Microbiology, Baruktulla University, Bhopal,

Madhya Pradesh
Prof.(Dr.) R.K. Singh
Dr. K.K.Verma
Prof. & 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.
Assoc. Prof., Deptt. of Physics & Electronics.Dr. R. M. L. Awadh University ,

Faizabad,Uttar Pradesh
Prof. (Dr.) R.S.Diwedi
Senior Scientist, CSIR- Central Institute of Medicinal & Aromatic Plants,

Dr. Atul Gupta
Former Director, National Research Centre for Groundnut (NRCG) , ICAR,

Junagarh, Gujarat & Former Principal Scientist Head, Deptt. of Plant
Physiology, Indian Institute of Sugarcane Research, Lucknow, Uttar Pradesh
Dr. Saudan Singh,

Senior Principal Scientist,CSIR- Central Institute of Medicinal & Aromatic
Plants , Lucknow, Uttar Pradesh
Prof. (Dr.) Nuzhat Husain

Prof. & Head , Deptt of Pathology & Acting Director, R. M. L. Institute of
Medical Sciences, Lucknow,Uttar Pradesh
Dr. S.K.Tiwari
Senior Principal Scientist ,CSIR- National Botanical Research Institute,
Prof. (Dr.) Amita Jain

Prof. Deptt. of Microbiology, K.G. Medical University, Lucknow, U.P.
Dr. Shivani Pandey,
Dr. Sudhir Mahrotra
Asstt. Prof., Deptt. of Biochemistry,K.G.Medical University, Lucknow, U.P.
Associate Prof., Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.
Dr. B.C. Yadav,
Prof. (Dr.) Vibha Singh
Lucknow Associate Prof. & Coordinator, Deptt. of Applied Physics, School for
Physical Sciences, Babasaheb Bhimrao Ambedkar University, Lucknow, U.P.
Prof., Deptt. of Oral & Maxillofacial Surgery, Faculty of Dental Sciences,

Dr. Anchal Srivastava,
Prof. (Dr.) U.S. Pal
Prof., Deptt of Physics, Lucknow University,Lucknow, Uttar Pradesh
Prof. & Head, Deptt. of Oral & Maxillofacial Surgery, Faculty of Dental
Sciences, K. G. Medical University, Lucknow, Uttar Pradesh
Dr. Shalini Bariar
Prof. (Dr. ) K.K. Pant
Dr.A.K.Pandey
Asstt. Professor, Durga Devi Saraf Institute of Management, Mumbai, India
Prof. & Head , Deptt. of Pharmacology & Therapeutics,

Principal Scientist, National Bureau of Fish Genetic Resources,Lucknow, U.P.
Dr.S.K.Pandey
Dr. C.M.K.Tripathi
G.M. LML Factory, Kanpur Uttar Pradesh
Former Deputy Director & Head, Division of Fermentation Technology, CSIRCentral Drug Research Institute , Lucknow, Uttar Pradesh
Dr. Suneet Kumar Awasthi,

Asst. Prof ,Deptt.of PhysicsJ.P. University, Noida, Uttar Pradesh
Dr. R.D. Tripathi
Dr.G. N. Pandey
Chief Scientist & ProfessorPlant Ecology & Environmental Science Division,

Uttar Pradesh CSIR-National Botanical Research Institute, Lucknow, U.P.
Asst. Prof, Deptt. of Physics Amity University, Noida ,Uttar Pradesh
Dr. Mukesh Verma
Prof.(Dr.) Ashwani K. Srivastav
Asst. Prof., Deptt. of Physical Education, Dr. R.M.L. Avadh University,

Faizabad, Uttar Pradesh
Prof. & Head, Deptt. of Biosciences, Integral University,Lucknow,

Former Senior Scientist, Birbal Sbahani Institute Paleobotany, Lucknow, U.P.
Dr. Abhay Singh,
Prof.(Dr.) L. Pandey
Head, Physical Education, Delhi Public School, Lucknow Uttar Pradesh
Prof. & Head , Postgraduate Deptt . of Physics,Former Dean, Faculty of

Science, Rani Durgawati University, Jabalpur, Madhya Pradesh, India
Dr. Santosh Gaur

Asst. Prof. Deptt. of Physical Education, Jawahar Lal Nehru P.G. College,
Barabanki, Uttar Pradesh
Prof .(Dr.) Bali Ram

Prof., Deptt. of Chemistry, Banaras Hindu University, Varanasi, Uttar Pradesh
Dr.Sanjeev Kumar Jha
Prof.(Dr.) J.P.N.Rai
Senior Scientist, DEOACC Patna
Prof.& Head, Deptt. of Environmental Sciences, G.B. Pant University of Agr. &
Technology, Pant Nagar, Uttarakhand
Dr. Shivlok Singh

Scientist, DEOACC, Lucknow, Uttar Pradesh
Prof.(Dr. )R. S. Dubey
Dr. Anurag Tripathi,
Prof. & Head, Deptt. of Biochemistry, Banaras Hindu University, Varanasi, U.P.
Asstt . Prof. , Deptt. of Electrical Engg., Institute of Engg. & Technology,

Sitapur Road, Lucknow, Uttar Pradesh
Prof. (Dr.) Omkar

Deptt. of Zoology, Lucknow University, Lucknow, Uttar Pradesh
Prof. V.P.Sharma
Prof.(Dr.) Sudhir Kumar
Senior Principal Scientist, CSIR-Indian Institute of Toxicology Research,

Prof., Deptt. of Zoology, Lucknow University, Lucknow, Uttar Pradesh
Prof.(Dr.) Naveen Khare
Dr. Krishna Gopal
Prof., Deptt. of Chemistry, Lucknow University, Lucknow, Uttar Pradesh
Former Deputy Director & Head , Aquatic Toxicology Division, CSIR- Indian
Institute of Toxicology Research, Lucknow, Uttar Pradesh
Prof.(Dr.) S. M. Natu
Prof., Deptt. of Pathalogy,K.G. Medical University, Lucknow, Uttar Pradesh
Dr. S.P. Shukla
Dr. Kusum Lata Mishra,
Prof. , Deptt. of Civil Engg., Institute of Engg. & Technology, Sitapur Road ,
In-charge, Coagulation Laboratory, Deptt. of Pathology,

K.G. Medical University, Lucknow, Uttar Pradesh
Dr. Ajay Mishra
Prof.(Dr.)V.K. Sharma,
Associate Prof. , Deptt. of Geology, Lucknow University, Lucknow , U. P.
Prof., Deptt. of Chemistry, Lucknow University, Uttar Pradesh
Dr. Ashutosh Singh
Prof.(Dr.) R.K. Shukla
Prof., Deptt. of Chemistry,Saket P.G. College, Ayodhya, Faizabad, U. P.
Prof., Deptt. of Physics, Lucknow University, Lucknow Uttar Pradesh
Dr. S.K. Singh
Prof.(Dr.)Anil Gaur
Principal, Gita College of Education , Nimbari, Panipat, Haryana
Prof., Deptt. of Biotechnology & Genetic Engg., G.B. Pant University of Agr.
& Technology, Pant Nagar, Uttarakhand
Shri Sudesh Bhat

Advisor (Education), Sky Institute, Lucknow, Uttar Pradesh
Dr. Mahesh Pal
Dr. Krishna Gopal
Principal Scientist ,Phytochemistry Division, CSIR- National Botanical

Research Institute, Lucknow, Uttar Pradesh
296
Asst. 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
www.ijsir.co.in
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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
www.ijsir.co.in
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CONTENTS
SIGNIFICANCE OF ASCORBATE IN TRANS-PLASMA MEMBRANE ELECTRON
TRANSPORT IN HEALTH AND DISEASE OF HUMANS: REVIEW
PAGE
1
Varsha Shukla, Babita Singh, A.A.Mahdi, Shivani Pandey
AGGRESSIVE FIBROMATOSIS OF MANDIBLE:

A CASE REPORT AND LITERATURE REVIEW
12
Nimisha Singh, Vibha Singh, Satish Dhasmana, Ridhi Jaiswal, Gagan Mehta
POLYALTHIA LONGIFOLIA AND ITS PHARMACOLOGICAL ACTIVITIES : REVIEW
17
Prateek Dixit, Tripti Mishra, Mahesh Pal, T. S. Rana and D. K. Upreti
USE OF GENE THERAPY TO CURE AIDS
26
Sudhir Mehrotra, Khushwant Singh, Pushkar Singh Rawat
A REVIEW ON SYNTHESIS, FABRICATION AND PROPERTIES OF

NANOSTRUCTURED PURE AND DOPED TIN OXIDE FILMS
41
B.C. Yadav, Raksha Dixit and Satyendra Singh
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
58
S.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

FOR APPLICATIONS OF C/C++ PROGRAMMING
67
Rohit Saxena, Deepak Singh, Amod Tiwari
A HIGH FIDELITY VERSION OF A THREE PHASE INDUCTION MOTOR

MODEL USING MATLAB/SIMULINKS
Harish Kumar Mishra, Anurag Tripathi
71
GREEN WALL: A METHODOLOGY FOR SUSTAINABLE

DEVELOPMENT USING GREEN COMPUTING
78
Ankit Kumar Srivastava, Neeraj Kumar Tiwari and Bineet Kumar Gupta
BIOCONTROL : AN OVERVIEW
83
Kalpana Singh
ECO-DEVELOPED SOCIETIES: A HOPE FOR THE FUTURE GENERATION
90
Monika Raghuvanshi
GREEN MARKETING AS A SOCIETAL CONCEPT

Monika Raghuvanshi
FORENSIC INSECTS FACILITATE ECOLOGICAL RECYCLING
97
105
Sunita Rawat, Reema Sonker and Kalpana Singh
DESIGN AND DEVELOPMENT OF AN ALGORITHM FOR ASSESSMENT OF

THE LEARNING STYLE OF SOFTWARE ENGINEERING STUDENTS
107
Ankita, K P Yadav
A STUDY OF VARIOUS WORMS AND THEIR DETECTION SCHEMES
115
Sucheta, K P Yadav
SURVEY AND ANALYSIS OF CURRENT WEB USAGE MINING SYSTEM AND TECHNOLOGIES 123
Vignesh V., K. Krishnamoorthy
300
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STUDY OF DATA MINING ALGORITHM IN CLOUD COMPUTING

USING MAP REDUCE FRAMEWORK
129
E. Gajendran, K P Yadav
A DHT ORIENTED PEER TO PEER NETWORK WITH NEW HASH FUNCTION
136
Vivek Saini, K P Yadav
PERFORMANCE ANALYSIS OF RELIABILITY GROWTH

MODELS USING SUPERVISED LEARNING TECHNIQUES
142
G Sarvanan, K Krishnamoorthy
STUDY AND ANALYSIS OF SINGLE POINT CUTTING TOOL UNDER VARIABLE RAKE ANGLE
150
Deepak Bhardwaj, B. Kumar
QUALITY FUNCTION DEPLOYMENT (QFD): A CASE STUDY
158
Satish Chander Garg, B. Kumar
MANUFACTURING QUALITY
169
Rohitash Kumar Kaushik, B Kumar
A COMPARATIVE STUDY ON EMISSIONS FROM TWO STROKE COPPER COATED

SPARK IGNITION ENGINE WITH ALCOHOLS WITH CATALYTIC CONVERTER
173
N L Maharaja, B. Kumar
OPTIMAL POWER FLOW BY PARTICLE SWARM

OPTIMIZATION FOR REACTIVE LOSS MINIMIZATION
179
G. Sridhar, Radhe Shyam Jha Rajesh
INDUSTRIAL POLLUTION AND RELATED LEGISLATIONS IN INDIA
186
M.I.Khan, Niaz Ahmed Siddiqui
CARBON TRADING : SUSTAINABLE DEVELOPMENT WITH

POTENTIAL WEALTH
196
Imran Farooq, Kamlesh Kumar Shukla
SOCIAL MEDIA AND ITS ROLE IN BRAND BUILDING
206
Shalini Bariar
IMPORTANCE OF LIFE INSURANCE IN MEETING OUT FINANCIAL NEEDS AND

SECURITY IN CURRENT SCENARIO WITH CHALLENGES AND EMERGING TRENDS
210
Jyoti Agarwal, S.C. Pandey
FDI IN INDIAN RETAIL SECTOR: ANALYSIS OF COMPETITION IN

AGRIFOOD SECTOR
216
P Nixon Dhas, N P Sharma
SIX SIGMA DMAIC FRAMEWORK FOR ENHANCING QUALITY IN

ENGINEERING EDUCATIONAL INSTITUTIONS
226
Vikas Singh, N P Sharma
BIO MEDICAL WASTE: A SERIOUS ENVIRONMENTAL CONCERN
232
Kushagra Sah, Swapnil Srivastava, Shubham Singh
A CRITICAL STUDY ON FINANCIAL PERFORMANCE OF SIDBI
241
Prakash Yadava
ROLE OF GEOGRAPHICAL ENVIRONMENT ON ENVIRONMENTAL

DEGRADATION COGNITION IN TRIBAL AND NON-TRIBAL ZONES
244
Mahendra Singh, Rohtash Malik

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ANALYSIS OF RESPONSIVENESS & ASSURANCE DIMENSIONS OF

SERVICE QUALITY & CUSTOMER SATISFACTION IN INDIAN AIRLINES
248
Renuka Singh,
A STUDY ON MORAL JUDGMENT ABILITY OF TEENAGERS (14-19 YEAR)
255
Sunil Kumar Singh, Manisha Singh
E GOVERNANCE IN HIGHER EDUCATION
261
S.K. Singh, Manisha Singh, Priyanka Singh
WOMEN EDUCATION FOR NATIONAL DEVELOPMENT IN INDIA
267
B.C. Tripathi, M. Awasthi, R. Shukla
ROLE OF E-GOVERNANCE TO STRENGTHEN HIGHER EDUCATION SYSTEM IN INDIA
270
Charanjeet Kaur, Prem Mehta
GROWTH OF HIGHER EDUCATION IN INDIA DURING THE PERIOD 1950-2005
277
Prem Yadav, Prem Mehta
VALUE-BASED EDUCATION: PROFESSIONAL DEVELOPMENT VITAL

TOWARDS EFFECTIVE INTEGRATION
281
Vinay 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 Gorges Medical University, Lucknow, Uttar Predesh, India
*Dr. Shivani Pandey, Assistant Professor, Department of Biochemistry, King Gorges Medical University,
Lucknow, Uttar Pradesh, India,
email : drshivani111263@gmail.com
ABSTRACT
Trans-Plasma membrane electron transport (t-PMET) has been established in the year
1960s.This system (t-PMET system) transfer electron across the plasma membrane, which
results in the net reduction of extracellular oxidants (e.g., ferricyanide) at the cost of intracellular
reductants such as NADH and ascorbate. Ascorbate (vitamin C), helps in the protection of
organism against a variety of oxidative agents. Oxidation of ascorbate takes place in two oneelectron steps, the first step results in the Ascorbate Free Radical (AFR) formation. AFR can be
oxidized further to produce dehydroascorbic acid (DHA) and also two molecules of AFR
disproportionate to form one DHA and one ascorbet molecule. In humans, NAD(P)H- and NADH
dependent system have been distinguished. Recent finding suggest that transplasma membrane
ascorbate/dehydroascorbate cycling enhance NTBI reduction and uptake by human
erythroleukemia (K562) cells. By this phenomenon cell can respond to change in the redox
microenvironment which is responsible for regulating several biological functions such as cell
metabolism, proton pumping, and activity of ion channels, growth and death. This review will
give an update on functional significance of ascorbate in t-PMET and emphasis on its correlation
to 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.
INTRODUCTION
Transplasma membrane electron transfer
(tPMET) systems are responsible for reducing
extracellular electron acceptor utilizing cytosolic
electron doners. In humans, NAD(P)H and
NADH-dependent systems have been
distinguished. tPMET activities are related to the
regulation of vital cellular processes including the
bioenergetics, regulation of growth and
differentiation, apoptosis, pH control and
mitogenesis cell signal transduction,
antioxidation, and iron/copper metabolism. In
accordance, deregulation of tPMET is related to
various human conditions which includes aging
and neurodegeneration, macrophage-mediated
LDL oxidation in atherogenesis , diabetic
nephropathy and glycolytic cancer progression
[1]
. A distinction was made between NAD(P)H and
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NADH-dependent system, the NAD(P)Hdependent system includes the members of the

Nox and Duox families [2], where as the NADHdependent system often referred to as the plasma
membrane NADH: oxidoreductase system or
PMOR-this system include at least an NADH
oxidase and an NADH: ferricyanide reductase
activity[3]. By this cells can respond to change in
the redox microenvironment which is responsible
for regulating several biological functions such
as cell metabolism, proton pumping, activity of
ion channels, growth and death. Ascorbate
promotes the availability of iron from numerous
food sources in vivo and in vitro. Ascorbet
supplementation stimulates extracellular
ferricyanide reduction by several cell types,
including K562 cells [4], HL-60 cells and human
erythrocytes.
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BIOCHEMISTRY OF ASCORBATE
L-ascorbic acid (C 6 H 8 O 6 ) is the trivial/
common name of Vitamin C. The chemical name
of ascorbate is 2-oxo-L-threo hexono-1,4lactone-2,3-enediol.
L-ascorbic
and
dehydroascorbic acid are the major dietary forms
of vitamin C. The monovalent ascorbate anion
undergoes sequential one-electron oxidations
under physical condition of pH, temperature and
oxygen tension [5]. The first oxidation product is
relatively long-lived and electrochemically stable
ascorbet free radical (AFR; also known as semior mono-dehydroascorbate;E0= +330mV .The
first oxidation step of ascorbate requires relatively
low levels of circulating redox-active transition
metals, such as iron and copper [2]. AFR is
unreactive with dioxygen dissimilar to other free
radicals and it tends to decay mainly by
disproportionation, the formation of AFR takes

place by reaction of ascorbate with reactive
radical species which tends to inhibit free radicalinduced oxidative chain reactions and it is
irreversible reaction ; and rapidly AFR reduced
back to ascorbate. Further monoelectronic
oxidation of AFR produced DHA (E0= -210mV)
in the presence of mild oxidant such as
ferricyanide and /or NTBI species [4]. In the
absence of oxidants, two AFR molecules rapidly
oxidized to form one ascorbate and one DHA
molecule (fig.1). Though oxidation (or
disporportionation) of AFR to DHA requires twoelectron reducing capacity of ascorbate, DHA is
a structurally labile species which rapidly
undergoes an irreversible hydrolytic reaction also
known as ring-opening reaction to form 2,3diketogulonic acid in plasma with a half-life of
several minutes[ 4]
Fig.1. The oxidation products of vitamin C.
These reactions mainly require enzymes,

e.g. glutaredoxin, thioredoxin reductase, or AFR
reductases, also chemical reduction by
glutathione alone has been described. When
extracellular oxidation occurs, then DHA
reduction takes place into the cell. In case of
erythrocytes, AFR and DHA can be reduced
extracellular by redox enzymes present in the
plasma membrane, which require intracellular
NADH as a source of reducing equivalents [6].
These are evidence of alternative pathway for
2
the reduction of extracellular ascorbate free

radicals in the erythrocyte (fig.2). The intracellular
ascorbate provides the reducing equivalents for
the reaction but not NADH, which utilized a
transmembrane redox enzyme. This reaction is
similar to the redox process present in the
adrenal chromaffine granules. There is possibility
of another, similar, erytherocyte redox system
responsible for the reduction of AFR. On the other
hand, it is suggested that electrons can be
transported to the membrane by small lipid
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soluble molecules like -tocopherol and

coenzyme Q [7]. DHA degradation results in a
complete loss of the vitamin from human systems
it is a point which is particularly pertinent in the
case of species which lacks gulono--lactone
oxidase activity. In order to overcome the loss of
ascorbate, the vitamin must be retained
predominantly in the two-electron reduced form
(i.e. ascorbate) in both intracellular and
extracellular biological fluids. This observation

implies that, human cells possess several
conservative reduction mechanisms for
maintaining both intra-and extracellular
ascorbate . Even cultured cells, which are
supplemented with artificial standard culture
conditions, maintain an extraordinary ability for
ascorbate regeneration [6].
Fig.2. Model for the Ascorbate-dependent reduction of AFR.
ASCORBATE-STIMULATED
PLASMA
MEMBRANE FERRICYANIDE REDUCTASE
tPMET activity is present in human
erythrocytes that utilizes intracellular ascorbate
which acts as major electron donor for reduction
of extracellular ferricyanide .After increasing
intracellular ascorbate by dehydroascorbate,
stimulation of the plasma membrane ferricyanide
reductase activity takes place [8].By the addition
of ascorbate oxidation the stimulation of
ferricynade reductase activity is not affected (all
extracellular ascorbate is oxidized to form DHA
and inhibits direct reduction of ferricyanide by
ascorbate),therefore intracellular ascorbate acts
as an electron donor for reduction of extracellular
ferricyanide (Lane et al., data not shown).Direct
addition of ascorbate could not reproduce the
stimulation of reductase activity; hence these
cells do not express significant levels of sodiumascorbate co-transporters (SVCTs) [9].
CELLULAR DHA UPTAKE
Maximum human cells are able to maintain
intracellular ascorbate concentration that is
remarkably higher e.g. up to 30-fold in some
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cases in comparison to the extracellular fluid or

plasma. Although most of the cells maintain
outward-facing concentration gradient by SVCTmediated ascorbate import [4], low-affinity, highcapacity GLUTs is also a significant contributor
to facilitate the diffusion of DHA. An inward-facing
DHA gradient is maintained with respect to DHA
through rapid reduction of imported DHA back to
ascorbate by the cells; ascorbate is poor
substrate for GLUT-mediated transport [5] .
Elevated level of intracellular ascorbate is seen
after loading the K562 cells with DHA. This is
inhibited by cytochalasin B. GLUTs is responsible
for DHA uptake by K562 cells which is evidenced
by two pharmacological observations, the
accumulation of intracellular ascorbate is
response to extracellular DHA inhibited by: i) low
micro molar concentration of cytochalasin B, but
not the structural analog dihydrochalasin B, the
latter of which shares with cytochalasin B, its
inhibition of cellular motile processes but not that
of facilitated glucose transport [4]; and ii) millimolar
concentrations of the transportable ( but not
metabolizable) D-glucose analog 3-O-methyl-Dglucose, but not the non-transportable glucose
stereoisomer L-glucose. Again, primary
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astrocytes demonstrate similar behavior (Lane

et al., data not shown).
IRON UPTAKE AND ASCORBATE / DHA
SHUTTLE
Cellular uptake of NTBI is well evidence, but
less well understood in comparison to the
classical transferrine-dependent iron import
pathway [9].Cellular uptake of NTBI may be
particularly related to in iron overload diseases
such as hereditary hemochromatosis,
hypotransferrinemia, and thalassemia , in which
plasma iron presents in excess of transferrinebinding capacity [5].By the analysis of ascorbatemediated stimulation of NTBI reduction and
uptake by human erytheroleukemia ( K562) cells
it is found that DHA loading of cells stimulated
both processes ( viz. 12-and 2-fold, respectively),
yet unlike the reduction of ferricyanide- remained
inhibitable by extracellular ascorbate oxidase [9].
Furthermore, as cells were able to import iron in
a manner inhibitable by cell-impermant ferrous
ion chelators, the ascorbate-stimulated iron
uptake is clearly dependent on the initial adoption
of the ferrous state [8].
This suggests that ascorbate released from
cells- following uptake and reduction of DHA-
mediates direct reduction of ferric to ferrous iron,

ferrous iron is then imported ( fig. 3). Subsequent
addition of DHA to control or loaded cells resulted
in a dose-dependent stimulation of both iron
reduction and uptake that can be inhibited by
cytochalasin B, suggesting responsedependence on DHA uptake via GLUTs. Again,
these results are basically reproducible with
primary astrocyte cultures [9] .Several possible
candidates for the cellular export of ascorbate
have been proposed, including exocytosis of
ascorbate-containing vesicles, ascorbateascorbate homeoexchangers
,connexin
hemi-channels and volume-sensitive osmolyte
and anion channels (VSOACs) .VSOAC
permeability and ascorbate efflux from cells can
be inhibited by generic anion channel inhibitors,
such as 4,4-diisothiocyanatostilbene-2,2disulfonic acid (DIDS) and 4-acetamido-4isothiocyanatostilbene-2,2-disulfonic acid
(SITS), suggesting that a significant proportion
of ascorbate release occurs via this pathway. It
has been observed that DIDS inhibits ascorbate
release, ferrireduction and iron uptake to similar
degree in K562 cells [4].
COMPOSITION OF T-PMET
The reduction of extracellular molecules
takes place by outward flow of electrons coming
from cytosolic donors, due to the action of tPMET.
Enzyme-mediated and/or shuttle-based electron
transfer is involved in this trans-plasma
membrane flow. (Fig. 5) [10, 11,12].
Identification of several components has
been done in last two decades and
characterization at the molecular and
biochemical level of some of these components
has been done. Among them, some are
expressed ubiquitously, some are present in
certain cell types, some utilize only a subset of
electron donor and acceptor and some are less
specific [13].
Fig.3. Ascorbate/DHA shuttling in human NTBI

uptake
4
(A) Electron Donor: From NADH and NADPH,

intercellular reducing equivalents may be
derived, catabolic reactions are responsible for
production of first co-enzyme Q, where as
synthesis of fatty acid and cholesterol takes place
by the presence of NADPH/NADP+ system, these
reducing equivalent systems are also required
for hydroxylation and detoxification reactions.
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Numerous biological functions are affected by the

ratios of NAD+/NADPH [14, 15].To determine the
changes in these ratio, several biological
techniques such as bio-luminescence,
chromatography and cycling assays have been
developed. These techniques can determine the
change in ratio under both physiological and
pathological conditions. As living cells contain
enzymes, which are able to hydrolyze pyridine
nucleotides, technical problems may arise during
their extraction and these techniques also have
some limitations, such as concerning sensitivity,
reproducibility and interference with other
reducing compounds present in assay buffer[16].
important mechanisms, in which Asc contributes

to tPMET, are (i) enzyme-mediated electron
transport, in which electron donor is Asc for
transmembrane oxidoreductases and (ii) non
enzymatic electron transfer, where cells directly
release Asc which act as reducing agent thus
oxidized to dehydroascorbate (DHA) via
intermediate ascorbyl free radical (AFR) [22,23,24] .
DHA further reduced back to Asc by the reducting
equivalents coming from cellular metabolite
shuttling/cycling mechanism involving other
redox couple including superoxidedioxygen [25,26],
dihydrolipoic acid/ -lipoic acid [27,28] and reduced
glutathione/cysteine [29].
Intercellular substance like flavonoids and

ascorbate (Asc) have been seen to protect cells
from extracellular oxidant stressors, in fact they
are crucial substrates for tPMET activity in red
blood cells, erythrocytes may encounter a verity
of oxidants that exert detrimental effects.
Abundantly present flavonoids in fruits and
vegetables are quercetin and myricetin, which
are utilized by erythrocytes and actively promote
tPMET activity. Their structure is responsible for
their ability to act as electron donor, the B ring
structure of catechol is necessary for the reducing
activity of these molecules [17]. Red Blood Cells
are dependent on the intercellular Asc level, as
is evident from the observation that the treatment
of erythrocytes with nitroxide free radical Tempol
(2, 2, 6, 6,-tetramethyl-4-hydroxypiperidine-Noxyl) (fig.4) which is responsible for the
endogenous Asc depletion (without affecting
glutathione or -tocopherol content) [18], where as
inhibition of 80% basal rate of ferricyanide
reduction were seen in untreated cells [19,20].
Astrocytes show similar situation, in these cells
Asc-dependent tPMET is more important than the
NADH-dependent tPMET [21]. There are two
(B) Electron Acceptor: Oxygen is most

important extracellular acceptor which fully
reduced to water with the generation of reactive
oxygen species (ROS) including superoxide (O2) and hydrogen peroxide (H2O2) which help in the
modulation of specific cellular function and signal
transduction pathway [30] . AFR is another
physiological substrate which reduced to Asc [24]
and ferric ion which again reduced to ferrous ion
[31]
, ferrous ion is important for the proximal small
intestinal epithelium, where enterocytes utilize
iron, but before its transportation across the
membrane occures it should be reduced.
( C ) Intermediate Electron Carriers:
Intermediate electron acceptors are mainly b
cytochromes, flavin and vitamin E, but most
widely used electron shuttle is ubiquinone (or
coenzyme Q [CoQ] ) (Fig.5). It is able to move
between membrane bi layer and links the cell
from inside to outside. [32]
FIG. 5. Key components of t-PMET
(D) Enzymes
1. NADPH oxidases
Fig.4.Structure of 2, 2, 6, 6,-tetramethyl-4hydroxypiperidine-N-oxyl
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Superoxide families generating NADPH

oxidases also named as Nox or Phox i.e.
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phagocytic oxidases. It includes seven proteins

(Nox1 to Nox5 and Duox1 and Doux2) and is
best characterized class of enzymes present in
tPMET. Nox 2 is the first recognized and most
extensively studied member, expressed in
human phagocytes and responsible for
production of superoxide during engulfment of
invading microbes [33,34].Members of Nox family
are involved in many biological functions such
as signal transduction, host defense,
development, angiogenesis, blood pressure
regulation and biosynthetic processes [35,36] .
NADPH acts as electron donor for catalyzing the
reduction of oxygen to produce superoxide ,
hydrogen per oxide and oxygen with the help of
enzyme superoxide dismutase [SOD]. Hydrogen
peroxide so formed acts as second messenger
molecule. On the basis of structure, the Nox
enzymes are classified into three functional
groups. They are as follows.
1) Nox 1-4: Nox 2 is the first identified prototype
of this family. Cytochrome b558, is the catalytic
part of Nox 2, it is heterodimer composed of
two sub nits, namely, p22phox (light chain) and
gp 91phox (heavy chain) (37). Nox2 is usually
inactive in resting cells. Nox 1 is expressed in
color epithelial cells primarily and also found
in vascular smooth muscle cells, uterus and
prostate [38].p22phox is associated with Nox 1
like Nox 2, Nox 1 requires NoxO1 protein an
organizer and NoxA1 protein an activator. Nox
3 mRNA is found in foetal tissues, kidney, liver,
lung and spleen [39,40] but mainly present in
inner ear like Nox 2 and Nox 1, it also requires
p22phox but it does not require organizer and
activator protein for its enzyme activity. Finally,
the expression of Nox 4 is higher in kidney
and vascular endothelial cells [11,32]. Nox is able
to produce a functional diamer with p22phox , it
can produce superoxide anions without
intervention of organism and activator protein
same like Nox 3.
2). Nox 5: It is found in testis and also expressed
itself in T- and B lymphocytes [41]. Nox 5 is also
related to the other members of the family. Its
activity does not require organizer and
activator protein, in this way it differs from
other Nox isoforms but it requires intercellular
calcium concentration and is totally depend
on it. In Nox 5 calcium sensitization is archived
by two main mechanisms.
6
a). The first mechanism involves protein

kinase C dependent phosphorylation of
Thr494 and Ser 498 present in the FAD
binding domain.[42]
b). The second mechanism involves
calmodulin binding site present in the NADPH
binding domain. [43]
3) Duox 1and Duox 2: Expression of these
oxidases is mainly found in the membrane of
thyroid glands [43]. They usually produce H2O2
rather than O2.They have the basic structure
of gp91phox enzymes [44].Therefore superoxide
anions are mainly produced which rapidly
converted to H 2O 2 by the help of enzyme
dismutase, this process is known as
dismutation.They have an additional Nterminal peroxidase like domain present on
the outside membrane. These enzymes are
calcium responsive enzyme. [45]
Biological Function
Nox 1 plays two important roles: immune

defense and cell proliferation.
Nox 2 helps in signaling and also involves

in immune defense, it is present in endothelial
cells and responsible for endothelial growth
factor and thrombin and also implicate in new
blood vessel formation. They are also
responsible for tumor cell proliferation.
Most important function of Nox 3 is

participation in normal vestibular functions as
it is present in the inner ear.
In kidney Nox 4 helps in oxygen sensing and

regulation of erythropoietin synthesis. It also
acts as an antimicrobial system as it helps in
detoxification of urine wastes by releasing
ROS in glomerular filter.
Main function of Nox 5 is in testis as it

promotes oxidative changes which are
usually associated with sperm capacitation
and acrosome reaction.
2. NAD(P)H: quinone oxidoreductase

It is also known as DT-diaphorase or QR1.It
is present in cytosole and is homodimeric flavor
protein. Its enzyme commission number is
1.6.99.2. Under oxidative condition it is over
expressed and trans located to plasma
membrane. [46, 47]
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Biological Function
It is a key enzyme for cellular defense against

ROS.
It shows scavenging activity due to the
presence
of
NAD(P)H-dependent
superoxidase.
It is responsible for ubiquinone cycle and
facilitates in-out transfer of electron [48] and it
also produces redox-labile hydroquinone.
Therefore it has a complex metabolic
pathway for its protective functions.
It acts as chemo-protective enzyme, as it is

able to reduce quinine-imines, nitro- and azocompounds.
It helps in detoxification of xenobiotics and

prevents cytotoxic and carcinogenic effects
[49]
.
It is able to modulate oncoprotein stability.
3. Disulfide-thiol exchangers: They belong to

the family of cell surface proteins and exhibit
hydroquinone (NADH) oxidase activity and
protein disulfide-thiol interchange activity [50].
They are also known as ENOX proteins as they
are located outer side of plasma membrane [50].
Biological Function: It possesses two important
biological functions, first function is to participate
in enlargement of cell growth and the second
function is that it is the important component of
biological clock.
4. Voltage-dependent anion-selective
channels: It represents a family of 30-35 kDa
integral membrane protein. They are located in
outer mitochondrial membrane [51].
Biological Function:
Its major function is to control metabolic

trafficking between cytosole and
mitochondria by forming pores which are
permeable to low molecular weight
molecules such as ATP, ADP, succinate and
citrate [52].
They also help in the release of apoptogenic

proteins from mitochondria. [53]
5. Duodenal cytochrome b: Dcytb is also

known as Cybrd1, it is the member of cytochrome
b561 family Dcytb mRNA and protein both are
induced in response to hypoxia and iron
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deficiency, they play an important role in iron

metabolism.[31]
Biological Function: It plays an important role
in uptake of dietary nonheme iron.
6. Cytochrome b 5 reductase: Its enzyme
commission number is 1.6.2.2, also known as
diaphorase-1 or methemoglobin reductase.
Biological Function
They are membrane associated enzymes

present in all human cells, it helps in fatty
acid chain elongation and desaturation [54, 55],
cholesterol synthesis [56] and hydroxylation of
xenobiotics such as hydroxylamine and
amidoxime compounds [57].In erythrocytes
they help in maintaining hemoglobin in its
reduced state. [58,59]
PATHOLOGICAL ROLES OF ASCORBATE IN

T-PMET
Various pathological conditions are
regulated by ascorbate in tPMET . These are
described below.
Apoptosis
This process is involved in body
homeostasis and tissue development. Defect in
the process of apoptosis leads to several
diseases: Hypotrophy can be caused by
excessive apoptosis; insufficient amount of
apoptosis can cause cancer due to uncontrolled
cell proliferation. [60, 61, 62].
ROS generates due to inhibition of
ascorbate in t-PMET which leads to pro-oxidant
at plasma membrane and promotes apoptosis.
Cancer
Through
mitochondrial
oxidative
phosphorylation, normal tissues derive their
energy by glucose metabolism and produce
carbon dioxide and water. Even in the presence
of oxygen cancer cells convert glucose into
lactose rather than pyruvate. This phenomenon
is known as Warburg effect [63]. Ascorbate plays
an important role in cancer biology .It may perturb
key redox couples which include NAD(P)H/
NAD(P)+ and CoQH2/Co Q ratio, it neutralizes free
radicals before they can damage DNA and initiate
tumor growth and or may act as a pro-oxidant
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helping bodys own free radicals to destroy

tumors in their early stages [64,65]. The t-PMET is
useful for anticancer drug development due to
its targeting. Recently Prata et al. reported that
in human leukemic cells the primary site of action
of new anticancer compound is t-PMET such as
[3-(2-chloro-5-methoxy-6-methyl-3indolylmethylene)5-hydroxy-1,3-dihydroindol-2one,3-[(2,6-dimethylimidazo[2,1-b]-thiazol-5yl)methylene]-5-methoxy-2-indolinone and
guanylhydrazone of 2-chloro-6-(2,5-dimethoxy4-nitrophenyl) imidazo [2, 1-b] thiazole-5carbaldehyde] having antiproliferative activity,
therefore for the treatment of leukemia, specific
targeting of t-PMET may be utilized in
combination of ascorbate with standard
chemotherapeutic drugs. Treatment with ascorbyl
stearate resulted in concentration-dependent
inhibition of cell proliferation cancer cells [66, 67].
The anti-proliferative effect was found to be due
to the arrest of cells in S/G2-M phase of cell cycle,
with increased fraction of apoptotic cells.
Considerable biochemical and physiological
evidence suggests that ascorbic acid functions
as a free radical scavenger and inhibits the
formation of potentially carcinogenic N-nitroso
compounds from nitrates, nitritess in stomach
and thus offers protection against cancer [6869].
Cardiovascular diseases
t-PMET regulates cardiovascular diseases
by controlling the redox state and so, the redoxdependent signaling pathways in endothelial
cells.
It
has
been
proved
that
Hyperhomocysteinemia stimulates ferricyanide
reductase activity and cytochrome b5 reductase
expression, thus forming a potential link between
t-PMET, oxidative stress, and endothelial
dysfunction [70] ; Jessups et.al. found that
enhanced t-PMET activity induces low-density
lipoprotein oxidation [71], thus up regulation of tPMET may be numbered among atherogenic
factors. Nox1, Nox2 and Nox4 provide new
avenues for therapeutic interventions. Regular
physical exercise training has also improved
endothelium dependent vasodilatation, by down
regulating Nox subunits, especially gp91phox,
p22phox, and Nox4 [72]. A potential protective role
of t-PMET has been reported by Lee at.el.
However, a recent meta analysis on the role of
ascorbic acid and antioxidant vitamins showed
8
no evidence of significant benefit in prevention

of CHD [73]. Thus, no conclusive evidence is
available on the possible protective effect of
ascorbic acid supplementation on cardiovascular
disease.
Aging
Ascorbate present in t-PMET plays a
protective role by maintaining the optimal levels
of plasma antioxidants. In line with this
hypothesis, caloric restriction, a common
intervention able to delay age related oxidative
damage [74], increases the amounts of CoQ10 and
-tocopherol, as well as the activity of several
NAD(P)H oxidoreductases. Hence, up regulation
of t-PMET would be useful to decrease oxidative
stress and confers an anti-aging, stress resistant
phenotype, thus extending life span [75].
Obesity, metabolic syndrome and diabetes
Obesity represents a world wide nutritional
problem, as it dramatically increased during the
past 20 years. An unbalanced redox state has
been implicated as one of the key factors leading
to obesity-associated complications, such as the
metabolic syndrome and diabetes. Thus, obesity
may be viewed as a state of chronic oxidative
stress, characterized by enhanced levels of ROS
and impaired antioxidant defenses. t-PMET is
likely to participate in the chronic oxidant/
antioxidant unbalance due to presence of vitamin
C. Indeed, Nox1, Nox2, and/or Nox4 have been
shown to be implicated in pathways leading to
steatosis and insulin resistance in the liver, as
well as to pancreatic B-cell dysfunction, thereby
allowing progression from the metabolic
syndrome to type 2 diabetes [76].
CONCLUSIONS
Cell plasma membranes have complex
signaling systems for regulating cellular
metabolism. Several research studies basically
concentrate on enzymatic tPMET systems;
however several examples of shuttle- based
tPMET systems have been documented as well,
including ascorbate/DHA , dihydrolipoic acid/alipoic acid , reduced glutathione/cysteine and
superoxide dioxygen shuttles. t-PMET
unregulated optimal NAD+ level which is required
for the production of ATP in glycolysis under low
mitochondrial activity whereas increased activity
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is responsible for superoxide anion and hydrogen

per oxide production which enhance cell growth
by regulating signaling molecule [1]. As with
classical enzyme-mediated tPMET systems,
these shuttle-based systems result in the net
transfer of metabolically derived reducing
equivalents from the cytoplasmic compartment
to the extracellular space. In the extracellular
space, the fate of these reducing equivalents
depends on the particular redox couple involved.
Many enzymes present in t-PMET have inducible
systems, which are activated by variety of
extracellular effectors such as growth factors,
cytokines and hormones, so that oscillation of
ROS production serves the need of different
tissues. The example of shuttle-based tPMET is
transplasma membrane ascorbate/DHA cycling,
which leads to redox change linked to cell
metabolism. Transplasma membrane ascorbate
DHA cycling may contribute significantly to NTBI
ferric reduction prior to ferrous uptake. As an
example, superoxide production at cell surface
may not be derived from any of NOX isoform
action, non -mitochondrial oxygen consumption
was inhibited by extracellular NADH in several
glycolytic cancer cell lines [77], whereas the oxygen
burst observed in activated platelets and
leukocytes was demonstrated to be stimulated
by the presence of exogenous NADH [78].From
the involvement of ascorbic acid present in tPMET in several pathological conditions, it is
mandatory to understand, in the future, the
relative contribution of each oxidase system to
ROS generation and shuttle-based t-PMET
systems; this will help us to design novel
therapeutic approaches. Thus, though ascorbic
acid was discovered in 17th century and TransPlasma membrane electron transport (t-PMET)
has been established in the year 1960s, their role
is important in human health and disease, still
remains a mystery [79].
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
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AGGRESSIVE FIBROMATOSIS OF MANDIBLE:

A CASE REPORT AND LITERATURE REVIEW
1
NIMISHA SINGH1,* VIBHA SINGH1, SATISH DHASMANA2, RIDHI JAISWAL3, GAGAN MEHTA1
Department 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: vibhasinghraghuvanshi@gmail.com
ABSTRACT
Aggressive fibromatosis or desmoid tumor is a benign but locally-aggressive tumor, which most
often affects the muscles of the shoulder, the pelvic girdle, and the thigh. This tumor has high
potential for loco regional extension. It is very rarely located in the mandible. The differential
diagnosis with malignant tumors is difficult. Surgery is the first-line treatment. However, alternative
therapies should be considered, especially in children, to avoid mutilating operations. This article
reports a case of aggressive fibromatosis involving mandible in a 13 year old female and literature
review.
Keywords: Desmoid, Fibromatosis, Mandible.
INTRODUCTION
Desmoid tumors (DT), also called
aggressive fibromatosis (AF), are rare
neoplasms, occurring both sporadically and in
the context of familial adenomatous polyposis,
also recognized as Gardner s syndrome.
Fibromatoses are a group of fibrous connective
tissue lesions that are morphologically classified
as benign neoplasms. They do not usually
develop distant metastasis, however, locally they
show an aggressive and infiltrative behavior. The
low incidence of this rare tumor presents
problems in both diagnosis and management.
Juvenile aggressive fibromatosis affects infants
and children and requires radical surgery.
Stout[1] first described juvenile fibromatosis
as a non-congenital disease affecting children
younger than 16 years. There are two types of
juvenile aggressive fibromatosis, superficial and
deep. The superficial variant is not aggressive,
does not grow faster, and does not invade deep
tissues. By contrast, deep fibromatosis is more
aggressive and invades other tissues. Some
authors tend to classify it as a fibroblastic
proliferative disorder different from neoplasia [2].
12
This variant affects young children, especially

those from 18 months to 3 years old, and females
in a 3:1 ratio over males[3]. It affects different
regions of the body but especially the neck and
face, specifically the tongue and lower jaw [2,3,4,5].
This disease is characterized by a massive
infiltration of muscle, fat tissue, and bone.
The etiology is unknown. Multiple factors are
thought to influence pathogenesis including
genetic, trauma and endocrine factors.
Membrane-specific estrogen and progesterone
receptors have been implicated in desmoids in
pregnancy and steroid hormones play a vital role
in the dysregulation of fibroblast activity. Loss of
the Y chromosome and deletion of 5q
chromosome may occur [6].
Fibromatosis occurs mostly in the lower
abdominal wall of females during or after
pregnancy [7]. Extra abdominal fibromatosis often
affects the muscles of the shoulder and pelvic
girdles. Between 7% and 15% of AFs occur in
the head and neck region, 26% of which arise
from the soft tissues (including the periosteum)
around the mandible [8,9]. Fibromatoses are more
common 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 age
group from neonatal to elderly, it is predominantly
a disease of children and young adults. Twenty
five percent of all AFs occur in children under 15
years of age[1]. Surgical ablation in this kind of
tumor should be radical, as there is a high rate
of recurrences after more conservative treatment
[5,10,11]
.
Fig 2: OPG showing radio-lucent lesion from the right
mandibular ramus to left parasymphysis.
CASE REPORT
A 13 year old female
presented to Outpatient
Department of Oral &
Maxillofacial
Surgery,
K.G.Medical University,
Lucknow with a firm swelling
Fig 1: Frontal view showing
large swelling of right lateral
mandible.
in the right lateral mandible measuring 11x6 cm,

without involvement of skin or gingiva. (Fig. 1)
There was no history of trauma to the face
or neck and no complaints of pain, voice change,
or dysphagia. No relevant diseases were
reported in the family. A general physical
examination was normal. Oral and maxillofacial
examination revealed a large swelling of the right
lateral mandible. It extended from the right ramus
of the mandible to the left parasymphyseal
region, crossing the mid line. The mass was firm,
hard, non-pulsating, and measured 11x6 cm. The
swelling obliterated the right buccal sulcus and
was palpable in the floor of the mouth. The
overlying skin and mucosa were normal. No
cervical lymphadenopathy was present.
The orthopantomograph revealed a radiolucent lesion with ill-defined borders extending
from the right mandibular ramus to the left
parasymphysis (Fig. 2). A CT scan showed a
tumour arising from the right mandibular ramus,
extending to the anterior mandibular body,
crossing midline with erosion of the lingual and
buccal cortical plates at some places, and
extending towards the floor of the mouth and
submandibular area (Fig. 3).
www.ijsir.co.in
Fig 3: CT scan showing radiolucent tumor.
The patient underwent an intraoral incisional

biopsy. Sections show a benign mesenchymal
tumor disposed in bundles or fascicles or an
interlacing pattern. The fascicles comprise of oval
to elongated cells having uniform spindle nuclei
(Fig. 4a). Collagen formation is seen. At the
periphery several bone trabeculae rimmed by
osteoblasts and covered by squamous
epithelium are seen (Fig. 4b). The histological
examination revealed aggressive fibromatosis.
Fig 4a: Microscopic picture showing mesenchymal tumor

disposed in intersecting fascicles.
13

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Fig 4b: Microscopic picture showing osteoid rimming the

tumor tissue.
Fig 7: Immediate reconstruction of mandible with

reconstruction plate
The patient was planned for surgery under

general anaesthesia for radical excision. A right
mandibulectomy was performed via a
submandibular incision (Fig 5, 6). Immediate
reconstruction was performed by using
reconstruction plate (Fig. 7).
Postoperative healing was uneventful (Fig.

8). Naso-enteral feeding was continued for 6
days, after which the patient was kept on a liquid
oral diet.
Fig 8: Post-operative view

of patient
DISCUSSION
Fig 5: Exposure of tumor via submandibular approach
Fibromatosis encompasses a group of soft

tissue lesions which are characterized
histologically by fibroblastic proliferation and
clinically by the potential to infiltrate locally and
to recur after surgical excision, but not
metastasize.
Seper et al. [11] presented a complete
literature of aggressive fibromatosis of the
mandible reported between 1960 and 2003. Out
of 37 published cases, most (89%) underwent
surgical resection with 22% of recurrences
reported after an average follow up of 3.8 years.
The tumor is very rare in the maxilla. We know
only 15 cases that have been reported from1980
to now12, 13.
Fig 6: Resected tumor mass

14
The incidence of these lesions in the head

and neck is mentioned as from 9.5% to 50% of
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P-ISSN 2347-2189, E- ISSN 2347-4971
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 most
frequent site for desmoids lesions, with
preponderance in the region of the cheek [15].
Clinically, AF manifests as a painless, firm,
rapidly enlarging mass, fixed to underlying bone
or soft tissue. Histologically, AFs are tumors with
proliferation of mature fibroblasts with long ovoid
nuclei without polymorphism. Abundant collagen
is present with the neoplastic cells.
Radiographic findings are variable ranging
from periosteal thickening with ill-defined
radiolucency to frank bony destruction. CT and
MRI show infiltration of soft and hard tissue
boundaries [4].
The osteolysis of the mandible with a large
extra oral swelling but without involvement of the
mucosal or skin surface could indicate the
presence of a primary osseous lesion. Therefore,
AF could be misdiagnosed as desmoplastic
fibroma, in particular because it has a similar
histopathol[ogical appearance [16].
Estrogen, progesterone receptors and antiestrogen binding site studies may be of clinical
importance, as a therapy with hormonal agents
might be effective in AF [17].
According to the literature, surgery is the
most common treatment of AF in head and neck
with local invasion into the mandible [18,19].
Extensive and mutilating resection of a benign
neoplasm is a difficult decision. However, the
disease can result in a lethal outcome. Therefore,
complete excision of AF with a generous border
of histologically tumor-free tissue is generally
recommended [3 ,5 ,20]. When bone is involved, the
treatment has to include the affected part of the
mandible.
Owing to the locally aggressive progression
of AF and patients uncompleted growth, the
treatment of head and neck lesions in young
children needs multidisciplinary approach. The
therapy alternatives in AF include Chemotherapy
[21]
hormonal therapy (antiestrogen), NSAID
therapy [22] . Radiotherapy is reserved for
inoperable disease and chemotherapy may be
useful as an adjunct.
www.ijsir.co.in
CONCLUSION
Aggressive fibromatosis presents a
diagnostic dilemma and may mimic malignancy.
The differential diagnosis with malignant tumors
is difficult. Fibromatosis in the maxillofacial
region is a very rare among diverse pathologic
conditions, and because of the rarity of this tumor,
definite treatment regimen is not established,
which may be responsible for a high recurrence
rate of these tumors. Surgery is the first-line of
treatment, however, alternative therapies should
be considered, especially in children, to avoid
mutilating operations.
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Meera Satish Ruparelia 1, Daljit K. Dhariwal : Infantile

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Pack GT, Ehrlich HE. Neoplasms of the anterior

abdominal wall with special consideration of desmoid
tumours: experience with 391 cases and collective
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Reitamo JJ, Scheinin TM, Havry P. The desmoid

syndrome. New aspects in the cause, pathogenesis and
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Carr RJ, Zaki GA, Leader MB, Langdon JD. Infantile

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Lind DS, Ennekind WF, Markus Jr RB: External beam
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54: 177181, 2002
11. Seper L, Burger H, Vormoor J, Joos U, Kleinheinz J:
Aggressive fibromatosis involving the mandiblecase
report and review of the literature. Oral Surg Oral Med
Oral Pathol Oral Radiol Endod 99: 3038, 2005
12. Donohue WB, Malexos D, Pham H. Aggressive
fibromatosis of the maxilla. Report of a case and review
of the literature. Oral Surg Oral Med Oral Pathol
1990;69:4206.
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13. Tenglong Hua,, Guangping Jing, Kewen Lv : Aggressive
fibromatosis in the maxilla. Br JOral Maxillofac Surgery
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19. Akama MK, Chindia ML, Guthua SW, Nyongo A.

Extraabdominal fibromatosis invading the mandible:
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14. Das Gupta TIC, Brasfield RD, OHara J. Extraabdominal desmoids: a clinicopathological study. Ann
Surg 1969; 170:109-21.
20. Spear MA, Jennings LC, Mankin HJ, Spiro IJ,

Springfield DS, Gebhardt MC, et al. Individualizing
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15. Conley T, Healey WV, Stout AD. Fibromatosis of the

head and neck. Am J Surg 1966;112:609-14.
16. Addante RR, Laskin JL. Large right mandibular mass.
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17. Wilcken N, Tattersall MHN. Endocrine therapy for
desmoids tumors. Cancer 1991;68:1384-8.
18. Melrose RJ, Abrams AM. Juvenile fibromatosis affecting
the jaws. Report of 3 cases. Oral Surg Oral Med Oral
Pathol Oral Radiol Endod 1980;49:317-24
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Pennacchioli E, et al. Low-dose chemotherapy with
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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
Phytochemistry Division, CSIR-National Botanical Research Institute, Lucknow 226 001, India, bPlant Diversity,
Systematics and Herbarium Division, CSIR-National Botanical Research Institute, Lucknow 226001, India
*a
*Address for Correspondence : Dr. Mahesh Pal, Principal Scientist, Phytochemistry Division CSIR-National
Botanical Research Institute, Lucknow 226 001, India
E.mail: drmpal.nbri@rediffmail.com
ABSTRACT
Polyalthia longifolia var. angustifolia is a member of the Annonaceae family and is a small
medium-sized tree distributed in many tropical countries around the world, commonly used as
ornamental street tree due to its effectiveness in combating noise pollution. In traditional and
indigenous systems of medicine Polyalthia longifolia has been commonly used in the treatment
of fever, helminthiasis, diabetes and in cardiac problems. Various pharmacological investigations
have shown that Polyalthia longifolia posseses significant biological and pharmacological
activities such as antibacterial, antifungal, antitumor, anti-ulcer, antidiabetic and antioxidant
properties. In context of various medicinal importance of P. longifolia, this review is an attempt
to compile detailed exploration of all currently available botanical, phytochemical,
pharmacological and other ethnomedicinal properties of P. longifolia in an attempt to provide a
direction for further research work.
Keywords: Polyalthia longifolia, Phytochemistry, Pharmacological Actions.
INTRODUCTION
Herbs and the humans have a great
relationship with each other. Plants have been
known to be used for alleviation and
management of diseases since the very
beginning of human civilization. Even at present
day medicinal plants play important roles despite
the tremendous scientific development and hold
much more hidden treasure to be explored as
almost 80 percent of the human population in
developing countries is dependent on plant
resources for their primary healthcare [1]. Plantbased therapy has been used as a vital
component in traditional medicine systems and
also serves as the main source of inspiration for
several major pharmaceutical drugs used in the
defence against various diseases. One such
plant Polyalthia longifolia (Order: Magnoliales ;
Family : Annonaceae) is an evergreen plant
commonly used as an ornamental street tree due
to its effectiveness in combating noise pollution.
Polyalthia longifolia is also known as false
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Ashoka, Buddha Tree, Green champa, Indian

mast tree, and Indian Fire tree. It exhibits
symmetrical pyramidal growth with willowy
weeping pendulous branches and long narrow
lanceolate leaves with undulate margins. The
tree is known to grow over 30 ft in height. In
traditional medicines various herbal preparations
are being used for treating dueodenal ulcers. The
plant has been used in traditional system of
medicine for the treatment of fever, skin diseases,
diabetes, hypertension and helminthiasis. A
number of biologically active compounds have
been isolated from the plant [2]. The leaves of the
plant are aromatic and are generally used for
decoration, while the bark is used as a folk
medicine for the treatment of pyrexia and other
bleeding disorders in India [3]. Ethanomedically
Polyalthia longifolia is a versatile plant which is
used to treat rheumatism, menorrhagia, scorpion
sting, diabetes, skin disease, hypertension,
helminthiasis and also in treatment for the
digestive system [4].
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H3CO
DISTRIBUTION
The genus Polyalthia includes about 120
species occurring mainly in Africa, South and
South Eastern Asia, Australia, and New Zealand.
India has 14 species of Polyalthia [5]. The
distribution of major Polyalthia species in India
are Polyalthia cerasoides Bedd.; a shrub or small
tree, found throughout India, Polyalthia fragrans
Benth ; a large tree found in Western Ghats and
P. longifolia (Sonn.) Thw ; found under cultivation
in India. There are two distinct varieties of this
species, both found in Maharashtra and
elsewhere [6].
PHYTOCHEMISTRY
LONGIFOLIA
OF
POLYALTHIA
Polyalthia longifolia is very versatile plant

due to its chemical constituents which are
responsible for its various pharmacological
actions. Literature report of few phytochemical
screening tests on this plant shows the presence
of saponins, carbohydrates, alkaloids, tannins,
resins, steroids, glycosides and flavonoids as
major phytochemical constituents. Previous
studies on its leaves, bark, roots, root bark, and
seeds have revealed various types of
diterpenoids and alkaloids with numerous
biological activities such as anti-inflammatory,
antihypertensive, antimicrobial, and cytotoxic
effects.
A new halimane diterpene, 3,5,16trihydroxyhalima- 13(14)-en-15,16-olide, and a
new oxoprotoberberine alkaloid, (-)-8oxopolyalthiaine, along with 20 known
compounds, were isolated from a methanolic
extract of Polyalthia longifolia var. pendula.
These compounds were evaluated for cytotoxicity
toward a small panel of human cell lines [7].
O
O
OH
Fig 1. 3 ,5 ,16 trihydroxyhalima13(14)-en-15,16-olide
HO
OH
18
OH
H
OH
OCH3
(-)-8-oxopolyalthiaine
OH
Ethanolic extract of the leaves of P. longifolia

var. pendula showed the presence 16ahydroxycleroda-3,13(14) Z-dien-15,16-olide as
the active principle, and its metabolite 16oxocleroda-3, 13(14) Z-dien-15-oic acid as a
novel antidyslipidemic agent [8].
HO
O
O
O
H
OH
Fig. 2: 16a-hydroxycleroda-3,13(14)Z-dien-15,16olide & its metabolite
Other clerodanes like compounds also

reported from stem of P.longifolia by other
researchers are 6,16-dihydroxycleroda-3,13dien-15-oic acid, 6,16-dihydroxycleroda4(18),13-dien-15-oic acid, and 4,18-epoxy-16hydroxyclerod-13-en-15-oic acid [9] as well as 16hydroxycleroda-13-ene-15,16-olide-3-one from
bark [10]. Isolation of the methanol extract of leaves
and berries shows the presence of three new
clerodane diterpene from this plant i.e. methyl16-oxo-cleroda-3,13(14)E-dien-15-oate, 3,16dihydroxy-cleroda-4(18), 13(14)Z-dien-15,16olide, and solidagonal acid [11]. Later, two other
clerodane diterpenes were obtained from leaves
and these were 3,16 -dihydroxycleroda4(18),13(14)Z-dien-15,16-olide and 3,16 dihydroxycleroda-4(18),13(14)Z-dien-15,16-olide
[12].
The bark of Polyalthia longifolia has also

been reported to contain a new clerodane-type
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gamma hydroxylbutenolide diterpene i.e. (Z)-4hydroxy-3-(2"6"-hydroxy-5"-(hydroxymethyl)5",8"a-dimethyloctahydro-1H-spiro[naphthalene2",2"-oxiran]-1"-yl) ethylidene)dihydro-furan2(3H)-one [13].

O
O
OH
Other than terpenoids the other major group

of chemical from this plant was alkaloid.
Azafluorene type of alkaloids are majorly found
in this plant which includes polylongine and
polyfothine [21]. Aporphine alkaloids were also
obtained which include methylnandigerine--Noxide as well as liriodenine, noroliveroline and
oliveroline--N-oxide [21, 22].
O
NH
HO
Fig [6] polyfothine
OH
H
Fig. 3: Gamma hydroxylbutenolide
OH
The dimeric clerodane diterpene has also

been isolated and two examples of this
bisclerodane compound are Longimide A and
Longimide B [14].
O
N
CH3
H3CO
noroliveroline
H3CO
The protoberberine compounds obtained

has also been identified as (-)-8-oxo-polyalthiaine
[23], pendulamine A and pendulamine B [24].
COOH
O
HO
OCH3
Fig [7] Pendulamine A
Fig. 4: Longimide B
Other than these compounds this plant has

also been reported to have 5-hydroxy-6methoxyonychine [15,16], (-)-anonaine [17], (-)norboldine [18], (+)-norboldine, (-)-norpallidine [19],
(-)-asimilobine, p-hydroxybenzoic acid [20], betasitosterol and stigmasterol.
O
O
NH
O
H3CO
N
OH
Fig [5] 5-hydroxy-6methoxyonychine,

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(-)-anonaine
OH
OCH3
PHARMACOLOGICAL ACTIVITIES
POLYALTHIA LONGIFOLIA
OF
(A) Antibacterial activity

Silver nanoparticles of Polyalthia longifolia
leaves extract were synthesized along with Dsorbitol. These silver nanoparticles exhibited
excellent antibacterial activity against the
bacterial pathogens Staphylococcus aureus
(Gram positive), Escherichia coli, and
Pseudomonas aeruginosa (Gram negative) [25]
and indicated that the synthesized silver
nanoparticles have good antibacterial action
against Gram-positive organism than Gram19

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negative organisms. Results showed that the

effect of antibacterial activity against test
organisms (Escherichia coli, Pseudomonas
aeruginosa and Staphylococcus aureus) is
higher in the case of silver nanoparticles
synthesized at 60 C (8mm-16.4 mm) compared
to 25 C (7.3-14 mm) because of being smaller
in size [26].
Leaf extracts of Polyalthia longiflia (Debdaru)
treated with different solvents like hexane,
methanol and chloroform were subjected to in
vitro determination of antibacterial activity against
six tested pathogenic bacteria viz. Bacillus
subtilis, Sarcina lutea, Xanthomonas compestris,
Escherichia coli, Klebsiella pneumonia and
Pseudomonas sp. using agar disc diffusion
method and MIC determination test. The zone of
inhibition against the tested bacteria was found
ranging from 21.00 to 44.20mm. The highest
zone of inhibition produced by the hexane,
methanol and chloroform extracts of Polyalthia
longiflia at a concentration of 500g/10l against
pathogenic bacteria i.e. Sarcina lutea were found
41.80mm, 44.20mm and 43.50mm respectively.
The MIC values of all extracts against six tested
bacteria were almost 15.625 g/ 10l [27].
Polyalthia longifolia var. angustifolia stem
bark extracts were evaluated against six
important pathogenic bacteria viz. Escherichia
coli, Bacillus subtilis, Salmonella typhi, Proteus
mirabilis, Pseudomonas aeruginosa, Klebsiella
sp.and Staphylococcus aureus. The powdered
stem bark extracts were successively extracted
with petroleum ether, chloroform, methanol and
water using Soxhlet apparatus. The antibacterial
activity study was performed by both agar well
diffusion and serial dilution methods. The
petroleum ether extract was found to exhibit
highest activity against all tested bacteria [28]
(B) Antioxidant activity:
The antioxidant activities of the ethanolic
extract of Polyalthia longifolia seeds were
assayed using rat liver homogenate. Nitric oxide,
ferrous sulphate and carbon tetrachlorideinduced lipid scavenging activities were carried
out and showed significant free radical
scavenging activity. The percentage inhibition of
peroxide formation increased in a dosedependent manner [29].
20
Methanolic leaf extracts from Polyalthia

longifolia were evaluated for in vitro antioxidant
activity for free radical scavenging capacity, using
established in vitro models such as ferricreducing antioxidant power (FRAP), 2,2diphenyl-1-picryl-hydrazyl (DPPH), hydroxyl
radical (OH), nitric oxide radical (NO) scavenging,
metal chelating, and antilipidperoxidation
activities. The methanolic extracts of P. longifolia
exhibited concentration dependent antiradical
activity by inhibiting DPPH radical with inhibitory
concentration 50% (IC50) values of 2.721 0.116
mg/mL [30].
The active constituents like quercetin,
quecetin-3-O--glucopyranoside and rutin were
isolated from the ethanolic extract of the leaves
of the P. Longifolia and shows the antioxidant
capacity determined by their ability to scavenge
ABTS+ radical cation which was expressed using
Trolox Equivalent Antioxidant Capacity (TEAC)
assays [31].
(C) Anti-inflammatory activity
A clerodane diterpenoid 16-hydroxycleroda3,13(14)E-dien- 15-oic acid from P. longifolia
significantly inhibited the generation of
superoxide anion and the release of elastase in
formyl L-methionyl-L-leucyl-L-phenylalanine
(FMLP) activated human neutrophils in a
concentration-dependent fashion with IC50
values of 3.060.20 and 3.300.48 M,
respectively [32].
CH2OH
HOOC
Fig. 8: 16-hydroxycleroda3,13(14)E-dien-15-oic acid.
The anti-inflammatory potential of ethanolic

and aqueous extracts of P. longifolia leaf in albino
wister rats was evaluated using Cotton pellet
granuloma which is a sub-acute antiinflammatory model. All the extracts were found
to produce significant decrease in the granuloma
tissue as evident by the decrease in the weight
of cotton pellet when compared to the disease
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control. Both ethanolic and aqueous leaf extracts

revealed anti-inflammatory activity comparable
with indomethacin and at dose 300 mg/kg being
the most active, exhibited maximum antiinflammatory activity. However, the aqueous
extracts showed better anti-inflammatory activity
when compared to the ethanolic extracts at dose
of 200mg/kg body weight [33].
The anti-inflammatory activity of various
solvent extracts (petroleum ether, hexane,
toluene, chloroform, acetone and methanol) of
P. longifolia leaf was evaluated using acute
inflammatory studies in Wistar albino rats.
Methanolic extract revealed most potential antinflammatory effect hence; three doses of
methanolic extract (300, 600, 900 mg/kg) were
used to evaluate its potential as an antiinflammatory agent. The three doses of
methanolic extract showed anti-inflammatory
activity comparable to that of the standard
(Diclofenac sodium) [34].
(D) Anti-leishmanial Activity
A clerodane diterpene; 16a-Hydroxycleroda3,13(14)Z-dien-15,16-olide from Polyalthia
longifolia was found to be a potential
antileishmanial and non-cytotoxic, as evidenced
by long-term survival (>6 months) of treated
animals. A very rapid and dose-dependent death
occurred with Compound 1 at concentrations
between 2 and 50 mg/ml. The IC50 was
calculated to be 8.04 mg/mL against the
reference drug miltefosine [35].
concentration (MIC) of this compound exhibited

significant antimicrobial activity (15.625 31.25
mg/ml) against reference strain [37].
Methanol extracts of leaves, stem, twigs,
green berries, flowers, roots, root-wood and rootbark of Polyalthia longifolia var. pendula, were
tested for their antibacterial and antifungal
potentials. Bioassay monitored isolation work on
the methanol extract of leaves and berries which
possesses promising antibacterial activity with
MIC values ranging between 7.8 and 500 g/ml
[11].
Different P. longifolia leaf extracts like 1, 4dioxan, methanol and acetone extracts were
investigated at two different concentrations for
their antimicrobial potentiality against 91 clinically
important microbial strains. All the three extracts
at 500 g/disc concentration were active against
95% of the total gram positive bacterial strains.
1, 4-Dioxan extract was active against 18.18%
of the total gram negative bacterial strains while
methanolic and acetone extracts were active
against 12.72% of the total gram negative
bacterial strains [38].
(F) Antifungal Activity
Different solvent extracts viz., petroleum
ether, benzene, chloroform, methanol and
ethanol extracts of Polyalthia longifolia were
tested for their antifungal activity where
petroleum ether extract showed highly significant
antifungal activity than other solvent extracts [39].
(E) Antimicrobial Activity
Antifungal activity of aqueous (10-50%

concentration) of Polyalthia longifolia were tested
against ten seed borne fungi of paddy (Oryza
sativa. L) in vitro condition. The fungus strain A.
alternata recorded a maximum inhibition of
92.88% 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% concentration
compared to synthetic fungicide, Dithane M-45,
Captan, Benlate, Thiram and Bavistin at 2%
recommended dosage [40].
Previously reported clerodane diterpene

(16-hydroxycleroda-3, 13 (14) Z-dien-15, 16olide) was isolated from Polyalthia longifolia
against methicillin-resistant S. aureus through in
vitro and in vivo assays. Minimum inhibitory
The leaf and pericarp aqueous extracts of

P. longifolia were assessed in vitro for inhibitory
activity against Fusarium oxysporium and
Pythium aphanidermatum which were isolated
from rhizome rot specimen of ginger. The extract
The in vitro antileishmanial activity of

methanolic extract from P.longifolia leaf was
evaluated against Leismania donovani
promastigotes by in vitro promastigote cell toxicity
assay by using MTT [3-4,5-dimethylthiazol-2-yl)2,5 diphenyltetrazolium bromide]. The extract
markedly inhibited the growth of L.donovani
promastigotes in vitro in a dose dependent
manner and demonstrated IC50 value of 4.18 g/
ml [36].
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was found to be active and showed dose

dependent antifungal activity [41].
(G) Anti-diabetic activity
Ethanol and chloroform extracts of Polyalthia
longifolia showed in vitro inhibitory activity of the
two enzymes viz. -amylase and -glucosidase
and in vivo anti-diabetic activity against
streptozotocin-induced type 1 diabetes mellitus
in rats. The IC50 of ethanolic extract for amylase was found to be 154.32.42 g/ml
whereas chloroform was 180.3 1.35 g/ml. While
the IC50 values of the ethanol for - glucosidase
inhibition was found to be 208.72.54 g/ml and
chloroform showed at 271.60.85 g/ml. Acute
toxicity studies showed that the extracts were
safe at 2000 mg/kg b.w. Both the extracts dose
dependently reversed the abnormal changes
observed in untreated diabetic rats and the effect
produced by the ethanol extract was slightly
higher than the chloroform extract [42].
The petroleum ether extract from Polyalthia
longifolia leaves (50, 100, 200 and 300 mg/kg)
produced a significant decrease in the blood
glucose level in the model of alloxan-induced
diabetes in rabbits on oral administration [43].
Different solvent n-hexane, ethyl acetate and
methanolic extracts of Polyalthia longifolia bark
showed markedly improved the glucose
tolerance in alloxan- induced diabetes in rats
when compared to normal control and these
extracts at 300mg/kg dose showed reduction in
glucose level [44].
The hypoglycemic and antihyperglycemic
activity of various solvent extracts of Polyalthia
longifolia var. pendula leaf extracts was evaluated
in alloxan- induced experimental diabetes in rats.
Polyalthia longifolia extracts and powder
produced glucose lowering activity. However, the
extracts did not modify any of the biochemical
parameter significantly [45].
(H) Antipyretic activity
Polyalthia longifolia methanolic extracts of
the leaves, stem bark and root were tested for
their antipyretic activities at doses of 30, 100 and
300 mg/kg body weight using LPS-induced
antipyretic activity model. All extracts showed
significant dose-dependent antipyretic activity. At
22
300 mg/ kg, all extracts exhibited activities higher

than that of Acetylsalicyclic acid (Aspirin) whose
percentage inhibition of pyrexia was 86%. The
root extract was the most active with a
percentage inhibition of 127.5%, followed by the
leaf extract (123.0%) and the stem bark extract
(99.2%) [46].
(I) Anti-ulcer activity
The ethanolic extract of polyalthia longifolia
was investigated for anti-ulcer activity against
aspirin plus pylorous ligation induced gastric
ulcer in rats, HCl ethanol induced ulcer in mice
and water immersion stress induced ulcer at 300
mg/kg body weight which showed a significant
reduction in gastric volume, free acidity and ulcer
index as compared to control. It also showed
89.71 % and 95.3% inhibition in ulcer inhibition
in HCl- ethanol induced ulcer and ulcer protection
index in stress induced ulcer respectively [47].
Methanolic extract of Polyalthia longifolia
showed gastroprotective potential on ethanol and
ethanol/HCl induced ulcers at 270 mg/kg and 540
mg/kg body weight. The reduction of ulcer index
in treated animals was found to be statistically
significant with respect to control animals [48].
(J) Anticancer activity
The ethanolic extract of stem bark of
Polyalthia longifolia was screened for its in vitro
and in vivo antitumor activity and extract showed
concentration-dependent cytotoxicity in Ehrlichs
Ascites Carcinoma (EAC), Daltons ascites
lymphoma (DLA), HeLa and MCF-7 cells with
IC50 values of 45.77 and 52.52, 25.24 and 50.49
g/ml respectively [49].
The two new clerodane diterpenes were
isolated from the leaves of Polyalthia longifolia
viz polyalthialdoic acid and 16 -hydroxy-cleroda3,13(14)Z-diene-15,16-olide and evaluated for
their apoptotic potential against human leukemia
HL-60 cells. These compounds inhibited cell
proliferation with IC50 values of 21.8 and 13.7 M,
respectively [50].
The rare bisclerodane imides Longimide A
and Longimide B were isolated from ethanolic
extract of the leaves of Polyalthia longifolia and
evaluated for their cytotoxic effects against four
human cancer cell lines and found to be most
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active against cervical carcinoma cell lines with

IC50 value of 10.03 and 4.12 lg/ml, respectively
[51]
.
(K) Termiticidal activity
Polyalthia longifolia showed termiticidal
activity in comparison to their respective solvent
extract viz. chloroform, methanol, ethyl acetate,
n- hexane, distilled water, at various
concentrations (0.5%-5% solution). Methanolic
extract showed potent termiticidal activity [52].
A significant mortality rate was recorded with
5 % chloroform extract of Polyalthia longifolia
along with Samanea saman, Cassia siamea,
Pithecellobium dulce, Eucalyptus camaldulensis,
at various concentrations viz 75, 75, 55, 50 and
45% mortality occurred respectively [53].
(L) Hepatoprotective activity
Methanolic extract of fruits of Polyalthiya
longifolia was investigated as the potent
hepatoprotective agent by in vitro and in vivo
methods. In the in vitro study, freshly isolated rat
primary hepatocytes and HepG2 cells were
exposed with CCl4 along with/without various
concentrations of methanolic extract (125, 250,
500 g/kg). In the in vivo studies, CCl4 intoxication
method
was
used
and
aspartate
aminotransferase
(AST),
alanine
aminotransferase (ALT), alkaline phosphatase
(ALP), total bilirubin and total proteins were
estimated and supported with histopathological
studies [54].
The methanolic leaf extract of Polyalthiya
longifolia showed a significant hepatoprotective
activity when subjected to 300, 600, 900 mg/kg
concentrations and determined its potential as
an hepatoprotective agent against diclofenac
sodium as the toxicant [55].
CONCLUSION
In this review, we attempted to bring together
the
phytochemical,
pharmacological,
toxicological and ethnomedicinal information on
Polyalthiya longifolia, a medicinally important
herb used in the traditional system of medicine
and an ancient remedy to be explored for novel
therapeutic uses. The survey of the literature
revealed the presence of various phytochemicals
in Polyalthiya longifolia, which will be lead
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compound for novel therapeutic agents. These

studies place this indigenous drug as a novel
candidate for bioprospection and drug
development for the treatment of diseases, such
as cancer, infectious diseases, diabetes, and
various inflammatory conditions. The medicinal
applications of this plant and the countless
possibilities for investigation still remain in
relatively newer areas of its function. Hence,
phytochemicals of this plant will enable to exploit
its 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, Lucknow
for the encouragements and allowing us to the
anticancer activity. The financial support
received from Council and Scientific and
Industrial Research, New Delhi under the project
Bio-prospection PR (BSC0106) is duly
acknowledged
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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 : sudhirankush@yahoo.com
ABSTRACT
According to WHO survey in 2010 there are 34 million people who are infected with HIV and
attained AIDS. Per year about 1.8 million people dies with AIDS and 2.7 million new people
become infected with HIV. AIDS is a secondary immunodeficiency caused by HIV virus that
belongs to retroviral family. During AIDS T-cell count in blood falls tremendously below 200
cells l that results to be fatal in about 2-3 years. HIV can be transmitted from one person to
another by unprotected homosexual or heterosexual sex, by transfusion of blood infected with
HIV, by needle sharing between drug or steroid abusers, from mother to child during childbirth
or during breast feeding and presence of sexually transmitted diseases (STDs) increase the
threat of HIV infection. During AIDS many opportunistic infections and other immune deficiencies
occur frequently that usually have negligible chances to affect a normal healthy person. It was
found in Berlin patient of HIV, who was living on HAART, was transplanted with bone marrow
from a person who was homozygous for CCR532bp deletion i.e. deletion of one base pair on
32 position in CCR5 gene after which patient became resistant to HIV infection. He discontinued
the HAART therapy and lived like a normal person. Viral particles and viral reservoirs were
vanished 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 disrupted
CCR5 were inserted in place of normal CCR5 gene and then the cells were re-implanted in
bone marrow after which they started producing HIV resistant blood cells. Another observation
was 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 viral
replication also provided good results to produce anti-HIV immune system. Like HAART in
which combination of many drugs are used in similar way if many anti-HIV genes are used
simultaneously to modify stem cells targeting different point in viral life cycle provide better
results than results acquired by use of single anti-HIV gene to eradicate HIV infection. Although
gene therapy provided good results against HIV infection but it is still in trial stage and have not
been used on humans yet.
Keywords: HIV, AIDS, CD4+TCells, HAART, Stem cells etc.
INTRODUCTION
1. HIV (Human Immunodeficiency Virus)
One of the most common secondary
immunodeficiency is Acquired Immunodeficiency
Syndrome, or AIDS, which results from infection
with the human immunodeficiency virus (HIV).
According to the World Health Organization
(WHO), there were 34 million people living with
AIDS, with 2.7 million new cases and 1.8 million
deaths worldwide in the year 2010(Organization,
W.H. World health organization: global). HIV
26
infected patients are symptomized by challenged

immunity of the patient and various opportunistic
infections readily occur to patients. Those
microorganisms that healthy individuals can
harbor with no ill consequences but can cause
disease in those with impaired immune system
[1]
. In 1983 the virus that causes AIDS was
isolated from the lymph node of an infected
individual by Montagniers group in Paris and was
called the human immunodeficiency virus or HIV
for short. A second strain of HIV was identified in
1986; this was called HIV-2 and the first strain
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was renamed HIV-1 [2].

Some characteristic features of HIV include
following:
1) A long latent period
2) Tropism for hematopoietic and the nervous
system
3) Several immunodeficiency
4) High mutation rate [3].
2. HIV- STRUCTURE AND GENETIC
ORGANISATION
appears as knob and consists of two types of

glycoprotein:
1) gp120 : forms cap of ENV with homo trimer[4]
2) gp41: forms stem of Env with homo
trimer.These are transmembrane proteins
and act as anchor for Env protein [5].
gp120 and gp41 are bound non-covalently
enable HIV to enter CD4+T helper cells using
CD4 a cell surface molecule on TH cell as viral
receptor. These proteins are targeted by
researchers to develop the HIV vaccine [6].
- VIRAL CORE
The genome is surrounded by a
nucleocapsid consisting of an inner layer of
protein called p24 and an outer layer of matrix
protein called p17. Core is in shape of bullet
consist of approx 2,000 copies of viral protein
p24.
Inside the core 2 HIV-RNA are present that
are single stranded, identical and have
associated enzymes: reverse transcriptase,
integrase, protease, packed inside the core [7].
FIGURE 1: STRUCTURE OF HIV
HIV STRUCTURE
- VIRAL ENVELOP
HIV virus is roughly spherical and approx
120 nm in diameter i.e. 1/10,000 of mm.
Outermost coat of virus is known as Viral Envelop
that generally consists of phospholipid bilayer
that is derived from host cell membrane during
the process of budding out from the host as
shown in (figure 1). Envelop consists throughout
the proteins of host in addition to 72 copies at
average of Env protein embedded. Env protein
GENE
gag
pol
env
tat
rev
vif
vpr
GENETIC ORGANISATION
Core consists of two identical single
stranded RNA both RNA terminals possesses
RNA sequence called Long Terminal Repeats
(LTR) that act as switches to control production
of new viruses and can be triggered by proteins
either from HIV or the host cell. HIV genome
consists of 9 genes out of which 3 genes are
common to whole retroviral family these are env,
gag and pol. Besides these 6 regulatory genes
that are unique to HIV that guides the whole life
cycle of HIV in various ways are tat, rev, nef, vpr,
vif [8, 9].
TABLE 1: The genomic organization of HIV
[10]
GENE PRODUCT/ FUNCTION

Group-specific
antigen
Polymerase
Envelope
Transactivator
Regulator of viral
expression
Viral infectivity
Viral protein R
vpu
Viral protein U
nef
Negative regulation
factor
Core proteins and matrix proteins

Reverse transcriptase, protease, and integrase enzymes
Transmembrane, glycoproteins. gp120 binds CD4 and CCR5; gp41 is
required for virus fusion and internalization
positive regulator of transcription
Allows export of unspliced and partially spliced transcripts from nucleus
Affects particle infectivity
Transport of DNA to nucleus. Augments
Virion production. Cell-cycle arrest
Promotes intracellular degradation of CD4 and enhances release of virus
from cell membrane
Augments viral replication in vivo and in vitro. Decreases CD4, MHC class I
and II expression
*Env gene produces protein called gp160 that is broken down by a viral enzyme to form gp120 and gp 41
the component of env protein.
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27

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LIFE CYCLE OF HIV

a. INFECTION: The Env protein interacts with
CD4 molecules on the surface of target Tcells. Conformational changes are induced
in gp120 that permit interaction with
chemokine receptor and the reaction fusing
viral and cell membranes is triggered. This
permits entry of viral genomes into the target
T-cell.
b. VIRAL ENTRY IN CELL: Conformational
changes occur on binding to receptor and coreceptor enabling gp41 mediate fusion of HIV
with host cell membrane.
c. VIRAL RNA PRODUCTION: A cDNA copy of
viral RNA is synthesized inside the host using
the Reverse Transcriptase enzyme.
d. PROVIRUS PRODUCTION: cDNA enters the
nucleus and integrates with host cell cDNA
using viral integrase enzyme where it
replicates with host. e.
DNA numerous
non-infectious proviruses are produced.
f.
VIRAL RNA PRODUCTION AND

TRANSLATION: Provirus transcription
occurs with host DNA n viral RNA is produced
which after splicing go to cytoplasm.
g. VIRAL PROTEIN PRODUCTION : Viral RNAs

are translate in cytoplasm to characteristic
regulatory proteins i.e. Tat , Rev ,and
structural proteins like gp160 MA, p17,CA,
p24,NC, p7,p6 p1 and p2.
h. VIRAL PROTEINS MODIFICATION: Viral
proteases cleave viral precursor proteins Like
GP160 is cleaved into gp120 and gp41 that
forms the viral receptors for T-cells.
i.
PRODUCTION OF NEW VIRUSES: All the

viral components i.e. viral proteins and viral
RNA get assembled to form new viral particle.
j.
VIRAL RELEASE FROM INFECTED TCELL:

Assembled viral particles now buds out the
host T-cell picking its lipid envelop with
proteins of host cell membrane. Virus
particles bud out of host cell.
k. NEW VIRUS PARTICLES FATE: After release

from the host cell it may enter a latent phase
and may get activated in response to any
microbial infection or may infect other cell
simultaneously [11].
28
ACQUIRED IMMUNODEFICIENCY
SYNDROME (AIDS):
It is the terminal phase of HIV infection cycle.
During AIDS the opportunistic infections become
more frequent with decrease in CCD4+ cell count
to below 200l -1 that results in profound
immunodeficiency indicates the final stage of HIV
i.e. AIDS viral load (viaremia) is highest in this
stage and level of CTLs and antibodies are
lowest and patient survives not longer than 2
years even with highest quality of sophisticated
treatment and at last patient dies [12]. AIDS is
usually not caused just after the infection and till
today it is not known how virus damages the
immune system and if a person infected with HIV1 will develop the AIDS. Great researches have
been done but still a safe cure for HIV is not
found.
The main priority for immunologists is to
develop vaccine against AIDS .There are several
effective strategies present to develop anti-viral
drugs. Researchers target several points in HIV
lifecycle that might be blocked by pharmaceutical
agents. Two major challenges to produce vaccine
for HIV are: (i) To find immunogens that can
stimulate many cross-reacting neutralizing
antibodies (ii) to find immunogens that can
stimulate high levels of persisting CD8+ and
CD4+ T cells. Both humoral and cellular immunity
may be needed, but they require different types
of immunogens; eventually vaccines could be
mixed to achieve both.
It was thought that neutralizing antibodies
would be stimulated by gp120 preparations, and
they do against tissue culture adapted HIV strains
but, all such vaccines failed to neutralize primary
virus isolates. Now the aim is to design HIV
envelope protein immunogens that will stimulate
protective antibodies. Unfortunately it has many
hurdles in between against this: (i) because of
heavy glycosylation of the envelope it is nonimmunogenic in nature. (ii) because it is
conformation -ally variable, the chemokine
receptor binding site, is not exposed unless CD4+
has bound; (iii) the CD4+ binding site is found
interiorly and difficult to access by antibodies; (iv)
In addition to carbohydrate gp120 surface is
protected by hyper variable loops that vary by
mutation 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 aim

that these drugs must be specific for HIV-1 and
must not interfere with the physiology of the
normal cells. Many steps in the virus life cycle
are potential targets for drugs, including: (i) entry;
(ii) fusion; (iii) reverse transcription;
(iv) integration; (v) transcription/ transactivation;
(vi) assembly; and (vii) maturation [14, 15].
The first success in treatment of HIV-1was
with drugs interfering with the reverse
transcription of viral RNA to cDNA; the drug was
zidovudine, or AZT (azidothymidine). When AZT,
a nucleoside analog, introduced into the growing
cDNA chain of the retrovirus termination of the
chain occurred. AZT is not effective in all patients,
and long-term use of AZT has several adverse
side effects and resistant viral mutants may also
develop in treated patients. The administered
AZT is used also by human DNA polymerase and
incorporation of AZT into the DNA of host cells
kills them. Precursors of red blood cells are also
sensitive to AZT, therefore causes anemia in
addition to other side effects. Another drug that
can block reverse transcription is Nevirapine,
which inhibits the action of the reverse
transcriptase enzyme [16].
And the second success was inhibition of
the cleavage of precursor proteins by protease
to produce proteins that are assembled to
produce new mature virion. Like other
retroviruses HIV-1, synthesizes polyproteins
each of which consists of several tandemly linked
proteins. HIV-1 encodes two polyproteins, gag
(55 kD) and gagpol (160 kD), both are anchored
to the plasma membrane via N-terminal
myristoylation. These polyproteins are then
cleaved by HIV-1 protease to their component
proteins, but only after this enzyme has excised
itself from gagpol. This occurs after the virion
has budded off from the host cell and results in
reorganization of viral proteins to produce virion.
The virion is thereby converted from its
noninfectious immature form to its pathogenic
mature form. If HIV-1 protease is inactivated,
either mutagenically or by an inhibitor, the virion
remains noninfectious. Hence HIV-1 protease is
an opportune drug target [17].
A combination therapy, HAART (highly
www.ijsir.co.in
active anti-retroviral therapy) is that the latest

procedure to cope with HIV infection. In HAART
patient is treated with two nucleoside analogs
and one protease inhibitor. This strategy helps
to overcome the ability of the virus to rapidly drug
resistant mutants. HAART decreases the viral
load to undetectable level and health of patient
improves. Though it is a bit successful in
improving life of HIV infected people but it also
has drawbacks like it includes strict time schedule
and large no. of pills have to be taken in a every
day. Additionally, it may lead to various side
effects and some serious patient may not be
benefitted by this treatment. Although HAART
was a great success but some AIDS experts are
not convinced as there is possibility of presence
of latent CD4 T cells and macrophages may act
as reservoir of infectious virus if provirus is
activated by some means. In addition viruses
present in brain may not be detected by antiretroviral drugs as these can not penetrate these
sites and these remain undetectable [16, 18].
GENE THERAPY
Gene therapy is a method that aims to cure
an inherited disease by providing the patient with
a correct copy of the defective gene so that the
patients body can produce the correct enzyme
or protein so as to eliminate the main cause of
the disease. Gene therapy has now been
extended to include attempts to cure any disease
by introduction of a cloned gene into the patient.
It differs from traditional drug-based approaches,
in a way that it can treat problems by directly
repairing the cause of genetic flaw i.e. it works
at genetic level [19] .There are two basic
approaches to gene therapy:
1) Germline therapy
2) Somatic cell therapy
1. Germline therapy :
In this type of gene therapy, genetic
alterations are done in germ cell (sperm or ova).
Done a fertilized egg is provided with a copy of
the normal gene and re-implanted into the
mother. If the procedure succeeds, the gene will
be present and expressed in all cells of the
resulting individual. Germline therapy is done by
microinjection of a somatic cell followed by
nuclear transfer into an oocyte, and theoretically
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could be used to treat any inherited disease. This

can lead to genetic modifications in unborn and
these modifications will then be passed on to the
offspring [20].
2. Somatic cell therapy:
Somatic cell therapy involves modification
of 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 inherited
blood diseases (e.g. hemophilia and thalassaemia), where genes are introduced into stem
cells taken from the bone marrow, which give rise
to all the specialized cell types in the blood [20].
Vectors used in gene therapy
to DNA using enzyme encoded by viral RNA

known as Reverse Transcriptase(RT) when viral
RNA enters the host cell and as it occurs using
another enzyme Integrase viral. DNA is
incorporated into the host DNA and replicates
with it [20]. Leukemia causing virus of mouse was
used in one experiment which have no effect on
humans. Disease causing genes were replaced
by RNA copy of healthy genes and a small
sequence promoter was also inserted that acts
as on/off switch for transcription of inserted gene
in presence or absence of a specific drug.Though
it is so efficient but still possesses some
drawbacks like it usually infects actively dividing
cells and it has no specific manner of insertion
of gene in host genome. Therefore it may
damage the host genome more than it was
thought to repair it. Host may produce immune
response against it. To avoid attack of retroviral
vector to cell which was not required to be
transformed researchers use ex-vivo gene
therapy as described below:
Vectors used in gene therapy fall in two

categories: (1 ) Viral vector ( 2) Non-viral vector.
Because of the highly infectious and virulent
nature of the viruses, these can deliver gene
incorporated in viral genome using genetic
engineering to any animal cell therefore
genetically modified viruses carrying human DNA
are used as vector for gene therapy.
2) Then cells which are to be transformed are

isolated from patient.
Viral vectors: Three types of viruses are

used in gene therapy:
4) Cells are monitored if they are working

normally.
a) Adenoviruses
b) Retroviruses
c) Adeno-associated viruses
Adenoviruses: These are used so as to
avoid insertion of gene in wrong site .This vector
does not get incorporated in host genome and
transcribe the gene product freely in the host cell
but re- administration of vector is required in
growing cell line because the gene is not
replicating with the host genome. Host range of
adenovirus is very broad .It can evoke human
immune response and induce inflammatory
reaction but then also it is used to treat cancer of
liver and ovaries [20].
Retroviral vector: Retroviruses were first
to be used in gene therapy because of their great
efficiency to infect any kind of cell. These contain
RNA as their genetic material which is converted
30
1) Firstly healthy gene is inserted in vector.
3) Now the vector and isolated cells are mixed

and cultured in laboratory.
5) Modified cells fractioned out from mixture and

are injected back to patient.
In this way, patient lacking same protein
production starts producing it.
Adeno- associated virus : This virus is
better vector than all because it can infect both
dividing and non dividing cell and its host range
is also very broad. Most importantly, it can insert
gene specifically at a site in chromosome 19.This
virus can be found in almost all humans as it is
not pathogenic and do not evoke immune
response against it. Still it has got drawbacks as
it is very small and carries only two genes
naturally therefore it can not carry large gene to
transfer it to other cells .It is demonstrated that it
can be used to repair genetic defect in animal
and now it is used in initial studies to treat
hemophilia in humans [20].
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CHIMERAPLASTY
It is a non viral procedure of gene therapy
used to fix defective gene directly by inserting
new normal gene sequence in cell nucleus
which binds at the defective gene at terminals
in cell nucleus . The defective part in middle does
not bind forming hump like structure in DNA
which activates the DNA repair action of cell,
DNA repair enzymes interchange the defective
sequence with chimeraplast sequence and
remove defective gene that is later degraded.
Effectiveness of the chimeraplasty has been
found to be 0.0002% effective in transforming
yeast cells [20].
HUMAN APOBEC
HYPERMUTATIONS
3G
MEDIATED
APOBEC3G or hA3G
(human
apolipoprotein B is a mRNA-editing enzyme
catalytic polypeptide-like 3G). It belongs to a
protein family including hA3D, hA3F, hA3H which
possesses cytidine deaminase activity therefore
acts as a potent host restriction factor of retroviral
replication through, vif a HIV-1 accessory protein
interacts with hA3G and protects the virus from
its anti-viral activity [21,22]. In the presence of
defective vif, hA3G/F/D/H induces mutation in
the minus strand of the ssDNA by replacing dCto-dU ,in response to this , dG-to-dA mutations
in the plus strand of the cDNA occurs.
Viral replication is ceased by hyper
mutations produced by hA3G which introduces
stop codon in ORFs of retroviral gene mainly in
the tryptopham residues (TGG-to-TGA/TAA/
TAG). Many sub-lethal hyper mutations have also
been suggested to contribute to the HIV-1 genetic
diversity [23] and greater genetic variations due
to the low level of G-to-A mutation which allows
HIV-1 evolution [24]. In proviral sequence cytidine
deamination can generate drug-resistant
progenies in vitro [25], pol sequences have been
identified as a potential target sites for hA3G/F
by computer prediction , but still the effect of
hA3G in HIV-1 drug resistance in vivo is unknown
and considered to be low [24].
HEMATOPOIETIC STEM CELL-BASED GENE
THERAPY FOR HIV DISEASE
HIV gene therapy provides an alternative to
HIV infected people living on HAART treatment
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which requires consuming loads of pill per day

with tight timetable and in case of some
carelessness sudden increment of plasma viral
load occurs making patient fall sick seriously. HIV
gene therapy targets to transduce hematopoietic
stem cells in such a way that those stem cells
start producing HIV resistant blood cells i.e. Tcells, B-cells, macrophages etc .Strategies and
stages at which HIV virus is antagonized are
shown in (figure 2) [38].
Figure 2: Applicable stages and strategies for

gene therapy-based antagonism of HIV replication
(a) Simplified diagram of hematopoiesis, highlighting
myeloid and lymphoid lineages that are susceptible
to HIV infection (red), or are refractory to infection
(green). Yellow: HIV infection of hematopoietic
progenitors remains controversial (b) Schematic of
T-cell maturation, indicating applicable anti-HIV
therapies at each stage of differentiation. Disruption
or modification of some host genes may preferably
be performed in more differentiated cells. (c) Three
broad access points for inhibition of HIV infection
and replication. HIV entry can be blocked by
disrupting HIV co-receptor genes, and/ or expression
of fusion inhibitors. Genetic modification of TRIM5a,
SAMHD1, TREX1 or APOBEC proteins may increase
antagonism of viral uncoating and reverse
transcription. Pharmacological inhibition of HIV
integrase, or targeted disruption of integrated
provirus, eliminate or prevent establishment of the
latent viral reservoir[38].
(1) Disruption of co-receptors so as to

avoid viral entry: Using gene therapy
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hematopoietic stem cells can be modified in such

a way that they start producing CD4+ T-cells with
defective CCR5 (chemokine receptor 5) which
is the HIV-1 co-receptor, this will avoid the
interaction between T-cell and HIV-1 virus
therefore T-cell will remain unaffected and will
not die [26]. There is a well documentation for
genetic disruption of CCR5 in human CD34+
hematopoietic stem cells and CD4+ T-helper
cells. Perez and co-workers demonstrated robust
disruption of CCR5 in CD4+ cells, engraftment
in an NOG mouse model of HIV-1 infection and
enrichment during HIV-1 challenge. These
autologous, HIV-resistant CD4+T cells are
currently being tested in phase I clinical trials as
a novel anti-viral therapeutic [27, 28]. Holt and coworkers performed analogous experiments in
human cord blood-derived CD34+ stem cells.
These cells engrafted and repopulated
hematopoietic niches in all tissues tested in NSG
mice, and were enriched following HIV-1
challenge [29].
Using this gene therapy, immune system will
not be affected and person will show no
symptoms of HIV infection and will be able to
live a normal life. This was demonstrated clearly
in HIV infected patient of Berlin to whom bone
marrow from person who was homozygous for
the CCR5-32-bp allele is transplanted .At
present patient is not using any kind of drug and
is fully healthy. This shows how effective HIV
gene therapy is and potential of HIV resistant cell
to cure HIV infection [30, 31, 32].
Most of the concern is given to CCR5 but
viruses can evolve and use another co-receptor
CXCR4 (chemokine receptor 4) to enter in the
CD4+ cell and (X4)-tropic HIV strain uses only
this co-receptor to enter cell. Cells transduced
with CCR5+ defective genes showed excellent
protection against CCR5 (R5)-tropic [33], but not
CXCR4 (X4)-tropic [34]. In humanized mouse
model it has been already shown that disruption
of CXCR4 reduces the HIV infection in similar
way to CCR5 [35, 36]. In humans no stable
CXCR5 null mutation occurs and CXCR4-null
mice died during early embryonic development
due to multiple defects in hematopoietic,
vascular and neuronal development .T-cell
specific CXCR4 knockout mice, however, are
viable and lack appreciable T-cell defects [37], and
32
Wilen and co-workers [35] have demonstrated that

CCR5/CXCR4 doubly-disrupted T cells are viable
in vitro. In nut shell, CCR5/CXCR4 double
disruption is likely intractable in hematopoietic
stem cells, but may represent a viable
combinatorial therapy in CD4+T cells [38].
Thus stem cell therapy offers a way that can
pretend to act like transplant done in Berlin
patient by engineering hematopoietic stem cells
of patient to express anti-HIV genes to provide
resistance to infection. Gene therapy provides
us tool to reconstitute HIV resistant immune
system and confers lifelong protection against
HIV and main advantage is that it is a onetime
treatment and no further consumption of drug or
other treatment is required.
(2) HSCs transduced with triple-combination
Anti-HIV Lentiviral Vector:
Today many anti-HIV genes are being
designed to inhibit HIV replication. It is known to
all that HIV have high rate of mutation therefore
single anti-HIV gene may not provide satisfactory
result therefore like HAART were combination of
many drugs are used in same if we use many
anti-HIV gene possibility of formation of escape
mutant may end and viral load in patient may
decrease to undetectable level or may vanish in
small period of time [39]. Most common target sites
of the anti-HIV gene include: attachment site,
entry site, reverse transcription, and integration
[33, 15, 40]
. Anti-HIV gene has many benefits over
the HAART treatment as it inhibits the formation
of pro viruses and keep on replenishing the viral
reservoirs that are biggest barrier between HIV
infection cure [41, 42]. By combining many anti-HIV
genes into a single vector, a efficient pre
integration protection can be possessed against
HIV infection. A strong pre integration protection
from HIV-1 infection, in vitro, was established by
Waler and co-workers using a triple combination
anti-HIV lentiviral vector containing a human/
rhesus macaque TRIM5 isoform, a CCR5 short
hairpin RNA (shRNA), and a TAR decoy [43].CCR5
short hairpin RNA to antagonize viral entry, a
rhesus macaque allele of TRIM5a to antagonize
viral un coating, and a viral TAR decoy to down
regulate reverse transcription of viral RNA. This
vector not only prevented HIV integration in
challenged cells but also blocked the generation
of escape mutants.
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The NRG mouse model (NOD-RAG1/ IL2r)

double mutant has the potential to evaluate multi
lineage human hematopoiesis from intra hepatic
injection of human CD34+ HSCs into newborn
mice. After 3 months of transplantation, functional
human T cells, B cells, and macrophages can
be detected in lymphoid organs, including the
spleen, thymus, and bone marrow. Humanized
NRG mice infected with HIV displays normal HIV
disease symptoms, like, CD4+ cell count
decrease and viral load increase in plasma [44].
This mouse model offers a unique preclinical in
vivo system to evaluate anti-HIV gene therapy
molecules in human cells at a level acceptable
to regulatory agencies.
Recently, the preclinical safety and efficacy
of a combination anti-HIV lentiviral vector has
been evaluated, in vivo, in a humanized NRG
mouse model. It was demonstrated that multi
lineage human hematopoiesis from anti-HIV
lentiviral vector-transduced CD34+ HSCs in the
peripheral blood and in various lymphoid organs,
including the thymus, spleen, and bone marrow.
After in vivo challenge with either an R5-tropic
BaL-1 or an X4-tropic NL4-3 strain of HIV-1,
maintenance of human CD4 cells and a selective
survival advantage were observed in mice
containing the anti-HIV vector-transduced cells.
This combination anti-HIV lentiviral vector
inhibiting HIV infection in a stem cell gene therapy
has potential to be used on humans in future[45].
(3) HIV gene therapy using interfering RNAbased strategies
Recently new antiviral approach has been
produced to treat HIV infection using RNA
interference (RNAi) via gene therapy .It provided
us a genetic tool that can be used in any viral or
host cell function that is involved in HIV replication
cycle [46].
RNAi can be induced by transfection of small
interfering RNAs (siRNAs) or by short hairpin
RNAs (shRNAs) that are intracellularly expressed
from a gene cassette [47]. Viral RNAs or the
mRNAs encoding cellular co-factors as target
imposes some advantages as well as drawbacks.
RNAi targeting host may cause cytotoxicity, but
one also cannot prohibit adverse off-target effects
of anti-HIV shRNAs. Selection of escape variants
is one of the most prominent problem to target
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virus [48, 49 , 50]. Targeting the most conserved and

evolutionary static regions of the viral RNA
genome may give way for anti-escape approach
[51]
, the simultaneous use of multiple inhibitors in
a combinatorial RNAi approach [52] or the use of
RNAi reagents in combination with other RNAbased Inhibitors.
Various strategies using RNAi have been
used to produce HIV resistant immune system.
Like knockout of the chemokine co-receptor
CCR5 that restricts the viral entry in CD4+ T cells
by RNA interference [14,34] , hammerhead
ribozymes [53] and DNA-editing zinc finger
nucleases (ZFNs) [29] have been extensively
studied. Alternatively, knockout strategies to
introduce host restriction factors to block viral
replication have also been reported. For
example, the gp41-derived peptide (C46) blocks
viral entry by preventing fusion [54] . Other
restriction factors, such as TRIM5a from rhesus
macaques [55] , polynucleotide cytidine deaminase
APOBEC 3G and 3F [56, 57] and BST2/tetherin [58]
can also prevent HIV infection and expand the
possible repertoire of molecular targets useful
for gene therapy.
In a similar way viral mRNA can be targeted
for degradation with RNAi during transcription
therefore viral replication will be disturbed [59] and
hammerhead ribozymes [60,61] or sequestering the
transcription activator Tat protein by TAR RNA
decoy [62], or alternatively blocking Rev-mediated
transport by expressing dominant negative Rev
mutant (RevM10 [63,64]), sequestering Rev
protein by Rev binding element (RBE) RNA decoy
[65]
or degrading Rev mRNA by RNA interference
[59]
.
Generally antisense RNAs [66], sense RNAs
, and ribozymes [68, 69, 70] are used for RNA
interference. To inhibit cellular or HIV RNA
function antisense RNAs and ribozymes are
designed, while sense RNAs is designed to
disrupt HIV RNA/protein or RNA/RNA
interactions. Live viruses may also be used to
cause selective death of the HIV infected cells
[71, 72]
. A recombinant vesicular stomatitis virus
(VSV) was engineered in which the gene
encoding the viral glycoproteins was replaced
with those encoding HIV-1 receptor (CD4) and
co-receptor (CXCR4). This recombinant virus
was shown to infect, propagate on, and kill the
[67]
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HIV-infected cells
[72]
Interfering RNAs : These are the RNAs which

are intentionally designed so as to block HIV
life cycle at one or other specific point by
interfering with function of cellular (I.e.CCR5 or
CxCR4) or HIV-1 RNA or proteins and
effectiveness of the interfering RNA depends on
site of interference and ability to avoid the
formation of the escape mutants [73].
Table2. Interfering RNA-based strategies in HIV
gene therapy
Antisense RNAs:
Antisense RNAs can be designed to contain
or sequences complementary to portions of
cellular (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 the
target RNA. Antisense RNAs spanning 800
nucleotides or more were shown to inhibit HIV
replication more effectively [75, 76, 77, 78] . As
antisense RNAs are not likely to be toxic to the
cells, they may be expressed in a constitutive
manner. Antisense RNAs could, upon
hybridization with HIV RNA, disrupt Viral RNA
splicing, translation, transactivation, nuclear
export of all HIV mRNAs, RNA packaging, and/
or reverse transcription of the progeny virus RNA.
Lack of protein production would also result in
inhibition of protein function. Inhibition of CCR5
mRNA translation would result in inhibition of viral
entry 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
Sense RNA
U3-R-U5 RNA
TAR/RRE
RNA
Incoming virion RNA
Cytoplasmic
RNA packaging, reverse transcription

of progeny virus RNA
Virion RNA reverse transcription
Subsequent rounds of
Infection
Protected
HIV Tat/Rev proteins
Nuclear
HIV Progeny virus RNA
Cytoplasmic/Virion
Ribozymes
Cellular CCR5 mRNA
Nuclear/Cytoplasmic
Incoming HIV virion RNA

HIV mRNAs
Cytoplasmic
Nuclear/Cytoplasmic
Trans-activation/nuclear export of 4-5

kb and 9.3 kb HIV mRNAs
Viral entry, syncytium formation with
infected cells
Reverse transcription
Translation
Protected
Psi-e RNA
Protected
Protected
HIV progeny virus RNA
Virion

Infection
Sense RNAs
These are designed to contain specific
sequences of HIV-1 RNA which are involved in
specific viral RNA/RNA or RNA/protein
interactions. These RNAs compete with the HIV
RNA for binding to viral RNAs or proteins. These
may be used to prevent trans-activation, nuclear
export Packaging, or reverse transcription of the
progeny virion RNA. Sense RNAs with specific
sequences present in HIV TAR and RRE act as
34
Infection
Protected
decoys .These RNAs binds to the corresponding

Tat and Rev proteins to decrease the effective
concentration of these proteins. And, as Tat/HIV1 TAR and Rev/HIV-1 RRE interactions are
required for transactivation and nuclear export,
virus replication would be inhibited.
Sense RNAs possessing HIV-1 Psi signal
may form dimers with HIV RNA, which would
compete with HIV-1 RNA dimers for packaging
into the virions. Furthermore, depending on the
presence or absence of various cis-acting
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elements required for HIV-1 RNA reverse

transcription, the co-packaged sense RNA may
either compete with HIV RNA for reverse
transcription or prevent both sense and HIV RNA
reverse transcription.
Several cellular factors have been
characterized, which interact with HIV TAR and
RRE. Thus, in addition to inhibiting Tat or Rev
function, the decoy RNAs would also inhibit the
normal function of these cellular factors and may
cause toxicity. Therefore, TAR and RRE may
have to be produced in a Tat-inducible manner
However, Tat inducible expression of a molecule
that inhibits Tat function may not be ideal, as the
amount of TAR produced in the cell may not reach
excess concentration required to inhibit virus
replication. To solve this problem, minimal TAR
and RRE decoys (lacking the binding sites for
cellular factors) are being developed that could
be constitutively expressed without being
cytotoxic. Sense RNAs containing HIV Psi-e
(which includes RRE) may be produced in a Tat
or Rev inducible manner.
Ribozymes
Hammerhead and hairpin ribozymes are
small catalytic RNAs which can be designed to
specifically pair with and cleave a specific target
RNA in trans [68]. The following criteria must be
fulfilled for designing a specific hammerhead
ribozyme [79, 80, 81]. The cleavage site within the
target RNA must contain an NUH (N, any
nucleotide; H, C/U/A) [82]. The ribozyme catalytic
domain must contain 11 of the 13 conserved
nucleotides [83], and of the H adjacent to the
cleavage site [79, 83]. Cleavage by hammerhead
ribozymes 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. Hairpin
ribozymes have been derived from the tobacco
ring spot satellite virus RNA [81]. The conserved
nucleotides within the ribozyme catalytic domain
are shown in figure below. The substrate
specificity is conferred by providing the ribozyme
with nucleotides complementary to the
sequences flanking the NGUC adjacent to the
cleavage site within the target RNA. Cleavage
occurs 5 to the GUC sequence.
Ribozymes may be designed to specifically
recognize and cleave a number of sites within a
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specific cellular RNA (i.e. CCR5 mRNA) or HIV

RNA. The most important criteria in designing
an HIV RNA-specific ribozyme is to chose a target
site that is accessible and highly conserved.
Ribozymes may be designed to cleave the
incoming HIV virion RNA in the cytoplasm before
reverse transcription occurs, the HIV transcripts
in the nucleus or cytoplasm, and/or the virion RNA
in the progeny virus. The incoming RNA in the
cytoplasm or the primary HIV-1 transcripts within
the nucleus may be targeted anywhere within the
HIV-1 RNA. However, if the cleavage occurs postsplicing within the nucleus or in the cytoplasm, it
may be preferable to target regions that are
shared by all spliced and unspliced HIV mRNAs.
These regions include the first 289 nucleotides
within the 5 untranslated region (exon 1), 69
nucleotides near the center (exon 5), and the last
1259 nucleotides near the 3 end (exon 7) of HIV1 RNA (figure 3). While CCR5 ribozymes would
have to be expressed in a constitutive manner,
anti HIV ribozymes may be expressed in a
constitutive or constitutive and Tat-inducible
manner (to allow overproduction in HIV-infected
cells).
Figure 3: Secondary structure of a transcleaving hammerhead (top) and a hairpin (bottom)

ribozyme. The catalytic domain is flanked by the 5
and 3 flanking complementary sequences, which are
designed to be complementary to the H
(hammerhead ribozymes) or NGUC (hairpin
ribozyme) adjacent to the cleavage site (). Target
RNA sequences are shown in bold. Cleavage occurs
3 to the NUH (hammerhead ribozymes) or 5 to the
GUC (hairpin ribozyme). N, any nucleotide; H, C/U/
A.
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Various target sites to block viral life cycle

using RNAi
There are many steps in viral life cycle that
can be blocked using Interfering RNA-based
strategies. These inferring RNA are designed to
inactivate cellular RNA (e.g. CCR5 or CXCR4)or
HIV RNA encoding factors required by HIV to
replicate and expand infection in new cells or also
be designed to inhibit the function of viral proteins
(i.e. Tat and Rev).
Blocking of viral entry
Using antisense RNAs or ribozymes that
inhibit co-receptor (i.e. CCR5, CXCR4) mRNA
translation viral entry can be blocked. It also
blocks the formation of syncytium in between
gene modified HSCs and HIV infected.
Blocking at a pre-integration step:
Incoming HIV-1 virion RNA reverse
transcription might be blocked using antisense
RNA or ribozymes viral RNA reverse transcription
can be restricted. Strategies can be designed to
allow the interfering RNA can be designed that
can access the incoming HIV virion RNA, before
it is reverse transcribed as HIV RNA reverse
transcription takes place in partially uncoated
virions.
Blocking the post-integration step:
Interference with trans-activation of HIV gene
expression:
For transactivation of HIV-1 gene expression
Tat/TAR interaction is required. Against the TAR
and/or the tat coding region Antisense RNAs or
ribozymes could be designed to inhibit transactivation or TAR decoy RNAs can be developed
in use to block Tat protein function.
Interference with nuclear export of singly
spliced and unspliced HIV mRNAs:
Interaction between Rev-RRE is required
for nuclear export of singly-spliced and unspliced
viral RNAs. Against the RRE sequence present
in these viral RNAs antisense RNAs and
ribozymes could be designed. To inhibit Rev
function antisense RNAs or ribozymes may be
designed against the rev coding region. RRE
decoys can also be synthesised that can block
36
Rev protein function.

Interference with HIV RNA translation:
A common sequence EXON 1 is present in
all HIV mRNA against which antisense RNA or
ribozymes can be designed to inhibit viral mRNA
translation. Thus, further translation of all (2, 45, and 9.3 kb) HIV mRNAs would be inhibited.
Intervention at the level of infectious progeny
virus production:
Antisense RNAs and ribozymes directed
against the coding regions of several viral
proteins including Pr55, Gag Pr160, Gag-Pol Env,
Vpu, and Vif that are required for the assembly,
release, maturation, and infectivity of virus
particles can be done to avoid formation of new
viral particles or antisense RNA against factors
that facilitate the viral packaging or co-packaging
of ribozyme which degrades the viral RNA can
be designed to inhibit the expansion of viral
infection.
ROADBLOCKS IN GENE THERAPY TO CURE
AIDS
siRNA/miRNA (small interfering/micro RNA)
screenings, genome wide association studies
(GWAS), and their meta-analyses were
performed in different populations in order to
understand the gross variability observed in
genetic propensity towards HIV-1 [84,85,86].
However, the genetic prototype of natural
viraemia controllers that empowers antiviral
resistance remains largely enigmatic [86].
It was demonstrated in a report that although
the recovered T cell population is resistant to
CCR5-mediated HIV cell entry, these are not
resistant to CXCR4-mediated cell entry by X4
tropic HIV. While this case study indicates the
scope of gene therapy as a possible cure for HIV,
it also raises issues of enhancing sensitivity of
currently employed viral assays, risks from long
lived non haematopoietic cell reservoirs, and
restraints of X4 viruses. These are critical issues
and hopefully answers to some of these would
become available on long term follow up [87,86].
Variations in APOBEC3 genes might enhance
resistance to vif and influence antiviral activity. A
recent study has shown that an African variant
of 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 to
8 exon of APOBEC3B leads to complete loss of
APOBEC3B and this has been reported to be
associated with increased risk of HIV-1 infection
and disease progression [88, 86].
FUTURE PERSPECTIVES
Vaccines that can place appropriate immune
effector responses at these early sites appear to
provide meaningful protection. Although there
remains much work to be done to optimize these
approaches and translate this information to
licensable vaccines, the HIV/AIDS vaccine field,
for the first time, has a pathway to follow that is
based on solid observations of efficacy and the
foundation of an increasingly sophisticated
understanding of lentiviral immunobiology.
Gene therapy approaches for the treatment
of HIV/AIDS holds great promise for a functional
cure of the disease. In the most recent study,
patients with AIDS-related lymphoma undergoing
autologous hematopoietic stem cell transplant
were infused with gene-modified, HIV-resistant
stem cells to evaluate the safety and feasibility
of this approach. Although a low level of gene
marking was observed, the feasibility of isolating,
gene modifying and delivering a HSPC product
was demonstrated. Additionally, this study
demonstrated long term expression of anti-HIV
RNA sequences (> 3 years) demonstrating the
potential for a long-lasting antiviral effect. In order
to obtain substantial numbers of gene-modified
lymphocytes resistant to HIV infection, it is still
necessary to use myeloablation for stem cell
transplants or repeated infusions of modified
differentiated T cells for T-cell therapy. There is
added difficulty of efficiently transducing stem
cells to provide a sufficient population of genemodified stem cells that can give rise to HIVresistant progeny in the long term.
Additionally, the large-scale production of
viral vectors required for current gene therapy
protocols can be costly. Thus, there is a need for
better stem cell isolation and expansion protocols
that do not result in loss of pluripotency. Results
from early stage clinical trials have shown that
gene-modified stem cells can engraft and
reconstitute the hematopoietic niches. This is
promising in combination with reports about
www.ijsir.co.in
naturally cycling repopulating cells. It is possible

that in the future the approach of permanent HIV
gene therapy will change based on these
findings.
For example, it is conceivable that future
protocols will comprise a continuous treatment
with only few but highly pure repopulating cells
that have been genetically modified prior to
infusion. Repeated infusions of small numbers
of cells could eventually lead to filling marrow
niches with gene-modified progenitors. It may
also be feasible to reconstruct the Berlin patient
results using ZFNs to disrupt the CCR5 gene in
hematopoietic stem cells, followed by minitransplants. Improvements in combinatorial
approaches involving anti-HIV small RNAs and
proteins with low immunogenic profiles and
identification of promoters better suited for
continuous gene expression are expected to
enhance anti-HIV resistance of individual cells.
With the advances in our knowledge of HIV-1
biology, novel cellular targets can be identified,
thereby expanding the repertoire of potential
targets for HIV-1 gene therapies while reducing
the likelihood of viral escape. As these obstacles
are overcome, expect to see wider applications
of gene therapy for the treatment and perhaps
curing of HIV-1 infection.
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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
1
Department of Applied Physics, School for Physical Sciences,
Babasaheb Bhimrao Ambedkar University, Lucknow-226025, U.P., India
2
Nanomaterials and Sensors Research Laboratory, Department of Physics,
University of Lucknow, Lucknow-226007, U.P., India
*Email: balchandra_yadav@rediffmail.com
*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: balchandra_yadav@rediffmail.com
ABSTRACT
The present review reports the synthesis, physical properties, status and prospects for the
development of transparent conducting oxides. Progress in the field of material science is heavily
depend on the development of metal oxides because they constitute a diverse and fascinating
class of materials whose properties cover the entire range from metals to semiconductors and
insulators. A special attention is focused on the properties of bulk and nanostructured materials
especially tin oxide. Brief literature survey on pure and doped SnO2 has been incorporated.
Synthesis and fabrication methods of nanostructured materials are mentioned. Phase diagram
and crystal structure of tin oxide have also been described. In this article, we describe some of
the important methods employed for synthesis and fabrication of nanostructures, describing a
few case studies for illustrative purposes.
Keywords: Pure and doped SnO2, Phase diagram, Synthesis techniques, TCOs film fabrication.
INTRODUCTION
Metal oxides offer strong and versatile base
materials for the development of novel
technologies such as superconducting
electronics, microwave communications,
ferroelectric memories, infrared detectors,
magnetic sensors, transparent conducting
coatings and gas sensors [1]. The subtle interplay
between structure and properties makes these
materials strong candidates for the fundamental
materials research world-wide. Among these
metal oxides, semiconducting metal oxides
having wide band gaps have attracted great
interest, because of their future possible
applications in areas, such as UV sensors, lightemitting diodes (LEDs), laser diodes (LDs), and
other high-speed high-power electronic devices
[2].
Tin (II) dioxide (VI) or SnO2, one of the

important members of the II-VI family of
semiconductors, combines high electrical
www.ijsir.co.in
conductivity with much high optical transparency

(> 97%) and thus constitutes an important
component for optoelectronic applications.
Another field in which oxides play a dominant
role is the solid state gas sensors. A wide variety
of oxides exhibit sensitivity towards oxidizing and
reducing gases by a variation of their electrical
properties, but SnO2 has been one of the first
considered, and still is the most frequently used,
material for these applications. There is an
obvious close relationship between the gas
sensitivity of oxides and their surface chemical
activity and thus gas sensing applications and
catalytic properties may be considered jointly.
Thus SnO2 has been extensively studied for wide
range of applications such as gas sensors,
transparent conductive oxide (TCO) films,
catalysis, and far-infrared dichromic mirrors.
Chemical and thermal stability, natural off
stoichiometery, optical transparency and
possibility of conductivity variation over a wide
range makes SnO2 suitable for above mentioned
41

P-ISSN 2347-2189, E- ISSN 2347-4971
applications
[3].
PHASE
DIAGRAM
STRUCTURE
AND
CRYSTAL
There are two main oxides of tin: stannic

oxide (SnO2) and stannous oxide (SnO). The
existence of these two oxides reflects the dual
valency of tin, with oxidation states of 2+ and 4+.
Stannous oxide is lesser well characterized than
SnO2. For example, its electronic band gap is
not precisely determined but lies somewhere in
the range of 2.5 to 3 eV. Thus SnO exhibits a
smaller band gap than SnO2, which is commonly
quoted to be 3.6 eV. Also, there are no single
crystals available that would facilitate more
detailed studies of stannous oxide. Stannic oxide
is the more abundant form of tin oxide and is
one of the technological significance in gas
sensing applications and oxidation catalysts. In
addition to the common rutile (tetragonal)
structured SnO2 phase there also exists a slightly
more dense orthorhombic high pressure phase.
Suito et al. [4] showed that in a pressuretemperature diagram the regions of tetragonal
and orthorhombic phases can be separated by
a straight line of the equation given below:
temperatures less oxygen vacancies could be

accommodated. The heats of formation for
stannous and stannic oxides at 298 K were
determined to be H= -68 cal/mol and H = -138
cal/mol, respectively [10]. This results in H = -70
cal/mol for the reaction as given below:
SnO(c) + O2(g) ! SnO2(c)
P (kbar) = 140.0 + 0.022 T (C).

Figure 1 (a) shows the Sn-O phase diagram
at atmospheric pressure [5]. This diagram
indicates the presence of an intermediate tinoxide phase between SnO and SnO2 at elevated
temperature. Sn 3 O 4 is often given for its
composition [6] but Sn 2O 3 [7-8] has also been
considered. In these intermediate oxides Sn is
present as a mixture of Sn(II) and Sn(IV) [6,8]. Also,
the SnO2 phase can accommodate a significant
amount of oxygen vacancies. Y.L. Zi et al. [9]
measured the variation of the bulk oxygen
vacancy concentration as a function of the
oxygen partial pressure by colorimetric titration.
They found a relationship of the oxygen vacancy
concentration X with the oxygen partial pressure
PO2 via the proportionality as:
Figure 1 (a): Sn-O phase diagram.
Also the disproportionation reaction of

following reaction has been reported to occur at
elevated temperatures [11].
SnO(c) ! SnxOy(c) + Sn ! SnO2(c) + Sn
X P02-1/ n
with n varying between 5.7 and 8.3 for
temperatures between 990 K and 720 K
respectively. In these studies a maximum oxygen
deficiency of x = 0.034 in SnO2-x at 990 K was
observed before metallic Sn is formed. At lower
42
Figure 1(b): Comparison of the structure of the

(a) SnO (001) and (b) SnO2 (101) surfaces. Small
(bright) balls and large (dark) balls represent tin and
oxygen, respectively. The similarities between these
two crystal orientation have been proposed to
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P-ISSN 2347-2189, E- ISSN 2347-4971
explain the conversion of SnO (001) textured films
into SnO2 (101) textures upon oxidation.
This disproportionation of SnO into Sn and

SnO 2 proceeds via the aforementioned
intermediates oxides [6-7]. This indicates that
stannic oxide is the thermodynamically most
stable form of tin oxide. The oxidation of SnO
films to SnO 2 has been studied by Raman
scattering, IR reflectivity and X-ray diffraction [12].
It was found that the oxidation starts with an
internal disproportionation before external
oxygen completes the oxidation to SnO2. More
importantly, (001)-textured SnO layers convert
into (101)-textured SnO 2 films. The same
behavior was observed by Yamazaki et al. [13].
Geurts et al. [12] explain this by the structural
similarities between the tin matrix of the SnO
(001) plane and that of the SnO2 (101) plane.
Because of this structural similarity essentially
only the incorporation of an additional oxygen
layer is required to obtain the final SnO2 structure.
For comparison Figure 1(b) shows top views of
SnO (001) and SnO2 (101).
Stannic oxide is formed in the structure
of rutile, the spatial group being P4/mnm. The
unit cell is tetragonal, it consists of six atoms
two stannum and four oxygen atoms and is
characterized by the lattice parameters a and c
and intrinsic parameter u. The atoms of Sn are
located in the bcc-positions (0, 0, 0) and (1/2, 1/
2, 1/2) and are surrounded by oxygen atoms
being in the positions (u, u, 0) and (1/2+u, 1/
2u, 1/2) to form a distorted tetrahedron. The
optimized cell parameters obtained in the
calculation are as follows: a = b = 4.738, c =
3.188 and u = 0.30756. The unit cell is shown
in Figure 2. In the bulk all Sn atoms are six fold
coordinated to threefold coordinate oxygen
atoms. SnO2 is an anisotropic polar crystal, which
crystallises in tetragonal rutile structure with
space group D4h [P42/mm] [14-15]. The unit cell
contains 6 atoms, 2 tins and 4 oxygens. Each tin
atom is at the centre of six oxygen atoms placed
approximately at the corners of a regular slightly
deformed octahedron, and three tin atoms
approximately at the corners of an equilateral
triangle surrounding every oxygen atom (Figure
2 and 3). Sn also possesses a lower +2 oxidation
state, with Sn(II) adopting distorted 4-fold
coordination in the corresponding monoxide
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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 of
SnO2 is rutile; each tin atom is at the centre of six
oxygen atoms placed approximately at the corners
of a regular slightly deformed octahedron and three
tin atoms approximately at the corners of an
equilateral triangle surrounding every oxygen atom.
In its stoichiometric form SnO2 acts as an

insulator, but in its oxygen-deficient form it
behaves as an n-type semiconductor with a band
gap of 3.6 eV. Although their conductivity is
thought 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 BULK
ELECTRONIC STRUCTURES OF SnO AND
SnO2
The bulk electronic structure has been
investigated by a number of authors [17-21] although
the detailed defect electronic structure has not
yet been studied. Electronic conductivity could
then occur due to the mobility of electrons from
Sn (II) to Sn(IV) sites [22-23]. Since SnO2 is a n43

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type wide-band gap semiconductor. The origin

of this n-type behavior is the native nonstoichiometry caused by oxygen vacancies. The
conduction band has its minimum at the & point
in 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 diagram
for SnO2 and the projection of the density of states
(DOS) for the 1-states of Sn and O. According to
results of Barbarat et al. a large contribution of
Sn(s)- states is found at the bottom of the valence
band between 7 and 5 eV [17]. From 5 eV to
the top of the valence band, the Sn(p)- states
contribution is decreasing, as the Sn (d)- states
are occupying the top of the valence band. A
large and extended contribution of the O (p) state is found in the valence band. Clearly,
bonding between Sn and O is dominated by the
p-state of the latter. Each anion in the unit cell is
found to be bonded to the cations in a planartrigonal configuration in such a way that the
oxugen p orbitals contained in the four-atom
plane, i.e., px and py orbitals, define the bonding
plane. Consequently, the oxygen p orbitals
perpendicular to the bonding plane, i.e., p z
orbitals, have a non-bonding character and are
expected to form the upper valence levels [26-27].
The conduction band shows a predominant
contribution of Sn(s) states up to 9.0 eV. For
energies larger than 9.0 eV an equal contribution
of Sn- and O-states is found in the conduction
band. More information, mainly about the valence
band, can be found in [28-30] and references
therein.
species and its neighboring atoms. Both models

have their merits, but to understand the surface
reactions of semiconductors with gases both
chemical and physical perspectives have to be
considered [35].
Table 1: Physical Properties of SnO2.
Molecular formula
Crystal Structure
Space group
Geometry
Heat Formation[eV]
Symmetry
Sn-O bond lengths
Tin sphere radius
Density
Molecular Mass
Lattice constants at
room temperature
Melting point
Relative permittivity
Band gap energy at
room temperature (Eg)
Specific heat capacity (Cp)
Thermal conductivity (k)
Thermal diffusivity ()
SnO2
Rutile(tetragonal),
P42/mnm, No. 136
Planar (O2- )
6.0
Oh
2.054
1.384
6.95 g/cm3
150.71 g/mol
a = b = 4.738 ,
c = 3.188
1630 C
7.5
3.6 eV
70 J/(K mol)
4.5 W/(K m)
0.015 cm2/s
When discussing the atomistic and

electronic behavior of a surface there are two
dominant models in literature: the atomistic model
[31-32]
or surface molecule model (Figure 5),
generally preferred by chemists, and the band
model [33-34], generally preferred by physicists. The
atomistic model is more appropriate for chemical
processes at a solid surface. It describes the solid
surface in terms of surface sites or atoms,
ignoring the band structure of the solid. The band
model is preferable for electron exchanges
between (semiconductors) solids and surface
groups that include a conductivity change for the
solid. It describes the surface in terms of surface
states, i.e. localized electronic energy levels
available at the surface, ignoring the microscopic
details of atom-atom interaction between surface
44
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P-ISSN 2347-2189, E- ISSN 2347-4971
BRIEF LITERATURE SURVEY ON PURE AND

DOPED SnO2
Figure 4: Band diagram of SnO 2 (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 surface

can be divided into surface sites of varying
reactivity. Usually, more reactive sites can be
associated with heterogeneous surface regions
or surface imperfections. Examples of reactive
sites are surface atoms with unoccupied or
unsaturated orbitals (dangling bonds), surface
atoms with unsaturated coordination sphere,
crystallographic steps, intersections, interstitial
defects or superstructures. From a physical point
of view the interruption of the crystal periodicity
at the surface results in localized energy levels.
These can function as acceptor or donor states,
exchanging or sharing electrons with the nonlocalized energy bands in the bulk of the solid.
Those energy levels in the band gap have an
effect on the electronic properties of the solid,
especially for semiconductors. Surface states
can result from non-ideal stoichiometry or bulk
defects (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 obtained
by removing the bridging oxygen layers.
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Recently the work on transparent

semiconducting oxides (TCOs) such as ZnO,
SnO2, In2O3 and Cd2SnO4 has been of great
technological interest due to their high quality of
electrical and optical properties [37]. Besides, a
wide variety of oxides exhibit sensitivity towards
oxidizing (O2, NO2, SO2 etc.) and reducing (H2,
hydrocarbon, LPG etc.) gases by a variation of
their electrical properties. So many efforts are
being made to control the sizes and shapes of
various oxide nanostructures for tailoring their
physical properties [38-39]. Among these oxides, tin
oxide (SnO2) belongs to a class of materials that
combines high electrical conductivity with optical
transparency and thus constitutes an important
component for optoelectronic (photovoltaics)
applications, rechargeable lithium batteries [40],
antistatic coating, transparent electrode
preparation and widely used as a photocatalyst
for oxidation of organic compounds. Tin oxide is
an n- type wide band gap semiconductor (Eg =
3.6 ~ 3.97 eV) [41] and its electrical properties
critically depend on its stoichiometry with respect
to oxygen, on the nature and amount of impurities
or dopants present and on its size as well as
shape of nanostructures [42- 44]. Materials based
on tin oxide (SnO2) have also been proposed as
alternative anode materials with high energy
densities and stable capacity relation in lithium ion batteries [45-47]. Various SnO2-based materials
have displayed extraordinary electrochemical
behavior such that the initial irreversible capacity
induced by Li 2 O formation and the abrupt
capacity fading caused by volume variation could
be effectively reduced when in nanoscale form
[48-50].
Tin oxide has also been one of the first
considered and still has shown very high
sensitivity towards reducing gases such as H2,
CO, hydrocarbon, and alcohol. Its sensitivity can
be further improved by increasing the surface
area. Therefore, the use of porous
nanostructured SnO2 with large surface to volume
ratio and small crystal size could lead to easy
gas transport and interesting optical and electrical
properties. When undoped, it behaves like n-type
semiconductor due to oxygen vacancies and
interstitial tin atoms. Since antimony (Sb) is a
common n-type dopant in SnO2, so tin oxide
doped with Sb have interesting electrochemical
45

P-ISSN 2347-2189, E- ISSN 2347-4971
properties in different electrode processes, like

low temperature electrochemical combustion of
organic pollutants, ozone production and organic
electro-synthesis.
Antimony-doped tin dioxides possess
interesting physical and chemical properties.
These properties have a wide range of
applications such as catalysis and optoelectronic
devices. This is why such materials are
intensively studied using a diverse range of
analysis methods. Although there has been great
interest in the effect of oxidation states of
antimony on tin dioxide, the nature of the
antimony sites in highly doped nanocrystalline
tin dioxide is still not well understood [51]. However,
it is widely accepted that antimony can and
usually exist in both +III and +V oxidation states
in the Sb-doped tin dioxide structures [51-53]. The
+V oxidation state is in particularly tight
association with sites inside the tin dioxide
particle. This association is due to its slightly
smaller ionic radii (60 pm) of antimony +V, which
enables it to replace the tin ion (69 pm) more
easily than does the lager antimony +III (76 pm)
ion. On the other hand, the +III Sb ion tends to
replace tin ions at the surface sites or at grain
boundaries [52-55]. Antimony +V imparts n-type
conductivity to nanocrystalline tin dioxide. In
contrast, doping tin dioxide with antimony of
oxidation state +III decreases its conductivity to
that of an insulator [56].
SYNTHESIS OF TIN OXIDE (SnO 2 ) IN
GENERAL
(1) Thermal Evaporation
Thermal evaporation is one of the simplest
and most popular synthetic method, and it has
been very success and versatile in fabricating
nanostructured materials with various
characteristics. The basic process of this method
is sublimating the source materials in powder
form at high temperature, followed by a
subsequent deposition of the vapour in a
particular temperature zone to form the desired
nanostructures of the different materials [57-59].
(2) Sol-Gel Process
Sol-gel process is a wet chemical route that
involves synthesis of a colloidal suspension of
solid particles or clusters in a liquid (sol) and
46
subsequently the formation of a dual phase

material consisting of a solid skeleton filled with
a solvent (wet gel) through the sol-gel transition
(gelation). When the solvent is removed, the wet
gel can be converted to various types of
nanostructured materials through an appropriate
drying or sintering process [60-64].
Numerous excellent reviews can be found
in the literature concerning the sol-gel processing
of materials. In this section, we would like to
summarize the main features and to underline
the major advantages in the view of producing
scintillators.
During the last 30 years, sol-gel
processes have been widely used for the
preparation of glasses and ceramics. Usually,
starting with molecular precursors like alkoxides
or acetates, the sol-gel process takes place in
solution. This provides definitive homogeneity for
multi component systems. In the particular case
of doping, the sol-gel process provides an ideal
way to control the level and the homogeneity of
doping. For luminescent materials, this is crucial
since the light emission is usually due to doping
of ions like rare-earth or transition metals ions.
Quenching concentrations are usually found
higher for sol-gel-derived materials because of
better dispersion of doping ions and thus higher
average distance between emitting centers.
Several authors have also developed
heterometallic precursors associating different
elements through chemical bonding and thus
providing the highest homogeneity. As far as
alkoxides chemistry is concerned, it is useful to
distinguish the case of silicon alkoxides (Si being
a semimetal) and the case of metal alkoxides.
The sol-gel process involving silicon alkoxide can
be described in two steps, the hydrolysis of the
alkoxide and its polycondensation. Usually,
silicon alkoxides are very stable against
hydrolysis. Step 1 thus requires catalysis usually
performed by using acids or bases.
Contrary to silicon alkoxides, metal
alkoxides react very quickly with water in absence
of catalysts. In particular, transition metal
alkoxides are very reactive because of the
presence of highly electronegative or groups that
stabilize the central atom in its highest oxidation
state. This in turn makes the metal atom very
susceptible to nucleophilic attack. An excellent
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P-ISSN 2347-2189, E- ISSN 2347-4971
review presents the chemical reactivity of metal

alkoxides. In any case, both for silicon and metal
alkoxides, the ongoing polycondensation
process leads to the formation of a 3D network.
The point where this network extends throughout
the reactor is described by the percolation theory
and named the gel point. The obtained wet gel
can be dried in various conditions leading a
xerogel with residual porosity. Further heating of
the xerogel in controlled conditions allows
obtaining the desired glass or ceramic. Before
the gel point, the colloidal solution can be
stabilized and used directly to coat various
substrates by classical techniques like dip
coating, spin coating, or spray. This provides a
low cost and efficient way to produce nanometric
thin films with good homogeneity.
Furthermore, the temperatures required
for the full densification and crystallization of the
desired glass/ceramic are usually lower than the
ones required by classical melting or solid-state
processes. This can be interesting from an
economical point of view but also because in
some cases, the obtained phases can differ from
the one obtained by classical procedures. By this
way, new phases can be obtained or hightemperature phases can be stabilized at room
temperature.
Here, we mention the synthesis of antimonytin oxide. In the typical synthesis, 5-10 ml of
hydrochloric acid was added in double distilled
water. At the moment SnCl2. 2H2O and SbCl3
precursor solution was mixed to the above
solution and stirred for 6 h. In addition, small
amount (5-10 ml) of poly-ethylene glycol was
added which works as capping agent. Vigorous
magnetic stirring was done for 18-24 h to ensure
complete and intimate reaction between the
various components. The product was dried for
5 h at 80 C in an oven and calcined at 400 C
for 3 h, resulting in complete crystallization to
obtain antimony-tin oxide into powder form.
(3) Vapor phase evaporation
The vapor phase evaporation represents the
simplest method for the synthesis of onedimensional oxide nanostructures. The
syntheses were usually conducted in a tube
furnace as schematically shown in Figure 6 [65].
The desired source oxide materials (usually in
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the form of powders) were placed at the center

of an alumina or quartz tube that was inserted in
a horizontal tube furnace, where the
temperatures, pressure, and evaporation time
were controlled. Before evaporation, the reaction
chamber was evacuated to < 13103 Torr by a
mechanical rotary pump. At the reaction
temperature, the source materials were heated
and evaporated, and the vapor was transported
by the carrier gas (such as Ar) to the downstream
end of the tube, and finally deposited onto either
a growth substrate or the inner wall of the alumina
or quartz tube.
For the vapor phase evaporation method,
the experiments were usually carried out at a high
temperature (> 800 C) due to the high melting
point and low vapor pressure of the oxide
materials. In order to reduce the reaction
temperature, a mixed source material, in which
a reduction reaction was involved, was
employed.
(4) Hydrothermal Synthesis
Hydrothermal synthesis appeared in 19th
century and became an industrial technique for
large size quartz crystal growth in 20th century
[66].
Recent years, hydrothermal synthesis method
has been widely used for preparation of
numerous kinds of inorganic and organic
nanostructures. Hydrothermal synthesis offers
the possibility of one-step synthesis under mild
conditions (typically < 300 C) in scientific
research and industrial production [67]. It involves
a chemical reaction in water above ambient
temperature and pressure in a sealed system.
In this system, the state of water is between liquid
and steam, and called as supercritical fluid
(Figure 7). The solubility to the reactants and
transportation ability to the ions in the liquid of
such a fluid is much better than that in water.
Therefore, some reactions that are impossible
to carry on in water in ambient atmosphere can
happen at a hydrothermal condition. Normally,
hydrothermal synthesis process is a one-step
reaction. All the reactants with water are added
into the autoclave. The reaction occurs in the
sealed autoclave when the system is heated, and
the nanostructures can be obtained after the
autoclave cooled down. Formation of metal
oxides through a hydrothermal method should
follow such a principal mechanism: the metal ions
47

P-ISSN 2347-2189, E- ISSN 2347-4971
in the solution react with precipitant ions in the

solution and form precipitate, and the precipitate
dehydrate or decompound in the solution at a
high temperature and form crystalline metal oxide
nanostructures [68]. Figure 7 shows a typical
autoclave for synthesis of oxide nanostructure.
Earlier the different nanostructures (nanorods,
nanospheres, nanocubes, nanoribbons,
nanocubes and nanowires etc.) of undoped and
doped SnO2 has been reported by many authors
by different methods. Some results are given
below in a Table 2 [69-73].
Possible advantages of the hydrothermal
method over other types of crystal growth include
the ability to create crystalline phases which are
not stable at the melting point. Also, materials
which have a high vapor pressure near their
melting points can also be grown by the
hydrothermal method. The method is also
particularly suitable for the growth of large goodquality crystals while maintaining good control
over their composition. Disadvantages of the
method include the need of expensive
autoclaves, and the impossibility of observing the
crystal as it grows.
Figure 6: Schematic experimental setup for the

growth 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)
48
Table 2: Reported different type of nanostructure of

SnO2 by different method.
Method
Shape (Nano Range)
Reference
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 of30 nm)
[71]
Thermal evaporation
technique
Tree branch, Flowerlike,

Hollow Square
[72]
Hydrothermal
technique
Nanorods (100150 nm), [73]

with lengths of the order
of 12 m
TRANSPARENT CONDUCTING OXIDE FILMS

One of the most important fields of current
interest in materials science is the fundamental
aspects and applications of conducting
transparent oxide thin films (TCO). Transparent
conducting films act as a window for light to pass
through the active material beneath (where
carrier generation occurs) and as an ohmic
contact for carrier transport out of the
photovoltaic. Transparent conducting oxide
(TCO) thin films are semiconducting materials
with large band gaps of energies corresponding
to wavelengths which are shorter than the visible
range (380 nm to 750 nm). As such, photons
with energies below the band gap are not
collected by these materials and thus visible light
passes through. Thus TCO have not only high
optical transmittance in the visible region but also
have relatively high electrical conductivity and
high reflectance in the IR region. However,
applications such as photovoltaics (PV) may
require an even broader band gap to avoid
unwanted absorption of the solar spectra. This
unique combination of physical properties i.e.
transparency and electrical conductivity, makes
them suitable for a variety of applications in
optoelectronic devices. Consequently, various
techniques for the growth of these films have
been recently intensively investigated. The
growth technique plays a significant role in
determining the properties of these films,
because the same material deposited by two
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P-ISSN 2347-2189, E- ISSN 2347-4971
different techniques usually may have different

micro and macro properties. The simultaneous
occurrence of high optical transparency (>80%)
in the visible spectrum and low electrical
resistivity (10-3 -cm or less) is not possible in
an intrinsic stoichiometric oxides, because of the
large optical band gap (> 2.0 eV). Partial
transparency and fairly good conductivity may
be obtained in very thin (< 10 nm) films of metals.
On the other hand, the only way to have
transparent conductors is to populate the
conduction band with electrons in spite of the
wide band gap by controlled creation of nonstoichiometry or the introduction of appropriate
dopants. These conditions are very conveniently
obtained in oxides of cadmium (Cd), tin (Sn),
indium (In), zinc (Zn) and their alloys in thin film
form, prepared by a number of different
deposition techniques. The first report of a
transparent conducting oxide (TCO) was
published in 1907, when Badeker [74] reported that
thin films of Cd metal deposited in glow discharge
chamber could be oxidized to become
transparent while remaining electrically
conducting. Since then, the commercial value of
these thin films has been recognized, and the
transparent and electrically conducting oxide
films (TCO), e.g., In2O3:Sn (ITO), SnO2 (TO), ZnO
and ZnO:Al (AZO), have been extensively studied
owing to their variety of applications in
optoelectronic devices and as gas sensors. The
optoelectronic applications include the
transparent electrodes for flat panel displays
(FPDs), solar cells, light emitting diodes and
transparent heating elements for aircraft and
automobile windows, heat reflecting mirrors for
glass windows, and antireflection coatings [75-79].
In FPDs, the basic function of ITO is as
transparent electrodes. The volume of FPDs
produced, (and hence the volume of ITO
coatings) continues to grow rapidly. Specifically,
for applications in the field of thin film solar cells,
the TCO can serve as an electrode and protection
layer of the p-n junction, which is the main part
for the performance of solar cells. In terms of
conductivity and transmission, each TCO varies.
Therefore, choosing the type of TCO is a major
issue for a new solar cell design. Beside the
optoelectronic applications, transparent
conductive oxide (TCO) films have found a wide
range of applications in electric equipments and
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coatings where transparency is required. This

material constitutes an important commercial use
in the manufacture of anti-frost windshields (nesa
glass) and in the manufacture of thin film resistor.
At present, and likely well into the future,
tin-doped indium oxide (ITO) material offers the
best available performance in terms of
conductivity (~ 104 cm) and transmission (8090%), combined with excellent environmental
stability, reproducibility, and good surface
morphology. However, the enormously high cost
of indium, toxicity and the scarcity of this material
create the difficulty in obtaining low cost TCOs.
Hence search for other alternative TCO materials
has been a topic of research for the last few
decades. It includes some binary materials like
ZnO, CdO, SnO and ternary materials like
2
Zn 2 SnO 4 , CdSb 2 O 6 : Y, ZnSO 3 , GaInO 3 etc.

However, the application of binary oxides e.g.
ZnO and SnO2 thin films is sometimes limited
because these materials could become unstable
in certain chemically aggressive and/or elevated
temperature environments. The introduction of
multi -component oxide materials resulted in the
design of TCO films suitable for specialized
applications. This is mainly because one can
control their electrical, optical, chemical and
physical properties by altering the chemical
compositions. But the major advantages of using
binary materials are that their chemical
compositions and depositions conditions can be
controlled easily.
Among the available TCOs, SnO2 seems
to be more appropriate because they are quite
stable towards atmospheric conditions,
chemically inert, mechanically hard and can
resist high temperature. As reported [80-81] tin
containing oxides are promising anode materials
for secondary lithium ion batteries. Several
studies [82-83] show that antimony (Sb) as well
as zinc (Zn) doped tin oxide (ATO and ZTO) are
a possible alternative to ITO because both are
inexpensive as well as chemically and thermally
stable. Antimony and zinc doped tin oxide was
reported to behave as n-type semiconductor with
wide band gap within 3.6-4.2 eV, displaying low
resistivity, remaining transparent in wavelength
that includes the visible region. On the other
hand, a group has also reported that SnO2 films
doped with fluorine or antimony are better suited
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in order to get low electrical resistivity and high

transmittance for solar cell applications [84].
Tin oxide thin films are n-type
semiconductors with high transparency (> 97%
in visible range for films of thickness 0.1-1.0 m)
and very good electrical conductivity (104-106 1
cm -1 ). The films are chemically inert,
mechanically hard and can resist high
temperature. Owing to its low resistivity and high
transmittance, tin oxide thin films are used in
solar cells as a window material and as an
electrode to collect the charge in CdS/Cu2S, CdS/
CdTe and amorphous silicon solar cells, heat
reflectors in solar cells, various gas sensors,
liquid crystal displays etc. [85-91].
In addition to solar cell technology, tin oxide
has also been used in fabrication of gas sensors
due to the sensitivity of its surface conductance
to gas adsorption [92-93]. To increase the electrical
conductivity and transparency of the SnO2 thin
film various dopants were introduced. Since the
appropriate doping can enhance the electrical
conductivity and transparency of these films, thus
the purpose of present work is to improve the
electrical
(conductivity)
and
optical
(transparency) properties of the spray deposited
un-doped SnO2 thin film by introducing different
dopants (Sb and Zn) at different substrate (optical
glass) temperature.
BRIEF LITERATURE SURVEY ON TIN OXIDE
THIN FILMS
SnO2 is a perfect insulator in its bulk form.
When these materials are prepared from
spraying method, deviation from the
stoichiometry occurs and hence the material
becomes semi-metallic. The challenge is to
produce coatings of this non-stoichiometric oxide,
which are highly transparent and conducting. To
conquer this problem, variants of the standard
deposition techniques and precursors are being
tried out. SnCl 4 has been used as the very
common source of tin in spray pyrolysis
technique and in few cases, organic tin
compounds, and tin (II) fluoride have also been
used [94-95].
Tin oxide is a crystalline solid with a
tetragonal crystal lattice. It is a wide band gap,
non stoichiometric semiconductor and behaves
more or less as a degenerate n-type
50
semiconductor with a low n-type resistivity (H

10 -3 &!-cm) [96]. Tin oxide can exist in two
structures belonging to direct and indirect optical
transitions, with different band gaps; a direct band
gap that ranges from 3.6 to 4.6 eV [97] at room
temperature and indirect band gap of about 2.6
eV. An important property of tin oxide is that it is
the most chemically stable in atmospheric
ambient [98] amongst the other metal oxides.
Among the various transparent conducting
oxides (TCOs), SnO2 has been the subject of
research over a number of years [99-100], because
it is a naturally non-stoichiometric prototypical
transparent conducting oxide. SnO2 thin films are
transparent in the region above 400 nm which is
the region of interest for electrochromic devices.
SnO2 films were used extensively as transparent
electrodes in display devices like LCDs, and as
transparent active layers in SnO2/silicon solar
cells, optical waveguides, ultra- sensitive gas
sensors, transistors, organic light emitting diodes,
thermoelectric energy conversions, transparent
electrodes and electrically conductive glass [101107].
Among the variety of methods that have been
proposed for depositing films of SnO 2, spray
pyrolysis has been found to be attractive from
the point of view of its simplicity and low cost.
There are many techniques for fabrication
of conductive thin film, including sputtering,
thermal evaporation, dip coating and chemical
vapour or spray deposition by which the SnO2
films may be deposited on glass substrates [108110].
In this study, tin oxide thin films were prepared
by the spray pyrolysis technique. The spray
pyrolysis technique is particularly attractive
because 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 a
useful material for many reasons. First, it provides
an amorphous nature and a low processing
temperature compared to high processing
temperatures of crystalline oxide channels. ZTO
shows improved transistor performance because
of its high electron mobility (30 cm2/Vs at 500C)
in spite of its amorphous character. It has many
attractive properties as Minami et al. [76]
concluded. ZTO film (ZnSnO3) showed superior
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P-ISSN 2347-2189, E- ISSN 2347-4971
properties as compared with SnO2 and ZnO, such

as the zinc-stannate films were more thermally
stable in hydrogen environment than SnO2 films
and are chemically stable in acidic and basic
solutions than ZnO films [112]. ZTO shows extreme
resistance to scratching and more importantly
forms an exceedingly smooth surface in thin
films[113-114]
(2) Sb-doped SnO2 thin film (ATO)
Antimony-doped tin oxide (ATO) possesses
special electrical and optical properties and has
applications in transparent electrodes, energy
storage devices, print displays and heating
elements. Antimony doped and un-doped SnO2
films have been prepared by electron beam
evaporation and spray pyrolysis methods [115]. The
optical band gap of the spray deposited film in
the range of 4.07-4.11 eV has been reported [116].
ATO spray deposited films have shown a sharp
decrease in the resistivity. The best conductivity
of the films is achieved, when the dopant is in
the range of 1-2 wt%. Doping with 5 wt% leads
to a higher sheet resistance (e 0.5 k/cm2)
compared to un-doped films (453 /cm2) at one
and the same temperature. This effect was
explained by Sb addition to SnO 2 . The
incorporation of Sb atoms into the Sn4+ sites of
the SnO2 lattice is substitutional. In Sb doped
SnO2 films, Sb can be present in two different
oxidation states, Sb5+ and Sb3+. During the initial
addition of Sb in the film, Sb5+ incorporated at
Sn4+ sites acts as donor and creates excess
electrons [117]. The mobility and the carrier
concentration of the film are reported to be e 1
cm2/V.s and 10x1020 / cm3, respectively. Spray
pyrolysis techniques have been used to prepare
ATO thin film [118]. Sb doping levels used were 1
to 4 wt%. The dependence of the crystallinity of
the films on the Sb doping level is reviewed. Films
doped with 1 wt% have large grains in contrast
to those fabricated with higher doping levels [119].
PREPARATION OF PURE AND DOPED SnO2
THIN FILM IN GENERAL
Thin film properties are strongly dependent
on the method of deposition, the substrate
materials, the substrate temperature, the rate of
deposition, and the background pressure.
Specific applications in modern technology
demand such film properties as high optical
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reflection/transmission, hardness, adhesion,

non-porosity, high mobility of charge carriers,
chemical inertness toward corrosive
environments, and stability with respect to
temperature. Somewhat less required properties
are stoichiometric composition and high
orientation in single crystal films. The need for
new and improved optical and electronic devices
stimulated, in addition, the study of thin solid films
of single elements, as well as binary and ternary
systems, with controlled composition and specific
properties, and has consequently accelerated
efforts to develop different thin film deposition
techniques. Further, pure and doped tin oxides
show significant sensitivity to humidity adsorption
and thus may be challenging materials for
humidity sensing point of view [120-124]. The thin
film deposition techniques can be classified
according to the scheme shown in Figure 8.
The common techniques that have been
used to grow TCO films include Chemical Vapor
Deposition (CVD), Spray Pyrolysis, Sputtering,
Reactive and Plasma Assisted Reactive
Evaporation, Ion Beam Sputtering, Ion Plating
and Filtered Vacuum Arc Deposition (FVAD).
Each of these techniques has its own advantages
and disadvantages. For example, spray
techniques are very cheap, deposition
parameters are easily controllable but the
produced films are not so stable.
(1) Chemical Vapor Deposition (CVD)
Chemical Vapor Deposition (CVD) is a
material synthesis method in which the
constituents in the vapor phase react to form a
solid film on a substrate. Gas precursors can be
used directly, and liquid precursors can be used
with a bubbler, in which a carrier gas is passed
through the liquid. The chemical reaction is an
essential part of this technique and should be
well understood. Various types of chemical
reactions are utilized in CVD (Figure 9) for the
formation of solids. In one type of reaction, a
vapor precursor that contains the material to be
deposited is decomposed by reduction, e.g. using
hydrogen at an elevated temperature.
Decomposition is accomplished by thermal
activation. Alternatively, plasma activation may
be used to reduce or decompose the pre-cursor
at a lower temperature than with thermal
activation.
51

P-ISSN 2347-2189, E- ISSN 2347-4971
CVD processes have numerous other

names; such as: metal-organic CVD when
plasma is used to induce or enhance
decomposition and reaction; low pressure CVD
when the pressure is less than ambient; and lowpressure plasma enhanced CVD PECVD when
the pressure is low enough that ions can be
accelerated to appreciable energies from the
plasma.
(2) Pulsed Laser Deposition (PLD)
Pulsed laser deposition (PLD) is an
evaporation technique in which a laser pulse is
used to ablate target material, producing a local
plasma jet. The plasma also contains energetic
molecular clusters and macro-particles. The
emission of these macro-particles is a serious
drawback. A solution to this problem is to use
crossed laser induced evaporation plumes to
discriminate macro-particles ejected from the
target. The energy of the evaporated material
The energy spectrum of the plasma particles
consists of a major relatively low-energy
component (1-100 eV) and a minor high-energy
component (up to a few keV). As this energetic
impact of the evaporated material is kept
responsible for a layer growth with smooth
surfaces, a choice of the proper laser pulse
energy is required. Each laser pulse evaporates
a well-defined amount of material. Multilayer films
can be very accurately controlled by varying the
number of laser pulses.
produce a vacuum environment, and give a

sufficient amount of heat to the evaporant to
attain the desired vapor pressure, and allow the
evaporated material to condense on a substrate
kept at a suitable temperature. The important
process parameters are the substrate material,
source and substrate temperatures, sourcesubstrate distance, and background gas
composition and pressure. Evaporants with an
extraordinary range of chemical reactivity and
vapor pressures have been deposited. This
variety leads to a large diversity of source designs
including resistance-heated filaments, electron
beams, 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 the
compound, is pulverized in the form of tiny
droplets onto the preheated substrate, where
upon the thermal decomposition of the precursor
an adherent film of thermally more stable
compound forms.
(3) Vacuum Evaporation

Vacuum evaporation (including sublimation)
is a physical vapor deposition (PVD) process
where material is thermally vaporized from a
source and reaches the substrate without
collision with gas molecules in the space between
the source and substrate. The trajectory of the
vaporized material is line-of-sight. Typically,
vacuum evaporation is conducted in a gas
pressure range of 10-5 to 10-9 Torr, depending on
the level of contamination that can be tolerated
in the deposited film [125]. The basic system and
evaporator source configurations are shown in
Figure 10.
Deposition of thin films by evaporation is
very simple and convenient, and is the most
widely used technique. One merely has to
52
Figure 8: A schematic diagram of thin film deposition

techniques.
Spray pyrolysis involves several stages:

(1) generation of micro sized droplets of
precursor 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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P-ISSN 2347-2189, E- ISSN 2347-4971
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 by

spray pyrolysis coating unit, depends on
various parameters such as spray rate,
substrate temperature and the ratio of the
various constituents in the solutions [126]. Since
the deviation from stoichiometry due to oxygen
vacancies makes thin films to possess
semiconducting nature, it is necessary that
the complete oxidation of the metal should
be avoided in order to obtain films with good
conductivity. This is generally achieved by
adding appropriate reducing agents. Methanol
www.ijsir.co.in
can be used as the reducing agent .Generally

SnCl 2 .2H 2 O dissolved in concentrated
hydrochloric acid by heating at 90C for 10 min.
The addition of HCl rendered the solution
transparent, mostly, due to the breakdown of the
intermediate polymer molecules. The transparent
solution thus obtained and subsequently diluted
by methanol, served as the precursor. To achieve
Sb doping, antimony trichloride (SbCl3) was
dissolved in isopropyl alcohol and added to
the precursor solution. The amount of SbCl3
to be added depends on the desired doping
concentration. Microscope glass slides,
cleaned with organic solvents, were used as
substrates.
CSP is a convenient, simple and low-cost
method for the deposition of large-area thin films,
and it has been used for a long time. Additionally
it is a low cost method i.e., the device does not
require high quality targets or vacuum. Also the
composition and microstructure can easily be
controlled and the deposition takes place at
moderate temperatures of 100-500 C.
Furthermore, it offers the possibility of mass
production. However as every other method, CSP
has some disadvantages such as the possibility
of oxidation of sulfides when processed in air
atmosphere, difficulties regarding the growth
temperature determination. Apart from that after
a long processing time the spray nozzle may
become cluttered. Finally the films quality may
depend on the droplet size and spray nozzle. This
method is useful for the deposition of oxides and
is also a powerful method to synthesize a wide
variety of high purity, chemically homogeneous
ceramic powders.
CONCLUSION
Metal nanoparticles of varying sizes can
be prepared by physical as well as chemical
methods. They exhibit many fascinating
properties, the size-dependent metal to nonmetal
transition being an important one. The quest for
nanoscale architecture has demanded newer
synthetic methodologies for forming and
organizing metal particles. We have discussed
some properties of bulk and nanosized tin oxide.
The synthesis methods of SnO2 and doped SnO2
have been discussed. In addition the fabrication
techniques of thin/thick film have been described.
53

P-ISSN 2347-2189, E- ISSN 2347-4971
semiconductors SnO and SnO2. Physica B, 2007, 389,
140-144.
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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
1
Institute of Engineering and Technology ,Lucknow, India
2
Lucknow Model Institute of Technology and Management, Lucknow, India
3
Bhargava Lane, Devpura, Haridwar, India
4
Babu Banarasi Das National Institute of Technology and Management, Lucknow, India
5
Central Pollution Control Board Delhi, India
6
Research Scholar, Sai Nath University, Ranchi, India
*Address for correspondence :Dr. S. P. Shukla, Professor, Department of Civil Engineering, Institute of
Engineering and Technology, Sitapur Road, Lucknow, Uttar Pradesh, India,
e-mail: sps.iet@gmail.com
ABSTRACT
The adsorption of Methylene Blue (MB) dye on used tea leaves has been studied in a batch
adsorber. The equilibrium data fit well in the Langmuir isotherm. Three simplified kinetic models
based on pseudo first-order equation, pseudo second-order equation and intra particle diffusion
equations were selected to study the adsorption process. Kinetic parameters, rate constants,
equilibrium adsorption capacities and related correlation coefficients for each kinetic model are
presented in this paper. Adsorption of MB dye on used tea leaves is found to be described best
by the pseudo second-order equation and the same has been used for the design of a twostage batch adsorber. The model has been optimized to minimize total contact time for MB dye
removal. The optimum contact time for the 99% removal of MB dye has been found as 28.1
minute.
Keywords: Two-stage batch adsorber, Contact time, Adsorption kinetics, Methylene Blue, Used
tea leaves
INTRODUCTION
Dyes used in various industries (such as
textile, tannery, food, pulp and paper) to color
their products are an important source of
environmental contamination. Color is a visible
pollutant and the presence of even very little
amount of coloring substance makes it
undesirable due to its appearance (Hamdaoui
et al., 2008). The presence of dyes in waste water
offers considerable resistance to their
biodegradation and thus upsetting aquatic life
(Wong and Yu, 1999). Some of the dyes are
carcinogenic and mutagenic (Sivaraj et al.,
2001).Many investigations have been conducted
on physico - chemical methods for removing color
58
from textile effluent such as, coagulation

(Bazodogan and Goknil, 1987; Lee et al., 2006),
oxidization (Brower and Reed, 1985), ultra
filtration (Lee et al., 2006; Nowak, 1989), electrochemical (Shendrik, 1989; Shen et al., 2001),
adsorption (Lee et al., 2006; Ahlman and Groff ,
1990) and combined electro-chemical and
adsorption (Wang et al., 2005; Fan et al., 2008)
techniques. Activated carbon is the most widely
used adsorbent in the industrial applications but
it is costly. To reduce the cost, alternative low
cost commercially available adsorbents
(including natural materials) have been tried for
the treatment of dyes in recent years (Ozacar
and Sengil, 2004). These alternative adsorbents
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P-ISSN 2347-2189, E- ISSN 2347-4971
include papaya seed (Hameed, 2009), fly ash

(Wang and Wu, 2006; Matheswaran and
Karunanithi, 2007; Pengthamkeerati et al., 2008),
oil palm empty fruit bunch (Tan et al., 2008), spent
tea leaves (Hameed, 2009), pristine and acidactivated clays (Lin et al., 2004), bagasse and
rice 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; Bulut
et al., 2008), beech sawdust (Batzias and Sidiras,
2007). Most previous optimization models for
batch adsorbers (Ozacar and Sengil, 2004;
Demirbas et al., 2002; Ozer et al., 1997; Tseng
and Wu, 2009) are based on minimizing the mass
of adsorbent (such as activated carbons,
activated alumina, zeolites, silica and resins)
required to remove a certain amount of pollutant
from a fixed volume of waste water without any
consideration to operating time (Ozacar and
Sengil, 2006). Optimizing the rate of treatment
of a fixed volume of waste water is crucial as
industries face the problem of space
management as a major challenge in many
countries. Therefore, using economical
adsorbents with minimum operating time for
pollutant removal will enable the treatment of
more batches of polluted waste water per day,
thereby reducing the size of the process plant
which will result in decreasing the plant capital
costs. This paper describes the adsorption of MB
dye by used tea leaves (low cost adsorbent
available as a waste product) and development
of a two-stage batch adsorber design model. The
model predicts the optimum contact time (CT)
required to remove a fixed percentage of MB,
from a given volume of waste water effluent
containing specified dye concentration, using a
fixed mass of used tea leaves.
MATERIALS AND METHODS
Adsorbate
The basic MB dye used in this study was
product of HFCL Limited, New Delhi and was
chosen for this study due to its known strong
adsorption onto solids. The chemical formula and
molecular weight of selected dye are
C16H18ClN3S.2H2O and 319 respectively. The
maximum absorbance wave length for MB dye
was found as 675 nm using double beam UV
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Spectrophotometer, (Model: SP-3000 Plus, Make

OPTIMA). The structure of MB dye is shown in
Fig.1.
N
(CH3)2N
S
+
Cl
N(CH3)2
Figure 1: Chemical structure of MB dye
Adsorbent
Used tea leaves, collected from tea shops,
used in this study were repeatedly boiled with
water until the filtered water has been cleared
and dried at 60C for 48 hours. Dried sample was
grounded in mixer grinder for 5 minutes and
sieved. The material passing through 500 micron
sieve and retained on 300 micron sieve was used
as adsorbent in the present study. The adsorbent
was stored in the plastic bottles (Hameed, 2009).
Equilibrium and kinetic study
Adsorption experiments were carried out by
adding a fixed amount of adsorbent (1.75g used
tea leaves) in 1 L glass flasks containing 500 ml
of dye solution of different initial concentrations
(50, 100, 150, 200, 250, 300 mg/L) without
changing the solution pH at room temperature
(~ 30C). The flasks were placed in a Jar Test
Apparatus and agitated at 150 rpm for 200
minutes to ensure that equilibrium was reached.
The amount of adsorption (qt) at time t in
mg/g was calculated using equation 1.
qt =
( C0 Ct ) *V
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)

59

P-ISSN 2347-2189, E- ISSN 2347-4971
in mg/g was calculated using equation 2.
qe
( C Ce ) *V
= 0
temperature.
(2)
Where
Ce: Remaining liquid-phase concentration of dye in mg/
L at equilibrium.
The dye removal percentage at equilibrium

was calculated using equation 3.
( C0 Ce )
*100
C0
Removal percentage =
(3)
Kinetic Models
RESULTS AND DISCUSSION

Equilibrium model
The Langmuir isotherm is generally the
preferred choice for most models of adsorption,
and has many applications in surface kinetics and
thermodynamics.
Langmuir isotherm is expressed as shown
in equation 4.
qe =
Ce
(1 + Ce )
(4)
A linear form of this expression is given in

equation 5.
1 1 1
= +
qe
1
*
Ce
For Langmuir isotherm plot, the dye

adsorbed at equilibrium for different initial
concentration was plotted with respect to
remaining concentration at equilibrium. The data
are best fitted for straight line with high degree
of correlation factor (0.996) gives adsorption
capacity 166.67 mg/g. The good fit to the
Langmuir model suggests that MB adsorption is
limited with monolayer coverage and the surface
is relatively homogeneous in terms of functional
groups and there is no significant interaction
among the MB molecules (Ozacar and Sengil,
2006).
Adsorption kinetic study was performed with

the objective to investigate (i) the possible
mechanisms for the adsorption process and (ii)
to determine the time required to attain
equilibrium. The amount of MB dye adsorption
increases with time (Fig. 3) and it remains almost
constant after an operating time of 60 min (i.e.
the equilibrium time). The equilibrium time does
not vary with the variation of initial dye
concentration.
Figure 3: Effect of contact time and initial
concentration on MB adsorption
(5)
The constant is the monolayer (maximum)

capacity of the adsorbent (mg/g) and is the
adsorption equilibrium constant (L/mg). Fig. 2
shows the adsorption equilibrium linearization
plot of MB dye on used tea leaves at room
For studying the kinetics of the MB

adsorption on used tea leaves, several kinetic
models were tried as given below:
Pseudo first-order equation
Figure: 2 Langmuir isotherm plots for MB adsorption
60
A simple kinetic of adsorption is the pseudo

first-order equation (equation 6) (Ozacar and
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P-ISSN 2347-2189, E- ISSN 2347-4971
Sengil, 2005, 2004, 2003; Ozacar, 2003; Wu et

al., 2001):
dqt
= k1 ( qe qt )
dt
(6)
Integrating equation (6) and applying the

initial conditions qt = 0 at t = 0, we get
1
t
1
=
+
*t
qt ( k2 * qe 2 ) qe
(10)
Where k2 is the rate constant of pseudo

second-order adsorption (g/mg.min). Figure 5
shows a plot of Eq. (10) for the adsorption of dye
MB on used tea leaves.
Figure 5: Fitting of pseudo-second order model for
MB
k
log ( qe qt ) = log qe 1 * t
2.303
(7)
Where qe and qt are the amounts of MB
adsorbed at equilibrium and time t (mg/g),
respectively, and k1 is the rate constant of pseudo
first-order adsorption, (min-1). Figure 4 shows a
plot of Eq. (7) for the adsorption of dye MB on
used tea leaves.
Intra particle diffusion model
Figure 4: Fitting of pseudo-first order model for MB
Pseudo second-order equation

The adsorption kinetic may also be
described by a pseudo second-order equation
(equation 8) (Ozacar and Sengil, 2005, 2004,
2003; Ozacar, 2003; Wu et al., 2001; Ho and
Mckay, 1999).
dqt
2
= k2 ( qe qt )
dt
(8)
After integration and applying the boundary

conditions, for qt = 0 at t = 0 and qt = qt at t = t,
the integrated form of equation (8) becomes:
1
1
= + k2 * t
( qe qt ) qe
(9)
Equation (9) can be rearranged to obtain a

linear form:
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The fraction of adsorbate adsorbed ((Co

Ct) / Co) changes according to a function of (Dt /
r2)1/2, where r is the particle radius and D the
diffusivity of solute within the particle. The rate
parameters for intra particle diffusion (k p) at
different initial concentrations are determined
using the following equation (Ozacar and Sengil,
2005, 2004; Ozacar 2003; Wu et al., 2001):
1
qt = k p * t 2
(11)
Where kp is the intra particle diffusion rate

constant, (mg / (g min1/2)).
If intra particle diffusion occurs, then q t
versus t1/2 will be linear and if the plot passes
through the origin, then the rate limiting process
is only due to the intra particle diffusion. In this
study intra particle diffusion is not happening as
qt versus t1/2 is not linear. The different stages of
rates of adsorption observed indicated that the
adsorption rate was initially faster and then
slowed down when the time increased (Fig. 6).
61

P-ISSN 2347-2189, E- ISSN 2347-4971
Table 1 shows comparison of the pseudofirst-order and pseudo-second-order adsorption

rate constants; and calculated and experimental
q e values obtained at different initial MB
concentrations. The Fig. 4, Fig. 5 and Table 1
reveal that pseudo second order equation best
fit for adsorption of MB on the used tea leaves.
The results demonstrate a highly significant linear
relationship between adsorbed dye MB, t/qt, and
t in these studies with high correlation
coefficients.
Figure 6: Intra particle diffusion model for MB

adsorption on used tea leaves
Initial
qe exp
Table 1: Comparison of the pseudo-firstorder, pseudo-second-order adsorption rate

constants and calculated and experimental qe
values obtained at different initial MB
concentrations
Pseudo-first- order Kinetic model
Pseudo-second-order kinetic model
k2*10-3
qe
3.92
0.795
70.014
14.08
0.099
11.14
0.876
27.841
28.57
41.09
0.094
19.59
0.903
12.902
43.48
200
54.20
0.092
33.57
0.952
6.149
58.82
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
conc.
(mg/g)
k1
50
13.80
0.101
100
27.59
150
qe
cal
R2
cal
(mg/L)
Initial conc. (mg/L) qe exp (mg/g)

Pseudo-first- order Kinetic model
Pseudo-second-order kinetic
q0
W1
C0
q0
W2
L ( C n-1 Cn ) = W ( qt ,n q0 )
C1
Stage
1
q1
W1
0 mg dye/g used tea leaves) and the dye

concentration on the used tea leaves increases
from q0 to qt,n mg/g . The mass balance equation
can be written as equation 12.
C2
Stage
2
q2
W2
Figure 7: Two stage crosscurrent batch adsorption

process
The solution to be treated contains L Liter solution

and the dye concentration is reduced for each
stage from C0 to Cn mg/L. Initially at t = 0, the
amount of adsorbent added is W g with a solid
phase dye concentration on it of q0, (usually q0 =
62
(12)
When fresh adsorbents are used at each

stage and the pseudo second-order equation is
used to describe equilibrium in the two-stage
adsorption system, then the mass balance
equation may be obtained by combining equation
(10) and equation (12).
Cn = Cn 1
2
e ,n
(W k q t )
(13)
L (1 + k qe ,n t )
The total amount of dye removal can be

calculated analytically using equation 14.
m
C
n =1
n 1
Cn =
n =1
2
e ,n
(W k q t )
L (1 + k qe ,n t )
(14)
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P-ISSN 2347-2189, E- ISSN 2347-4971
Where n is the adsorption system number

(n = 1, 2, 3, m). The percentage dye
removal, Rn, in each stage can be evaluated from
the equation 15.
(15)
The total removal of dye can be determined
analytically using equation 16.
100 W m
Rn =
n =1
L C0 n =1
m
k qe2,n t
(16)
(1 + k qe ,n t )
It is further considered that k and qe can be

expressed as a function of C0 for MB as follows:
k = X k C0YkYq
qe = X q C0
(17)
(18)
Substituting the values of k and qe from

equations (17) and (18) into equation (16) gives;
Yk
Yq
100 W m ( X k C0 ) ( Xq C0 t
Rn =
Yk
Yq (19)
n =1
L C0 n =1 1 + ( X k C0 )( Xq C0 t
m
Equation (19) can be used for predicting the

removal of dye at any given initial dye
concentration and the reaction time for multistage systems can be determined (Ozacar and
Sengil, 2006).
Figure 8: qe and initial concentrations of MB
The application of the CT model to the

design and time optimization of a batch adsorber
was undertaken. The corresponding plots of the
values of qe and k against initial MB concentration
were regressed to obtain expressions for these
values in terms of the initial dye concentration.
High correlation coefficients were obtained as
shown in Table 2.
Table 2: Empirical parameters for predicted
qe and k from C0
Xk
Yk
R2
Xq
Yq
R2
162.2
-1.88
0.983
0.282
1.002
0.999
Used Tea Leaves
A series of CTs from 10 min up to 60 min in

2 min increments has been considered in Stage
1 of a two stage batch adsorber system. Then
there are twenty six system number of 2 min
increments. Therefore, in Figs. 10 and 11, each
system number (1 to 26) is based on a 2 min CT
interval in Stage 1 of the two stage system. For
example, in the first adsorber, system number
10 implies; 10 min + (10-1) x 2 min = 28 min,
because system number 1 represents 10 min CT
in adsorber number 1. Therefore, the time
required to achieve a total 99% MB removal is T
min, and the CTs in the first and second
adsorbers are t1 and t2 min, respectively:
T = t1 + t2
(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)
Figure 9: k2 and initial concentrations of MB
Similar graphs were obtained for different

initial MB dye concentrations (such as 400mg/L,
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63

P-ISSN 2347-2189, E- ISSN 2347-4971
500mg/L). The total CT is calculated for each

system number, N = 1 to N = 21 (based on the
fixed t1 values), for 99% MB removal. The CT
values are plotted against the system number,
N, as shown in Fig 10. Fig 10 shows a
comparison of the time for 99% MB removal for
each stage and the total CT of the two stage batch

adsorption process. Table 3 shows the CT for
each individual stage and the minimum total CT
for various initial dye concentrations removal in
the 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)
CT (min)
System
no.
Stage 1
t1
Stage 2 t2
Total
t1+t2
Spent tea
99%
300
18
10.1
28.1
leaves
removal
400
22
13.9
35.9
500
26
17.5
43.5
From the design criteria, the percentage MB

removal by the adsorber system is defined as
99%. In the two stage system in Table 3, three
calculations have been shown, namely, 300, 400
and 500 mg/L initial MB concentrations. The total
CT, to achieve 99% MB removal can be
determined based on the fixed CT assigned to
stage 1, t1. 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 the
three curves in Fig. 10. The minimum CT for 99%
MB removal can be found, using Eq. (19) or by
plotting graphs analogous to Fig. 10. For 99%
MB removal, the minimum CT is 28.1 min for
used tea leaves as shown by system 5 with CTs
of 18 min for Stage 1 and 10.1 min for Stage 2
for initial MB concentration 300 mg/L.
If we plot the graph between 1st stage CT
(t1), 2nd stage CT (t2) and total CT (t1+t2) for 99%
MB removal against different initial concentration
of MB by spent tea leaves, this gives linear trends
lines with high correlations coefficient as shown
in Fig.11. The initial MB concentration, where 2nd
stage CT cut the abscissa or concentration
coordinate line, shows that below this initial
concentration of MB, there is no need of 2nd stage
process. From the Fig. 11, this initial MB
concentration comes out to be 22 mg/L.
64
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 for
the removal of MB from aqueous solution. The
equilibrium data were best fitted to linear models
of Langmuir, with maximum monolayer
adsorption capacity of 166.67 mg/g of used tea
leaves at room temperature. The design model
presented is based on a pseudo second-order
equation and this has been used for minimizing
the CT in a two stage crosscurrent system. The
minimum CT, to achieve 99% of MB removal from
wastewater by adsorption using a fixed mass of
used 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 process

requires more time for MB with respect to removal
in two-stage process.
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Ahlman S. C., Groff K.A., Textile wastes, Res. J. Water

Pollut. Control Federal 62 (1990) 473478.
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Bastaki N. A., Banat F., Combining ultrafiltration and

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different solution volume/adsorbent mass ratios using
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Bazodogan A., Goknil H., The removal of the color of

textile dyes in wastewater by the use of recycled
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Shim,H.Moon W.G., Submerged microfiltration
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activated carbon adsorption for complete decolorization
of reaction dye, Water Res. 40 (2006) 435444.
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Bulut E., Ozacar M., Sengil I. A., Equilibrium and kinetic

data and process design for adsorption of Congo Red
onto bentonite, Journal of Hazardous Materials 154
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21. Lin S.H., Juang R.S., Wang Y.H., Adsorption of acid

dye from water onto pristine and acid-activated clays
in fixed beds, Journal of Hazardous Materials B113
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7.
Demirbas O., Alkan M., Dogan M., The removal of

victoria blue from aqueous solution by adsorption on a
low-cost material, Adsorption 8 (2002) 341349.
22. Matheswaran M., Karunanithi T., Adsorption of

Chrysoidine R by using fly ash in batch process, Journal
of Hazardous Materials 145 (2007) 154161.
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Ding Z., Min C.W., Hui W.Q., A study on the use of

bipolar particles- electrode in the decolorization of dying
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3944.
23. Nowak K. M., Effect of flow conditions on ultra-filtration

efficiency of dye solutions and textile effluents,
Desalination 71 (1989) 127132.
9.
Fan L., Zhou Y., Yang W., Chen G., Yang F.,
Electrochemical degradation of aqueous solution of
Amaranth azo dye on ACF under potentiostatic model,
Dyes Pigments 76 (2008) 440446.
24. Ozacar M., Adsorption of phosphate from aqueous

solution onto alunite, Chemosphere 51 (2003) 321327.
25. Ozacar M., Sengil I.A., Adsorption of acid dyes from
aqueous solutions by calcined alunite and granular
activated carbon, Adsorption 8 (2002) 301308.
10. Ferrero F., Dye removal by low cost adsorbents:

Hazelnut shells in comparison with wood sawdust,
Journal of Hazardous Materials 142 (2007) 144152.
26. Ozacar M., Sengil I.A., Adsorption of reactive dyes on

calcined alunite from aqueous solutions, J. Hazard.
Mater. B98 (2003) 211224.
11. Hamdaoui O., Saoudi F., Chiha M., Naffrechoux E.,

Sorption of malachite green by a novel sorbent, dead
leaves of plane tree: Equilibrium and kinetic modeling,
Chemical Engineering Journal 143 (2008) 7384.
27. Ozacar M., Sengil I. A., Equilibrium data and process

design for adsorption of disperse dyes onto alunite,
Environ. Geol. 45 (2004) 762768.
12. Hameed B.H., Salman J.M., Ahmad A.L., Adsorption

isotherm and kinetic modeling of 2,4-D pesticide on
activated carbon derived from date stones, Journal of
Hazardous Materials (2008).
13. Hameed B.H., Spent tea leaves: A new nonconventional and low-cost adsorbent for removal of
basic dye from aqueous solutions, Journal of Hazardous
Materials 161 (2009) 753759.
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 from
aqueous solution in column mode, Bioresource
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15. Ho Y.S., McKay G., A two-stage batch sorption
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28. Ozacar M., Sengil I. A., A two stage batch adsorber

design for methylene blue removal to minimize contact
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372379.
29. Ozer A., Ekiz H. I., Ozer D., Kutsal T., Aglar A. C., A
staged purification process to remove heavy metal ions
from wastewater using Rhizopus arrhizus, Proc.
Biochem. 32 (1997) 319326.
30. Pengthamkeerati P., Satapanajaru T., Singchan O.,
Sorption of reactive dye from aqueous solution on
biomass fly ash, Journal of Hazardous Materials 153
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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 fiber
electrode electrolysis system, J. Hazard. Mater. B 84
(2001) 107116.
32. Shendrik O.R., Electro membrane removal of organic
dyes from wastewater, Kimiyi Technol. Vody 11 (1989)
467472.
33. Sivaraj R., Namasivayam C., Kadirvelu K., Orange peel
as an adsorbent in the removal of acid violet 17 (acid
dye) from aqueous solutions, Waste Manage. 21 (2001)
105110.
34. Tan I.A.W., Ahmad A.L., Hameed B.H., Adsorption
isotherms, kinetics, thermodynamics, and desorption
studies of 2,4,6-trichlorophenol on oil palm empty fruit
bunch-based activated carbon, Journal of Hazardous
Materials (2008).
35. Tseng R. L., Wu F. C., Analyzing a liquidsolid phase
countercurrent two- and three-stage adsorption process
with the Freundlich equation, Journal of Hazardous
Materials 162 (2009) 237248.
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36. Wang A., Qu J., Ru J., Liu H., Ge J., Mineralization of

an azo dye Acid Red 14 by electro-Fentons reagent
using an activated fiber cathode, Dyes Pigments 65
(2005) 227-233.
37. Wang M., Qu J., Ru J., Liu H., Ge J., Mineralization of
an azo dye Acid Red 14 by electro-Fentons reagent
using an activated fiber cathode, Dyes Pigments 65
(2005) 227233.
38. Wang S., Wu H., Environmental-benign utilisation of
fly ash as low-cost adsorbents, Journal of Hazardous
Materials B136 (2006) 482501.
39. Wong Y., Yu J., Laccase catalysed decolorisation of
synthetic dyes, Water Res. 33 (1999) 35123520.
40. Wu F. C., Tseng R. L., Juang R.S., Adsorption of dyes
and phenols from water on the activated carbons
prepared from corncob wastes, Environ. Technol. 22
(2001) 20521
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PROBLEM ANALYSIS DIAGRAM DECLARATIONS OF

COMPILER TECHNIQUE
FOR APPLICATIONS OF C/C++ PROGRAMMING
ROHIT SAXENA1, DEEPAK SINGH1, *AMOD TIWARI2
Rama 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 : amodtiwari@gmail.com
ABSTRACT
Language transformation is challenged part of programming into runtime verification tools. To
increase the idea during the writing concept that these runtime verification tools can be used for
testing 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. Compiler
technique is extended with threads and synchronization construction, and two concurrent
semantics are derived from its sequential semantics. First one is defining a sequentially consistent
memory model can be easily transformed into a runtime verification tool for checking datarace
and deadlock freeness. Second one is relatively minimal fashion a relaxed memory model. The
paper increased the efficiency of the programming language like C and C++ for using above
Programming Analysis Design (PAD) technique.
Keywords: Pseudo-code, Structured programming chart, Top down analysis, Compiler tool.
INTRODUCTION
Problem analysis design (PAD) process of
using formal definitions of programming
languages as testing and analysis tools. We
argue here that variable K [7, 8] definitions can be
used to test and analyze executions of programs
written concept in real-life languages either
directly or by extending them to become runtime
analysis tools.The rewriting logic representation
of K definitions gives them access to the arsenal
of generic tools for rewriting logic available
through the Maude rewrite engine [9] state space
exploration. This collection of analysis tools is
by itself enough to provide more information
about the behaviors of a program than one would
get by simply testing the program using an
interpreter or a compiler for that language.
Nevertheless, the effort of defining the
semantics pays back in more than just one way:
by relatively few alterations to the definitions, one
can use the same generic tools to obtain type
checkers and type inferencers [9], static policy
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checking tools [10,11], runtime verification tools [13],

and even Hoare-like program verification tools.[12].
It is well known that several charts like NS
chart [1], Jacksons chart [2], and Problem Analysis
Diagram (PAD) [3] are much more effective to
teach structured programming than a classical
flow chart, since each stepwise refinement
process by top down should be either
concatenation, selection or repetition. Especially
PAD is suitable to describe complicated programs
directly. However, these charts do not contain
declaration. It is important in object oriented
programming to see how classes are declared.
Then we propose a modified PAD including
declaration.
INSERTING DECLARATION
In order to introduce PAD, consider the
following C program containing pseudo-codes
which finds the maximum and the second
maximum 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];}
}
blocks, Pseudo-codes are explicitly distinguished

and Easy to draw with popular application software,
we propose a chart as shown in Figure 3.
Figure 2: Declaration and definition of Program
The corresponding PAD is shown in Figure 1,

where B1= {x1=x[1]; x2=x[0];}, etc.
Figure 3: A class and its member function
Figure 4: A derived class and its constructor
Figure 1: Problem analysis diagram of Program 1
In Figure 1, declarations are not contained

in PAD. In order to discuss how to include
declaration in a structured programming chart,
consider the following program.
The chart of derived classes is shown in

Figure 5.A sample of member functions is
phasor::sequence (FILE*) which outputs the timesequence of the sinusoidal wave.
//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 the
compiler program using with application of C and
C++, All of the necessary information is included,
Declaration blocks are not similar to execution
68
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 with
a colored text is reduction of reserved words as
shown in fig. 5, which implies large characters
can be used in a lecture using MS Power Point
slides.
Figure 8:
code
Alternatives for compound statements
Figure 9:
Program
An example of input and output for
Figure 6: Effect of eliminating reserved words
Although PAD is a compact expression of

an algorithm as shown in Figures 1 and 5,
alternative expression in Figure 6 is more
compact and easy to draw, since every chart can
be drawn by superposing polylines on a uniformly
spaced plain text.
Remark <* input x *> in Program 1
represents each x[i](0 <= i < 10) should be filled
by an integer using a certain method. An
example of specified input/output is shown in
Figure 7 which correspond to <* input (fscn): x
*> and <* printf (%8d\n): x1, x2 *>.
CONCLUSION
We have shown how K definitions of
programming languages can be turned (with
negligible effort) into runtime analysis tools for
testing and analyzing executions of concurrent
programs. We do not claim here that the tools
one obtains almost for free within the K
framework completely eliminate the need of
writing dedicated analysis tools in real
programming languages. The proposed chart is
an object oriented programming chart rather than
a structured programming chart i.e. (C ,C++).
Since reserved words are reduced in such a
chart, it is easier than a colored text to see how
the algorithm is implemented.
REFERENCES
Figure 7: Alternatives for compound statements

chart with error
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1.
Weiss, E. H., Visualizing a Procedure with NassiSchneiderman Charts. Journal of Technical Writing
and Communication 1990 ; 20(3) : 237-254.
2.
http://www.cbu.edu/~lschmitt/I351/
Nassi%20Schneiderman.htm (Mark Kelly, Structured
Design 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) and
Jackson Workbench to Teach Program Design)
5.
Futamuta, Y., Kawai, T., Tsutsumi, M., and Horikoshi,
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H., Development of computer programs by Problem
Analysis Diagram (PAD). In the Proc. 5th Intl Conf.
on Software Engineering, New York, IEEE Computer
Soc., 1981, pp.325-332.
6.
http://fi.ftmr.info/PapersToRead/PAD-JARECT.PDF (Y.
Futamura and T. Kawai, Problem Analysis diagram)
10. Hills, M., F. Chen and G. Rosu , A rewriting logic

approach to static checking of units of measurement
in C, in: RULE08, 2008, pp. 7691, Tech. Rep. IAITR-08-02, Institut fr Informatik III, Rheinische
Friedrich-Wilhelm-Universitt Bonn.
11.
Hills, M. and G. Rosu, A rewriting logic semantics

approach to modular program analysis, in: RTA10,
LIPIcs 6 (2010), pp. 151160.
7.
Rosu G. K Overview and SIMPLE Case Study.

Electronic Notes in Theoretical Computer Science.
2014; 304: 356.
12.
8.
Rosu, G. and T. F. Serbanuta. An overview of the K

semantic framework. Journal of Logic and Algebraic
Programming 2010 ; 79: 397434.
Rosu, G., C. Ellison and W. Schulte, Matching logic:

An alternative to Hoare/Floyd logic, in: AMAST 10,
LNCS 6486, 2010, pp. 142162.
13.
Rosu, Runtime verication of C memory safety, in:

RV09, LNCS 5779, 2009, pp. 132152.
9.
70
Clavel, M., F. Durn, S. Eker, J. Meseguer, P. Lincoln,

N. Mart-Oliet and C. Talcott. All About Maude, A HighPerformance Logical Framework, LNCS 4350,
Springer, 2007.
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A HIGH FIDELITY VERSION OF A THREE PHASE INDUCTION

MOTOR MODEL USING MATLAB/SIMULINKS
1
HARISH KUMAR MISHRA1, *ANURAG TRIPATHI2

Research 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 ,
email: anurag.tripathi.aparna@gmail.com
ABSTRACT
For a long time, purely electric locomotives fed from an overhead electric supply utilized DC
series motors to propel them. As the running cost involved is high and also the frequent
maintenance (both scheduled as well as the breakdown) is required, the need for an integrated
self contained system had become obvious and this led to the concept of a diesel electric
locomotive. It was also thought that since there is a rapid augmentation in the field of power
electronic converters both in terms of the current carrying capabilities as well as the overall
power handling capacities, it would be prudent to utilize the three phase induction motor drive
in the locomotives. A great amount of work is being done on the improvement of control through
simulation of the electric drives used for various high-power traction purposes. The legitimacy
of the simulated results is based on the accurate modelling of the various parts of the electric
drive system. Threephase Induction motors form an extremely important part of the modern
day electric drive system and their usage is continuously on a rise owing to their inherent
properties of ruggedness, minimum maintenance requirements and continually increasing
efficiencies. Usually the three-phase induction motor model used in various research works
does not integrate stator and rotor core losses, stator and rotor stray load losses and magnetizing
saturation and rotor conductor skin effects. The present paper aims at developing a threephase induction motor model taking the above losses and effects into account. The dynamic
linking of the model to a thermal model considering the temperature dependent resistive elements
is an added feature. The motor model described in this paper is the extension of the conventional
2-phase lumped-parameter induction motor model. The biggest advantage is that the model is
user-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 into
account and subjected to sudden changes in load, show better torque and speed performances
of 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 propulsion
system is shown below in fig 1.1. The Diesel
engine drives the alternator that has multiple
stator (secondary) windings that generates power
for traction, field excitation and also for the
auxiliaries. The locomotive propulsion system
considered for modeling and simulation for the
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stated purpose comprises Traction Alternator,

Diode Rectifier, Voltage Source Inverters, 3phase induction machines. The Diesel engine
drives the alternator that has multiple stator
(secondary) windings that generates power for
traction, field excitation and also for the
auxiliaries. For the purpose of this report, only
the traction power is considered. A 3-phase diode
rectifier with a DC link capacitor rectifies this
power. This forms the source for the 6 Voltage
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Source Inverters that supply controlled power to

the 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 axles

of the locomotive , simplified mechanical load is
connected to each motor. The propulsion
controller controls the inverters and also the field
control rectifier of the alternator.
The model is systematically developed in
MATLAB/ SIMULINK and tested at each stage.
This is presented in the following sections. Finally,
the integrated model representing the AC
propulsion system is also presented. The model
is user-programmable in MATLAB and can be
used for system level transient studies.
The model is a detailed transient electrical
model [1] based on the conventional two-axis
lumped parameter d-q equivalent circuit of the
induction machine. Extensions of the
conventional motor model include: stator and
rotor core loss, stator and rotor stray load loss,
magnetizing saturation and rotor conductor skin
effects. The electrical model can be dynamically
linked to a thermal model to add temperature
dependencies of all resistive elements.
MODEL FEATURES AND ASSUMPTIONS
The motor models described in this paper
are extensions of the conventional 2-phase (dq) lumped-parameter induction motor model. The
following features are included in the models
described in this paper:
1. Transient and dynamic multi-reference frame
model
72
2. Skin effects: 3-Z rotor circuit in rotor frame,

rr1, Llr1, rr2, Llr2
3. Main path (magnetizing) saturation with
spatial dependency
4. Separate stator and rotor core loss consisting
of iron eddy, hysteresis, and copper eddy
losses.
5. Temperature dependencies on all resistive
elements
6. Stator stray load loss
7. Friction and wind age loss
NOMENCLATURE
FRAMES
AND
REFERENCE
To facilitate the correct modeling of machine

features, such as rotor conductor skin effects,
the model is implemented in multiple reference
frames. The following nomenclature is utilized
to distinguish reference frame:
In the development of each motor model,
the machine equations are initially derived in
complex vector notation, where
s
f qds
= f qss jf dss
Superscripts denote the frame of reference; e.g.,

s
f qds
= f qss jf dss Stator (stationary) frame
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r
f qds
= f qsr jf dsr Physical rotor frame ( rotor
Reference frame transformations in complex

vector notation are:
flux frame)
m
f qds
= f qsm jf dsm Magnetizing (air gap flux)
e j m = cos m j sin m
frame
e j m = cos m + j sin m
The direction of vector rotations is as shown in

fig 1.2.
The variable p is defined as the derivative

operator; i.e.
Frame Transformation Equations: Due to
the presence of multiple reference frames, the
following transformation equations are required:
Flux:
Current:
TRANSIENT MODEL WITH INTERNAL CORE

AND STATOR STRAY LOAD LOSS
Fig1.2: Reference direction for vectors
Equivalent Circuit
The equivalent circuit of the motor electrical model is shown in fig. 1.3 in complex vector notation, and
in Figure 1.4 in real variable notation.
Figure 1.3: Equivalent circuit in complex vector notation with internal core and stator stray load loss
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Figure 1.4:
Equivalent circuit in real variable notation with internal core and stator stray load loss
State Variables
The following complex state variables are chosen
for formulation of the motor model equations:
Rotor Voltages:
=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
Flux Equations
Note that the magnetizing core loss adds

one additional complex state, and rotor skin
effects at two additional complex states.
In addition to the voltage equations, flux

linkage equations can be written for each state
variable as follows:
Voltage Equations
Stator Flux:
Each state variable defined in Section 0 can

be described by a voltage equation in the form
of an ordinary differential equation as follows:
Stator Voltage:
Air Gap Flux:
Rotor Flux:
Air Gap Voltage:
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Node (Current) Equations

The following node equations relating the
currents can be written:
Equation Solution - Complex Variable

Notation
Solve for state derivatives:
Currents via Flux Equations

Rewriting equations to solve for currents:
Equation Solution - Real Variable Notation
Currents via Node Equations:
The complete solution procedure at each

integration time step in real variable notation with
reference frame transformations and saturable
inductances is as follows:
Transform reference frames:
Equation Summary for Solution

The above equations are now summarized
in order for solution in complex and in real
variable notation.
Complex Variable Notation
From the above solutions, the motor model
equations can be solved in the following order:
Updated saturable d-axis magnetizing

inductance:
Solve for currents given fluxes:

(Reference frame transformations not listed)
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Solve for Currents:
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Updated saturable component of rotor leakage

inductance:
Locate magnetizing reference frame:
INDUCTION MACHINE MODEL

The machine model in MATLAB environment
is built using the above discussed equations and
is shown in fig. 1.5.
Transform reference frames:
STEADY
STATE
PERFORMANCE
COMPARED AGAINST PUBLISHED RESULTS
As a first step, the transient machine model
built in MATLAB/SIMULINK was checked to work
for steady state. For this purpose, the model was
tested on cases shown in the text Analysis of
Electrical Machinery, Paul Kraus and the results
were found to match.
The model was fed with the steady state
76
Figure 1.5: MATLAB/SIMULINK model of the

induction machine with features listed in Section 2.
The top-level block is shown at the top left corner.
equivalent circuit parameters. The machine was

supplied with pure sine wave 3 phase voltages.
The torque and current values obtained by
running the model for the operating point defined
by the voltage, frequency and speed are
compared with that obtained by simple
calculation in the table below. This was repeated
for all the four 4-pole machines. The following
charts show the waveforms obtained for 2250
hp machine.
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Figure 1.6: Torque and Current-Steady State validation for 2250 hp machine.
S.No Machine Details

1
2
3
4
3hp, 220V , 1710RPM

50hp,460V ,1705RPM
500hp,2300V ,1773RPM
2250hp,2300,1786RPM
r1
Xl1
0.435 0.754
0.087 0.302
0.262 1.206
0.029 0.226
Parameters
Torque (Nm)
Stator Current (A )
Xm
Xl2'
r2'
calculation model
calculation model
26.13 0.754 0.816
14.02
14.00
8.84
8.79
13.08 0.302 0.228
234.60 234.55
62.80
62.80
54.02 1.206 0.187
1999.40 2000.00
105.21
105.10
13.04 0.226 0.022
9173.50 9170.50
469.56
469.45
The initial decaying transients seen in the

electromagnetic torque developed are due to the
transient offset in the stator currents. The
transient offset depends upon the values of the
source voltages at the time of application. For
the case of steady state evaluation run that was
attempted here, these transients can be regarded
as simulation transients. The steady state values
seen on these charts are also tabulated above.
The model was given pure sine-wave 3
phase voltages. The results obtained from the
model were compared with those given in the
text Analysis of Electrical Machinery, Paul Kraus
and were found to match.
CONCLUSION
The swift control of torque in ac drives has
always been a topic of investigation despite of
its preference over dc drives in industry. The
induction machine model developed in this paper
shows better torque and speed response during
both the steady state and dynamic conditions
even with the incorporation of effects of various
parameters like rotor skin effects, temperature
dependent resistive elements and magnetic
saturation. The model also takes into account
stator and rotor core losses including the iron
hysteresis loss, iron eddy current loss and copper
eddy current loss. Some features viz. saturation
of stator leakage inductance due to stator flux,
temperature dependency on skin depth and
winding and saturation spatial harmonics that are
not incorporated in the model, if pursued, may
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form the future work and the model can further

be improved for its application in high power
applications.
REFERENCES
1.
P.L. Jansen, Y.Liao, Y. Zhao, J. Law Detailed

Transient Electrical Model for Polyphase Induction
Machines, Report, 1997.
2.
Y.-K. He, T.A. Lipo, Computer Simulation of an

Induction Machine with Spatially Dependent
Saturation, IEEE-PAS Trans., Vol. PAS-103, No.
4, April 1984, pp. 707-714.
3.
J. Moreira, T.A. Lipo, Modeling of Saturated AC

Machines Including Airgap Flux Harmonic
Components, 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 Inverter

Fed Induction Motors Including Core Losses,
Proc. IEEE Industrial Electronics Conference,
Sept. 1989, pp. 232-237.
6.
J.M.D. Murphy, V.B. Honsinger, Efficiency

Optimization of Inverter-Fed Induction Motor
Drives, Proc. IEEE-IAS Annual Meeting, 1982,
pp. 544-552.
7.
J.-W. Choi, D.-W. Chung, S.-K. Sul,

Implementation of Field Oriented Induction
Machine Considering Iron Losses, APEC, 1996,
pp. 375-379.
8.
E.Levi, Impact of Iron Loss on Behaviour of Vector

Controlled Induction Machines, Proc. of IEEE-IAS
Annual Meeting, 1994, pp. 74-80.
9.
N. Retiere, D. Roye, P. Mannevy, Vector based

Investigation of Induction Motor Drive under
inverter fault operations, IEEE, 1997, pp. 12881294.
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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 Computer
Science & Engineering, Shri Ramswaroop Memorial University, Lucknow-Deva Road, Hadauri, Tindola,
Barabanki, Uttar Pradesh, India,email: neerajmtech@gmail.com, neeraj.cs@srmu.ac.in/
ABSTRACT
The modern computing has been a blessing to all human beings and exponential advancement
of these technologies has been created a big issue regarding with the environment. The aim of
the green wall methodology in sustainable development is to overcome the environmental
damage causing by the development of technologies and process of informatization from the
beginning phase. Our study has trends of green wall that can be considered as a methodology
for sustainable development. In this paper, sustainable development qualities such as entourage
effect, curtailment, social impact and performance are described well and whether these qualities
can be adopted in software engineering. Further, we tried approaching to develop the green
and sustainable software that may contain low cost and low energy consumption during
development process and how environmental risk can be minimized.
Keywords: Sustainable software development, Green computing, ICT.
INTRODUCTION
The modern computing technology has
been a blessing to all human beings and
exponential advancement of these technologies
has been created a big issue regarding the
environment. With the development of
technology and the process of informatization,
various types of computer systems have been
widely used. Whenever computers are discussed
it is generally with reference to operational power
management, rather than how IT can help a
business as well as achieve its environmental
goals [1]. The environmental damage can be
overcome by adopting green computing because
by the help of green computing, technology can
be developed in a sustainable way. Development
in sustainable way means usage of optimized
material flows or to substitute material products
with their virtual counterparts, which reduce
energy and resource consumption [2]. From the
past decade to the present generation, ICT which
is also called as information and communication
technology adopting the approaches of green
78
computing so that we can reduce the cost and

power consumption of IT system and maximize
energy efficiency during the systems lifetime.
THE GREEN WALL Model is a model for
developing green and sustainable software and
computing approach that addresses both the
qualities of sustainable software and profiling of
energy consumption.
BACKGROUND
Until now, there are many publications
available discussing the relationship between
sustainable development and green computing.
David Tebbutt [1] describes the green computing,
according to that simplistic view the Green IT is
about power management and recycling. Stefan
Naumann [2] described the model known as
Green soft Model that contains the product life
cycle model for software products that helps in
developing the sustainable software. Sarah [3]
introduces the very technologies that help in
carbon free computing such as via technologies
and the advantages of green computing in human
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life. Anderberg [4] relates the industrial

development process with environmental
problems and solutions. These problems are
related with the industrial development and
solutions of these problems have been described
by sustainable computing which means a way of
development in which resources are used and
managed in such way that new product will be
suitable for nature and also helpful for future use.
The concept of Green Computing system is
originated by reviewing the approaches of the
Green Computing [5]. The study reveals that there
is a way that can suppress the worsening
problem about misuse and abuse in the use of
the computing resources [6]. Four aspects:
hardware design, software technology, virtual
machine are the strategies of green energy
saving for cloud computing platform manager and
network environment [7].
This research design gives a brief
introduction to the new and the budding concept
of Green Computing and Green IT for developing
the sustainable software and qualities of
sustainable development. These qualities will be
divided into four subcategories as shown in
Figure 1. The detailed explanation of sustainable
development qualities are:
Entourage effect: The entourage effect
word means environmental effect and the
sustainable development poses the quality of low
environment effect. Environmental sustainability
demands that developing designs activities to
meet human needs while indefinitely preserving
the life support systems of the planet [8].
Bionomious impact: The sustainable
development result us a bionomious effect in a
positive way. Bionomious effect means the effect
on the ecology and due to the sustainable
development we are creating fully recyclable
products, reducing pollution, proposing
alternative technologies in various fields, and
creating a center of economic activity around
technologies that benefit the environment [3].
Pernicious effect: The sustainable
development also results low pernicioustivity or
very low or zero toxicity. By sustainable
development we are building materials and
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studying chemical processes to reduce the use

and generation of hazardous substances for
example use of toxic materials like lead can be
replaced by silver and copper making recycling
of computers more effectively [10] and that will not
generate any toxic agent.
Low vitiation: Due to sustainable
development the problem of vitiation or pollution
is also reduced. By this vision, the organizations
have been focusing on power efficiency
throughout the design and manufacturing
process of its products and their environmental
friendly products are manufactured using a range
of green-computing strategies, such as replacing
petroleum-filled plastic by bio-plastics or plantbased polymers [4].
Extravagance: Sustainable development
focuses on sustainable use of materials and has
targeted the idea of dematerialization, converting
the linear path of materials that reuses materials
[4].
Use renewable energy: Sustainable

development encourages the usage of
renewable energy sources resulting in the lowcarbon energy , which is sustainable only in the
sense that it does not add to CO 2 or any
hazardous matter in the atmosphere such as
introducing VIA technologies (carbon free
computing) [3].
Curtailment: The curtailment means
economy. Sustainable development is also very
beneficial in the economic point of view. By the
help of sustainable development we can reduce
the overall development cost of the product.
Low elementary cost: In the sustainable
development the elementary cost or initial cost
of the product is very low because we use such
resources which are cheaper and easily available
such as we use pre developed product for
guidance.
Less raw material cost: In the sustainable
development the cost of raw material is very low
because we use the green material as the raw
material e.g. for electricity and heating we can
use solar panel or solar thermal equipments [3].
Low ontogeny: The sustainable
development also contains the low ontogeny
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because the overall development cost will be low

due to using green resources.
Low breakdown cost: Due to sustainable
development process the disposal cost of any
product becomes very low because discarding
will not only control e-waste out of dumps but
also save energy and materials needed for a
whole new computer [10].
Sustainable development also helps in time

saving and money saving during the product
building so that high performance can be
achieved.
PROPOSED MODEL
Social impact: The sustainable

development has the positive social impact on
the surroundings. This impact can be explained
by following:
Inclinated: Sustainable development is
inclinated means of motivation. It encourages
how to find the new ways and techniques of
energy consumption and resource efficiency, for
example EPA produced an energy star plan for
reduced energy consumption [5].
Use provincial material: Sustainable
development also focuses on the use of local
material because by use of local material the
product becomes cheaper and easy to be
developed, for example we can use wireless
sensor networks for monitoring [10].
Less use of energy: Sustainable
development also helps in the less energy
consumption, for example use of green cloud
computing environment.
Figure 1: Sustainable development qualities
Safe and secure: Sustainable development

is safe and secure because it has no side effects
and has only positive effects [6].
Externalize energy: The embodied energy
in sustainable development is very low [7].
Performance: The performance of the
product is increased via following way: Ease to
build: Product becomes easy to build because
the every objective becomes clear.
Long life: The product life increases due to
including updating options, for example by using
a NCP technology the network got the long life.
Use of green energy sources: Sustainable
development focuses on the usage of green
energy source [10].
Less chance to decay: The product
developed has less chance to decay [2].
80
Figure 2: Green wall model
This model is a conceptual reference model

for sustainable development and for supporting
the green development. The purpose is to define
the environmentally suitable infrastructure and
the usage of computer equipments and internet
technologies for the developers, controllers and
the users of the systems, so that the energy
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efficient processing and reduced resource

consumption as well as the disposal of the IT
waste (e-waste) done in a proper manner. This
model contains six basic phases of development:
Requirement collection, Analytical summarization, Design, Processing, Testing, and
Maintenance, which are briefly explained in
Figure 2.
Green wall model
In this green wall, which works like a firewall
and focuses majorly on the information flowing
from one phase to another phase during
development whether the past information is
feasible for sustainable development or not? The
green wall works in the following way:
On requirement collection: Requirement
collection takes place then all requirements are
passed to analysis phase. The requirements or
data will be filtered by green wall and such
requirements, which have the negative impact
on ecology and users, will be discarded for
example excess use of raw material.
On analytical summarization: In this phase
the green wall works in such way, suppose any
analyzed requirement that contains a bad result
such as resultant is a toxic element which either
will be changed or replaced by non toxic element
or will be discarded for example any requirement
results lead in its product then if it can replaced
by other polymers or materials such as silver then
that will be replaced by that otherwise it will be
discarded.
On Design: On this phase it checks that
developed design is compatible to ecological
system and ensures that overall development
cost of the particular product must be low.
On processing phase: On processing phase,
the green wall filters the developed product by
ensuring that the developed product must be safe
and secure and checks whether the product is
motivated or not.
On testing phase: On the testing phase, the
green wall covers the parameters of social impact
and performance such as the creation of vitiation
(pollution) by that product, if it is very high then it
will be justified and ensures that the developed
product must have long life or chance to decay.
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On maintenance phase: On maintenance

phase if any maintenance is needed then the
need of that maintenance will be filtered by green
wall . If that is not feasible according to the four
parameters of sustainable development qualities
then that need will be discarded or if that is
suitable then the maintenance will be done.
Advantages of green wall model
The advantages of adopting green wall
methodology are (1) it promotes green IT and
green computing (2) It encourages IT reuse and
reduces IT complexity.
DISCUSSION AND CONCLUSIONS
The main objective of our proposed GREEN
WALL ( GW ) MODEL is to inherit the concept,
procedure and phenomena of green computing
during the development process of software as
well as hardware. GW model may play as a role
of reference model in order to protect and
enhance natural capital. It may also promote
resource efficiency and may develop product life
cycle for developer, administrators and users.
Additionally, this model also suggests how we
can make the product in more sustainable way.
Consequently, at first we have described the
qualities of sustainable development. We showed
that if we involved these qualities during the
product engineering then we can develop the
software in the sustainable direction. This GW
Model offers a number of benefits over existing
model for the sustainable development. Firstly,
it configures the product in such a way that is
beneficial for the environment also. Secondly, it
is a new methodology that offers technique for
better utilization of resources and power
consumption. So, in above discussion regarding
the sustainable product we can say that our green
wall model helps to develop the sustainable
software product that may reduce the
environmental risk.
ACKNOWLEDGEMENTS
We are thankful to Prof. Vinodani Katiyar,
Dean, Faculty of Computer Science &
Engineering, Shri Ramswaroop Memorial
University ,Lucknow-Deva Road, Hadauri,
Tindola, Barabanki, Uttar Pradesh, India for her
continued motivation and support to complete
this study.
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REFERENCES
1.
Tebbutt, D.: The role of IT in the push towards

environmental sustainability. Green Computing
Report (2008).
2.
Naumann, S., Dick, M., Kem, E., Johan, T.: The

GREENSOFT Model: A reference model for green
and sustainable software and its engineering.
Sustainable Computing: Informatics and Systems.
Vol. 1, Issue 4, pp 294304 (2011).
5.
Partidario, Rita C.: Gomes Ecosystem services

inclusive strategic environmental assessment
Original Research Article. Environmental Impact
Assessment Review, 40, pp.36-46April (2013).
6.
Kamdar, R.M.: Literature Review: Green

Computing Implementation Procedures for
Energy Efficiency. Department of Biotechnology,
Indian Institute of Technology, Kharagpur (2010)
7.
Gingichashvili S.: Green Technology. Green

Computing (2007).
3.
Harris, J.: Green computing and green IT best

practices On Regulations and Industry Initiatives,
Virtualization, Power Management, Materials
Recycling and Telecommuting. Emereo Pty Ltd,
London (2008).
8.
Yamini, R.: Power Management in Cloud

Computing Using Green Algorithm. IEEEInternational Conference on Advances in
Engineering, Science and Management (ICAESM2012).
4.
Zhang, X.: Gong, L., Li, J.: Research on Green

Computing Evaluation System and Method. 7th
IEEE Conference on Industrial Electronics and
Applications (ICIEA) (2012).
9.
Gong, L., Xie, J., Li, X., Deng, B.: Study on Energy
Saving Strategy and Evaluation Method of Green
Cloud Computing System. IEEE (2013).
10.
Anderberg: Industrial metabolism and linkages

between economics, ethics, and the environment.
Ecological Economics, pp 311320 (1998). Maria
Rosario
82
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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- drkalpanasingh@gmail.com
ABSTRACT
Agriculture constitutes one of the most important sectors of any economy. Sustenance of 45%
of worlds population depends on agriculture only. The proportion of population involved in
agriculture ranges from about 2% in United States to 80% in some parts of Asia and Africa. In
Asia, Indian economy is concentrated around agriculture mostly where about 72% of population
is engaged in agriculture. Every year huge losses occur in agricultural production due to various
climatic and biotic factors. Of biotic factors, pests alone are responsible to cause major damage
to agriculture thus affecting total harvest. They continue destroying agricultural produce even
after harvesting when it is stored in storages. Generally chemical pesticides have been in use
to suppress pest populations. These provide immediate relief but have proved to be hazardous
in long run. Their indiscriminate and continuous use has resulted in immeasurable deterioration
of our environment and health problems to secondary and tertiary members of food chain due
to bioaccumulation. Thus there is a need for effective eco-friendly alternative that should also
be cost-effective. Biological control or bio-control is one such option that involves manipulation
within the ecosystem by the agency of man to suppress harmful species by a superior and
beneficial one. This process goes on in nature as natural control where one animal feeds on
another thereby keeping its population under check. Biological control may be of two types;
natural biological control and applied biological control. Applied biological control is further
classified into five subcategories, classical biological control, new-association biological control,
conservation biological control, augmentation biological control, and bio-pesticides. Out of these
classical and new-association biological control is for permanent control over large areas whereas
conservation and augmentation biological control and bio-pesticides is for temporary pest
suppression.Biological control is likely to be more successful in long-term rather than shortterm crops, vegetables rather than ornamentals, crops having few pests other than the one
targeted for biological control, crops in which the target pest does not attack the part of the plant
that is sold, crops in which the targeted pest does not transmit plant diseases, and well-screened
green 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 temperate
areas, 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 more
than 100 by 2006.There are many advantages of biological control as it is eco-friendly, cost
effective, self-perpetuating and bereft with harmful effect of pesticides. Disadvantages are : it is
species specific, takes long time and alone cannot be effective if applied in large agricultural
fields.
Key words: Bio-control, Agriculture, Eco-friendly, Bio-pesticides
INTRODUCTION
In many countries agriculture constitutes one
of the most important sectors of its economy. Our
basic need of food and clothing are almost
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entirely dependent on agriculture sector. 45% of

worlds population depends on agriculture for its
sustenance. The proportion of population
involved in agriculture ranges from about 2% in
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United States to 80% in some parts of Asia and

Africa. In India about 72% of population is
engaged in agriculture and Indian economy is
concentrated around agriculture mostly (Internet
1).
Huge losses occur in agricultural production
due to various climatic and biotic factors every
year. Of all the biotic factors, pests alone are
responsible to cause major damage to agriculture
and affect total harvest. Pests continue to destroy
agricultural produce even after harvesting when
it is stored in store houses. Chemical pesticides
have been in use to suppress pest populations
in general. They provide immediate relief but
have proved to be hazardous in long run. Their
indiscriminate and continuous use has resulted
in immeasurable deterioration of our environment
and health problems.They cause irreparable
damage to secondary and tertiary members of
food chain due to bioaccumulation. They also add
to and cause environmental pollution thus
damaging our ecosystem. Therefore, there is a
need for effective eco-friendly alternative that
should also be cost-effective (Smith & Secoy
1975) .
Pest is an living organism whose population
increases to such an extent so as to cause
economic damage to crops and stored products,
causes nuisance and health hazards to an and
his livestock. They may be of three types, key
pests, occasional pests or potential pests
depending upon whether their population is kept
under control naturally or not. Most pests that
we encounter are mostly insects. Insects have
existed on this earth for over 200 million years in
comparison to mans existence of half a million
ago. Many ancient accounts are available in
writing. Rig veda, in its hymns mentions grain
destroying insects. Bible lists at least 11 insect
pests. Dead human lice are discovered in the
hair of Egyptian mummies. Many ancient letters
and travelogues mentioned insect pests in their
writings (Srivastava, 2008).
When man became civilized it settled down
around rivers and started to cultivate crops. He
formed societies and started to domesticate
animals and large scale breeding of livestock.
He started to store grains that come out due to
the large scale cultivation of crops. All these
factors favored insects to turn into pests.
84
Whenever there are favorable weather

conditions, large scale monoculture of crops or
of stock animals and accidental introduction of
an insect by travelers or transport into a new area
or country, the pest outbreak occurs. Many
methods have been adopted to minimize these
insect pests. Cultural methods, mechanical
method, physical methods and legal control are
some general methods. Special methods such
as use of insecticides, antifeedents, insect
attractants and insect repellents are also
adopted. Some more are biological control,
bahavioural control, hormonal control,
chemosterilents, genetic methods, and use of
radioactive isotopes and ionizing radiations
(Srivastava, 2008).
Among all these methods biological control
is now receiving the attention the world over
specially in USA, Canada and some part of the
Europe because of its eco-friendliness. Biological
control or bio-control is the method of controlling
pests whether of plants, animals or man by
exposing them to their natural enemies by the
agency of man. The natural enemies are also
known as biological control agents. They are
fundamental resource in any biological program.
They may either be pathogen, parasite, parasitoid
or predator. Pathogens are disease causing
organisms. They may be bacteria, virus, algae,
protozoa or rickettsiae. Parasites are smaller than
host. Both adult and larvae feed without killing.
They may be nocturnal or diurnal. They must be
able to function at low host density. They are very
efficient as biocontrol agents. Parasitoids are of
same size as that of host. Only their larvae feed
on host adult may be free living and vegetarian.
They paralyze the host to oviposit and complete
their development on a single host whereas
predators kill and devour their prey. They are
larger than the organisms they prey upon. They
are crepuscular. They are highly suitable for
biological control. Among these parasitoids
followed by predators and pathogens are best
suited to carry out a biological control
program(Coppel&Mertins, 1976; Bellows &
Fischer, 2005).
HISTORY
Known history of bio-control traces back to
Egypt where Egyptians used to worship cats as
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they preyed upon rats and mice. Rats and mice

are carriers of causative agent of plague that is
asiphnopteran named Xynopsylla commonly
known as rat flea. An ancient Chinese text dating
back to 900 AD from South China reveals that
nests of large yellow ants with long legs
(Oecophyllasmaragdina) were sold in market to
protect citrus crop from insect pests. In 1841 date
growers of the Mideastern country of Yemen
moved colonies of beneficial ants to their groves
from the mountains each year for insect pest
suppression(Liu, 1939; Coppel&Mertins, 1976;
Bellows & Fischer, 2005).
Italian Francesco Redi described attack of
the gregarious braconid parasitoid, Apantelesglomeratus, on the cabbage butterfly, Pierisrapae
and also parasitism of aphids by an ichneumon
fly (1668).Carolus Linnaeus proposed
controlling orchard pests with the introduction of
the predaceous ground beetle, Calosomasycophanta (L.). Mynah bird (Acridotherestritis) was
introduced from India to Mauritius for controlling
populations of red locust, (Nomadacrisseptemfasciata) in 1762 AD. Eleven-spotted ladybird,
Coccinellaunde-cimpunctata imported in New
Zealand from Britain in 1874 and used against
aphid pests (Dixon, 2000).A Californian
entomologist Albert Koebele was sent to Australia
for searching bio-control option for controlling
cotton cushion scale, Icerapurchasi. From where
Vedalia Ladybeetle, Rodoliacardinalis was sent
back to California. It became the most successful
bio-control example world over and saved
America 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 five
subcategories (i) classical bio-control (ii) newassociation bio-control (iii) conservation biocontrol (iv) augmentation bio-control and (v) biopesticides. Out of these, classical and newassociation bio-control is for permanent control
over large areas whereas conservation and
augmentation bio-control and bio-pesticides is
for temporary pest suppression.
In classical biological control targeted pest
is an invasive species and introduced natural
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enemies are species from its native range. It is

an applied ecological process that re-associates
pests with their missing natural enemies by
importing and introducing them in the affected
area. Since many invasive species, at high
densities harm the communities they invade, their
suppression is ecologically beneficial to a broad
range of native species. It is more economical in
terms of feasibility, efficiency, and permanence.
It is also less damaging to the environment. Its
key features are permanency, spread to the
ecological limits of agents, potential for high level
of control, speed of impact on pests and its safety
compared to chemical control (Coppel & Mertins,
1976; Bellows & Fischer, 2005).
All classical control programs move through
similar steps as suggested by Van Driesche and
Bellows in 1993. Step one comprises choosing
appropriate targets and generating support.
Pests selected as target should be important
economically and ecologically. They should be
species that have persisted as pests for several
years or more. There should be broad
agreement. Second step is obtaining correct pest
identification. There are many organizations that
facilitate this such as Zoological Survey of India,
Kolkata; Commonwealth Institute of Entomology,
London and others that provide free service of
taxonomic identification of insects and other
pests. Step three involves surveys of the pests
natural enemies in the invaded area so as to
avoid introducing natural enemies that are
already present or cannot be distinguished from
those already present. The pest in the invaded
region should be surveyed and its natural
enemies inventoried. In some cases, molecular
markers may have to be developed to ensure
the demarcation of already present species from
any new species to be introduced. Step four is to
identify the pests native range. To collect natural
enemies for a classical biological control project,
foreign populations of the target pest have to be
located. The native range of a pest might be
inferred form records of occurrences of the pest
or its relatives, communication with scientists
where the pest is believed to be present,
examination of specimens in collections of world
museums, study of genetic variation in
populations of the pest from different locations,
and actual surveys in potential locations. Step
five is collecting natural enemies in targeted
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locations. Foreign collecting is either done

through, short trips made by scientists from the
country importing the natural enemy species, by
hiring local scientists, or/and deploying staff to
the collecting region for extended periods of time.
Step six involves judging the potential of
candidate natural enemies to suppress the pest.
Predictions needed to choose a best agent would
have to be based on either laboratory data or
information gained from the native range. A
different approach to choosing natural enemies
to introduce may be to look for vacant attack
niches in the life system of the pest in the invaded
area compared with that in the native range
(Coppel & Mertins, 1976; Hall & Ehler1979;
Bellows & Fischer, 2005).
Step seven is creating colonies of natural
enemies in quarantine. The United Nations Food
and Agriculture Organization has published
guidelines for quarantine procedures suitable for
use during introductions of biological control
agents. Step eight comprises estimating each
natural enemys host range. For herbivorous
insects and plant pathogens, host-range
estimation has been a routine part of classical
biological control for more than 75 years. Initially,
such testing focused on testing crops,
ornamentals, and other valuable plants to ensure
that herbivore or pathogen introductions would
not introduce a new plant pest. Step nine entails
petitioning for release. For most countries, the
decision to release a new biological control agent
into the environment, with the intent that it
establish, is regulated by law. Although details
vary country by country, such laws should seek
to ensure that no important damage is inevitable,
that it is judged acceptable before release in view
of the important harm done by the pest whose
control is being sought. Step ten leads to release
and establishment. Establishment of the natural
enemy is assessed by sampling, either directly
for the released agent or indirectly (for
parasitoids) by collecting hosts and rearing to
detect parasitism (Anon, 1992, Van Driesche &
Bellows 1993). The historical record shows that
34% of attempts to colonize natural enemies
succeed. Step eleven demands assessing
impacts on the pest and non-target species. If
feasible, pest densities should be measured in
control plots before natural enemies are
released, as such pre-release information is
86
valuable in establishing the pest density baseline

to which future densities are compared.
Evaluations done as the biological control project
unfolds provide guidance on agent effectiveness,
allowing mass rearing to support future releases
to concentrate on the best species. Final step
stipulates assessing the programs completeness
and economic value. For this a benefit /cost ratio
for the project should be calculated to provide to
government agencies to whom requests for
support of new projects must be justified.
Economic and ecological benefits are also
assessed (Coppel&Mertins, 1976; Bellows &
Fischer, 2005).
In new-association biological control new
combinations of natural enemies and pests are
brought together. It involves the use of one
organism for the biological control of another with
which the biological control agent has had no
previous evolutionary connection. For such
projects, the potential source of natural enemies
would be closely related (same genus or tribe)
species or those that are ecologically similar to
the target pest but found in separate bio geographic areas (other continents) with similar
climates. In other cases, a pest may be invasive,
but its origin unknown. Plans to collect natural
enemies from species taxonomically related to
the invader may be considered. For newassociation projects, sources of natural enemies
are not necessarily obvious. The general
approach is to search on congeneric species,
or on less-related species that have similar life
histories or ecology, in regions with similar
climate. For insect targets, it is also useful to
collect natural enemies from hosts on the plants
on which the target pest feeds. The feeding habits
and plant association of the pest insects, rather
than taxonomic affinity per se, is, sometimes
basis for finding new-association parasitoids
(Coppel&Mertins, 1976; Bellows & Fischer,
2005).
Conservation biological control works in two
ways, protecting natural enemies from pesticides
and enhancing crops as natural enemy
environments.
Augmentative biological control works for
both the greenhouse and outdoor crops. Green
houses were amongst the first environments in
which the idea of artificially releasing natural
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enemies was proposed. Kirby and Spence (1815)

advocated rearing ladybird beetles for aphid
control. The insectary industry, started earlier in
European green houses, aims to produce large
numbers of natural enemies for release where
they are absent or too scarce to provide effective
pest control. Two release approaches were
developed. Inoculative release meant only to
seed the crop with the natural enemy, with control
being provided later after the natural enemies
reproduce for several generations. Inundative or
mass release, If natural enemies are not
expected to reproduce and control is expected
from releases of large numbers of the agent
(Coppel & Mertins, 1976; Bellows & Fischer,
2005).
TOOLS OF BIOCONTROL
Members of following groups may act as
biocontrol agent or biopesticide: Bacteria, Fungi,
Viruses , Nematodes . Following factors make a
pathogen a likely bio-pesticide: Ease and cost
of rearing, Degree of host specificity and
pathogenicity, Suitability of the pathogen for the
intended site of application.
There are two options for rearing pathogens;
in live hosts, fermentation media or cell lines. To
ensure agents quality there are three steps
involved; finding, keeping and improving.
Measuring the efficacy of microbial pesticides is
done either by comparisons among agents and
formulations or by estimating the effects of
environmental factors and persistence of agent
impact due to agent reproduction.
To be a good biological control agent any
organisms must fulfill certain criteria. It must be
a natural enemy of that pest against which it is
going to be used. It should be able to adapt itself
to the environment in which it is going to be
released. Its population should be able to
synchronize itself with that of the prey. It should
be able to disperse itself over the affected area.
Natural enemies are the fundamental
resource of biological control. The main
categories are: Parasitoid, predator and
pathogens.
Parasitoids kill their hosts and complete their
development on a single host. Only larvae feed
on host, adults are free living and vegetarian. Of
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some 26 families of parasitoids, the groups used

most frequently are: Braconidae, Ichneumonidae,
Eulophidae, Pteromalidae, Encrytidae, Aphelinidae, and Tachinidae. There are egg parasitoids
like trichogrammatids wasps that attack eggs.
Larval parasitoids species attack caterpillars.
They may be of two types: endoparasitoids and
ectoparasitoids (Coppel&Mertins, 1976, Dixon,
2000; Driesche, et al. 2008).
Predators kill their prey to devour.
Predaceous insects of potential use in biological
control are found in: Dermaptera Mantodea
Hemiptera Thysanoptera Coleoptera Neuroptera
Hymenoptera and Diptera. More than 30 families
of insects are predaceous, the important ones
are: Anthocoridae, Nabidae, Reduviidae,
Geocoridae, Carabidae, Coccinellidae
(Coleoptera), Nitidulidae (sensu Cybocephalidae), Staphylinidae, Chrysopidae, Formicidae (Hymenoptera), Cecidomyiidae, and
Syrphidae (Diptera) (Coppel&Mertins, 1976,
Dixon, 2000; Driescheet al., 2008).
Pathogens are disease causing organisms.
Following group of organisms are potent biocontrol agents: (1) Bacteria (Schizomycetes:
Eubacteriales) e.g. Coccobacillusacridiorumd
Herelle for locust suppression (dHerelle 19111914). The discovery and description of milky
disease in the Japanese beetle caused by B.
thuringiensis var. thuringiensis Berliner (19201945), and the commercial availability of the
same 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 successful
development of both in vivo and in vitro
technology (2) Virus (Microtatobiotes: Virales) is
the most exciting and promising group. More than
450 viruses from approximately 500 arthropod
species have been described (Ignoffo, 1974).
Viruses are associated with all major insect
orders, majority have been found in the
Lepidoptera (83%), Hymenoptera (10%) and
Diptera (4%). Following virus group hold the
promise: Nuclear polyhedrosis viruses (NPV) that
account for 41% of the described arthropod
viruses and show great promise for practical use
in pest suppression. Granulosis viruses (GV),
Cytoplasmic polyhedrosis viruses (CPV),
Entomopox viruses (EPV), Nonoccluded
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iridescent viruses (IV) (3) Protozoans: The

protozoan subphyla Sporozoa and Cnidospora
contain not only the most numerous entomophilic
protozoans, but also those with the most promise
in biological insect pest programs.
Sporozoanneogregrines like Mattesiagrandis
McLaughlin is an important pathogen of the boll
weevil, Anthonomousgrandis Boheman, and
current field trials are showing considerable
promise (McLaughlin, 1971, 1973). Similarly,
various genera of Cnidosporan Microsporida are
promising potential biocontrol agent (4) Fungi:
Of the two fungal classes viz. Deuteromycetes
and Phycomycetes four genera are involved in
pest suppression namely Beuveria, Metarrhizium, Entomophthora and Coelomo-myces (5)
Rickettsiae (Microtatobiotes: Rickettsiales) are
often discussed along with viruses because of
their small size (0.2-0.3x0.3-3.0 m and obligate
intracellular development; however, their
susceptibility to antibiotics indicates similarities
to bacteria. Rickettsiella spp. have been found
in Coleoptera, Diptera and Orthoptera, in Europe
and the USA (Coppel &Mertins, 1976, Dixon,
2000; Driescheet al., 2008).
CURRENT STATUS
The biological control is currently applied on
about 5% (excluding China) of 40,000 ha of
greenhouses worldwide, in vegetable crops30,000 ha mostly in north temperate areas, 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 01(one) in 1968 to more than 100
(one hundred) by 2006 (Internet 2). Global biopesticide market is expected to increase double
or triple fold by the end of this decade.
CONCLUSION
Bio-control agent once established needs
time to adjust to new environment thus to
establish itself. Therefore , bio-control is likely to
be more successful in long-term rather than
short-term crops. It is more effective in case of
vegetables rather than ornamentals, crops
having few pests other than the one targeted for
biological control, crops in which the target pest
does not attack the part of the plant that is sold,
crops in which the targeted pest does not transmit
plant diseases, and well-screened green houses
88
in regions with cold winters. Bio-control is ecofriendly since it uses natures own device i.e.
natural enemies against the pests. It is cost
effective also in the long run since once natural
enemies are introduced and established in the
desired area they require no maintenance cost.
It is self-perpetuating since natural enemies
reproduce again and again and maintain their
population over time. It is bereft with the harmful
effect of pesticides such as it does not cause
pollution and does not release chemicals that are
hazardous to the environment etc. Its
disadvantages are that it is species specific since
natural enemies applied in biocontrol are very
specific for a particular kind of pest thats how
they effectively manage the population of desired
pest. Sometimes, it takes long time as in classical
bio-control where natural enemies are introduced
then they take some time to acclimatize to the
new environmental conditions and reproduce
over time thus may take long time initially. In case
of large agricultural fields where a complex of
pests may be there bio-control alone cannot be
fully effective and it may need some other types
of pest management methods to be applied there
such as physical control, cultural control, genetic
control or even chemical control (Coppel &
Mertins, 1976; Bellows & Fischer, 2005).
ACKNOWLEDGEMENTS
Author is thankful to Head, Department of
Zoology, 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 valuable
suggestions.
REFERENCES
1.
Anon (1992): Expert Consultation on Guidelines

for Introduction of Biological Control Agents.
Biocontrol News and Information. 18 (4), 119N24N.
2.
Bellows, T. S. & Fisher, T. W. (2005): Handbook of

Biological Control. Academic Press, Elsevier. P
1046.
3.
Coppel, H. C. &Mertins, J. W. (1977): Biological

pest suppression (Advanced series in agricultural
sciences 4). Springer-Verlag Berlin. Heidelberg.
P 314.
4.
Dixon, A.F.G. (2000). Insect Predator- Prey

Dynamics, Ladybird Beetles and Biological
Control.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. Blackwell
Publishing.P 473.
6.
Hall, R.W., &Ehler, L.E, (1979): Rate of

establishment of natural enemies in classical
biological control. Bulletin of the Entomological
Society 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 in

Entomology, 7th ed. London: Lonmans, Green.
10.
Liu, G (1939): Some Extracts from the history of

entomology in China. Psyche. 46, 23-28.
11.
McLaughlin, R.E. (1971): Use of protozoans for

microbial control of insects. In. Microbial Control
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of Insects and Mites. Burges, H.D., Hussey, N.W.

9eds.). London-New York: Academic Press. P 151172.
12.
McLaughlin, R.E. (1973): Protozoa as microbial

agents. In: Some Recent Advances in Insect
Pathology. Roberts, D.W., Yendol, W.G. (eds).
Miscellaneus Publication of Entomological Society
of America. 9, 95-98.
13.
Smith, A. L., &Secoy, D.M. (1975): Forerunners of

pesticides in Classical Greece and Rome. Journal
of Agriculture, Food and Chemistry. 23, 1050-1055
14.
Srivastava, K. P. (2008): Text book of applied

entomology (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 in
Entomology.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: monikaraghuvanshi07@gmail.com
*Address for Correspondence : Monika Raghuvanshi, Pacific Academy of Higher Education and Research
University, Udaipur, Rajasthan, India
E-mail: monikaraghuvanshi07@gmail.com
ABSTRACT
Society in a layman language comprises of a group of people coming together for a purpose
and are bounded by common beliefs as well as culture or in other words its a group of people
separated by geographical boundaries which are similar in various characteristics and as we
all know environmental issues are burning and drew attention of common masses and various
class of people come together to tackle such problems in their own ways. This gave rise to ecodeveloped 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 with
life 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 hence
set global trend. Eco-developed societies understand the need of current generation and work
towards building a healthy environment for future generations. Benefit of sustainable thinking
and practices is that if they become habits now they will continue to have existence in the future
generation thus fosters sustainable life style in future generations. Green marketing can also
be inclined towards scientific approaches which maintain proper balance between eco-system
and man and can have technology to check diversion from ideal practices so that corrective
measures can be taken on time so this leads to development of eco-scientific societies. There
can be section of society which is sensitive to environmental issues like they are sensitive to
biodiversity as they believe that earth is mother of so many living creatures and all of us have
equal rights on it so we humans should not be cause of loss of other species and hence can be
called 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 per
need of time to progress fast. Motivational society believes in creating awareness as they
believe in united efforts and bringing huge changes. Eco-focused societies comprise of advanced
educated classes of people who develop goals and work on them as per guidelines and remain
updated with percentage of target achieved. Pure base societies believe nature is the lifeline of
everything. So they are more inclined towards use of Ayurvedic therapies and nature- based
products. This can be a society which utilizes green practices and makes use of green products
from 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 of
a group of people coming together for a purpose
and its modified version in simple terms is a group
90
of individuals which follow same culture and

practices so why not to change ourselves for the
benefit of society so that same thing would be
practiced by everyone. Alone we can stand for
change and together we can bring the change.
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Only one needs to understand that it is difficult

to start and only starting needs more efforts but
later on things which are beneficial will be
adapted by people sooner or later so why not to
adapt something which is good for all the livings
and non- living elements of eco-system to drive
the change towards betterment of human race
in narrow term and whole universe in a broader
aspect. So this can brought up a new concept
that is concept of ecological society. Seems like
a dream but no it is not, already there exists
groups of people who are working for green
marketing only thing is they are not called as
ecological societies but the thing is they are the
ecological societies of future. Such societies
make use of renewable resources of energy and
energy efficient process with life 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 hence set global
trend. Eco-developed societies understand the
need of current generation and work towards
building a healthy environment for future
generations. Benefit of sustainable thinking and
practices is that if they become habits now they
will continue to have existence in the future
generation thus fosters sustainable life style in
future generations.
GREEN MARKETING LEADS TOWARDS
INNOVATIVE SOCIETY
Green
logistics
Global
sem
ecosystem
Waste
Wast
Utilization
EcoEcofriendly
Product
frien
Better
environmental
Bette
credentials
r
Recycling
Recy
point
EnergyEner
efficient
gy
cling
Environmental
policies
Renewable
Green
marketing
leads
Gree
n
towards
New power
New
Generation
pow
Environmental
Envi
Services
ronm
Innovative
Society
develo
New product
pment
Development
Life cycle
t
assessment
Energy/
Ener
power
rating
gy
system
Ecological
Applications
Smar
Smart
packaging
t
Eco profile
Ecoof
products
profi
Gree
Green
channel
n
Ecol
Ecological
Games
ogic
Green marketing leads to innovation and

www.ijsir.co.in
thus development of new products and practices

which ultimately benefits the society. These
include short term as well as long term benefits
(http://company.nokia.com/en/about-us/peopleplanet). Green marketing helps to build global
ecosystem as natural resources comprise our
ecosystem and are distributed across the globe.
Eco-friendly products give customers a new
wonderful experience and satisfaction of
ecological as well as health benefits. So
companies are taking green marketing as
opportunity and increasing their good will in the
market and pose a positive image in the minds
of people as being environmentally friendly as
well as creating new agendas for entering market
or increasing market share as well as getting
benefits in the long run too. They follow
environmental standards and thus increases ecofriendly features of their product and create a
niche in the market. They also follow green
process to improve energy efficiency of their
product and to follow energy-efficient process by
which they can save their investments and
resources too. These days companies are also
reducing size of products as well as packaging
to reduce waste and ensure better recycling. So
this in turn reduces cost in terms of materials as
well as transportation charges also go down.
These days people are opting eco-friendly
services to enjoy healthy life. Green marketing
also ensures recycling so that waste materials,
used products as well as energy lost are placed
back into the life cycle as well as ecological cycle
so all of us are benefited directly or indirectly. As
green marketing has proved itself beneficial for
the society, more and more number of companies
are spending huge amount of money to
rediscover more eco-friendly products and ideas
and thus to keep pace with the changing time
and need of society. Companies are improving
environmental credentials of their products and
are passionate to reach 100% level of recycling
process. One more innovative result of green
marketing is companies are using eco- friendly
services to give life giving experience to
customers as well as awareness creating
applications have also been introduced in the
market which along with fun creates interest in
the users towards green marketing and its
importance. So this is an amazing way of creating
awareness with fun. Not only this to help kids
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P-ISSN 2347-2189, E- ISSN 2347-4971
understanding these games applications which

teach green marketing and its benefits have also
been introduced in the market to enhance
experience of user. This not only generate
interest in kids but can also teach them useful
aspects of green marketing and its impact on
society so that they start practicing from the very
beginning. These days green channels have
been introduced which reduce cost as well as
bring positive change in the environment in which
we live thus society in other words is benefited
too on a large scale. These days products are
also coming with eco- profile which informs
customers before handed about its effect on
environment in terms of efficiency, recycling etc.
These days bio-plastics and recycled metals are
coming into fashion to win the trust of customers
and ensure recycling too. These days energy
saving features have already been introduced in
the product portfolios. Power rating system or we
can say energy rating system has already been
introduced and standards have been developed.
It is a benefit to the society as it prevents false
misleading marketing practices in the market so
ensures less or no post dissonance purchase.
New power generation sources are getting
discovered for example, how power can be
generated with solar energy which can reduce
usage of electricity instead or coal etc.
Companies are making eco- friendly policies and
are practicing them which not only improve
process but create awareness among employees
too. Recycling points have always been there so
old products, waste etc are taken there on cheap
rates and are recycled. Many governments as
well as non-government organization are coming
up to take initiatives in the field of green
marketing. It is responsibility of each and every
individual of this society to use the power of green
marketing for the development of society.
Product life cycle assessment tools are being
introduced and are getting widely used to
calculate impact of their product on environment
hence diversion from green marketing can either
be corrected or brought back to flow. Companies
are trying their best to reduce the emission of
harmful green house gases as lot of
environmental issues have been associated with
this and there are international eyes also on such
issues as this planet is for all of us and our future
generation too have right to lead a healthy life.
92
Energy loss is also getting recovered by efficient

processes and technology. Not only this in fact
there are energy efficient offices too which offer
ecological alternatives as of how space can be
used effectively.
SUSTAINABILITY SOCIETY
Green marketing, if practiced, increases
sustainability of eco-system and thus set up an
eco-friendly environment. Optimum utilization of
green marketing along with talent can bring
balance in eco-system as well as market driving
forces too and this in turn leads towards
sustainable society. In a society we do have silent
commitments which include commitment towards
society, commitment towards sustainability, and
commitment towards each other. So green
marketing provides leadership in thoughts and
motivates people to act green, to go green.
Sustainability is brought by immediate actions
to key ecological issues for benefit of all (http://
www.wipro.com/about-ipro/sustainability/).
Sustainable societies understand the needs of
current generation and work towards building a
healthy environment for future generations. Root
cause of problem is understood and need efforts
to remove it and the best way for it is to first induce
green thoughts in us and inculcate green
sustainable practices in our daily lives. Use of
sustainable thinking and practices is that if they
come into our habits now they will continue to
have existence in our future generation thus
fosters sustainable life style in future generations
Global ecofriendly
environment
Sustainable
life style in
future
generations
Sustainable
thinking and
practices
Sustainable
eco-system
Green
marketing
leads towards
Sustainable
Society
Optimum
utilization of
natural
resources
Commitment
for
sustainability
Understanding
of future
generations
Actions for key

ecological
issues
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There are few practices in our daily lives

which may bring sustainability in society or we
can say which may be characterizing as features
of sustainable society. There are already green
communities to track every element of
sustainable society and together can bring
sustainability in the world.
There can be development in the field of
green marketing continuously involved in
exploring environmentally driven systems to
maintain sustainability. People can be engaged
in energetic businesses and creating material
value chain. Green marketing can also be
inclined towards scientific approaches which
maintain proper balance between eco-system
and man and can have technology to check
diversion from ideal practices so that corrective
measures can be taken on time. There can be
environment management system to check
natural factors involved and to intimate on time
before any disaster or loss. Such systems can
either be used for business purposes so that
when there is little diversion from eco- friendly
practices or process it can be checked on time
and corrective measures can be taken to prevent
risks.
energy sources along with long term vision (http:/

/www.ril.com/html/aboutus/our_commitments.html).
There can be risk analysis system too to avoid
natural adversities in business houses as well
as locality. There can be proper audit system with
trained and qualified auditors; accompanied by
visits from proper accreditation companies and
have frequent visits from them to prove their
credibility in the market. Such audits can be part
of businesses or can be on locality to keep an
eye on environment issues. There can be special
economic zones like maintenance in coastal
area, 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. All
these techniques are useful for commercial
purposes as well as daily life.
ECO-SENSITIVE SOCIETY

ECO- SCIENTIFIC SOCIETY
Green marketing leads towards
Eco-Scientific Society
Explore environmentally driven
Environment performance
systems
indicators
Maintain special economic

zones
Quality management system
Audit system
Environment management
Risk analysis system
Scientific ecological approach
Material value chain
Energetic business
system
These can also be used on smaller scale

like for research purposes or studies and can be
part of home or locality too. There can be quality
management system to guide proper procedure
to be followed so as to be perfect in every aspect
of marketing, can also have environment
performance indicators to check water toxic level,
green house gas emissions, recycling, waste
treatment etc. to keep on working on new projects
to enhance usage of environmental friendly
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There can be section of society which is

sensitive to environmental issues like they are
sensitive to biodiversity as they believe that earth
is mother of so many living creatures and all of
us have equal rights on it so we humans should
not be cause of loss of other species (http://
www.tata.com/ourcommitment/articlesinside/
Environment). They are proactive to conserve
natural resources and they take initiatives for the
same. There are certain
normal rules followed like establishing
factories in outer areas, not to ruin forests for
commercial purposes, not to cut trees for useless
purposes, to control emission of toxic gases due
to industrial purposes or due to transportation or
vehicles, harmful waste should be treated before
disposal, water should be saved, harmful
technology should be avoided, harmful chemicals
should be banned, children should be informed
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about recycling and green practices. They

believe in enrichment of nature as progressive
step towards welfare of nature is a step ahead to
them towards mankind. As a result of this ban of
plastics and non-biodegradable substances
came into lime light. They adhere to
environmental procedures like conservation of
flora and fauna to maintain proper balance in ecosystem.
FUTURISTIC SOCIETY
They fulfill the needs and want of green

consumers and explore green marketing as an
opportunity to increase market share and create
positive image in the mind of customers.
Businesses in such societies can inform
customers about the benefits of eco-friendly
products and use environmental declaration to
meet the standards.
MOTIVATIONAL SOCIETY
Green marketing leads towards Futuristic

Society
Building today for tomorrow
Future-oriented
Eco- growth
(Sustainable progress)
There can be a group of people who are

concerned about building today in the light of
tomorrow. They are future oriented people. They
work on their employees to go green. Then they
work with their stakeholders; collaborate with
clients and organizations to eco- growth. They
believe in green thoughts with the view that
success of tomorrows companies as well as
society is closely linked with the health of ecosystem (http://www.infosys.com/sustainability/
Pages/index.aspx)
TRANSFORMATIONAL SOCIETY
There is need to understand the need of time
and take green marketing as an opportunity.
Although such section of society is established
and settled but they believe in changes as per
need of time to progress fast (http://
www.hul.co.in/sustainable-living-2014/ourapproach/index.aspx). There is need to adapt
with the time and hence not only survive well but
progress fast.
This class of society believes in creating

awareness as they believe in united efforts and
bringing huge changes. They partner with
government to bring changes on a large a scale
as well as they partner with other local industries
to be benefited on a noticeable scale. They work
on bigger issues like checking carbon emissions,
green house gas emissions and taking preventive
measures for the same. To develop tools and
techniques to work on issues like global warming
and minimize its effects. They develop
consciousness among people about
environmental issues and develop go green
thinking and green goals. There can be initiative
to educate everyone about the green marketing
and its impact on changing times. They launch
campaigns based on increasing environmental
consciousness. They may target all the school
going kids to bring changes nation wide. They
may include environments to work on various
issues. They may work on tree plantation to filter
air and bring pollution free environment. They
may work on water conservation to have healthy
living. They may work on waste recycle to have
clean nature and society. Such people are source
of inspiration for others (http://www.
parleproducts.com/csr/green_planet.php)
ECO- FOCUSED SOCIETY
There are the advanced educated classes
of people who develop goals and work on them
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as per guidelines and remain updated with

percentage of target achieved. They work on
various environmental issues which can help
them to grow and be efficient in their processes
and maintain proper balance between various
components of eco-system.
Green marketing leads towards EcoFocused Society
Advance educated class
Develop goals and work
Have guidelines
Achieve targets

GREEN SOCIETY
Keep track record
They have various targets at a time like

reducing green house gas emissions, reducing
waste etc so they will work as per guidelines and
act in the progressive direction with accompanied
goal of being benefited from it economically,
socially and technologically. So work as per
standards and try to work by comparing with ideal
practices and the level they have achieved and
as per standards. Their progress can be marked
by others and they have full proofs of their
achievements. They are surely towards the
effective path of well-being and can give very
good small advices to save eco-system (http://
www.hul.co.in/sustainable-living-2014/).
PURE- BASE SOCIETY
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
This class of society believes in

sustainability from the core. They believe nature
is the lifeline of everything. So they are more
inclined towards use of Ayurvedic therapies and
nature- based products. They believe in
conservation of energy and thus technological
absorption to have health, safety and
environment protection. They make use of biofuels, bio-gases etc for their process to have
lower cost and purity factor. They have herbal
preferences over synthetic base and thus ensure
health and safety. They make use of natural
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technologies like organic manure for enrichment

of nature. Thus they have significant benefits like
trust worthy image and technology ((http://
www.dabur.com/BR-Report). They use simple
technologies like reverse osmosis for water
treatment, rain water harvest etc. and thus have
lower costs involved so in other words they win
trust of people by bringing purity in them and
nature. Although such simple techniques are
trusted by people but this class is loosing its
importance due to replacement by fast acting
marketing tools.
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
There can be green marketing driven

societies. As teaching and preaching or creating
awareness is useful but actually having green
marketing in behavior and practices is more
significant. This can be a society which utilizes
green practices and makes use of green
marketing from every ecological angle
(www.suzlon.com/). They will believe in caring
for earth and make use of natural resources only
to create renewable sources of energy which
create zero waste or less waste and ensure
bringing back of waste as well as energy back
into the cycle. They will adhere to socioenvironment norms and practices. They would
not only have green thinking and values but they
wont know anything apart from green marketing
and its practices. Not only this they will make
use of green technology too like have ecofriendly buildings, natural sources of food,
manpower health and safety, renewable energy
usage and proper hygienic conditions to live in.
They will be in the last stage to be achieved in
the process towards green marketing and will be
marked as success in the era of Green marketing.
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CONCLUSION
REFERENCES
Man is a social animal and they have always

come together to face various challenges of life
for the goodness of society as a whole and green
marketing is one such field where scope is
present for mutual benefit of human race and
environment so as per understanding various
groups of people are formed and will form as well
as progress having common belief and culture
to inculcate eco-friendly thoughts as well
practices and will be recognized by names and
their living style.
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 Research
University, Udaipur, Rajasthan, India
E-mail: monikaraghuvanshi07@gmail.com
ABSTRACT
Humans are from nature so whatever we do to nature it comes back to us. It is an admitted fact
that due to current harmful anthropological activities environment is under stress and the same
is reflected in daily lives in form of depleting resources, economic fluctuations, natural
devastations and unhealthy localities and lifestyle. So this drew attention of business houses to
inculcate ecological thinking into every business angle and hence gave rise to the need of
green marketing which although exists in our daily lives and is practiced from time to time but
yet have to be made part of our daily lives to bring back the balance in eco-system and its
components 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 energy
will result in healthy lives and can be recycled bringing no damage to environment and have
long run economic benefits too. Green marketing is the use of eco-friendly products, using
green process and inculcating ecological thoughts for mutual benefit of environment and humans.
Green marketing is optimum utilization of natural resources and thus enjoys unlimited tangible
as well as intangible benefits and hence economically as well as ecologically justified. Green
marketing involves green process so making use of neat and clean technologies can bring
healthy life. Green marketing causes mutual benefits to humans as well as environment so
ethically valuable and can be carried generations to generations. So if green marketing is valued
there are possibilities of green societies with ecological sound practices and healthy lives with
perfect environment. Green marketing if practiced brings intangible benefits of positive image
in the society and acts as source of inspiration for others. Only little bit changes are needed in
every 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 green
awareness into consumers with green message, consumers need to have green purchase with
green product choices and stakeholders need to have green behavior which drives us towards
ecological or in other words green societies. Similarly green marketing mix is necessary to
follow as it is urgent need of time. There is need to redesign products with value added renewable
features as per ecological standards with little molding in physical evidences like biodegradable
green packing with green labels and sustainable energy-efficient process is followed along with
promotion associated with personal, economic, social and environmental benefits will make
green 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 killing
each other for scare natural resources as when
men today are not leaving anything for them what
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they will leave for each other. Heart is rendering

but true climax of situation with this selfish attitude
of man being only users of earth resources for
own benefit neglecting not only future
generations but other living species too. Can man
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survive alone on this earth so when it is not

possible why killing other species for selfish
benefit? Why men are exploiting natural
resources which are causing death of living and
non-living elements of eco-system? The fact is
all know but never realize that slowly green
marketing is becoming part of life and is an
essential element for future. Human being is
directly or indirectly using it but it remains hidden.
Human being can be benefited from it directly if
realizes its importance and indirectly because
someone else would be doing so for the benefit
of society as a whole. Green marketing is a thing
which connects all the humans and not only
humans together; it has also connected man with
other living and non- living elements. Shocking
but true only humans need to understand it and
its importance in daily lives.
Association (AMA) held the first workshop on

Ecological Marketing in 1975 (Curtin 2006). The
people were not only interested in using products
which cause less harm to nature but were also
concerned about their health. To their surprise,
facts came up and proved that green products
are not only good for eco system and indirectly
them as they are also part of it, they realized that
it has direct effect on them and their health also
due to more element of purity (http://
forum.diit.info/index.php). Experts that time
were aware of normal traditional products and
its harmful effect on eco-system and in turn on
future generations but a set of population also
realized its importance which was aware of good
effects of green products on them or in other
words one can say better effect of green
products.
There is no harm in changing thinking to

ecological angles and bringing excellent results
for the upliftment of human race as a whole.
Problem is not using green marketing . Man only
needs to educate himself of how to use it.
Everything remains same only little bit of
ecological thinking in minds and excellent change
in society.
IMPORTANCE OF GREEN MARKETING
If we go to basics of society in layman

language, it is a group of people coming together
for a purpose and its modified version in simple
terms is a group of individuals which follow same
culture and practices so why not to change for
the benefit of society so that same thing would
be practiced by everyone (http://en.wikipedia.org/
wiki/Society). Alone we can stand for change and
together we can bring the change. Only human
being needs to understand that it is difficult to
start and only starting needs more efforts but later
on things which are beneficial will be adapted by
people sooner or later so why not to adapt
something which is good for all the livings and
non- living elements of eco-system to drive the
change towards betterment of human race in
narrow term and whole universe in a broader
aspect. There are several direct as well as
indirect benefits of green marketing to society.
GREEN MARKETING HISTORY
The term Green Marketing came into
prominence in the late 1980s and early 1990s
(Dodds 2007). The American Marketing
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Marketing starts with money and ends with

money. Today most of human races are having
money driving societies. In the economic run all
are working hard to survive in the world as a
whole or society in narrow terms. Today one of
the important thing is in the competition to survive
in the market, all are conscious about finances.
So this creates an opportunity for green
marketing although every opportunity comes with
a negative aspect too. Opportunity in economic
terms is in a long run green marketing set up
which is beneficial but the drawback is its initial
set up cost is high which although when seen in
cumulative form is beneficial in every aspect.
Although prices are high but man exists in a
society where if action of one affects
others,effects are stopped sooner or later so
again sometimes damage is seen and sometimes
it is unseen. Slowly, environmentalists started
realizing that if man will think about economic
benefits only there wont be any space left in
future to further create any havoc as future
generations will pay for present actions. So the
same thing either pays today or tomorrow is a
choice. Green marketing can be considered as
optimum utilization of natural resources so
definitely only economically sound men need to
rediscover processes and mould it in ecological
form to have economic benefits.
Another benefit is green marketing is an
intangible asset to every individual and society if
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they are part of it because benefits of it cant be

touched but can be sensed easily. So no doubt it
creates good will for those practicing it and good
health for those using it. In economic terms, it is
thus beneficial for business classes which are
using it as it creates good will for them and
creates good health for not only society but for
environment too of which man is a part of.
Sometimes it is considered that green
marketing is meant for a premium class of people
but question now which arises is that only
premium class which is benefited or is it whole
society. Again twisting the brain and answer all
know. When all humans are part of this ecosystem, all are equally benefited and hence it is
whole sole responsibility of all the human being
to maintain the proper balance of eco-system and
this can be brought back by green marketing.
Balance in eco-system is brought by green
marketing as green marketing maintains balance
between man and nature and as nature is
balanced, lives of men are balanced too so
ultimately balance in society.
Healthy lives- healthy society is an attention
drawing statement because it is naturally proven
that green products are less harmful for nature
as harmless products are still difficult because
least harm can be in the form of energy loss
during processing ( J. Ottmann, 1996). So when
human beings are using eco-friendly products
they bring healthy lives back too. Green products
are more close to nature hence purity factor is
closer to ideal products which actually do not
exist.
Return on investment is a financial tool most
commonly used to calculate profits so here is
return on investment and it is more than
imagination if thought carefully.
Sometimes it is economic need only which
moulds time and business, sometimes it needs
investment of time only and basic need of green
marketing is this only. Instead of money, man
needs investment of time to think positively and
to educate itself about the need of green
marketing and then it needs time to educate
others and to make others aware why humans
are using green marketing and why others should
do the same. Time and tide wait for none and if
this time goes humans cant mend the damages
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caused due to their own carelessness for not

paying attention to environmental issues and not
practicing green marketing. Humans were
leading from healthy to unhealthy society and
hence this drew attention towards green
marketing.
One more meaning of society is a group of
people limited by geographical boundaries,
sharing common values and culture so what kind
of values human being is teaching to their future
generation? To harm nature for self benefit, to
live selfishly leaving nothing for future and
causing harm to others in the society?
Society exists because of some commitment
towards each other but humans do have silent
commitment for safety and health of others but
this is not possible without taking into
consideration the environment. Dont you think
when humans are born on this earth they have
responsibility towards it also so this means there
exists commitment for the betterment of ecosystem so can man fulfill commitment towards
society without thinking of nature? Question will
remain unanswered till ages.
Is it necessary to use hazardous chemicals
which not only harm nature but hamper health
too? Cant disposable material be used instead
of non-renewable one? Cant human being think
of solar energy? These little changes in habit can
not only preserve environment and health but can
also save money, with little inconvenience today
human being can have comfortable tomorrow. It
is not only that this is the right way of using things
it also gives feeling of confidence that humans
are doing something good for the society as a
whole. Only thing is do little well to the society
and it will bring impressive changes to the nature.
So it is worth spending time and money on green
marketing to bring smiles to faces. It is something
worth enjoying serving people with care to nature
and nature will care for human being. Good
deeds bring good ideas to mind and give a feeling
of satisfaction.
So isnt it beneficial to practice ecological
activities in daily lives. It only needs planning and
understanding of eco-friendly practices and thus
releases pressure from earth and thus in turn
leads humans one step ahead towards the
betterment of society. So if one is born as a
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businessman he only needs to introduce green

product, if one is manufacturer he needs to follow
green process, if one is a seller he needs to follow
green communication, if one is retailer he needs
to convey green messages and if one is a
consumer he needs to be green consumer and
thus completes green society so this completes
green cycle and brings balance into the ecosystem. So what human being is looking for one
only has to understand the role and behaves
according to need of time.
Green marketing also leads to optimum
utilization of natural resources and as they are
renewable, men will never have to face problem
of shortage of raw material or scarce resources,
only thing men can do is enjoy unlimited benefits
of natural resources which are available free of
cost and are unlimited. What a bonanza as this
can rarely be possible in case of non-renewable
resources.
ASPECTS OF GREEN MARKETING
Economic
aspect
Ecological
aspect
Societal
aspect
Green
Marketing
Technological
aspect
Ethical aspect
for betterment, still they are leaving an unhealthy

environment for future generations.
These days Corporate Social Responsibility
is emerging as an amazing concept practiced in
firms as part of their social responsibility not only
towards society but towards nationwide
development. Not only is this, it is being practiced
on an international level. All the human beings
are joining hands for achievement of a common
goal of healthy life and secure future. Now,
marketing is not just a profit making source like
in past but these days, by posing a positive image
by practicing green marketing, companies are
gaining faith of customer and thus increasing their
market share. Now, companies gain trust of
people by making them believe that they are
putting extra efforts for better and comfortable
life. So now marketing is not just an activity driven
by companies for the upliftment of society but
green marketing in itself is a driving force gaining
its position not only in companies but also in
society.
If it comes to technology, it is a boon or curse
both ways. If it is used for the betterment of
human race accompanied with ecological
activities then only it can bring welfare of society
otherwise there is no use of using it if it harms us
and hampers our environment. When thought of
advancement in technology there have been new
inventions everyday but to give temporary
happiness and comfort but green marketing draw
attention of everyone to such technological
advances which are boon to nature.
GREEN MARKETING SOCIETAL SYSTEM
Since years people are becoming more and

more conscious of environmental issues as a
result of human activities and of course harmful
activities cause irreparable damage to the
environment. As resources are getting scares so
prices move up and it harms nature so pressurize
ecology also (https://www.google.co.in/search/
aspects+of+green+marketing). If think of ethical
aspect also, humans for their own benefit are not
only harming nature but also digging pitfalls for
their future generation. Instead of being aware
of negative consequences, human is not
practicing green marketing in day to day life.
When humans know green marketing is a must
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There is a connection between

manufacturer, retailer, consumer and
stakeholders but when it comes to green
marketing there is a bond between all the human
beings which directly connects whole race to a
common 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 concept
popping into few minds to draw attention of
people thus we can say green marketing leads
to innovation and innovation brings life to
business. There are lots of success stories due
to innovation.
Green consumers are the aware citizens of
society who are early adapter of ecological
practices. They are the people ready to act to
the environmental issues and act as role model
to others. Green consumers are the leaders who
lead others towards the path of clean society.
Green marketing, as it is a concept, is still looking
for its place in the minds of people. Companies
are thinking of it even though many companies
are spending huge amount on its research,
nothing can be said clearly as green marketing
is in its growth stage and some people are taking
it as an opportunity rather others are more
comfortable with following trends so not ready to
invest into it.
Green marketing manufacturers tries to
follow process which results into less energy
leakage and optimum utilization of natural
resources which even though is higher in
investment but in long term result into something
better. Green marketing products are redesigned
to be less harmful to nature hence are result of
concerned mind and responsible thoughts.
Green products are having higher prices and
requirement is low so creates problems for
distributors to work on them alone and when it
comes to pricing issue normal products are
readily available to replace them at comparatively
cheaper prices. So its a loophole in the system
to be solved along with other issues but however
more number of people are coming up as aware
citizens of society and working in the direction of
green marketing so human beings are leading
from darkness of harmful activities to the light of
healthy environment.
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GREEN MARKETING MIX

Physical
evidence
Process
Green-labels
Green-packaging
(Biodegradable)
Product
Eco-friendly
Redesigned
Acc. to standards
Value-added
Renewable
Sustainable
Energy-efficient
Healthy for
workers
Green
marketing
mix
People
(Green consumers)
True blue greens
Geen-back greens,
Srouts, Gousers,
Basic browns
Price
Long-term
economic benefit
Little extra for
healthy society
Promotion
Associated with
benefits
Personal benefits
Economic benefit
Social benefit
Environmental
benefit
Place
Leads to clean
environment
Green marketing have brought changes to

the marketing mix also, now 7 Ps are taking
different shape and are molding as per need of
green consumers and green companies (http://
www.cim.co.uk/files/7ps.pdf).Today men need to
maintain a proper balance between nature and
them.
Modified 7 Ps of Green marketing Product
Green products are less harmful due to their
very features but one most important feature is
less wastage of energy involved in its various
stages. There is need to redesign products to
meet the environmental standards and these
standards should be carefully set after proper
analysis and measurement. Green products are
also modified to suit the requirement of ecosystem and society in turn.
Price
Green products are bit costly and a large
set of people is of the opinion that they dont mind
in buying green products over the other and they
would have definitely preferred green products
if they are available with other products at the
same prices. So this is one of the hurdles in the
growth of green products and its future and
sooner or later our future too. Green product
paves way for itself due to its exclusive property
of less harm to nature. There are unique selling
proposition by green products that they are more
environmental friendly and thus draw attention
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of people towards it and society as a whole.

Green consumers no doubt will not change their
decision to buy green product as they are able
to understand the bigger benefits in terms of little
difference in features.
Place
Although in a positive light one can say that
place is an essential element of nature so
whatever human beings are doing are doing for
healthy and clean environment so although green
products may not seem to have a direct
connection with place but in a broader sense why
to restrict green products in terms of places.
Promotion and its associated benefits
Promotion strategies are focused on
creating awareness and product benefits so need
little extra efforts for green products as the
message is not although new but still new for
people (www.ecomarkproject.eu ). Promotion is
the way by which one communicates the benefits
of a product.
Personal and individual benefits: If green
products are considered, they always have this
edge that they are fit for health and provide
wellness. Indirect effects of using these products
specially related to health are providing relaxation
to senses and relieve stress on us as well as
eco-system. Skill building promotional message
can be- we care for you, you care for nature can
be best benefits communicated through mind
driving forces.
Economic benefits: Ultimate aim of every
business is economic well being, a most
important force driving common masses too, so
when it comes to green products as compared
to other products, it is preventative measure for
health as they consist of natural substances and
natural process. However, if talked in profits terms
one shouldnt mind in paying extra for long term
benefits either talking of seen benefits in terms
of health or less wastage or unseen benefits in
terms of balance eco-system.
Social benefits: One of the most important social
benefits of green products is it makes humans
connected with nature and more socially
responsible for betterment of society. It not only
gives sense of morally as well as ethically
102
corrects but also motivates others to display the

same behavior and being recognized as mature,
sensible and responsible individual of society. It
creates strong image and brings us among group
of green consumers. So gives a sense of
belonging to society also.
Environmental benefit: Main theme of green
products is conservation of eco-system and
rehabilitation of environment so lowers energy
costs also. These are the products which are less
harmful for nature because even if it doesnt harm
environment directly there is loss of energy
involved in one or the other process as per J.
Ottmann.
So when proper modes of promotion are
accompanied with correct benefit of green
products, they definitely sound superior and
appealing and if understood carefully draws
everyones attention.
People
When it comes to green consumers, no
doubt they have different view towards
environment and have deeper understanding of
future issues and thus have a great impact on
society. But still they can be differentiated on the
basis of following criteria (Saxena ,2010):
True-blue greens- They have highest level of
commitment while changing their habits as per
requirement of environment hence can be
considered as most ethically and morally driven
people who are ready to take initiatives and thus
serve as role model for others.
Green-back greens - They have understanding
of need to take preventive steps for saving the
environment and are ready to support the cause
in financial terms but are still to adopt change in
their behavior for the sake of nature. So although
they are not initiators but are fast followers and
morally driven too.
Sprouts-They are in the learning phase to
change their behavior and habits for the sake of
environment so can be considered a neutral class
of people and can be placed in mid of green and
brown consumers.
Grousers- They are the people who know the
problem but are not ready to accept that they
are also responsible for environmental issues
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and solely believe that being environmentally

friendly is the responsibility of companies which
are responsible for such issues.
Basic brown- They are the people who are not
able to understand their role in the environment
issues and are carried away with traditional
marketing as they dont believe that their little
efforts can bring the change to the environment.
Process
To follow the green process first there is
need to have green approach and solutions
which can bring back life to damaged eco-system
and lethargic society. There should be green
product designs as per standards followed by
green manufacturing process which involve less
wastage of energy. There should be international
green quality standards followed to have proper
base so process modification is also one of the
alternative. There should be proper market
research on the target green consumers which
is also indirect process of green marketing to
avoid wastage caused due to redesigning.
Products should be modified as per target
customers and the development in the field of
green marketing as well as other related areas.
There should be green supply chain to ensure
reuse and sustainability and then proper green
channels should be used for adequate green
communication to the masses which should also
include green technologies. Timely testing and
consultation with internal and external knowledge
workers can avoid green process turning into
normal process.
Physical evidences
Green products are value added products
and are identified by their labeling. Green
packaging techniques either cost more or have
shorter life span which result in early spoilage
but side by side it facilitate recycling and reduce
damage to ecosystem and help to maintain a
proper balance between its various components.
If one considers global trends now societies
are paying attention to environmental sensitivity
of packaging and in fact European countries have
guidelines for packaging. Proper labeling is used
to inform the customer and laws are made
against malpractices. Warranty is also introduced
to prevent losses to customer and hence lowers
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post dissonance.
Green communication
Green communication needs extra efforts to
make place in mind of customers. Proper green
communication is required through green
channels for recognizing green products when
placed along with other products.
CONCLUSION
Awareness is a need in field of green
marketing as if customers are aware none of the
other factors can prevent the green marketing to
take its place in the society. Only need is to realize
the need of time and save the future. What human
beings were doing in the past were mistakes due
to unawareness about the negative
consequences of marketing but what humans are
doing now, instead of awareness about the
negative consequences, is that humans are
closing their eyes towards future generations
which may even disappear due to irresponsible
attitude towards nature and the thing is future
generations are a far off thing by not using green
marketing, humans are harming society at
present. Time is precious but not at the cost of
blank future so all need to do is pay little attention
towards green marketing, do little efforts to create
awareness in others and contribute little for a
better future.
REFERENCES
1.
Boztepe,A.(2012). Green Marketing and Its Impact

on Consumer Buying Behavior, European Journal
of 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 Communication
Strategies, The Romanian Economic Journal, Year
XV no. 46
3.
Dodds, John (May 21, 2007).Green Marketing 101".

Retrieved January 2008.
4.
Ghoshal,M.(Jan-June 2008").Green Marketing- A

Changing Concept In Changing Time,IMR-MgtSpeak., 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),
GREEN
MARKETING
CHALLENGES
AND
OPPORTUNITIES, ZENITH International Journal of
Multidisciplinary Research, Vol.2 Issue 4, April 2012,
ISSN 2231 5780
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9.
10.
11.
104
Ottman, J.A (1996), Growing Greener Products: What

We Can Learn from Pea Pods and Apple Peels in
Stimulating Creativity in Environment-related
Innovation. World Future Society Futurism
Conference, July 15, 1996.
Saxena, R. & Khandelwal, P. K.( 2010). Sustainable
development through green marketing: The industry
perspective, The International Journal of
Environmental, Cultural, Economic and Social
Sustainability, vol. 6, no. 6, pp. 59-79.
Research, Vol. No.2, Issue No.1

12.
Wiser,R. and Pickle,S.(Sep.1997). Green Marketing,

Renewables, and Free Riders:Increasing Customer
Demand for a Public Good, Environmental Energy
Technologies Division, Ernest Orlando Lawrence
Berkeley National Laboratory, University of California,
LBNL-40632 UC-1321
www.ecomarkproject.eu
Sudha,R.( JanJune 2012), Green Marketing in India

, Namex International Journal of Management
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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
*Corresponding Author: Sunita Rawat, Department of Zoology, University of Lucknow, Lucknow
Uttar Pradesh, India,
email: sunitamahi4@gmail.com
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 for
many organism chiefly insects and acts as an important ecosystem. Various groups of insects
visit corpse during various stages of its decomposition and bring about breakdown of
macromolecules with help of enzymes produced by them. This in turn returns the nutrients
back to soil thus ecosystem and is utilized by many other organisms for their growth and
reproduction. 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 the
sense of smell. Flies are usually the insects that arrive first at the decomposing corpse, mainly
blow flies and flesh flies. The female fly deposits eggs (calliphorid flies) or larvae (sarcophagid
flies) 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 (family
dermestidae 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 the
moment of death to the first sign of bloating. In the fresh stage of decomposition, process of
microbial proliferation occurs which is termed as putrefaction and leads to the second stage of
decomposition, known as bloat. Blowflies and Flesh flies are the first forensic insects which
arrive and oviposit on the corpse. In the bloated stage, the body becomes stretched like a
balloon due to accumulation of gases within the body cavity and gives cadaver a bloated
appearance. At this stage more and more blow flies attract on the corpse. Active decay is
recognized by greatest mass loss, it includes ammonical fermentation of the body. In active
decay a different cohort of insects are attracted. As a result of the feeding of maggots and the
purging of decomposition fluids, cadaveric materials are rapidly introduced to below ground
floral and faunal communities, which result in the formation of a highly concentrated island of
fertility, or cadaver decomposition island (CDI). At advanced decay stage skin, cartilage and
bones with some flesh are remaining. The biggest indicator of this stage is the increase in
presence of beetles. Each CDI releases energy and nutrients to the wider ecosystem. Thus
carbon and nutrients, such as nitrogen, phosphorus, potassium, calcium, and magnesium etc
increased in the surrounding soil. During the skeletonization/dry stage only hair and bones are
left. Generally insects are not found at this stage, beetles of the family Nitidulidae may be
present.
Keywords : Forensic insects, Cadaver, Nutrients, Ecosystem
INTRODUCTION
The decomposition of vertebrate carrion,
directly and indirectly, affects soil and enthic
chemistry, as well as the local flora and fauna. A
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Cadaver has recently come to be viewed as a

source of sequestered nutrients and energy that
can only be returned to the wider ecosystem upon
decomposition. 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 are
incorporated into the surrounding habitat leading
to changes in the plant and arthropod
communities, in both species composition
(structure) and their activities (function). Most
decomposers are bacteria or fungi, though
scavengers also play an important role in
decomposition if the body is accessible to insects.
As vertebrate remains are ephemeral, typically
lasting only a few days to a few weeks, and
numerous necrophagous species feed on the
same. The order in which the insects feed on the
corpse is called the faunal succession.
ROLE OF
RECYCLING
FORENSIC
INSECTS
IN
Insects which aid in legal proceedings are

known as forensic insects. Various groups of
insects visit a dead and decaying corpse in its
various stages of decomposition. Flies (Order
Diptera) are often first on the scene. They prefer
a moist corpse for the maggots to feed on, as
such a corpse is easier for them to chew. The
most important families are: Blowflies (Family
Calliphoridae), Fleshflies (Family Sarcophagidae), House Flies ( Family Muscidae),
Cheese Flies (Family Piophilidae ), Coffin Flies
(Family Phoridae), Lesser Corpse Flies ( Family
Sphaeroceridae) , Lesser House Flies (Family
Fanniidae), Black scavenger flies (Family
Sepsidae) , Sun Flies (Family Heleomyzidae),
Black soldier fly (Family Stratiomyidae).These
mostly breakdown fatty and proteinaceous part
of the dead body. Various liposases, proteases
and peptidases found in their saliva are mostly
responsible for this. Beetles (Order Coleoptera)
are generally found on the corpse when it is more
decomposed. In drier conditions, the beetles can
be replaced by moth flies (Psychodidae). Rove
Beetles (Family Staphylinidae),Hister Beetles
(Family Histeridae), Carrion Beetles (Family
Silphidae), Ham Beetles (Family Cleridae),
Carcass Beetles (Family Trogidae) are
forensically important beetle families. Skin/Hide
106
Beetles (Family Dermestidae) are important in

the final stages of decomposition of a carcass.
Hide beetles are the only beetle with the enzymes
necessary for breaking down keratin, a protein
component of hair. Many mites also feed on a
corpse. Macrocheles mites are common in the
early stages of decomposition, while
Tyroglyphidae and Oribatidae mites such as
Rostrozetes feed on dry skin in the later stages
of decomposition. Nicrophorus beetles often
carry on their bodies the mite Poecilochirus
which feeds on fly eggs. Clothes-moths (Family
Tineidae) feed on mammalian hair during their
larval stages and may forage on any hair that
remains. They are amongst the final animals
contributing to the decomposition of a corpse. In
this way, insects play very important role in
recycling the nutrients back into ecosystem and
thus maintaining the balance of nature.
ACKNOWLEDGEMENTS
Authors are thankful to Head, Department
of Zoology, University of Lucknow, Lucknow, Uttar
Pradesh, India for providing necessary laboratory
facilities.
REFERENCES
1.
Ackert, L. T. Jr. The Cycle of Life in Ecology: Sergei

Vinogradskiis soil microbiology, 1885-1940". Journal
of the History of Biology 40 (1): 109145.
2.
Benecke, M. (2001). A brief history of forensic

entomology. Forensic Entomology International, 120.
3.
Catts, E. P.; Goff , M. L. (January 1992). Forensic

Entomology in Criminal Investigations.Annual
Review of Entomology 37: 253272.
4.
Doran, J. W.; Zeiss, M. R. (2000). Soil health and

sustainability: Managing the biotic component of soil
quality.. Applied Soil Ecology 15 (1): 311.
5.
Odum, H. T. (1991). Energy and biogeochemical

cycles. In Rossi, C.; E. Ecological physical
chemistry. Amsterdam: Elsevier. pp. 2526.
6.
Pape, Thomas. Catalog of the Sarcophagidae of the

World. Memoirs on Entomology. Gainesville, FL:
Associated, 1996. 288-289.
7.
Scott, Michelle Pellissier (January 1998). The

ecology and behavior of burying beetles.Annual
Review of Entomology 43: 595618.
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DESIGN AND DEVELOPMENT OF AN ALGORITHM FOR

ASSESSMENT OF THE LEARNING STYLE OF SOFTWARE
ENGINEERING STUDENTS
1
*ANKITA1, DR. K P YADAV2

Research Scholar, Department of Computer Science & Engineering,
Sai Nath University, Ranchi, India
2
Director, MIET, Greater Noida, Uttar Pradesh, India
*Address for correspondence: Ankita, Research Scholar,

Department of Computer Science & Engineering,
ABSTRACT
Software engineering courses are core elements of the computer science curricula. While
the main aim of such courses is to give students practical industry-relevant software
engineering in the large experience, often such courses fall short of this important target
due to lack of industrial experience and support infrastructure. Therefore, it is necessary to
design and develop better infrastructure support for teaching or learning such courses and
this would benefit instructors and students world over. This aims to create a knowledge
and tool infrastructure for the benefit of instructors and students in software engineering
courses. Thus, the system embodies a teaching and learning environment that blends
collaboration, simulation, knowledge sharing, and industrial software projects. This paper
discusses the need for the learning style in software engineering education and proposes
an algorithm for dynamically assessing the learning style of the learner and channels the
learners 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 had
amazing triumph in emergent software that is
of mounting degree and intricacy, it has also
practiced a stable and noteworthy flow of
collapses. The majority of these failures are
well-known with open tragedy such as failed
mars landings, rockets carrying satellites
needing to be destroyed shortly after takeoff,
or unavailable telephone networks, and many
more private tribulations crop up that can be
similarly disastrous or at least, problematic and
infuriating to those occupied. Exploratory, one
of the major forums documenting these failures,
the risk forum, supplies an enlightening insight
such as a considerable section of documented
failures can be credited to software engineering
process breakdowns [16]. This collapses range
from individuals not following an approved
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procedure such as not performing all required

tests, not informing a colleague of a changed
module interface, to group coordination
problems such as not using a configuration
management system to coordinate mutual
tasks, not being able to deliver a subsystem in
time, to organizations making strategic mistakes
such as choosing to follow the waterfall process
model where an incremental approach would
be more appropriate, not accounting for the
complexity of the software in budget estimate.
As a result, it is estimated that billions of dollars
are wasted each year due to ineffective
processes and subsequent faulty software being
delivered [1].
The root cause of the above said problems
is fabrication in the software engineering
education. Present software engineering
education typically pays poor concentration to
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students being able to preparation the crises

encircle the software engineering. The
archetypal software engineering course
consists of a series of lectures in which theories
and concepts are discussed and make an effort
to learn this knowledge into practice, for this a
small piece of software engineering project
must be developed by the students. Even
though cooperation of these mechanisms is
necessary because lectures are as a source
to feed the basic knowledge of software
engineering and the projects are the ways to
acquire hands on experience with some of the
techniques of software engineering, but this
tactic is not succeeded to satisfactorily teach
the complete software engineering education
[1, 15, 17]
.
SOFTWARE ENGINEERING EDUCAION
IT industry is an emerging industry,
software development tools and technology
bring up to date rapidly. Even now, the majority
of the software educating organizations has
been coaching graduates comparatively old
knowledge systems. It is complicated to
become accustomed to the speedy
advancement of information technology
requirements. However, there is continuously a
ferocious loop in computer science graduates,
that is, in one hand employers believe that the
software talent deficiency, on the other hand a
significant number of graduates cannot find a
suitable position [16]. Principally the quality of
software professionals cannot come across
social necessities.
Software engineering education consists of
requirements: engineering, software design,
validation and verification, others focused on
the management of the complexity of products
and processes. Frequency of project failure due
to problems in software is significantly greater
than that due to problems in other engineering
disciplines. In too many cases the causes of
failure originate in misunderstanding of
requirements, mismatches in system design
and implementation, unrealistic expectations,
and bad project planning [28]. Aligning software
engineering education with industry needs is a
substantial defy because the relevance and
depth o f the knowledge that software
professionals had received as part of their
108
graduate education and a significant mismatch

between software engineering education and
industry in terms of the knowledge needed by
software engineers to perform the tasks
required by industry. Stop up this gap is one of
the majority vital errands to be focused in
software engineering education. This chore is
knotty by a number of open queries; contain
What industrial practices are currently not
being taught? Ho w effective are these
practices? Which
practices
should
be
taught to undergraduates? [16, 18, 32].
Various tactics are being occupied in an
effort to response the above questions. A few
higher education institutions perform with group
of professionals composed of industry and
education legislative body whose target is to
assess the sharpness of their software
engineering graduate or undergraduate
programmes. To efficiently satiate this space,
it would be essential, on one hand, to promise
that the educational programmes provide the
knowledge necessitate for the job profiles
recommended by industry and also guarantee
that this knowledge is educated in a manner
facilitating future professionals to accurately
gear the tribulations that they will face
throughout their professional career [19, 30].
SOFTWARE ENGINEERING TEACHING/
LEARNING ISSUES
Software engineering education has a
number of issues and the underlying ones are
the constraints of the academic environment.
While relevant process theory can be typically
presented in lectures, the opportunities for
students to practically and comprehensively
experience the presented concepts are limited
[18, 30, 42]
. Students assume that software
engineering is a theoretical subject and it is
humdrum and very little use in future [37]. Hence,
they are not actively occupied in software
engineering learning activities. Traditional based
teaching software engineering and knowledgegaining process turns out to be monotonous
and less interactive and instructor enlightens
the concepts and the students grasp the facts,
which they memorize and reproduce it in the
examination [42]. In this method, students have
been enforced to passively provide solutions
instead of taking actions to cause changes to
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the solutions [42]. This method of education never

produces the industry relevant software
engineering knowledge to the students rather
than it increases the gap between the software
engineering education and the industry needs.
Software engineering students ar e
generally passive listener throughout the
lectures and do not enthusiastically involved in
the learning process [18]. Learning scientists and
cognitive psychologists has proven that these
kinds of learning is not effective and never
achieve the goal of study [8, 13, 34]. Students could
learn more effectively when they get actively
engaged their learning process and they have
more awareness and interest in programming
languages than software engineering [18].
Most of the industry professionals are not
educated in key portions of the software
engineering body of knowledge such as
requirements, architecture, testing, human
factors and project management. They are
merely skilled at programming in a few popular
languages or at using specific technology
products, such as database management and
web development tools [23]. Software industrys
bigger problem is lack of talented software
engineers, when industry employs the fresh
graduates, they do not satisfy the industrys
needs because they are good in following the
syntax, semantics logic and process but they
are not well versed with software engineering
concepts [19].
Higher educational institutions have
difficulties in educating professional software
engineers to satisfy the industrys requirements.
Software engineers must have the skills such
as blended formal knowledge, problem solving,
self-learning, professional communication, good
judgment, experience, ability to work together
and understand the clients needs [23, 40]. But it is
not easy to teach all of this within one or two
courses. The contemporary software
engineering education usually pays little or no
attention to students being able to practice
issues surrounding the software engineering.
The curriculum mostly focuses on the phase
of software development process such as
requirements, analysis, specification, design
and testing. Hence, most of the root problems
in software engineering occurred in the
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professional education [20, 23, 30].

SOF TWARE ENGINEERING TEACHING/
LEARNING METHODS
Traditional teaching of software
engineering is short of the relationship between
theoretical mastery and practice skills
development. In addition, software engineering
is an important field, especially in the
programming language, software development
and design tools, software reuse technology,
design patterns and other fields, but current
materials and teaching content, knowledge
structure and practice have so serious
shortcomings, which restrict the effect of the
teaching of software engineering [31, 33]. Software
engineering researchers proposed numerous
teaching/learning methods such as group
project, case tools, educational game and web
based learning to overcome these challenges
even though still there is a lack in producing
endowed software engineers to satisfy the
industrys needs using these methods.
A. Group Project
Most of the software engineering teaching
model highlighted the magnitude of projects and
wished for prototypes such as Small Group
Project and Large Project Team. Students
necessitate to work on projects supported by
an external organization, deliberately employing
real-world difficulties during the class project,
such as changing requirements while the
design is in progress, fit in multiple universities
and branch of learning into the project,
sustaining a major continuing project in that
dissimilar cluster of students work on from
semester to semester, and many others. All of
these come up to share the identical objective
that is to bridge the association between
theories and practice. Moreover, students are
set in an environment that highly simulates the
real software development world and are
assigned with jobs such as principle architect,
project administrator and configuration
manager. The advantages of this method are
its intensive simulation of real projects and
students are propelled to learn and do more
than they would in traditional courses [5, 8, 12, 13, 21,
28, 29]
.
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B. Case Tools
An extensive assortment of positive hope
has been credited to the professional use of
CASE tools in software engineering education.
This incorporates the thinking of the students
in use of a CASE tool which will smooth the
progress of the disciplined and standardized
development process, enhance stability and
fullness of the models that are developed,
amplify the capability for quality
assurance,
transform the concentration of assessing
away from mere correction of minor errors,
make better project planning and management
by providing general idea of the development
process, cheer on reverse engineering, expand
the capability to fabricate high-quality
documentation, and bridge the gap between
design and implementation [2, 11, 22, 23, 25].
C. Educational Game
An educational game which is used in
software engineering education to simulate the
soft ware engineering p rocess fro m
requirements specification to product delivery.
This game provides students with an overall,
high-level, practical experience of the software
engineering process in a speedy enough
method to be used continually in a limited
amount of time. Educational game has a
number of other traits that contribute to its
learning efficiencies. Competition motivates
students to play the game, b ut it also
encourages collaborative learning, makes sure
that all of the fundamental technicalities of the
software engineering process being simulated
are able to be seen and it has a fun and
engaging nature, and quality that is known to
be highly conducive to learning [3, 10].
D. Web-Based Learning
Looking for mainly a complement and not
a replacement to traditional education, a set of
learning resources is particularly designed for
the world-wide-web. As a complement to the
lectures and printed material, the students had
right of entry to the web-based courseware
which contained an improved adaptation of the
lessons material in electronic form and useful
links to pertinent material on the internet.
Furthermore, asynchronous communication
110
amenities were presented via a web-based

discussion forum and class management was
included in the web-based software engineering
learning environment. Information procedures
are computerized by software systems and this
kind of automation is precious, since such
procedures are monotonous, tiring and
disagreeable and time consuming. Software
engineering is the technological branch anxious
with the creation of software systems, which
can always be thought of as gears of larger
artificial systems. The enriched instructional
delivery mode has several advantages over the
traditional mode such as students can progress
at their own pace and study the instructional
material in the order that best look good on their
skills or preferences. The learning material is
stored online and the course is open at any
time and from anywhere for the students
registered in it and the teacher plays the function
of a facilitator and helps out the learning
procedure [20, 24, 26].
IMPORTANT TO ASSESS THE LEARNING
STYLE
Individual learners perform a most
impo r tant part in traditional as well as
technology enhanced learning. Each learner
has individual needs and personality such as
various preceding knowledge, cognitive skills,
learning styles and motivation. T hese
personality variances influence the learning
process and are the cause why some learners
find it easy to learn in a specific module, while
others discover the same module tough. Prior
knowledge is one of the greatest and reliable
personal variance forecasters of triumph [14].
While previous knowledge give the impressions
to account for further variance in learning than
other individual differences, more recently
educational researchers have paying attention
on features of individual characteristics such as
learning styles, their effect on learning and also
how they can be integrated in technology
improved learning.
Considering learning styles, researches are
provoked by educational and psychological
theories, which claim that learners have
dissimilar ways in which they wish to gain the
knowledge. Learners with a strong preference
for a specific learning style may have difficulties
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in learning if the teaching style does not match

with their learning style [9]. From theoretical point
of view, inference can be drawn that assimilate
learning styles of students in the learning
environment formulate learning easier for them
and improve their learning effectiveness. On the
other hand, learners whose learning styles are
not supported by the learning environment may
experience problems in the learning process.
Adaptive educational methods address
exactly this issue and intention to offering
learners with program that fit their individual
needs and characteristics such as their learning
styles. While supporting adaptively is a big
advantage of these systems, they also have
strict limitations such as adaptive systems lack
integration, supportingonly few functions of
web-enhanced education, and the content of
courses is not available for reuse [4]. Although
educational and psychological theories suggest
incorporating 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 software
engineering education too. Previous research
shows that software engineering class contains
different types of learner nearly equal strength
and also suggests that if the knowledge delivery
satisfies all the learning groups then it improves
the knowledge gathering capabilities of the
students [27].
The learning style models that exist in
literature are majorly classified into five families
which are based on some overarching ideas
behind the models, attempting to reflect the
views of the main theorists of learning styles
[6]
. The first family relies on the idea that learning
styles and p references are largely
constitutionally based including the modalities:
visual, auditory and kin aesthetic. The second
family deals with the idea that learning styles
reflect deep-seated features of the cognitive
structure, including patterns of abilities. A third
category refers to learning styles as one
component of a relatively stable personality type
and fourth family learning styles are seen as
flexibly stable learning preferences. The last
category moves on from learning styles to
learning approaches, strategies, orientations
and conceptions of learning [6, 7].
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First family of learning style has been

chosen for this research because it relies on
the idea that learning styles and preferences
are largely constitution based including the
modalities but other families have their own
limitations. Visual learners have a preference
for seen or observed things, including pictures,
diagrams, demonstrations, displays, handouts,
films and flip-chart. Auditory learners have a
preference for the transfer of information
through listening: to the spoken word, of self or
others, of sounds and noises. Kin aesthetic
learners have a preference for physical
experience - touching, feeling, holding, doing,
and practical hands-on experiences [6].
AN ALGORITHM TO DYNAMICALLY ASSESS
THE LEARNING STYLE
The proposed learning style algorithm uses
the structured questionnaire developed by V.
Chislett and A. Chapman (2005) under the first
family of lear ning style. A structured
questionnaire has been used to identify the type
of learners such as visual, auditory and kin
aesthetic 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. Learner

has to login the system with their username and
password. Once the learner logs in, he/she must
answer the thirty questions that help to measure
the style. Each question consists of three
choices which represent the learning style and
is uploaded randomly from the database.
Among the answers, the system calculates the
statistical mode, finds the learning style of the
respective user and shows his/her learning style
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P-ISSN 2347-2189, E- ISSN 2347-4971
and guides them to the appropriate lessons, in

line with their learning style. Even when the
student gets low grade in individual online
examinations of various modules, the system
their
guides them to make sure about
learning
style.
Learning
style is
a psychological factor and it differs from person
to person, time to time and environment to
environment. Therefore individual learning
styles are ascertained and stored in the
database with respect to the user and it can
be used for future analysis.
students learning style which motivates the

students to study software engineering.
Fig 3.Screenshot for Suggestion of Learning
Materials
DEVELOPMENT OF DYNAMICALLY ASSESS

THE SOFTWARE ENGINEERING STUDENTSS
LEARNER LEARNING
This has b een originated using the
algorithm, which is mentioned in Fig.1 and
learning analytics concepts. Keller ARCS
Theories, Learning Through Dialog
Fig. 2: Screenshot for Measure the Learning Style
Theory and AptituteTreatment Interaction
Theory learning theories are assumed for the

formulation of this module.
Fig.2 exhibits dynamically measure of the
learning style of the user. This consists of thirty
learning style questions and the user
compulsorily answers all the questions. Once the
user submit the answer for the questions, it finds
the learning style of the respective user and it
has been stored in database with the user name
and displays the learning style and guides the
user to choose the right learning materials
according to their learning style. Fig.3 shows the
sample screenshot for the suggestion of the
learning materials. This helps the teacher to
provide the learning materials inline with the
112
CONCLUSION
Software engineering education has been
practiced through several teaching and learning
methods but these methods do not produce
enough talented software engineers to the
industrys expectations since these methods
satisfy a specific learning style. Previous
research provides evidence that software
engineering class contains all types of learner
categories such as visual, auditory and kin
aesthetic, in nearly equal in strength. Therefore,
it is important to check the learning style of the
learner and provides the learning materials
according to his/her learning style that would
motivate the knowledge gathering process. The
proposed algorithm discovers the leaner style
and leads the student to easily pick the learning
materials in line with their learning style.
Therefore, students are motivated to learn
software engineering concepts enjoyably than
the other teaching and learning methods and this
model also stimulates collaborative learning
environment. This environment encourages the
students to study software engineering in depth
and become a knowledgeable software engineer.
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114
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A STUDY OF VARIOUS WORMS AND THEIR DETECTION

SCHEMES
1
*SUCHETA1, K P YADAV2
Research 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,
ABSTRACT
Computer worms have a behavior of self-propagation over the host machines and have been
terrorizing the Internet for the last several years. This is due to the ability of worms to propagate
in automated fashion as they continuously compromise computer on the internet. At the same
time, being fully automated, it makes their behavior repetitious and predictable. This article
presents a survey on the behavior and detection schemes of Internet worms. We first identify
worm characteristics through their behavior, and then classify worm detection algorithms based
on the parameters used in the algorithms. Furthermore, we analyze and compare different
detection algorithms with reference to the worm characteristics by identifying the type of worms
that can and cannot be detected by these schemes.
Keywords: Self-Propagation, Behavior, Detection, Vulnerability, Algorithms
INTRODUCTION
Self-propagating malicious codes known as
computer worms spread themselves without any
human interaction and launch the most
destructive attacks against computer networks
like launching massive Distributed D e n i a l - o f Service (DDoS) attacks that disrupt the Internet
utilities, access confidential information that can
be misused through large-scale traffic sniffing,
key logging etc. They destroy data that has a
high monetary value, and distribute large-scale
unsolicited advertisement emails (as spam) or
software (as malware). These worms include
Camouflaging worm (C-Worm in short)[2], CodeRed worm [3], Slammer worm [4], Witty/Sasser
worms [8] and Morris Worm [6] . Being fully
automated, a w orms behavior is usually
repetitious and predictable, making it possible
to be detected. A worms life consists of the
following phases: target finding, transferring,
activation, and infection. Since worms involve
network activities in the first two phases, their
behaviors in these two phases are critical for
developing detection algorithms. Therefore, this
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paper first focuses on worm characteristics that

facilitate their detection. Many algorithms have
been proposed in the past to try to catch and
stop the spread of Internet worms. Most research
papers discuss efforts that are related to their
proposed work, but none of these papers gives
a comprehensive classification of the existing
modeling and detection schemes. This paper
contains a complete study of some active worms
with their behavior and identified various
modeling and detection schemes.
Overview
After an introductory terminology is
presented, worm characteristics during target
finding and worm transferring phases are
identified. This is followed by an overview of worm
defense mechanisms: modeling and detection.
The modeling of various worms and detection
schemes are presented next. Depending on
where the detection is implemented, they may
construct different views of worm propagation
behaviors, so there may be differences in the
scope of their defenses.
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I.
Virus
A virus is a malicious piece of code that

attaches to other programs to propagate. It cannot
propagate by itself, and normally depends on a
certain user intervention, such as opening up an
email attachment or running an executable file,
to be activated.
J.
Fig 1: Categorization of worm characteristics
TECHNOLOGY
A. Activation
Activation is when a worm starts performing
its malicious activities. Activation might be
triggered on a specific date or under certain
conditions.
B. False alarm
A false alarm is an incorrect alert generated
by a worm detection system.
C. False Positive
A false positive is a false alarm where an
alert is generated when there is no actual attack
or threat.
D. False negative
False negative means the detection system
missed an attack. It is false negative if no alert is
generated while the system is under an attack.
E. Infection
Infection is the result of the worm performing
its malicious activities on the host.
F. Target Finding
Target finding is the first step in the worms
life to discover the victims (vulnerable hosts).
G. Threshold
Threshold is a predefined condition that, if
met, indicates the existence of specious traffic or
a worm attack.
H. Transfer
Transfer refers to sending a copy of the worm
to the target after the victim (target) is defined.
116
Worm
A worm is a malicious piece of code that selfpropagates, often via network connections,
exploiting security flaws in computers on the
network. In general, worms do not need any
human intervention to propagate; however, a
category of worms called passive worms require
certain host behavior or human intervention to
propagate. For example, a passive worm only
propagates itself until it is contacted by another
host.
EXISTING INTERNETWORMS
In this section we look at one of the first
Internet worms, the Morris worm, which gained
extensive media coverage, then discuss five
more recent Internet worms: Morris, Code Red,
Slammer, and Witty based on their
characteristics.
1. Morris Worm
The Morris worm was one of the first
Internet worms whose devastating effect gained
the wide attention of the media. Morris worm was
launched in November 1988 by Robert Tappan
Morris, who was a student at Cornell University
at the time. It is the first known worm to exploit
the buffer overflow vulnerability. It targeted sent
mails and finger services on DEC VAX and Sun
3 hosts. Based on the creators claim, the Morris
worm was not intended to cause any harm, but
was designed to discover the number of the
hosts on the Internet. The worm was supposed
to run a process on each infected host to respond
to a query if the host was infected by the Morris
worm or not. If the answer was yes, the infected
host should have been skipped; otherwise, the
worm would copy itself to the host. However, a
flaw in the program caused the code to copy
itself multiple times to already infected machines,
each time running a new process, slowing down
the infected hosts to the point that they became
unusable.
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Behaviour
The Morris worm was a mixture of
sophistication and naivety. It had a simple overall
design: look at a computers system configuration
to find potential neighbors, invade them, and try
to minimize the number of invasions on any
machine. The worm used heuristic knowledge
about Internet topology and trust relationships
to aid its spread, and it targeted two different
machine architectures. Its cleverness in finding
potential attack targets made it especially
effective, but it also took on the time consuming
task of guessing passwords on individual user
accounts, which gave it an attack in depth
aspect. Nonetheless, it became a victim of its
own success as it was unable to control its
exponential growth. With no global information
and no point of control, the Morris worm ran
rampant.
It attacked one operating system, but two

different computer architectures.
It had three distinct propagation vectors.
It had several mechanisms for finding both

potential nodes to infect, particularly
information about the local systems IP
connectivity (its network class and gateway),
and information found in user accounts.
It traversed trusted accounts using password

guessing.
It installed its software via a two-step hook

and haul method that required the use of a
C compiler, link loader, and a call back
network connection to the infecting system.
It evaded notice by obscuring the process

parameters and rarely leaving files behind.
It attempted to limit the re- infection rate on

each node (but not the total number).
It attempted to run forever on as many nodes

as possible.
Detection Scheme
The Morris worm also contained some note
-worthy design flaws:
It was overly aggressive. Although it did have
a way to notice multiple infections, its ratewww.ijsir.co.in
limiting behavior was not effective, and a

hundred or more copies could be running on
a single machine. Even uninfected machines
were vulnerable to assault through multiple
infection attempts coming from many
independent sources.
As the number of infections increased, the

worms ability to limit itself decreased. Race
conditions in its detection method actually
caused the infection rate to increase.
It could not trace its progress or control it.
Log files, particularly send mail logs,

contained information about the worms
usage. Some log files filled up with the
information, and the machines I/O load
increased.
Its infection method depended on the C

compiler, thus preventing access to some
major sites that had already established
machines that acted as bastions, limiting
network access. These machines might not
have had C compilers.
A variety of resource failures left many copies

of the hook program on the attacked
machines.
The intensity of the attacks on machines

running the SMTP protocol, particularly those
running the Unix send mail program, resulted in
denial of email service to large portions of the
Internet. This was the Morris worms most
disruptive aspect. Like many human infections,
it was not the worm itself that was harmful, but
its secondary effects on resources.
2. Code-Red Worm
Code Red I was first seen in July 2001
affecting computers running Microsofts Internet
Information Server (IIS) Web service. In the first
2025 days after getting into the machine, Code
Red I uses a blind scan scheme that scans port
80 on random IP addresses to find other
vulnerable machines, and then it launches a
denial-of-service (DoS) attack targeting a set of
IP addresses. The infected websites will display:
HELLO! Welcome to http://www.worm.com!
Hacked By Chinese! Code Red II was released
one month later. It is a variant of the original
Code 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 infected
systems. It still employs blind scan but focuses
more on the local subnet, and targets mainly
systems with Chinese language settings. Code
Red I sends its payload in monomorphic format
and has a signature starting with GET /default
.ida?NNNNNNN. Code Red II has a similar
signature, but replaces N with X. Both versions
of Code Red are self-carried and transfer via
TCP connections.
which became the name of the new worm. Ryan

Permeh and Marc Maiffret analyzed CodeRed II
to determine its attack mechanism. When a worm
infects a new host, it first determines if the system
has already been infected. If not, the worm
initiates its propagation mechanism, sets up a
backdoor into the infected machine, becomes
dormant for a day, and then reboots the machine.
Unlike Code-Red I, Code Red II is not memory
resident, so rebooting an infected machine does
not eliminate Code Red II.
Behavior
After rebooting the machine, the Code Red

II worm begins to spread. If the host infected
with Code Red II has Chinese (Taiwanese) or
Chinese (PRC) as the system language, it uses
600 threads to probe other machines. On all
other machines it uses 300 threads. Code Red
II uses a more complex method of selecting hosts
to probe than Code-Red I. Code Red II generates
a random IP address and then applies a mask
to produce the IP address to probe. The length
of the mask determines the similarity between
the IP address of the infected machine and the
probed machine.
On July 12, 2001, the Code-Red I worm

began to exploit the aforementioned buffer
overflow vulnerability in Microsofts IIS web
servers. Upon infecting a machine, the worm
checks to see if the date is between the first and
the nineteenth of the month. If so, the worm
generates a random list of IP addresses and
probes each machine on the list in an attempt to
infect as many computers as possible. However,
this first version of the worm uses a static seed
in its random number generator and thus
generates identical lists of IP addresses on each
infected machine.
On the 20th of every month, the worm is
programmed to stop infecting other machines
and proceed to its next attack phase in which it
launches a Denial-of-Service attack a g a i n s t
www.whitehouse.gov from the 20th to the 28th
of each month. The worm is dormant on days of
the month following the 28th.
The worm defaces some web pages with
the phrase Hacked by Chinese. There is no
evidence either supporting or refuting the
involvement of Chinese hackers with the CodeRed I worm. The first version of the Code-Red
worm (Code-Red I v1) caused little damage.
Although the worms attempts to spread itself
consumed resources on infected machines and
local area networks, it had little impact on global
resources.
On August 4, 2001, an entirely new worm,
Code Red II began to exploit the buffer-overflow
vulnerability in Microsofts IIS web servers.
Although the new worm is completely unrelated
to the original Code-Red I worm, the source code
of the worm contained the string Code Red II
118
The Code Red II worm is much more

dangerous than Code-Red I because Code Red
II installs a mechanism for remote, administratorlevel access to the infected machine. Unlike
Code-Red I, Code Red II neither defaces web
pages on infected machines nor launches a
Denial-of-Service attack. However, the backdoor
installed on the machine allows any code to be
executed, so the machines could be used as
zombies for future attacks (Denial-of-Service
or otherwise).
Detection Scheme
In this section, we first characterize the
spread of the Code Red I and Code Red II
worms, then examine the properties of the
infected host population, and finally determine
the rate at which infected hosts are repaired.
To determine the rate of host infection, we
recorded the time of the first attempt of each
infected host to spread the worm.
Deactivation Rate
During the course of a particular day, a few
initially infected machines were p atched,
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rebooted, or filtered and consequently ceased

to probe networks for vulnerable hosts. We
consider a host that was previously infected to
be inactive. The majority of hosts stopped
probing in the last hour before midnight UTC. At
midnight, the worm was programmed to switch
from an infection phase to an attack phase,
so the large rise in host inactivity is due to this
design. The end of day phase change can be
seen clearly, which shows the number of newly
inactive hosts per minute. Because the Code
Red II worm infects the same host population
as Code-Red I v2, we neither expected nor
measured an increase in the number of hosts
probing our network once the Code Red II worm
began to spread.
Fig 2: Cumulative total of deactivated Code-Red I

infected hosts.
We also monitored no significant difference

in the overall number of unsolicited TCP SYNs.
No change in probe rate is apparent following
the spread of Code Red II. Although Code Red
II uses six times as many threads to spread as
Code-Red I .Because our /8 network contained
no susceptible hosts, the net probe rate we
observe from Code Red II is the same as that of
Code-Red I. Thus, we cannot distinguish hosts
infected with Code Red II from those infected
with Code-Red I. In their October 2001 study,
Arbor Networks measured the ratio between
Code-Red I and Code Red II probes to be
1:3.This 1:3 ratio may indicate the ratio between
hosts infected with Code Red II versus Code
Red I.
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Fig 3: Rate of infected host deactivation in one minute

periods.
3. Slammer Worm
Slammer, also known as Sapphire, was one
of the smallest worms ever seen. It was found in
January 2003 targeting Microsoft SQL Server
2000 or MSDE 2000. Slammer uses UDP port
1434 to exploit a buffer overflow in an MS SQL
server. The code size is 376 bytes. Adding the
UDP header makes the worm 404 bytes long in
total. It uses a blind scan scheme where
randomly generated numbers are used as IP
addresses in searching for vulnerable hosts. To
initialize the random number generator, Slammer
uses the GetTickCount() function from Win32
API. Sometimes the random generator returns
values that are broadcast addresses, such as
a.b.c.255, and causes all the hosts in that
network to receive the worm packets, making the
spread of the Slammer worm more rapid. Like
most UDP worms, Slammer is self-carried and
has a monomorphic payload. Slammer does not
write to the disks of infected machines, it only
overloads the victim systems and slows down
traffic.
Behaviour
The worms spreading strategy uses
random scanning .It randomly selects IP
addresses, eventually finding and infecting all
susceptible hosts. Random-scanning worms
initially spread exponentially, but their rapid newhost infection slows as the worms continually
retry infected or immune addresses. Thus, as
with the Code Red worm, Slammers infectedhost proportion follows a classic logistic form of
initial exponential growth in a finite system.
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Detection Scheme
While Slammer spread nearly two orders of
magnitude faster than Code Red, it probably
infected fewer machines. Both worms use the
same basic scanning strategy to find vulnerable
machines and transfer their exploitive payloads.
However, they differ in their scanning
constraints. While Code Red is latency-limited,
Slammer is bandwidth-limited, enabling Slammer
to scan as fast as a compromised computer can
transmit packets or a network can deliver them.
For a random-scanning worm to be effective, it
needs a good source of random numbers to
select new attack targets. Slammers randomnu mber gen erator has so me interesting
deficiencies that make our analysis difficult and,
perhaps, have implications for future worms.
Slammer uses a linear congruent or power
residue, pseudo random number generation
(PRNG) algorithm.
These
algorithms take the form:

x' = (x a + b) mod m, where x is the new
pseudo random number to be generated, x is
the last pseudo random number generated, m
represents the range of the result, and a and b
are carefully chosen constants. Linear congruent
generators are very efficient and, with
appropriate values of a and b have reasonably
good distributional properties (although they are
not random from a sequential standpoint).
Slammers author intended to use a linear
congruent parameterization that Microsoft popularized,
mod 232.
However, we found two implementation
mistakes. First, the author substituted a different
value for the 2531011 increment value: hex
0xFFD9613C. This value is equivalent to
2531012 when interpreted as a twoscomplement decimal. So, it seems likely that the
conversion to a negative number was an error
(the author seems to have forgotten that creating
a negative number in twos complement requires
inverting and adding 1, not simply inverting), and
probably that the author intended to use the SUB
instruction to compensate for the resulting
negative number, but mistakenly used ADD
instead. The negative constant would be more
desirable in the code, as this would eliminate
any null (all zero) characters from the worms
code. The result is that the increment is always
120
even. The authors second mistake was to

misuse the OR instruction, instead of XOR, to
clear an important register. This error left the
registers previous contents intact.
These mistakes significantly reduce the
generators distribution quality. Because b is even
and the salt is always 32-bit aligned, the leastsignificant two bits are always zero. Interpreted
as a big-endian IP address (the most significant
value in the sequence is stored at the lowest
storage address), this ensures that the 25th and
26th bits in the scan address (the upper octet)
remain constant in any worm execution instance.
Similar weaknesses extend to the 24th bit of the
address, depending on the un cleared registers
value. Moreover, with the incorrectly chosen
increment, any particular worm instance cycles
through a list of addresses significantly smaller
than the actual Internet address space.
Thus, many worm instances will never
probe our monitored addresses because none
of them are contained in the worms scan cycle.
Combined with the size of our monitored address
space, 3 these mistakes prevent us from
accurately measuring the number of infected
hosts during the first minutes of the worms
x' =spread.
(x 214013 + 2531011)
Slammer will or will not include entire /16
address blocks (large contiguous address
ranges) in a cycle, because the last two bits of
the first address byte never change. We were
able to assemble lists of the address blocks in
each cycle for each value of the salt (cycle
structure depends on salt value). Fortunately, the
probability of choosing a particular cycle is
directly proportional to the size of the cycle if the
initial seed is selected uniformly at random.
If we looked at many randomly seeded
worms, it is likely that all Internet addresses
would be probed equally. Thus, we can
accurately estimate the worms scanning rate
during the infection process by monitoring
relatively small address ranges. We can estimate
the percentage of the Internet that is infected
because the probing will cover all Internet
addresses.
If not for the higher-quality numbers in the
initial seed, these flaws would prevent the worm
from reaching large portions of the Internet
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address space, no matter how many hosts were

infected. For the same reason, these flaws also
could bias our measurements because even
though our data come from several different
networks, there is a small chance that those
particular networks were disproportionately more
or less likely to be scanned.
3. Witty Worm
The Witty worm was released in March
2004, targeting buffer overflow vulnerability in
several Internet
Security Systems (ISSs),
including Real Secure Server Sensor, Real
Secure Desktop, and Black ICE. Witty took
advantage of a vulnerability of the ISS Protocol
Analysis Module (PAM) used for ICQ instant
messaging. Witty is a self-carried monomorphic
UDP worm that employs a blind target finding
scheme. It sends out UDP packets to 20,000
random generated IP addresses on random
destination ports from source port 4000, with a
random packet size ranging between 768 1307
bytes. The code size of Witty is only 637 bytes,
and the rest of the payload is padded with data
from system memory. This padding does not
change the monomorphic format of Witty. The
payload contains the text (^.^) insert witty
message here (^.^), which is why it is named
Witty. Witty randomly writes data onto the disk
of infected machines. It is harder to detect Witty
worms than worms with fixed size packets
targeting fixed destination port numbers because
of its random characteristics. The size of Witty
worms is larger than Slammer worms, but they
spread faster than Slammer. This proves that
size is not always the bottleneck for the
spreading of UDP worms. Another significance
of the Witty worm is that it was the first known
worms distributed using botnets.
Behavior
It was the first widely propagated Internet

worm to carry a destructive payload.
It started in an organized manner with an

order of magnitude more ground-zero hosts
than any previous worm.
It represents the shortest known interval

between vulnerability disclosure and worm
release. It began spreading the day after the
ISS vulnerability was publicized.
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It spread through a host population in which

every compromised host was proactive in
securing its computers and networks.
It spread through a population almost an

order of magnitude smaller than that of
previous worms, demonstrating worms
viability as an automated mechanism to
rapidly compromise machines on the
Internet, even in niches without a software
monopoly.
Detection Scheme
In this section, we in detail explain the
technical aspects of monitoring Witty worm.
Network telescope
Because Internet worm victims span diverse
geographic and topological locations, the overall
impact of a worm is difficult to measure from a
single viewpoint. The University of California, San
Diego (UCSD) Network Telescope consists of a
large piece of globally announced IPv4 address
space that we have instrumented to monitor
network security events. The telescope contains
almost no legitimate hosts, so inbound traffic to
nonexistent machines is always anomalous in
some way.
Because the network telescope c o n t a i n s
approximately 1/256th of all IPv4 addresses, we
receive roughly one out of every 256 packets
sent by an Internet worm with an unbiased
random number generator. Because we are
uniquely situated to receive traffic from every
worm-infected host, we provide a global view of
the spread of many Internet worms.
ISS vulnerability
Several ISS firewall products contain a
protocol analysis module (PAM) to monitor
application traffic. The PAM routine in version
3.6.16 of isspam1.dll analyzed ICQ server traffic
and assumes that incoming packets on port 4000
are ICQv5 server responses and that this code
contains a series of buffer overflow
vulnerabilities. eEye discovered this vulnerability
on 8 March 2004 and announced it with ISS 10
days later. ISS released an alert, warning users
of a possibly exploitable security hole and
providing updated software versions that were
not vulnerable to the buffer overflow attack.
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Witty worm details

Once Witty infects a host, the host sends
20,000 packets by generating packets with a
random destination IP address, a random size
between 796 and 1,307 bytes, and a destination
port. The packets small size ensures fast
transmission; as well, they are unlikely to be too
big, for any network segment that they traverse
, if they were too big, they would be broken into
smaller pieces in the network, which could slow
the spread of the worm. Because the Witty
packets sizes are random, they are more difficult
to filter than fixed sized packets and complicate
simple blocking measures that limit or prevent
the worms spread. If they had been a fixed size,
it would have been easier to quickly block Witty
traffic to limit or prevent the worms spread. The
worm payload of 637 bytes is padded with data
from system memory to fill the random size, and
a packet is sent out from source port 4000. After
Witty sends the 20,000 packets, it seeks out a
random point on the hard disk and writes
65kbytes of data from the beginning of isspam1.dll to the disk. After closing the disk, Witty
repeats this process until the machine is rebooted
or it permanently crashes.
comparison with existing representative detection

schemes.
An ideal system should use a combination
of schemes to have more comprehensive
coverage. Different detection schemes are useful
at different levels of implementation. This paper
lays the foundation for ongoing studies of smart
worms that intelligently adapt their propagation
patterns to reduce the effectiveness of
countermeasures.
REFERENCES
1.
Pele Li, Mehdi Salour, And Xiao Su, San Jose State
Uuniversity, A Survey of Internet Worm Detection
and Containment 1ST QUARTER 2008, VOLUME
10, NO. 1
2.
Wei Yu, Xun Wang, Prasad Calyam, Dong Xuan,

and Wei Zhao, Fellow, IEEE Transaction on
Dependable and Secure Computing, Vol 8, No. 3,
May/June 2011 Modeling and Detection of
Camouflaging Worm.
3.
D. Moore, C. Shannon, and J. Brown, Code-Red: A

Case Study on the Spread and Victims of an
Internet
Worm, Proc.
Second I n t e r n e t
Measurement Workshop (IMW), Nov. 2002.
4.
D. Moore, V. Paxson, and S. Savage, Inside the

Slammer Worm, Proc. IEEE Magazine of Security
and Privacy, July 2003.
5.
E. Spafford, The Internet Worm Program: An

Analysis, Comp.Commun. Rev., 1989.
6.
Morris (Computer Worm), retrieved July 2007,

http://en.wikipedia.org/wiki/Morris_wormM. Young,
The Technical Writers Handbook. Mill Valley, CA:
University Science, 1989.
7.
G. P. Schaffer, Worms and Viruses and Botnets,

Oh My! Rational Responses to Emerging Internet
Threats, IEEE Sec. & Privacy, vol. 4, 2006, pp. 52
58.
Table 1: Existing Internet Worm Implementations
Worm
Target
Findin
g
Schem
e
Blind
Propagatio
n Scheme
Transmissio
n Scheme
Morris
Self-carried
TCP
CodeBlind*
Self-carried
TCP
Red
Slamme
Blind
Self-carried
UDP
r
Witty
Blind
Botnet
UDP
*Code-Red II focused on local subnet scan
CONCLUSION
We studied a new class of worms, which
has the capability of self-propagation and further
avoid them by detection. Our investigation
showed that worms successfully propagate in the
time domain as well as frequency domain. Based
on observation, we identified various detection
schemes to detect them. Our evaluation data
showed that our schemes achieved superior
detection performance against the worms in
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SURVEY AND ANALYSIS OF CURRENT WEB USAGE MINING

SYSTEM AND TECHNOLOGIES
*VIGNESH V.1, K KRISHNAMOORTHY2
Research Scholar, Department of Computer Science & Engineering, Sai Nath University, Ranchi, India
2
Professor & Head, Department of Computer Science & Engineering , Sudarshan Engineering College,
Pudukkottai, Tamilnadu, India
1
*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 user
access patterns from one or more Web servers. This article provides a survey and analysis of
current Web usage mining systems and technologies. The paper also confers about the
procedure in which the web usage mining of the data sets is carried out. Finally the paper
concludes 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 mining
techniques to discover patterns from the Web.
According to analysis targets, web mining can
be divided into three different types, which are
Web usage mining, Web content mining and
Web structure mining. Web Mining is the
extraction of interesting and potentially useful
patterns and implicit information from artifacts or
activity related to the World Wide Web.
According to the differences of the mining
objects, there are roughly three knowledge
discovery domains that pertain to web mining :
web content mining, web structure mining, and
web usage mining. Web content mining is the
process of extracting knowledge from the content
of documents or their descriptions. Web content
mining is the process to discover useful
information from text, image, audio or video data
in the web. Web content mining sometimes is
called web text mining, because the text content
is the most widely researched area. Web
document text mining, resource discovery based
on concepts indexing or agent based technology
may also fall in this category. Web structure
mining is the process of inferring knowledge from
the World Wide Web Organization and links
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between references and referents in the Web.

Finally, web usage mining, also known as Web
Log Mining, is the process of extracting
interesting patterns in web access logs.
WEB USAGE MINING
Web usage mining is the type of web mining
activity that involves the automatic discovery of
user access patterns from one or more web
servers. Organizations often generate and collect
large volumes of data in their daily operations.
Most of this information is usually generated
automatically by web servers and collected in
server access logs.
Other sources of user information include
referrer logs which contains information about
the referring pages for each page reference, and
user registration or survey data.
Web Usage Mining is to mine data from log
record on web page. Log records lots of useful
information such as URL, IP address and time
and so on. Analyzing and discovering Log could
help us to find more potential customers and
trace service quality and so on. The web usage
mining is the process of applying the data mining
technology to the web data and is the pattern of
extracting something that the users are interested
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in their network behaviors. When people visit one

website, they leave some data such as IP
address, visiting pages, visiting time and so on,
web usage mining will collect, analyze and
process the log and recording data. Through
these, utilize some mathematical method to
establish users behavior and the interest
models, and use these models to understand
the users behavior, thus to improve the website
structure. Then it finally provides a better
characteristic information service for the user.
The content and structure of a Web site are used
as inputs to every major step of the process.
1. Content
The real data in the Web pages, that is, the
data the Web page was designed to convey to
the users. This usually consists of, but is not
limited to, text and graphics.
2. Structure
Data that describes the organization of the
content. Intra page structure information includes
the arrangement of various HTML or XML tags
within a given page. The principal kind of inter
page structure information is hyperlinks
connecting one page to another.
3. Usage
Data that describes the pattern of usage of
Web pages, such as IP addresses, page
references, and the date and time of accesses.
Typically, the usage data comes from an
Extended Common Log Format (ECLF) Server
log.
log file line has the following fields as shown
in figure
APPROACH OF WEB USAGE MINING
1. Requirement Analysis
cal order. The most popular log file formats are

the Common Log Format (CLF) and the extended
CLF. A common log format file is created by the
web server to keep track of the requests that
occur on a web site. A standard log file has the
following format as shown in figure
Remotehost Logname Username
Date
Request
Status
Bytes
Format of Standard Log File

i.
remote host is the remote host name or its IP

address,
ii. log name is the remote log name of the user,

iii. user name is the username as which the user
has authenticated himself,
iv. date is the date and time of the request,
v. request is the exact request line as it came from
the client,
vi. status is the HTTP status code returned to the
client, and
vii. bytes is the content-length of the document
transferred.
(b) Extended log file format
An extended common log format file is a
variant of the common log format file simply
adding 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 on

when they clicked to come to this page.
ii. User Agent is whatever software the visitor

used to access this site. Its usually a browser,
but it could equally be a web robot, a link
checker, a File Transfer Protocol (FTP) client
or an offline browser. The format of the
extended common log file line has the
following fields as shown in figure
Format of Extended Log File
Web access logs are the files that record

the users browsing information on the server.
Many kinds of formats are available for web log
files.
Format of Extended Log File
(a) Common web log format
A web server log file contains requests
made to the web server, recorded in chronologi124
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(c) Apache log file format
(2) Data preprocessing

Some databases are insufficient,
inconsistent and including noise. The data pretreatment is to carry on a unification
transformation to those databases. The result is
that the database will to become integrate and
consistent, thus establish the database which
may mine. In the data pre-treatment work, it
mainly include data cleaning, user identification,
session identification and path completion.
i. Data Cleaning
The purpose of data cleaning is to eliminate
irrelevant items, and these kinds of techniques
are of importance for any type of web log analysis
not only data mining. According to the purposes
of different mining applications, irrelevant records
in web access log will be eliminated during data
cleaning.
Apache Log File Format
An example of a record in web access log

stored in Apache log format is:
219.144.222.253 - - [16/Aug/2004:15: 36: 11+
0800]
GET/images/1_r3_c2.jpgHTTP/1.1 200
418 http://202.117.16.119:8089/index.html
Mozilla/4.0 (compatible; MSIE 6.0; Windows
NT 5.1)
STEPS IN WEB USUAGE MINING (WUM)
The web usage mining generally includes
the following several steps: data collection, data
pre-treatment, and knowledge discovery and
pattern analysis.
(1) Data collection
Data collection is the first step of web usage
mining, the data authenticity and integrity will
directly affect the following works smoothly
carrying on and the final recommendation of
characteristic services quality. Therefore it must
use scientific, reasonable and advanced
technology to gather various data. At present
towards web usage mining technology, the main
data origin has three kinds: server data, client
data and middle data (agent server data and
package detecting).
www.ijsir.co.in
Since the target of Web Usage Mining is to

get the users travel patterns, following two kinds
of records are unnecessary and should be
removed:
1) The records of graphics, videos and the
format information- The records have
filename suffixes of GIF, JPEG, CSS, and so
on, which can found in the URI field of the
every record
2) The records with the failed HTTP status
code- By examining the Status field of every
record in the web access log, the records
with status codes over 299 or under 200 are
removed.
It should be pointed out that different from
most other researches, records having value of
POST or HEAD in the Method field are reserved
in present study for acquiring more accurate
referrer information.
Fig. 1: High level Web Usage Mining process
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ii. User and Session Identification
(4) Pattern Analysis
The task of user and session identification

is to find out the different user sessions from the
original web access log. Users identification is,
to identify who access web site and which pages
are accessed. The goal of session identification
is to divide the page accesses of each user at a
time into individual sessions. A session is a
series of web pages user browse in a single
access. The difficulties to accomplish this step
are introduced by using proxy servers, e.g.
different users may have same IP address in the
log. A referrer-based method is proposed to
solve these problems in this study. The rules
adopted to distinguish user sessions can be
described as follows:
Challenges of Pattern Analysis is to filter

uninteresting information and to visualize and
interpret the interesting patterns to the user.
First delete the less significance rules or
models from the interested model storehouse;
Next use technology of OLAP and so on to carry
on the comprehensive mining and analysis; Once
more, let discovered data or knowledge be
visible; Finally, provide the characteristic service
to the electronic commerce website.
(a) The different IP addresses distinguish

different users;
(b) If the IP addresses are same, the different
browsers and operation systems indicate
different users;
(c) If all of the IP address, browsers and
operating systems are same, the referrer
information should be taken into account. The
Refer URI field is checked, and a new user
session is identified if the URL in the Refer
URI field hasnt been accessed previously,
or there is a large interval (usually more than
10 seconds) between the accessing time of
this record and the previous one if the Refer
URI field is empty;
(d) The session identified by rule 3 may contains
more than one visit by the same user at
different time, the time-oriented heuristics is
then used to divide the different visits into
different user sessions. After grouping the
records in web logs into user sessions, the
path completion algorithm should be used
for acquiring the complete user access path.
or the user communitys interests then
construct interest model. At present the
usually used machine learning methods
mainly have clustering, classifying, the
relation discovery and the order model
discovery. Each method has its own
excellence and shortcomings, but the quite
effective method mainly is classifying and
clustering at the present.
126
Fig. 2: Preprocessing of Web usage data
iii. Path completion

Another critical step in data preprocessing
is path completion. There are some reasons that
result in paths incompletion, for instance, local
cache, agent cache, post technique and
browsers back button can result in some
important accesses not recorded in the access
log file, and the number of Uniform Resource
Locators (URL) recorded in log may be less than
the real one. Using the local caching and proxy
servers also produces the difficulties for path
completion because users can access the pages
in the local caching or the proxy servers caching
without leaving any record in servers access log.
As a result, the user access paths are
incompletely preserved in the web access log.
To discover users travel pattern, the missing
pages in the user access path should be
appended. The purpose of the path completion
is to accomplish this task. The better results of
data pre-processing will improve the mined
patterns quality and save algorithms running
time. It is especially important to web log files,
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in respect that the structure of web log files are

not the same as the data in database or data
warehouse. They are not structured and
complete due to various causations. So it is
especially necessary to pre-process web log files
in web usage mining. Through data preprocessing, web log can be transformed into
another data structure, which is easy to be mined.
(3) Knowledge Discovery
Use statistical method to carry on the
analysis and mine the pre-treated data- We may
discover the user
WUM TOOLS
In the past, several WUM projects have
been proposed to foresee users preference and
their navigation behavior, as well as many recent
results improved separately the quality of the
personalization or the user profiling phase.
(1) Speed Tracer
In Speed Tracer, a usage mining and
analysis tool is described. Its goal is to
understand the surfing behavior of users. Also
in this case, the analysis is done by exploring
the server log entries. The main characteristic
of Speed Tracer is that it does not require
cookies or user registration for session
identification. In fact, it uses five kind of
information: IP, Time stamp, URL of the
requested page, Referral, and Agent to identify
user sessions. Advanced mining algorithms
uncover users movement through a Web site.
The final result is a collection of valuable
browsing patterns which help web masters better
understand users behavior. Speed Tracer
generates three types of statistics: user based,
path based and group based. User based
statistics pinpoint reference counts and durations
of accesses. Path based statistics identify
frequent traversal paths in Web presentations.
Group based statistics provide information on
groups of Web site pages most frequently visited.
(2) Suggest 3.0
SUGGEST 3.0 is a recommender system
aimed to provide the users with useful information
about pages they may find of their interest. The
personalization is achieved by means of a set of
dynamically generated page links. Differently
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from the recommender systems proposed so far,

SUGGEST 3.0 does not make use of any offline component, and is able to manage Web sites
made up of pages dynamically generated.
To this purpose SUGGEST 3.0 incrementally
builds and maintains historical information by
means of an incremental graph partitioning
algorithm, requiring no off-line component.
(3) Collaborative filtering
Collaborative filtering is the most successful
technology for building personalized
recommendation system and is extensively used
in many fields. Most web personalization
recommendation system adopt two types of
techniques: a content-based approach and a
collaborative filtering (CF) approach. In the
content-based approach, it recommends web
objects that are similar to what the user has been
interested in the past. In the collaborative filtering
approach, it finds other users that have shown
similar tendency to the given users and
recommends what they have liked. The
collaborative filtering recommendation acts
according to other users viewpoint to produce
recommendation tabulates to the goal user. Its
basic thought is based on a supposition: If user
grade to some product quite similarly, then they
grade to other product also similar.
(4) Web Personalizer
System which provides dynamic
recommendation, as a list of hyperlinks to users.
Analysis is based on the usage data combined
with structured data formed by hyperlinks of site.
Aggregated usage profile is obtained by applying
data mining technology in preprocessing phase.
The online phase considers the active user
session in order to find match among user
activities and discover usage profile. Matching
entries are then used to compute a set of
recommendations which will be inserted into last
requested page as a list of hypertext links. This
system helps in personalization.
(5) Classifying User Navigation Patterns
Using Longest Common Subsequence
Algorithm
Prediction of user future movements and
intentions based on the users click stream data
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is a main challenging problem in Web based

recommendation systems. Web usage mining
based on the users click stream data has
become the subject of exhaustive research, as
its potential for web based personalized services,
predicting user near future intentions, adaptive
Web sites and customer profiling is recognized.
This model provides online prediction through
web usage mining system and propose a novel
approach for classifying user navigation patterns
to predict users future intentions. The approach
is based on using longest common subsequence
algorithm to classify current user activities to
predict user next movement.
REFERENCES
1.
2. Discovering Task-Oriented Usage Pattern for Web

Recommendation, Guandong Xu, Yanchun Zhang,
Xiaofang Zhou, Proceedings of 17th Australasian
Database Conference (ADC2006). 17th Australasian
Database 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,Nasir

B Sulaiman A Recommender System Approach for
Classifying User Navigation Patterns Using Longest
Common Subsequence Algorithm , American Journal
of 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 Approach

for Online Recommender System in Web Usage Mining,
International Conference on Advance Computing Theory
and Engineering of IEEE, 2008.
6.
Research on Personalized Recommendation Based on

Web Usage Mining using Collaborative Filtering
Technique, Taowei Wang, Yibo Ren
7.
Page Interest Estimation Based on the Users Browsing

Behaviour, Bo-qin FENG, Feng WANG
CONCLUSION
Web Usage Mining (WUM) systems are
specifically designed to carry out the task by
analyzing the data representing usage data
about a particular Web Site. WUM can model
users behavior and, therefore, to forecast their
future movements. Online prediction is one web
usage mining application. Web usage mining
model is a kind of mining to server logs and its
aim is to get useful users access information in
logs to make sites that can perfect themselves
with pertinence, serve users better and get more
economical benefit.
128
R.Lakshmipathy, V.Mohanraj, J.Senthilkumar, Y.Suresh,

Capturing Intuition of Online Users using Web Usage
Mining, International Conference on Advance
Computing of IEEE,2009.
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STUDY OF DATA MINING ALGORITHM IN CLOUD

COMPUTING USING MAP REDUCE FRAMEWORK
1
*E. GAJENDRAN1, K P YADAV2

Research Scholar, Sunrise University, Alwar, Rajasthan, India
2
Director, MIET, Greater Noida , Uttar Pradesh, India
*Address for correspondence : E. Gajendran,
Research Scholar, Sunrise University, Alwar,
Rajasthan, India
ABSTRACT
Todays Cloud Computing Technology has been emerged to manage large data sets efficiently
and due to rapid growth of data, large scale data processing is becoming a major point of
information technique. The Hadoop Distributed File System (HDFS) is designed for reliable
storage of very large data sets and to stream those data sets at high bandwidth to user
applications. In a large cluster, hundreds of servers both host directly attached storage and
execute 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 has
been widely used for large-scale data analysis in the Cloud. Hadoop is an open source
implementation of Map Reduce which can achieve better performance with the allocation of
more compute nodes from the cloud to speed up computation; however, this approach of renting
more nodes isnt 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 created
every day so with this rapid explosion of data we
are moving towards the terabytes to petabytes.
This trend creates the demand for the
advancement in data collection and storing
technology. Hence there is a growing need to
run data mining algorithm on very large data sets.
Cloud computing is a new business model
containing pool of resources constituting large
number of computers. It distributes the
computation task to its pool of resources so that
applications can obtain variety of software
services on demand. Another feature of cloud
computing is that it provides unlimited storage
and computing power which leads us to mine
mass amount of data.
Hadoop is the software framework for writing
applications that rapidly process large amount
of data in parallel on large clusters of compute
nodes. It provides a distributed file system and a
framework for the analysis and transformation
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of very large data sets using the Map Reduce

paradigm. The volume of data, collectively called
data-sets, generated by the application is very
large. So, there is a need of processing large
data-sets efficiently.
Map Reduce is a generic execution engine
that parallelizes computation over a large cluster
of machines. An important characteristic of
Hadoop is the partitioning of data and
computation across many hosts, and executing
application computations in parallel close to their
data. A Hadoop cluster scales computation
capacity, storage capacity and IO bandwidth by
simply adding commodity servers.
Big data has been used to convey the all
sorts of concepts, including huge quantities of
data (with respect to volume, velocity, and
variety), social media analytics, next generation
data management capabilities, real-time data,
and much more. Now organizations are starting
to understand and explore how to process and
analyze a vast array of information in new ways.
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Data mining is the process of finding

correlations or patterns among fields in large data
sets and building up the knowledge-base, based
on the given constraints. The overall goal of data
mining is to extract knowledge from an existing
dataset and transform it into a human
understandable structure for further use. This
process is often referred to as Knowledge
Discovery in data sets (KDD). It encompasses
data storage and access, scaling algorithms to
very large data sets and interpreting results. The
data cleansing and data access process included
in data warehousing facilitate the KDD process.
Based on the increasing demand for parallel
computing environment of cloud and parallel
mining algorithm, we study different mining
algorithms. Association rule based algorithm,
Apriori algorithm, is improved in order to combine
it with the Map Reduce programming model of
cloud and mine large amount of data. With
emerging trends in Cloud Computing, data
mining enters a new era, which can have a new
implementation. We can use cloud computing
techniques with data mining to reach high
capacity and efficiency by using parallel
computational nature of the cloud. As Map
Reduce provides good parallelism for the
computation, its very suitable for us to implement
data mining system based on Map Reduce.
In a distributed computing environment,
bunch of loosely coupled processing nodes are
connected by the network. Each node contributes
into the execution or distribution / replication of
data. It is referred as a cluster of nodes. There
are various methods of setting up a cluster, one
of which is usually referred to as cluster
framework. Such frameworks enforce the setting
up processing and replication nodes for data.
Examples are Aneka and Apache Hadoop (also
called Map / Reduce). The other methods involve
setting up of cluster nodes on ad-hoc basis and
not being bound by a rigid framework. Such
methods just involve a set of API calls basically
for remote method invocation (RMI) as a part of
inter-process communication.
The method of setting up a cluster depends
upon the data densities and upon the scenarios
listed below:
130
1. The data is generated at various locations

and needs to be accessed locally most of
the time for processing.
2. The data for processing is distributed to the
machines in the cluster to reduce the impact
of any particular machine being over
loaded that damages its processing.
RELATED WORK
Distributed Data Mining in Peer-to-Peer
Networks (P2P) [1] offers an overview of the
distributed data-mining applications and
algorithms for peer-to-peer environments. It
describes both exact and approximate distributed
data-mining algorithms that work in a
decentralized manner. It illustrates these
approaches for the problem of computing and
monitoring clusters in the data residing at the
different nodes of a peer- to-peer network. This
paper focuses on an emerging branch of
distributed data mining called peer-to-peer data
mining. It also offers a sample of exact and
approximate P2P algorithms for clustering in such
distributed environments.
Architecture for data mining in distributed
environments [2] describes system architecture
for scalable and portable distributed data mining
applications. This approach presents a document
metaphor called \e mph {Living Documents} for
accessing and searching for digital documents
in modern distributed information systems. The
paper sdescribes a corpus linguistic analysis of
large text corpora based on collocations with the
aim of extracting semantic relations from
unstructured text.
Distributed Data Mining of Large Classifier
Ensembles [3] presents a new classifier
combination strategy that scales up efficiently
and achieves both high predictive accuracy and
tractability of problems with high complexity. It
induces a global model by learning from the
averages of the local classifiers output. The
effective combination of large number of
classifiers is achieved this way.
Map-Reduce for Machine Learning on Multi
core [4] discusses the ways to develop a broadly
applicable parallel programming paradigm that
is applicable to different learning algorithms. By
taking advantage of the summation form in a
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P-ISSN 2347-2189, E- ISSN 2347-4971
map-reduce framework, this paper tries to

parallelize a wide range of machine learning
algorithms and achieve a significant speedup on
a dual processor cores.
STUDY OF DATA MINING ALGORITHMS
A. K-Means Clustering
The K-mean clustering algorithm [7] is used
to cluster the huge data set into smaller cluster.
In data mining, k-means clustering is a
method of cluster analysis which aims to partition
observations into k clusters in which each
observation belongs to the cluster with the
nearest mean. The problem is computationally
difficult (NP-hard), however there are efficient
heuristic algorithms that are commonly employed
and converge fast to a local optimum. These are
usually similar to the expectation-maximization
algorithm for mixtures of Gaussian distributions
via an iterative refinement approach employed
by both algorithms. Additionally, they both use
cluster centers to model the data, however kmeans clustering tends to find clusters of
comparable spatial extent, while the expectationmaximization mechanism allows clusters to have
different shapes. The most common algorithm
uses an iterative refinement technique. Due to
its ubiquity it is often called the k-means
algorithm; which is also referred to as Lloyds
algorithm, particularly in the computer science
community.
1. Algorithm
Given an initial set of k means m1 (1)
mk (1),
The algorithm proceeds by alternating
between two steps:
1. Assignment step: Assign each observation
to the cluster with the closest mean.
2. Update step: Calculate the new means to be
the Centroid of the observations in the cluster.
In the beginning we determine number of
cluster K and we assume the centroid or center
of these clusters. We can take any random
objects as the initial centroids or the first K object
in sequence can also serve as the initial
centroids.
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Then the K means algorithm will do the three

steps below until convergence. Iterate until
stable:
1. Determine the centroid coordinate
2. Determine the distance of each object to the
centroids
3. Group the object based on minimum distance
2. Euclidean distance:
In mathematics, the Euclidean distance or
Euclidean metric is the ordinary distance
between two points that one would measure with
a ruler, and is given by the Pythagorean formula.
By using this formula as distance, Euclidean
space (or even any inner product space)
becomes a metric space. The Euclidean distance
between points p and q is the length of the line
segment connecting them. In Cartesian
coordinates, 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 is
given by:
2
d(p,q) = d(q,p) = v(q1-p1) + (q2-p2) +
..
+(qn-pn)
B. Apriori
Apriori [7] is one of the key algorithms to
generate frequent item sets. Analyzing frequent
item set is a crucial step in analyzing structured
data and in finding association relationship
between items. This stands as an elementary
foundation to supervised learning Association
It aims to extract interesting correlations,
frequent patterns associations or casual
structures among sets of items in the transaction
databases or other data repositories and
describes association relationship among
different attributes.
Finding Frequent Item set by using Apriori
data mining algorithm:
Require: Items I = {i1, i2, . . . , in}, dataset
D, user-defined support threshold
Ensure: F(D_) := Frequent sets from D
w.r.t. that particular threshold
1:
2:
3:
C1 := {{i}| i 2 I} //Start with singleton sets

k := 1
while Ck 6= {} do
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4:
5:
6:
7:
8:
9:
10:
11:
//Pruning Part
for all transactions (tid, I) 2 D do
for all candidate sets X 2 Ck do
if X _ I then
support(X) + +
end if
end for
end for //Computes the supports of all
candidate
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 following
steps:
1. Generate Ck+1, candidates of frequent item
sets of size k +1, from the frequent item sets
of size k.
2. Scan the database and calculate the support
of each candidate of frequent item sets.
3. Add those item sets that satisfy the minimum
support 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 k1 elements
in common.
Qk = {item l, . . . , itemk1, item k , RK+1 = Pk
temk_ }
Qk = {i teml , i tem2, . . . , i temk1, i temk_ }

b. Prune step: Check if all the item sets of size
k in Rk+1 are frequent and generate Ck+1 by
removing those that do not pass this requirement
from Rk+1. This is because any subset of size k
of Ck+1 that is not frequent cannot be a subset
of a frequent item set of size k + 1.
Function subset in line 5 finds all the
candidates of the frequent item sets included in
transaction t. Apriori, then, calculates frequency
only for those candidates generated this way by
scanning the database. It is evident that Apriori
scans the database at most kmax+1 times when
the maximum size of frequent item sets is set at
kmax .
The Apriori achieves good performance by
reducing the size of candidate sets. However, in
situations with very many frequent item sets,
large item sets, or very low minimum support, it
still suffers from the cost of generating a huge
number of candidate sets.
RESEARCH METHODOLOGY
A. Cloud computing
It consists of shared computing resources
which are opposed to local servers or devices.
Users [6] can pay on the basis of resource usage
as timely basis. The major goal of cloud
computing is to provide easily scalable access
to computing resources and IT(Information
Technology) services for achieving better
performance. Cloud computing basically
provides three different types of service based
architectures are SaaS, PaaS, and IaaS.
i. SaaS (Software as-a-service): It offers
application as a service on the internet.
ii. PaaS (Platform as-a-service): This is to be
used by developers for developing new
applications.
iii. IaaS (Infrastructure as-a-service): It
basically deals by providers to provide
features on-demand Utility.
Table 1 : Feature Comparison of Commercial
Pk = {i teml , i tem2, . . . , i temk1, i temk }
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Offerings for Cloud Computing.
Properties
Amazon
EC2
Service Type
IaaS
Support for (value

offer)
Compute/
Storage
Value added
service provider
Yes
User Access
Interface
Virtualization
Platform
(OS & runtime)
Google
App
Engine
IaaS
PaaS
Compute
(web applications)
Microsoft Manjras
oft
Azure
Aneka
IaaS - PaaS
PaaS
Compute
Compute
Yes
Yes
Yes
Web API
Command
Line
Tool
OS on Xen
Hypervisor
Web API
Command
Line Tool
Azure Web
Portal
Application
Container
Service
Container
Linux,
Windows
Linux
.NET on
Windows
Web apps
Deployment model Customizabl (Python,
VM
Java, Ruby)
If PaaS, ability to
deploy on 3rd party
N.A.
No
IaaS
Azure
Services
Web
APIs,
Custom
GUI
Service
Container
.NET on
Window
s, Mono
Linux
Applicatio
ns (C#,
C++, VB)
No
Yes
1) Map step : The master node takes the

input, divides it into smaller sub-problems, and
distribute them to worker nodes. A worker node
may do this again, leading to a multi-level tree
structure. The worker node processes the smaller
problem, and passes the answer back to its
master node.
2) Reduce step : The master node then
collects the answers to all the sub-problems and
combine them in some way to form the output
the answer to the problem it was originally trying
to solve.
B. Map Reduce
Map Reduce [5] is a programming model for
processing large data sets, and the name of an
implementation of the model by Google. Map
Reduce is typically used to perform distributed
computing on clusters of computers. The model
is inspired by map and reduces functions
commonly used in functional programming,
although their purpose in the Map Reduce
framework is not the same as their original forms.
Map Reduce libraries have been written in many
programming languages. A popular free
implementation is Apache Hadoop.
Map Reduce is a framework for processing
the parallelizable problems across huge datasets
using a large number of computers (nodes),
collectively referred to as a cluster (if all nodes
are on the same local network and use similar
hardware) or a grid (if the nodes are shared
across geographically and administratively
distributed systems, and use more
heterogeneous hardware). Computational
processing can occur on data stored either in a
file system (unstructured) or in a database
(structured). Map Reduce can take advantage
of locality of data, processing data on or near
the storage assets to decrease transmission of
data.
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Fig. 1: EXE CUTION OVER VIEW
Data flow of the system is given below; the

frozen part of the Map Reduce frame work is
a large distributed sort. The above figure
consists of Following parts:
a) Input reader: It divides the input into
appropriate size (in practice typically 64 MB to 5
12 MB as pe HDFS) and the framework assigns
o e split to on Map function. The input reader
reads the data from stable storage (typically a in
our case Hadoop distributed file system) and
generates key/value pairs
b) Map function : Each Map function takes
a series of key/value pairs, processes each, and
generates zero or more output key/value pairs.
The input and output types of the map can be
and often are) different from each other.
c) Partition function: Each Map function
output is allocated to a particular reducer by the
application partition function for sharing
purposes. The partition function is given the key
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and the number of reducers and returns the index

of desired reduce.
d) Comparison function: The input for every
Reduce is fetched from the machine where
the Maprun and sorted using the applications
comparison function.
e) Reduce function: The framework cal ls
the applications Reduce function for each
unique key in the sorted order. It also iterates
through the values that are associated with
that key and produces zero or more outputs.
f)
Output writer: It writes the output of the

Reduce function to stable storage, usually a
Hadoop distr ibuted file system.
As an example, the illustrative problem of

counting the average word length of every word
occurrences in a large collection of documents
in Map Reduce is represented as following: The
input key/value to the Map function is a document
name, and its contents. The function scans
through the document and emits each word plus
the associated word length of the occurrences
of that word in the document. Shuffling groups
together occurrences of the same word in all
documents, and passes them to the Reduce
function. The Reduce function sums up all the
word length for all occurrences. Then divides it
by the count of that word and emits the word and
its overall average word length of every word
occurrences.
Example: Consider the problem of counting
the average word length in a large collection of
documents. The user would write code similar to
the following pseudo-code:
Here, each document is split into words, and

each word length is counted by the map function,
using the word as the result key. The framework
puts together all the pairs with the same key and
feeds them to the same call to reduce, thus this
function just needs to sum all of its input values
to find the total appearances of that word. Then
for finding average word length we divide the sum
by the count of that word.
CONCLUSION
There are many new technologies emerging
at a rapid rate, each with technological
advancements and with the potential of making
ease in use of technology. However, one must
be very careful to understand the limitations and
security risks posed in utilizing these
technologies. Neither Map Reduce-like software,
nor parallel databases are ideal solutions for data
analysis in the cloud. Hybrid solution that
combines the fault tolerance, heterogeneous
cluster, and ease of use out-of-the-box
capabilities of Map Reduce with the efficiency,
performance, and tool plug ability of sharednothing parallel systems could have a significant
impact on the cloud market. We will work on
bringing together ideas from Map Reduce and
data mining algorithms, also to combine the
advantages of Map Reduce-like software with the
efficiency and shared work advantages that come
with loading data and creating performance
enhancing data structures.
REFERENCES
1.
SouptikDatta, KanishkaBhaduri, Chris Giannella, Ran

Wolff, and HillolKargupta, Distributed Data Mining in
Peer-to-Peer Networks, Universityof Maryland,
Baltimore County, Baltimore, MD, USA, Journal
IEEEInternet Computing archive Volume 10 Issue 4,
Pages 18 - 26, July 2006.
2.
MafruzZamanAshrafi, David Taniar, and Kate A. Smith,

A Data MiningArchitecture for Distributed
Environments,
pages
27-34,
SpringerVerlagLondon,UK, 2007.
3.
GrigoriosTsoumakas and IoannisVlahavas, Distributed

Data Mining ofLarge Classifier Ensembles, SETN2008, Thessaloniki, Greece, Proceedings, Companion
Volume, pp. 249-256, 11-12 April 2008.
4.
Cheng-Tao Chu et. al., Map-Reduce for Machine

Learning on Multicore,CS Department, Stanford
University, Stanford, CA, 2006.
function map(String key, String value): //

key: document name
//value: document contents for each word
w in value: Emit Intermediate(w, word length);
function reduce(String key, Iterator values)
// key: word
// values: list of counts
double sum = 0, count =0, result=0;
for each v in values:
sum += ParseInt(v); count++;
result = sum / count;
Emit(w, As Double(result));
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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 in

the Cloud: Limitations and Opportunities, Bulletin of
the IEEE Computer Society Technical Committee on
Data Engineering 2009
7.
Top 10 algorithms in data mining, Springer-Verlag

London Limited 2007
8.
James l. Johnson, SQL in the Clouds, IEEE journal

Cloud Computing, 2009.
www.ijsir.co.in
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A DHT ORIENTED PEER TO PEER NETWORK WITH NEW

HASH FUNCTION
1
*VIVEK SAINI1, K P YADAV2

2
Director, MIET, Greater Noida , Uttar Pradesh, India
*Address for correspondence : Vivek Saini, Research Scholar, Department of Computer Science &
ABSTRACT
Now a days P2P networks are widely used for voice and video communications and also in
many transactions like file sharing. In P2P networks DHT (Distributed Hash Table) oriented
routing 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 and
searches the responsible nodes for the particular key. In this paper the core focus is targeted to
identify a new hash function that can enhance the working of DHT by generating a new identifier
for p2p nodes. The Chord protocol is also chosen as the routing protocol for the numerous
reasons those are conferred in this paper.
Keywords: P2P Networks, Distributed Hash Tables, Hash Functions ,Cryptography, Key
Distribution Center
INTRODUCTION
To find the resources rapidly in decentralized
distributed systems, DHT protocols are very
suitable for searching the contents efficiently. In
a distributed system, resources like any type of
file, several messages and directories, or various
contents can be backed up or fetch from the any
nodes at anytime. DHT has a collection of joining
nodes, wherever every node have small
information of other nodes to make the difference
to each other in the system and also has a route
searching requests to identify a best path to move
towards an appropriate target[1].
Message integrity is among the major
requirements in many network protocols that we
use today. As, today transmission on any network
is achieved at very high speed, the processing
for encryption, authentication and integration
must also be done at very high speed. Currently,
many hash functions are being used for this
purpose, say- MD4[2], MD5 [3] and SHA-1[4], Tiger,
Whirlpool etc.. These hash functions are oneway hash functions, in the sense that original
136
input message can not be obtained back from

the hash value generated from it. In general,
Hash Function is defined as a function that takes
arbitrary length input and produces output of fixed
length, which is known as hash value or the
message digest [5]. For a hash function to be
useful for network security, it is desirable to have
no two different input messages for which the
digest is same.
Almost all major cryptographic protocols
depend on the security of hash functions [3].
Although, there is a variety of hash functions
available in the market, only MD5 [4] and SHA-1
[5]
are widely used all over the world. Both hash
functions are derived from MD4 [6], which has
been proven to be weak. It therefore says that
all functions based on MD4 may have common
weaknesses. In P2P network every resource is
associated with a key, with the help of that key,
DHT can find the responsible node for the linked
resource rapidly usually in O (log n) hops, here
n is the quantity of nodes in the peer to peer
network.
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There are various DHT protocols like CAN[8],

Chord[9], and Pastry[10] but in this paper Chord is
targeted protocol on which new hashing will be
applied.
DESIGN CONSIDERATIONS FOR THE NEW
HASH FUNCTION
For message integrity, the hash function
should be fast and one-way functions, that is, it
should be practically impossible to find the input
message from the digest. This feature gives
security against data modification by adversary,
but, message integrity alone does not guarantee
sufficient security against few of the attacks [7].
For example, general error detecting codes are
not sufficient enough because, if the adversary
knows algorithm for generating the code, he can
easily generate the correct hash code again after
forging the message. Intentional modification is
undetectable with such codes. i. e. suppose a
sender sends the message M along with its hash
value h, and intruder changes this message M
into M, he also intercepts h and calculates h for
new message M, and transmits it to the receiver.
When receiver will recalculate hash on M it will
result in verified one, which is not true. However,
encryption techniques, that use a key, can be
used to produce a cryptographic checksum that
can protect against both accidental and
intentional modification in message, and
unauthorized data modification also. A hashing
scheme can be made more secured and strong
by combining it with a block cipher encryption
algorithm either symmetric or asymmetric. The
function h is defined such that h(M) can be
calculated from the message M easily, but if only
h(M) is known, finding even one message M that
will generate this value is difficult. Moreover,
calculating another message M that produces
the same hash value, i.e., h(M) = h(M), must be
infeasible. The hash value may then be given to
encryption function, whose key is known to
sender for final calculations of keyed hash. The
corresponding key will be used by the receiver
to invert the transformation and restore the value
h(M). At the receiving end, the function his
applied to the received message M, and the two
values of h(M) are compared. The message is
considered original and unaltered if the two
values are equal.
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Designing and implementing a new keyed

hash function includes two constructs- a
compression function that operates on input
strings of a fixed length and then to use the
cascade function to extend the compression
function to string of arbitrary length[10].
P2P ROUTING ALGORITHM (CHORD)
Each resource has a key linked with it. Given
a key, a DHT can quickly locate the node
responsible for the associated resource, typically
within O (log n) hops, where n is the total quantity
of nodes in the system.
In Chord, both nodes and keys are given
numerical identifiers. The identifier for a key is
obtained by hashing that key with some hash
function that is used by all of the nodes in the
system which returns integers of some bit length
m. A node is assigned an identifier by hashing
its IP address. Nodes and keys are then arranged
in an identifier ring modulo 2m. Each keys value
is stored on the first node with an identifier equal
to or following that keys identifier in the ring [8].
This aspect is illustrated in following Figure
1.In the Chord ring; the hash bit length m is 6.
There are 10 nodes in the network (shown with
N prefixes followed by the nodes identifier) and
5 keys (shown with K prefixes followed by the
keys identifier) are being stored. Each key is
shown being stored on the first node that
succeeds the keys identifier in the ring, as
indicated by the arrows. In order to find nodes
that are responsible for keys, each node has to
store some routing information.In Chord, this
routing table is called a finger table. The Chord
finger table for a node with identifier id contains
m entries, numbered from 0 to m-1. For finger
table entry i, the node stored in that entry is the
first node whose identifier succeeds id + 2i (mod
2k). It is possible (and often probable) to have
duplicate entries in the finger table.
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distance between the node doing the routing and

the node responsible for the key. This divide and
conquer approach to routing lookup requests has
been shown by [8] to use O (log n) hops for each
route. The algorithm for routing a lookup request
from a node is simple: forward the request to the
last finger table entry that precedes the identifier
of the key. The node preceding the destination
node will detect that the key falls between itself
and its successor and return information about
its successor to the node performing the lookup.
Figure 1: The Chord Ring
Figure 3: An example of route taken by a lookup in a

Chord network [8]
Figure 2: The Chord Ring with Finger Table
Figure 2 shows a sample finger table with

an illustration of how the finger table is derived
for node N8. N8s last finger table entry should
be the node that succeeds 8+25. This node is
N42, so a reference to N42 is stored in the last
finger table entry of N8s finger table. The rest of
the finger table entries are filled in with the same
process for i =0, 1, 2, 3, and 4. As figure 2
illustrates, each node only has information about
a subset of the nodes in the overall system. As
the system gets much larger, the number of
unique nodes in each nodes finger table
becomes a smaller fraction of the overall number
of nodes. The size of the finger table has been
shown by [8] to be O (log n) where n is the number
of nodes in the system. The advantage of the
finger table is that when performing a lookup the
request can jump about half of the remaining
138
Figure 3 shows an example of the route a

lookup request might take through a Chord
network. In this figure, N8 is performing a lookup
request for key K54.
CURRENT SCENARIO FOR HASH FUNCTION
WITH KEY COMBINATION
We assume that two parties A and B wish to
communicate with each other, and for message
integrity they may use any available hash function
such as SHA family or MD family. At the time of
session establishment, a user A, may generate
random 512-bit value, HSH, A then sends this
HSH to the second party in communication, B, in
secret manner. This secret key may be further
used for keyed Hash Function in any of the
following two ways [11]:
Similar problems arise with suffix technique.
Still, secret suffix is secure with respect to
padding attacks. This is because a message
digest is computed with a secret suffix as the last
input block. Without knowing the secret, the
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P-ISSN 2347-2189, E- ISSN 2347-4971
adversary cannot, with any surety, append (or

prepend) to the message. One major
disadvantage of the secret suffix is that it is prone
to Birthday attack. In brief, this attack consists of
the intruder generating a message trial pool of
size R and recording a sample pool of genuine
messages of size S. The probability of at least
one message in a trial pool hashing to the same
MD5 value as one of the messages in the sample
pool is roughly expressed by P = (R * S/N) where
N is the range (N = 2128 in our case) . According
to the Birthday paradox, there is a 50% chance
of two messages hashing to the same MD5 value
for R = 264 and S = I.
a) Secret Prefix Method- When A needs to
send a message M to receiver B, A prefixes
the random 512 bit value HSH to message
and 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 recompute MD5 (HSH||M) and verify
h. This is known as prefix technique.
original messages, the adversary needs only the

intermediate hash value of HSH, i .e. MD5(HSH).
If, the MD5(HSH) is 128 bits long, the number of
operations required to find MD5(HSH) is
computationally 2128.
One more drawback of the secret prefix

method is its vulnerability to padding attacks. A
padding attack is successful when the adversary
is able to either prepend or append few extra
bits to an authentic message and pass the
resulting message off as original one. An
adversary can capture a message M along with
its secret prefix-based check MD5(HSH||M). He
can then append arbitrary data, M, to the end of
M and compute the digest of the resulting
message, using MD5(HSH||M) as the
initialization value. The legitimate receiver is then
fooled into accepting the fraudulent message
because the accompanying secret prefix value
is correct. [12]
b) Secret Suffix Method- When A needs to

send a message M to receiver B, A postfixes
512 bit value HSH to message and calculates
the digest for this combination. It can be
represented as h= MD5(M||HSH) and sends
this h to B. Since B possess HSH, it can recompute MD5(M||HSH) and verify h. This is
known as suffix technique.
PROPOSED KEYED HASH SOLUTION
There could be numerous solution to the
above scenario and thus to strengthen previous
designs. Few of such solutions may be to
increase the number of rounds (as in MD5); add
some coding or scrambling steps (as in SHA-1);
increase the buffer size and make the mixing step
vary with each round. An example of such an
assumption is any ideal-cipher model that uses
a key.
An adversary who wishes to discover the
secret prefix would first record a message M
accompanied by its integrity value,
MD5(HSH||M). He would then need to try on the
average 2128 possibilities before discovering a
prefix string S where S = HSH.
But these methods are not resistant to
attacks. To possess the goal of composing
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Figure 4: Proposed Hash function algorithm for

identifier of resource key generation.
Building hash functions based on block

ciphers is the most popular and established
approach till date. In this approach, the hash
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compression function is a block-cipher with its

two inputs representing a message block and a
key. At present, a protocol requiring 2128
operations to defeat is considered strong and
secure. Nevertheless, it is conceivable that a
need for stronger protocols may arise in the
future. This paper proposes integration of a keyed
encryption function such as DES along with hash
function such as MD5. Because the keyed
encryption function such as- DES works on
Symmetric Key Cryptography, both sender and
receiver work on the same key. This common
key is shared between them using an encrypted
link between them by Key Distribution Center
(KDC) [11]. It is responsibility of KDC to send the
common session key to both parties involved in
communication, using their corresponding public
keys. As, only these parties possess their private
keys, so other user in the network may decode
and use this session key. No other user, apart
from KDC and both parties, involved in the
message transmission, has any idea of the
shared secret key. Thus, it may validate source
identity, as receiver is now having the key that
same as that of senders key.
In this solution, the working of hash function
HF is integrated with encryption function EF. The
output of hash operation in each block will be
used as input for encryption function. The hash
function HF gives output of 128 bits and the
encryption function EF accepts input block of 64
bits at a time. So, first, the output of HF is divided
into two blocks each of 64 bit long, first with left
64 bits and second with right 64 bits. Then apply
EF on both blocks respectively. The output will
be again of 64 bit (total of 128 bit). This overall
128 bit output will then be used as 128 bit CVq
for 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 value
B2= Right 64 bits of output of HF digest value K=
EF key.
The proposed algorithm may be stated in
figure 4.
140
The overall processing with this scheme is

shown in the Figure 5.
The strength of this variant is difficult to
estimate. The only observation that can be made
with certainty is that it is stronger than using only
MD5, MD4 or SHA family hash function. The brute
force attack on this method requires, on the
average, 2196 trials. (Assuming that the intruder
has perform attack that equivalent to both attack
on 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 the
packets in P2P networks. Careful and secure
identification of a machine in p2p network is very
challenging in such type of distributed network.
Security may be provided using message
integration and authentication techniques
between peers. The paper proposed involvement
of a newly designed hash technique that makes
use of a key while hashing. This key is the main
reason behind authenticity of message between
peer entities.
REFERENCES
1.
A. Saroliya, U Mishra, A. Rana. A pragmatic analysis

of peer to peer networks and protocols for security
and confidentiality, IJCCR. Volume 2 (6), November
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2.
R.L. Rivest. MD4 Message Digest Algorithm. RFC

1186, October 1990.
3.
R. Rivest. The MD5 Message-Digest Algorithm. RFC

1321, April 1992.
4.
National Institute of Standards and Technology, U.S.

Department of Commerce. Secure Hash Standard,
2002. FIPS PUB 180-2.
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P. Rogaway, T. Shrimpton. Cryptographic Hash Function Basics: Definitions, Implications, and

Separations for Preimage Resistance, SecondPreimage Resistance, and Collision Resistance.
Springer-Verlag 2004.
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M. Stanek. Analysis of Fast Block Cipher Based Hash

Function. Computational Science and its Applications.
2006, vol- 3982/2006, pp- 426-435. DOI: 10.1007/
11751595_46.
J. Walker, M. Kounavis, S.Gueron, G.Graunke, Recent
Contribution to Cryptographic Hash Function, Intel
Technology Journal, 2009, Vol 13, issue 2, pp 80-95.
Sylvia Ratnasamy, Paul Francis, Mark Handley,
Richard Karp, Scott Shenker, A Scalable Content
Addressable Network,
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SIGCOMM01, ISSN:0146-4833, Volume 31,
Number 4, San Diego, California, USA, pp. 161172,
August 27-31, 2001
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I. Stoica, R. Morris, D. Karger, M. F. Kaashoek, and

H. Balakrishnan, Chord: A scalable peer-to-peer
lookup service for Internet applications, In: Proc. ACM
SIGCOMM01, San Diego, California 2001.
10.
R. Antony, D.
Peter,
Pastry:
Scalable,
Decentralized Object Location, and Routing for LargeScale Peer-to-Peer Systems, In Proc. of IFIP/ACM
International Conference on Distributed Systems
Platforms, ISBN:3-540-42800-3, Heidelberg,
Germany, pp. 329350, Nov. 2001
11.
L. Harn and C. Lin, Authenticated Group Key Transfer

Protocol Based on Secret Sharing. Computers, IEEE
Transactions on, June 2010, vol 59, issue- 3, pp-842846.
12.
G. Tsudik, Message Authentication with One-Way

Hash Fnctions, Newsletter, ACM SIGCOMM Computer
Communication, Volume 22, Issue 5, Oct.1992 pages
29-38.
13.
B. Preneel, P.C. Van Oorschot, On the security of

iterated Message Authentication Codes, IEEE
Transactions on Information Theory, Vol. 45, No. 1,
January 1999, pp. 188-199.
14.
R. Purohit, U Mishra, A. Bansal. Design and Analysis

of a New Hash Algorithm with Key Integration.
International Journal of Computer Application. Vol 81
(1), pp 33-38, 2013.
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PERFORMANCE ANALYSIS OF RELIABILITY GROWTH

MODELS USING SUPERVISED LEARNING TECHNIQUES
1
G SARVANAN1, K KRISHNAMOORTHY2
2
Professor, Sudarshan Engineering College, Tamilnadu, India
Address for correspondence: G. Sarvanan, Research Scholar, Department of Computer Science &
ABSTRACT
Software reliability is one of a number of aspects of computer software which can be taken into
consideration when determining the quality of the software. Building good reliability models is
one of the key problems in the field of software reliability. A good software reliability model
should give good predictions of future failure behavior, compute useful quantities and be widely
applicable. Software Reliability Growth Models (SRGMs) are very important for estimating and
predicting software reliability. An ideal SRGM should provide consistently accurate reliability
estimation and prediction across different projects. However, that there is no single such model
which can obtain accurate results for different cases. The reason is that the performance of
SRGMs highly depends on the assumptions on the failure behavior and the application datasets. In other words, many models may be shown to perform well with one failure data-set, but
bad with the other data-set.
Thus, combining some individual SRGMs than single model is helpful to obtain a more accurate estimation and prediction. SRGM parameters are estimated using the least square estimation (LSE) or Maximum Likelihood Estimation (MLE). Several combinational methods of SRGMs
have been proposed to improve the reliability estimation and prediction accuracy. The
AdaBoosting algorithm is one of the most popular machine learning algorithms. An AdaBoosting
based Combinational Model (ACM) is used to combine the several models. The key idea of this
approach is that we select several SRGMs as the weak predictors and use an AdaBoosting
algorithm to determine the weights of these models for obtaining the final linear combinational
model. 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 help
of Maximum likelihood estimation to estimate the model parameters.
Keywords: Software Reliability, Software Reliability Growth Models (SRGMs), AdaBoosting
Algorithm, Least Square stimation, Maximum Likelihood Estimation.
INTRODUCTION
Software Reliability Engineering is defined
as quantitative study of the operational behavior
of software-based systems with respect to user
requirements concerning reliability. The demand
for software systems has recently increased very
rapidly. The reliability of software systems has
become a critical issue in the software systems
industry. With the 90s of the previous century,
computer software systems have become the
major source of reported failures in many
142
systems. Software is considered reliable if

anyone can depend on it and use it in critical
systems. The importance of software reliability
will increase in the years to come, specifically in
the fields of aerospace industry, satellites, and
medicine applications. The process of software
reliability starts with software testing and
gathering of test results, after that, the phase of
building a reliability model.
In general, the concept of reliability can be
defined as the probability that a system will
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perform its intended function during a period of

running time without any failure. IEEE defines
software reliability as the probability of failurefree software operations for a specified period of
time in a specified environment. In other words,
software reliability can be viewed as the analysis
of its failures, their causes and effects. Software
reliability is a key characteristic of product quality.
Most often, specific criteria and performance
measures are placed into reliability analysis, and
if the performance is below a certain level, failure
occurred. Mathematically, the reliability function
R(t) is the probability that a system will be
successfully operating without failure in the
interval from time 0 to time t [1],
R(t) = P(T>t), where t >=0
T is a random variable representing the
failure time or time-to-failure (i.e. the expected
value of the lifetime before a failure occurs). R(t)
is the probability that the systems lifetime is
larger than (t), the probability that the system will
survive beyond time t, or the probability that the
system 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 has
a density function f(t), then the reliability can be
measured as following
R(t) = f(x) dx
Where f(x) represents the density function
for the random variable T. Consequently, the
three functions R(t), F(t) and f(t) are closely
related to one another .
SUPERVISED LEARNING TECHNIQUES
1. Bootstrap
The Bootstrap procedure is a general
purpose sample-based statistical method which
consists of drawing randomly with replacement
from a set of data points. It has the purpose of
assessing the statistical accuracy of some
estimate, say S(Z), over a training set Z = {z1, z2,
. . . , zN}, with zi = (xi, yi). To check the accuracy,
the measure is applied over the B sampled
versions of the training set. The Bootstrap
algorithm[10] is as follows:
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Bootstrap Algorithm
Input:
Training set Z={z1,z2,,zN}, with zi=(xi,yi).
B, number of sampled versions of the training
set.
Output:
S(Z), statistical estimate and its accuracy.
Step 1:
for n=1 to B
a) Draw, with replacement, L < N samples from
the training set Z, obtaining the nth sample
Z*n.
b) For each sample Z*n, estimate a statistic
S(Z*n).
Step 2:
Produce the bootstrap estimate S(Z), using
S(Z*n) with n = {1, . . . ,B}.
Step 3:
Compute the accuracy of the estimate, using
the variance or some other criterion.
We start with the training set Z, obtaining
several versions Z*n (bootstrap samples). For
each sampled version, we compute the desired
statistical measure S(Z*n).
2. Bagging
The Bagging technique [10] consists of
Bootstrap aggregation. Let us consider a training
set Z ={z1, z2, . . . , zN}, with zi = (xi, yi) for which
we intend to fit a regression model, obtaining a
prediction f(x) at input x. Bagging averages this
prediction over a collection of bootstrap samples,
thereby reducing its variance.
For classification purposes, the Bagging
algorithm is as follows.
Bagging Algorithm for Classification
Input:
Z = {z1, z2, . . . , zN}, with zi = (xi, yi) as training
set. B, number of sampled versions of the training
set.
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4. AdaBoosting
Output:
H(x), a classifier suited for the training set.
A very promising well known used boosting

algorithm is AdaBoost [2]. The idea behind
adaptive boosting is to weight the data instead
of (randomly) sampling it and discarding it. In
recent years, ensemble techniques, namely
boosting algorithms, have been a focus of
research. The AdaBoost algorithm is a wellknown method to build ensembles of classifiers
with very good performance. It has been shown
empirically that AdaBoost with decision trees has
excellent performance, being considered the best
off-the-shelf classification algorithm.
Step 1:
for n=1 to B
a) Draw, with replacement, L < N samples from
the training set Z, obtaining the nth sample
Z*n.
b) For each sample Z*n, learn classifier Hn.
Step 2:
Produce the final classifier as a vote of Hn
with n = {1, . . . ,B}
As compared to the process of learning a

classifier in a conventional way, that is, strictly
from the training set, the Bagging approach
increases classifier stability and reduces
variance.
AdaBoosting is a commonly used ML

algorithm which can combine several weak
predictors into a single strong predictor for highly
improving the estimation and prediction accuracy.
It has been applied with great success to several
benchmark Machine Learning (ML) problems
using rather simple learning algorithms, in
particular decision trees.
3. Boosting
AdaBoosting Algorithm
The Boosting [10] procedure is similar to

Bootstrap and Bagging. The first was proposed
in 1989 by Schapire and is as follows.
AdaBoosting is a commonly used machine

learning algorithm for constructing a strong
classifier f(x) as linear combination of weak
classifiers ht(x).
H(x)= sign (
n=1
Hn(x))
Boosting Algorithm for Classification
Input:
set.
Output: H(x), a classifier suited for the training

set.
Step 1: Randomly select, without replacement,
L1 < N samples from Z to obtain Z*1; train weak
learner H1 on Z*1.
Step 2: Select L2 < N samples from Z with half
of the samples misclassified by H1 to obtain Z*2;
train weak learner H2 on it.
Step 3: Select all samples from Z that H1 and
H2 disagree on; train weak learner H3, using
three samples.
Step 4: Produce final classifier as a vote of the
three weak learners
H(x) = sign (
144
t =1
Z = {z1, z2, . . . , zN}, with zi = (xi, yi) as training
3
n=1
Hn(x))
AdaBoosting calls a weak classifier ht(x)

repeatedly in a series of rounds t=1, 2,..,T. For
each call a distribution of weights is updated in
the data-set for the classification. The algorithm
takes as input a training set (x1, y1),(x2, y2),.,(xn,
yn) where xi X, yi {-1,+1} (x1, y1) where each xi
belongs to some domain or instance space X,
and each label yi is in some label set Y. One of
the main ideas of the algorithm is to maintain a
distribution or set of weights over the training set.
Given
(x1, y1),,(xn, yn) where xi
X, yi
{-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 finding
and removing faults to improve software
reliability. A SRGM performs curve fitting of
observed failure data by a pre-specified model
formula, where the parameters of the model are
found by statistical techniques like maximum
likelihood method. The model then estimates
reliability or predicts future reliability by different
forms of extrapolation.
After the first software reliability growth
model was proposed by Jelinski and Moranda in
1972, there have been numerous reliability
growth models following it. These models come
under different classes, e.g. exponential failure
time class of models, Weibull and Gamma failure
time class of models, infinite failure category
models and Bayesian models. These models are
based on prior assumptions about the nature of
failures and the probability of individual failures
occurring. There is no reliability growth model
that can be generalized for all possible software
projects, although there is evidence of models
that are better suited to certain types of software
projects.
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An important class of SRGM that has been

widely studied is the Non Homogeneous Poisson
Process (NHPP). It forms one of the main classes
of the existing SRGM, due to its mathematical
tractability and wide applicability. NHPP models
are useful in describing failure processes,
providing trends such as reliability growth and
the fault - content. SRGM considers the
debugging process as a counting process
characterized by the mean value function of a
NHPP. Software reliability can be estimated once
the mean value function is determined. Model
parameters are usually determined using either
Maximum Likelihood Estimate (MLE) or leastsquare estimation methods. NHPP based SRGM
are generally classified into two groups [13].
The first group contains models, which use
the execution time (i.e., CPU time) or calendar
time. Such models are called continuous time
models.
The second group contains models, which
use the number of test cases as a unit of the
fault detection period. Such models are called
discrete time models, since the unit of the
software fault detection period is countable. A
test case can be a single computer test run
executed in an hour, day, week or even month.
Therefore, it includes the computer test run and
length of time spent to visually inspect the
software source code.
Software reliability growth models with a
model are formulated by using a NonHomogeneous Poisson Process (NHPP). Using
the model, the method of data analysis for the
software reliability measurement will be
developed. SRGM parameters are estimated by
using the least square estimation (LSE) or
maximum likelihood estimation (MLE) method
and using actual software failure data, numerical
results are obtained. In the existing system, the
software reliability growth model parameters are
estimated using least square estimation to obtain
the numerical results.
2. Limitations of Existing System
It is generally considered to have less

desirable optimality properties than
maximum likelihood.
It can be quite sensitive to the choice of

starting values.
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It cant generate accurate results for data of

sufficiently large samples.
PROPOSED WORK AND METHODOLOGY
In the proposed system, the reliability growth
model parameters are estimated using maximum
likelihood estimation to get accurate results, to
overcome the problems of LSE, we use MLE.
Maximum likelihood provides a consistent
approach to parameter estimation problems. This
means that maximum likelihood estimates can
be developed for a large variety of estimation
situations. For example, they can be applied in
reliability analysis to censored data under various
censoring models.
MLE has many optimal properties in
estimation, i.e.
Sufficiency: complete information about the
parameter of interest contained in its MLE
estimator.
Consistency: true parameter value that
generated the data recovered asymptotically, i.e.
for data of sufficiently large samples.
Efficiency: lowest-possible variance of the
parameter estimates achieved asymptotically.
1. Selected Models for Parameter Estimation
and Comparison Criterion
A software reliability growth model
characterizes how the reliability of that software
varies with execution time. The traditional
software reliability models are set of techniques
that apply probability theory and statistical
analysis to software reliability. A reliability model
specifies the general form of the dependence of
the failure process on the principal factors that
affects it.
The following five models are selected as
the candidate and comparison models, which
have been widely used by many researchers in
the field of software reliability modeling [6].
(1) Goel-Okumoto model (GO Model) : M1
This model is proposed by the Goel and
Okumoto, one of the most popular nonhomogeneous poisson process (NHPP) model
in the field of software reliability modeling. It
assumes failures occur randomly and that all
146
faults contribute an equally to total unreliability.

When a failure occurs, it assumes that the fix is
perfect, thus the failure rate improves
continuously in time.
a(1-exp(-rt)), a>0,r>0
(2) Musa-Okumoto model (MO Model) : M2
It is also a non homogeneous poisson
process with an intesity function that decreases
exponentially as failures occor. The exponential
rate of decrease reflects the view that the earlier
discovered failures have a grater impect on
reducing the failure intensity function then those
encountered later.
1/a*In(1+art)
(3) Delayed S-Shaped model : M3
Yamada presented a delayed S-shaped
SRGM incorporating the time delay between fault
detection and fault correction. The Delayed SShaped model is a modification of the NHPP to
obtain an S-shaped curve for the cumulative
number of failures detected such that the failure
rate initially increased and later decays.
a(1-(1+rt)exp(-rt))
(4) Inflected S-Shaped Model : M4
Ohba proposed an inflected S-shaped
model to describe the software failure-occurrence
phenomenon with mutual dependency of
detecting faults.
a(1 - exp(-rt))
(1 + c * exp(-rt))
(5) Generalized GO Model : M5
In GO model, the failure occurrence rate per
fault is time independent, however since the
expected number of remaining faults decreases
with time, the overall software failure intensity
decreases with time. In most real-life testing
scenarios, the software failure intensity increases
initially and then decreases. The generalized GO
model 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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P-ISSN 2347-2189, E- ISSN 2347-4971
software failures that will eventually be detected,

and parameter r represents the probability that
a failure is detected in a constant period [13].
the training rounds) are generated by repeatedly

random sampling from D 0 according to its
corresponding weight set Ki={ki1kijkin}.
In this, two real failure data-sets are

selected, Ohba and Wood [5], which are popular
and frequently used for comparison of SRGM.
If there are some same data in Di, only one

of them will be reserved in our approach. Hence
the data number of Di may not be n.
2. AdaBoosting based Combinational

Model (ACM)
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.
Many SRGMs may result in estimation or

prediction bias since their underlying
assumptions are not consistent with the
characteristics of the application data. To reduce
this bias, combining several different SRGMs
together in linear or nonlinear manner is a
common and applicable method. Many
approaches are proposed to determine the
weight assignment for the combinational models,
such as equal weight, neural-network, genetic
programming and etc. In this, an abstract
description of how to use AdaBoosting to obtain
the dynamic weighted linear combinational model
(ACM) of several SRGMs is shown as follows[3]
Input:
1. Let M(t)=u(x 1 ,x 2 ,x kx S, t) denotes
different SRGMs (such as GO model). M(t) is the
cumulated faults detected at time t, S is the
number of the parameters of M(t), xk is the k-th
parameter of M(t), k=1,2,3,......S;
2. The failure data-set D0 is denoted by (t1,
m1), (t2, m2), (tj, mj)... (tn, mn).
Where n is the data number of D0,
mj is the cumulated faults detected at tj,
j=1...n.
Initialize:
Step1: Selecting M different SRGMs
(denoted by Mm(t),
m=1...M) as the candidate models for the
ACM.
Step2: The original weight set of D0 can be
denoted by K0 = {k01... k0n}, where k0j is initialized
by 1/n.
Circulation:
Step3: New training data set Di (i=1...P, P is
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The candidate model whose value of fitness

function is the smallest is chosen as the selected
model (denoted by Mis(t)) in this round, i=1...P.
Step5: If M1is(t) denotes the estimation form
of Mis(t), the loss function Lis (Notation 2) of Mis
(t) can be calculated by the fitting results of M1is
(t) with D0.
Then K i can be updated as K i+1 by L is
(Notation 3). The basic weight is of Mis (t) also
can be determined by Lis(Notation 4).
Step6: Performing Step3-Step5 repeatedly
until i=P, and then turning into Step7.
Output:
Step7: Finally, a combinational linear model
is obtained as follows:
MACM(t) =
P
i=1
Wis Mis(t)
The combination weight Wis of the selected

model Mis (t) is f (
is
) (Notation 5), that is, Wis is
a function of the basic weight
is
Notation 1:
Fitness function (FF) can be defined
according to the estimation method of the
parameters of these candidate SRGMs. The
general methods to estimate the parameters of
SRGMs are least-squares estimation (LSE) and
maximum likelihood estimation (MLE).
If Maximum likelihood Estimation is used,
FF equation
is FF =1/- log (ML)
Where ML is the maximum likelihood
function derived in the next section.
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Notation 2:
Lis =
n
j=1
detected by tj test cases (j=1,2,3,.,n), tj is

accumulated number of test run executed to
detect m j faults, m(tj) is the expected mean
number of faults detected by the nth test case.
j
is
kij * L
Ljis = AE jis / Dent

Where AE jis = mj - M1is (tj), Dent =max {AEjis}
Notation 3:
lnML = nj=1(mj-mj-1) ln[m(tj)-m(tj-1)] - {(m(tj)-m(tj)} nj=1 ln[(mj-mj-1)!]

1
Ki+1 = { Ki+1, j },
Ki+1, j = kij * Ljis / (
n
j=1
kij * Ljis )
The values of these parameters that

maximize the sample likelihood are known as the
Maximum Likelihood Estimator.
Notation 4:
is
= Ljis /(1- Ljis)
Notation 5:
Wis = f(
Analysis of Data
is
) = log (1/
is
)/
p
i=1
log 1/
is
3. Parameter Estimation
Once the analytic expression for the mean
value function is derived, it is required to estimate
the parameters in the mean value function, which
is usually carried out by using Maximum
likelihood Estimation technique [11].
Maximum Likelihood Estimation:
Once a model is specified with its
parameters, and data have been collected, one
is 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 parameter
values of a model that best fits the data, a
procedure called parameter estimation.
The general methods to estimate the
parameters are least-squares estimation (LSE)
and maximum likelihood estimation (MLE).
Fitting a proposed model to actual fault data
involves estimating the model parameters from
the real test data sets. Here we employ the
method of MLE to estimate the parameters a
and r. All parameters of different Reliability
models can be estimated by the method of MLE.
For example, suppose that a and r are
determined for the observed data pairs:
(t0, m0), (t1, m1), (t2, m2),.,(tn, mn).
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
148
Taking the natural logarithm of the above

equation, we get
Data Set #1:

The first data set employed was from the
paper by Ohba [5] for a PL/I database application
software system consisting of approximately 1
317 000 LOC. Over the course of 19 weeks,
47.65 CPU hours were consumed, and 328
software faults were removed. Although this is
an old data-set, we feel it is instructive to use it
because it allows direct comparison with the work
of others who have used it.
Data Set #2:
The second data set presented by Wood[5]
from a subset of products for four separate
software releases at Tandem Computers
Company. Wood reported that the specific
products and releases are not identified, and the
test data sets have been suitably transformed in
order to avoid confidentiality issues. Here we only
use Release 1 for illustrations. Over the course
of 20 weeks, 10 000 CPU hours were consumed,
and 100 software faults were removed.
EXPERIMENTAL RESULTS
In order to implement the fitting and
prediction performance of the five selected
models and ACM by using maximum likelihood
estimation to estimate the parameters of models
can be shown as follows.
1. Fitness and Prediction Performance of five
Models and ACM with failure datasets
The Figures (Fig. 1 & Fig.2) represents the
Fitness and Prediction graphs of various SRGMs
and ACM respectively. Here the failure data-set
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Ohba [5] is taken for the comparison purpose.
REFERENCES
Fig.1 : Fitness comparison between Models and ACM

with Ohba Dataset
1.
Hoang Pham, System Software Reliability. Springer

Series in Reliability Engineering..
2.
Jiri Matas and Jan S ochman, AdaBoost, Centre for

Machine Perception, Czech Technical University,
Prague.
3.
Haifeng Li, Min Zeng, and Minyan Lu, Exploring

AdaBoosting Algorithm for Combining Software
Reliability Models,ISSRE 2009.
4.
X. Cai, M. R. Lyu. Software Reliability Modeling with

Test Coverage Experimentation and Measurement with
a Fault-Tolerant Software Project. ISSRE, 2007: 1726
5.
C. Y. Huang, S. Y. Kuo and M. R. Lyu. An assessment

of testing-effort dependent software reliability growth
models. IEEE Transactions on Reliability, 2007, 56(2):
198-211
6.
Lyu, M. R, Nikora, A. Applying Reliability Models More

Effective. IEEE Software, 1992, 9(4): 43-52
7.
Y. S. Su, C. Y. Huang. Neural-network based

approaches for software reliability estimation using
dynamic weighted combinational models. The Journal
of Systems and Software, 2007, 80: 606-615
8.
C. J. Hsu, C. Y. Huang. Reliability analysis using

weighted combinational models for web-based
software. WWW 2009, 1131-1132
9.
Eduardo Oliveira Costa, Silvia R. Vergilio, Aurora Pozo,

Gustavo Souza. Modeling software reliability growth
with Genetic Programming. ISSRE, 2005: 1-10
Fig .2 : Prediction comparison between Models and

ACM with Ohba Dataset
10. Artur Ferreira, Survey on Boosting algorithms for

supervised and semi-supervised learning. Institute of
Telecommunications.

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 help
of Maximum likelihood estimation to estimate the
model parameters. From the results, the fitting
and prediction performance of ACM is better
compare with individual reliability growth models
with real failure data-sets.
11. Aasia Quyoum, Mehraj Ud - Din Dar, Improving

Software Reliability using Software Engineering
Approach, International Journal of Computer
Applications (0975 8887) Volume 10 No.5, November
2010.
12. S. Yamada, J. Hishitani, and S. Osaki, Software
reliability growth model with Weibull testing effort: a
model and application , IEEE Trans. Reliability, vol.
R-42, pp. 100105, 1993.
13. Alan Wood, Software reliability growth models.
Tandem Computers.
The further enhancements those are

possible for this, examining the statistical
significance of the estimation and prediction
results of the ACM and comparing with the other
combination approaches such as Genetic-based
Combinational Model (GCM) [9] , Dynamic
Weighted Combinational Model (DWCM)[7] etc.
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STUDY AND ANALYSIS OF SINGLE POINT CUTTING TOOL

UNDER VARIABLE RAKE ANGLE
1
*DEEPAK BHARDWAJ1, B. KUMAR2

Research Scholar, Department of Mechanical Engineering, Sunrise University, Alwar , Rajasthan, India
2
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 force
exerted on the tool during cutting. This method is attracting the researchers for better understanding the chip formation mechanisms, heat generation in cutting zones, tool-chip interfacial
frictional characteristics and integrity on the machined surfaces. In present study, the three
different rake angles are studied to find out the variation in values of Vonmisses stress for the
specified applied forces. As we increase the rake angle then the value of Vonmisses stress
goes on decreasing. The value of Vonmisses stress decreases for increase of rake angles of
7, 9 and 1 1 respectively . From results it seems that reduction of resultant forces might cause
increase in tool life but it causes decrease in tool life. In present study, mesh is created in
ANSYS and the boundary conditions are applied and the analysis is carried out for the applied
constraints. The results calculated on software can be verified with experiments carried out
with tool dynamometers for lathe tool. For future study the applied model can be used for
multipoint cutting tools such as milling cutters, broaching tools etc.
Keywords: Single Point Cutting Tool, Back Rack Angle, Vonmisses Stress, Finite Element
Method.
INTRODUCTION
Finite Element Method (FEM) based modeling and simulation of machining processes is
continuously attracting researchers for better understanding the chip formation mechanisms, heat
generation in cutting zones, tool-chip interfacial
frictional characteristics and integrity on the machined surfaces. Predicting the physical process
parameters such as temperature and stress distributions accurately plays a pivotal role for predictive process engineering of machining processes. The cutting forces vary with the tool
angles, feed and cutting speed. Knowledge about
the forces acting on the cutting tool may help the
manufacturer of machining tool to estimate the
power requirement.
Tool edge geometry is very important, because its influence on obtaining most desirable
tool life and surface integrity is extremely high.
150
Therefore, development of accurate and sound

continuum-based FEM models are required in
order to study the influence of the tool edge geometry, tool wear mechanisms and cutting conditions on the surface integrity especially on the
machining induced stresses.
On the other hand, the friction in metal cutting plays an important role in thermo-mechanical chip flow and integrity of the machined work
surface. The most common approach in modeling the friction at the chip-tool interface is to use
an average coefficient of friction. Late models
consist of a sticking region for which the friction
force is constant, and a sliding region for which
the friction force varies linearly according to
Coulombs law.
The round edge of the cutting tool and the
highly deformed region underneath has dominant
influence on the residual stresses of the mawww.ijsir.co.in

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chined surface. The use of a separation criterion

undermines the effect of the cutting edge on the
residual stress formation on the machined surface. In this project, the work material is allowed
to flow around the round edge of the cutting tool
and therefore, the physical process is simulated
more realistically.
LITERATURE REVIEW
There are different approaches that have
been applied in the recent past for formulating
numerous static field problems. As the number
of these problems is varied, there can be many
types of approaches that have been found to give
reasonable results since their time of occurrence.
Below gives a glimpse of the finite number of
techniques for dealing with these problems.
1. Finite difference method
It is one of the older and yet decreasingly
used numerical methods. In essence, it consists
in superimposing a grid on the space-time domain of the problem and assigning discrete values of the unknown field quantities at the nodes
of the grid. Then, the governing equation of the
system is replaced by a set of finite difference
equations relating the value of the field variable
at a node to the value at the neighboring nodes.
strongly challenges the finite element method.

Limitation: - Instead of sparse (and usually
symmetric and positive definite) matrices of the
FDM and FEM, the resultant matrices in this
method are full (and usually non-symmetric).
The most powerful numerical method appears to be the FEM, which (from the mathematical point of view) can be considered as an extension of the Rayleigh-Ritz / Galerkin technique
of constructing coordinate functions whose linear combination approximates the unknown solutions. In this method, the field region is subdivided into elements i.e. into sub-regions where
the unknown quantities , for instance a scalar or
vector potential , are represented by suitable interpolation functions that contain, as unknowns,
the values of the potential at the respective nodes
of each element. The potential values at the
nodes can be determined by direct or iterative
methods.
The normal procedure in a field computation by the FEM involves, basically, the following
steps:1]
Discretization of the field region into a number of node points and finite elements.
2]
Derivation of the element equation: The unknown field quantity is represented within
each element as a linear combination of the
shape functions of the element and in the
entire domain as a linear combination of the
basis functions. A relationship involving the
unknown field quantity at the nodal points
is then obtained from the problem formulation for a typical element. The accuracy of
the approximation can be improved either
by subdividing the region in a finer way or
by using higher order elements
3]
Assembly of element equations to obtain the

equations of the overall system: The imposition of the boundary conditions leads to
the final system of equations, which is then
solved by iterative or elimination methods.
4]
Post-processing of the Results: - To compute other desired quantities and to represent the results in tabular form or graphical
form, etc. Use of TSP is routing in network.
Minimum path will help to reduce the overall receiving time
Limitation: (1) Lack of geometrical flexibility in fitting irregular boundary shapes.

(2) Large points are needed in regions where
the field quantities change very rapidly.
(3) The treatment of singular points and boundary interfaces do not coincide with constant
coordinate surfaces.
2. Boundary element method
To formulate the eddy-current problem as a
boundary element technique, an integral needs
to be taken at the boundary points. To avoid the
singularity which occurs in the integrand when
the field point corresponds to the source point,
the volume is enlarged by a very small hemisphere whose radius tends to zero, with the
boundary point being the center of the sphere.
The usage of the boundary element method reduces the dimensionality of the problem from
three to two or from two to one. It is found to be
useful in open boundary problems where it
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3. Formulation of the Finite Element Method

(FEM)
The FEM is concerned with the solution of
mathematical or physical problems which are
generally defined in a continuous domain either
by local differential equations or by equivalent
global statements. To render the problem amenable to numerical treatment, the infinite degrees
of freedom of the system are discretized or replaced by a finite number of unknown parameters, as indeed is the practice in other processes
of approximation. The concept of finite elements
replaces the continuum by a number of sub- domains (or elements) whose behavior is modeled
adequately by a limited number of degrees of
freedom and which are assembled by processes
well known in the analysis of discrete systems.
Hence this method can be defined as any approximation process in which:(a) The behavior of the whole system is
approximated by a finite number n of parameters
aj , i = 1 to n . These parameters are described
by n number of equations.
(b) The n equations governing the behavior of the whole system
Fj (ai) = 0 j = 1 to n
can be assembled by the simple process of addition of terms contributed from all sub-domains
(or elements). These elements divide the system into physically identifiable entities (without
overlap or exclusion).
Then Fj = Fej
Where Fej is the element contribution to the
quantity under consideration. This method combines the best of the features found in the earlier
used methods like the variation method,
Rayleigh Ritz method, and so forth. The implementation of this method involves steps in the
following chronological order:(1) Discretization of the continuum
The electromagnetic field is described as a
continuum of numerous points. The field variable
is projected as having been endowed with infinite degrees of freedom, as it can be expressed
as a function of different coordinates of each point
in the solution domain. The finite element method
152
aims to approximate this field to finite degrees of

freedom. Thus by transforming this problem into
finiteness, the finite element method divides the
solution region into known number of non-overlapping sub-regions or elements. Thereafter,
nodes are assigned to different elements.
(2) Selecting approximating or interpolation
function
Within each element, an approximation for
the variation of potential is sought which is described by an interpolation function. This function inter-relates the potential distribution in various elements such that the potential is continuous across inter-element boundaries. Now, the
field variable may take any one of the form from
vector, scalar or a tensor. Depending on its form,
the corresponding variation of the potential is
approximated and hence the choices of a particular interpolation function. More often, polynomial functions are used as interpolation function for the ease of their differentiability as well
as integrability. The potential, ingeneral, is nonzero within an element and zero outside its periphery. The element shape functions are denoted
by i
and have the following properties:i (xi, yi ) = 1 , i = j
i (xi, yi ) = 0, i j
(3) Element governing equations
On the completion of the above two steps,
equations describing the properties of elements
are derived for different elements. These equations are then combined to form the element coefficient matrices. For each element, a typical
element coefficient matrix is obtained. This computed value of this matrix when, viewed as a
determinant, gives the numerical value of the
area of that particular element. The value of the
matrix is found to be positive if the nodes are
numbered counterclockwise (starting from any
node).
(4) Assembling all elements
Having derived matrix for individual elements, the next step is to assemble all such elements in the solution region. The basic idea behind this is to obtain the overall or global coeffiwww.ijsir.co.in

P-ISSN 2347-2189, E- ISSN 2347-4971
cient matrix, which is the amalgam of individual

coefficient matrices.
(5) Imposition of boundary constraints
Before going for the solution of the global
coefficient matrix, it is mandatory to impose certain boundary constraints. Keeping this in view,
these matrices are modified accordingly. For
obtaining a unique solution of the problem, two
possibilities can be examined:(1) In some cases, a value of potential is assigned across a line. If the specified potential is same everywhere, equi-potential conditions are said to be specified. When the
potential is set to zero, this condition is
termed as dirichlet homogeneous condition.
forces acting on the cutting tool may help in the

manufacturing of machine tool to estimate the
power requirement.
The forces components in the lathe turning
can be measured in three directions, as shown
in Fig.1. The component of the force acting on
the 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, and
acts in the direction of cutting velocity. The force
component acting on the tool in the direction OX,
parallel with the direction of feed, is referred to
as the feed force, Ff . The third component, acting in OZ direction, pushes the cutting tool away
from the work in the radial direction. This is the
smallest of the force components.
(2) In others, a value of the normal derivative

of the potential is specified. When this value
is set to be zero, this is known as Neumann
homogeneous condition.
The matrix equations so obtained after accounting for the boundary constraints, are then
solved, using a suitable procedure. The task
behind obtaining the solution of the equations is
to compute the value of field variable at the
nodes. That is to find the variation of the field
variable within each node.
Fig. 1: Forces acting on tool
(6) Error Analysis

The results obtained above are compared
with standard results in order to obtain extent of
conformity with the desired ones. The desired or
standard results are acquired from the empirical
formulas. Thereafter, the error analysis is carried out. In case, the error is found to be exceeding the required tolerance limits, the results obtained from the equations are again channeled
through the iterative procedure. At this juncture,
the power of this numerical approach can be realized. Iterative techniques tend to refine the results, every time a process does not conform to
the 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
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Fig. 2: Tool Geometry
2. VARIOUS ANGLES IN TOOLS GEOMETRY

Back Rake Angle
It is the angle between the face of the tool
and a line parallel to the base of the tool and
measured in a plane (perpendicular) through the
side cutting edge. This angle is positive, if the
side cutting slops downward from a point towards
the shank and is negative if the slope of side
cutting edge is reverse. So this angle gives the
slops of the face of the tool from the nose towards the shank.
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Side Rake Angle
Side Relef Angle = 5

End Relef Angle = 5
End Cutting Edge Angle = 20
Side Cutting Edge Angle = 15
Corner nose Radius = 1/8 R
Overall length of the tool =120 mm.
Height of the tool = 30 mm.
Width of the tool = 25 mm.
It is the angle between the side cutting edge

and a line parallel to the top surface of the tool
when viewed from side.
End Relief Angle
It is the angle between the flank and the line
perpendicular to the shank when viewed from
the front.
Side Relief Angle
It is the angle between the line perpendicular to the shank and the surface formed by side
cutting edge and end cutting edge if viewed from
side.
3. APPROACH OF THE ANALYSIS
Cutting Forces are the three dimensional in
nature. The present work investigates the effect
of different forces on varying tool geometries. It
considers the three cases of forces on the tool
which are the experimental. It is measured by
Dynamometer for cutting Aluminium with High
Speed Steel as given in table 1.
Force
C o n d itio n s
Forces
(F x ) in
N
F o rc es
(F y ) in
N
Forces
(F z ) in
N
20
300
80
35
450
105
50
500
130
Table 1 : Experimental Cutting Force Data
The single point cutting tool geometry is

made in CATIA V4R14 as shown in Fig.4. 3(a). It
is then imported into ANSYS using a GUI command.
4. MATERIAL PROPERTIES
Material properties of single point cutting tool
is defined as given in below :
Single point cutting tool is made up of H.S.S.
Modulus of Elasticity = 250 Gpa
Poissons Ratio = 0.26
Yield Strength of HSS = 280 Mpa.
5. ELEMENT TYPE
The selection of element type in FEM is very
important. If the element type is not proper then
the results may deviate from the actual values.
For rectangular section SOLID 92 becomes the
most suitable candidate of element type.
SOLID92 has a quadratic displacement behavior and is well suited to model irregular
meshes and satisfies the patch test condition (A
method of testing finite elements to determine if
they perform acceptably under less than ideal
conditions). So in present work SOLID92 element
type is selected for analysis.
Back Rake Angle Geometry condition:
6. STRESS ANALYSIS ON TOOL RAKE

FACE RESULTS
Back rake angles of the tool for different

cases, are taken as below for cutting Aluminum with High Speed Steel i.e.
The Results of the study are categorized

in different forces and geometric conditions as
given below:
Case A: When the Back Rake angle = 7
i.
Force in X-Direction (Fx) is 20 N, Force in

Y Direction (FY) is 300 N and Force in ZDirection (Fz) is 80 N along with Geometric
parameters of back rake angle 7o.
ii.

Case B: When the Back Rake angle = 9

Case C: When the Back Rake angle = 11
Geometrical detail of the single point
cutting tool:
Side Rake Angle = 14
154
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iii.

iv.

Y Direction (FY) is 450 N and Force in ZDirection (Fz) is 105 N along with Geometric parameters of back rake angle 7o.
v.

vi.

Y Direction (FY) is 450 N and Force in ZDirection (Fz ) is 105 N along with Geometric parameters of back rake angle 11o
vii. Force in X-Direction (Fx) is 50 N, Force in

viii. Force in X-Direction (Fx) is 50 N, Force in Y
Direction (FY) is 500 N and Force in Z-Direction (Fz) is 130 N along with Geometric
parameters of back rake angle 9o
ix.
Fig. 3: Variations in Vonmisses Stress against resultant force at different rake angles

Table 2: Vonmisses stress for different force

and geometric conditions
S.No.
Force
G eo m etric
Vonmisses
1.
Conditions
1
Conditions
A
Stress
0.566 + E 6
2.
0.534 + E 6
3.
0.451 + E 6
4.
0.855 + E 6
5.
0.802 + E 6
5.
0.502 + E 6
6.
0.115 + E 8
Fig.4 : superimposing three charts with Variations

of Vonmisses stresses with 70, 90 & 110 rake angles
8.
0.106 + E 8
9.
0.801 + E 6
The results are generated from various classifications of force and geometric conditions im-
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posed on the tool and following conclusion are

made.
resources available at the researchers end

which can be addressed in future.
Rake angle specifies the ease with which

materials is cut. In practice it is observed that as
the rake angle is increased, the tool forces decrease and tool life increases. On further increase
it is reported that although tool forces go on decreasing, tool-life decreases. It is said that on
increasing the rake angle, cutting force reduces
and so less heat is generated. It is the reason of
consequent improvement in tool life. Shear plane
region inside the work material stands approximately at an angle of 900 to the face of the tool.
The length of shear plane is determined by the
rake angle. Larger the rake angle lesser will be
the length of the shear plane so lesser power is
required to shear the materials. However, very
large positive rake angled tool have less mechanical strength which reduces tool life.
(1) For solid model
In this study, we have utilized the explicit

dynamic Arbitrary Lagrangian Eulerian method
with adaptive meshing capability to develop a
FEM simulation model for orthogonal cutting of
Aluminium using round edge HSS cutting tool
without employing a re-meshing scheme and
without using a chip separation criterion. The
development of temperature distributions during
the cutting process is also captured. Very high
and localized temperatures are predicted at toolchip interface due to a friction model. Predictions
of the Vonmisses stress distributions in the chip,
in the tool and on the machined surface are effectively carried out. Process induced stress profiles depict that there exists only a tensile stress
region beneath the surface. These predictions
combined with the temperature field predictions
are highly essential to further predict surface integrity and thermo-mechanical deformation related property alteration on the microstructure of
the machined surfaces. It is believed that the ALE
simulation approach presented in this work, without remeshing and using a chip separation criterion, may result in better predictions for machining induced stresses.
The future scope of single point cutting tool

and chip contact analysis can be further extended
to 3D analysis of cutting tool and chip contact
and also for 3D analysis of multi point cutting
tool and chip contact (e.g. milling, broaching,
etc.). The use of re-meshing technique and adaptive meshing technique can increase the accuracy of results. It can be further extend to very
complex processes like metal forming, crack
propagation in work materials, tool life and simulate tool wear.
FUTURE SCOPE
1.
Black, J. T. and Huang, J. M., An evaluation of chip

separation criteria for the fem simulation of machining, ASME Journal of Manufacturing Science and Engineering, 1995.
2.
Marusich, T.D. and Ortiz, M., Modeling and simulation of high-speed machining, International Journal
In the present work although care was taken

to predict stress distribution behavior accurately,
but there are some scope for improvement in the
present work due to the limitations of time and
156
The future scope of this analysis can be extended for calculating the force acting on a tool
in general metal cutting environment. This analysis can be explored for multi point cutting tools
like milling cutters, broach tool etc. It can help in
estimation of tool life and wear of cutting tools.
We can calculate heat generation and temperature by calculating the material flow. The generalization of constrained can further help to handle
actual problem of industry like the case when tool
material is non-homogeneous, non-linear, as well
as when the problem states are dynamic and
transient.
(2) For single point cutting tool and chip
contact
VALIDATIONS OF RESULTS
For solid model all those results that had
been worked by me in this study with the help of
ANSYS platform can be practically verified by
using dynamometer for measurement of cutting
forces. Moreover, the same can be measured
through power measurement and calorimetry.
The measurement assists in estimating the efficiency of the machine tool in determining the size
of the cutting tool required to resist those encountering forces and for verifying the result.
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with Negative Rake angle and large nose radius
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Y.M.lee, W.S. Choi, T.S.Song, Analysis of 3-D Cutting with Single point Cutting Tool, International Journal of the Korean Society of precision Engineering,
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Insert Edge Preparation for CBN Cutting Tools, Journal of Materials Processing Technology, 2003.
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Kalhori, V. Numerical and Experimental Analysis of

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QUALITY FUNCTION DEPLOYMENT (QFD):

A CASE STUDY
1
*SATISH CHANDER GARG, B. KUMAR2

Research Scholar, Department of Mechanical Engineering, Sai Nath University, Ranchi, India
2
Professor, MIET, Greater Noida, Uttar Pradesh , India
*Address for correspondence: Satish Chander Garg, Research Scholar, Department of Mechanical
ABSTRACT
Quality Function Deployment (QFD) was conceived in Japan in the late 1960's, and introduced
to America and Europe in 1983. This paper will provide a general overview of the QFD
methodology 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 will
illustrate how QFD was used to develop a new tape product and provide counsel to those that
may want to implement the QFD process. Quality function deployment (QFD) is a method to
transform user demands into design quality, to deploy the functions forming quality, and to
deploy methods for achieving the design quality into subsystems and component parts, and
ultimately to specific elements of the manufacturing process.
Keywords: Quality Function Deployment, Tape Product, Product Development, Design Quality,
Manufacturing
INTRODUCTION
Quality Function Deployment (QFD) is a
quality tool that helps to translate the Voice of
the Customer (Vo C) into new products that truly
satisfy their needs. In this paper, QFD has been
reviewed in order to understand how it works, to
highlight its strengths and weaknesses and to
discuss its practical applications. The first part
of the paper presents an overview of QFD and
explains the methodology. QFD has been
defined and explained by means of an example
and a number of benefits and implementation
problems have been revealed [1] . First
conceptualized in 1966 as a method or concept
for new product development under the umbrella
of Total Quality Control, Hinshitsu Tenkai (quality
deployment) was developed by Dr. Shigeru
Mizuno and Yoji Akao. Yoji Akao, et al detailed
methods of quality deployment in 1972. The
Japan Society of Quality Control formed a
research group to specifically study Quality
Function Deployment (QFD) in 1978. QFD is
used to translate customer requirements to
158
engineering specifications. It is a link between

customers - design engineers - competitors manufacturing. It provides an insight into the
whole design and manufacturing operation from
concept to manufacture and it can dramatically
improve the efficiency as production problems
are resolved early in the design phase. It is very
powerful as it incorporates the voice of the
customer in the designs - hence it is likely that
the final product will be better designed to satisfy
the customers needs. Moreover, it provides an
insight into the whole design and manufacturing
operation (from concept to manufacture) and it
can dramatically improve the efficiency as
production problems are resolved early in the
design 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 and
early 1980's, the concept of QFD was evolved
from the belief that Total Quality Control must
include not only checking of the control points
during production, but an understanding of the
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requirements prior to the design phase. In the

late 1960's, Japanese companies were breaking
from their post World War II mode of imitation
and copying to a more original mode of product
development, making design quality an important
consideration. The need to understand the critical
design issues prior to production was
acknowledged and QC process charts were
widely used to ensure that the design criteria
were met during manufacturing, but there was
no formal system to translate the customers
needs into the initial design and subsequent
process control points. Thus, an opportunity was
created for QFD to come to fruition as a method
to check the design itself for adequacy in meeting
customer requirements and to translate those
requirements to production [2].
When to use QFD:
QFD is applied in the early stages of the
design phase so that the customer wants are
incorporated into the final product. Furthermore,
it can be used as a planning tool as it identifies
the most important areas in which the effort
should focus in relation to our technical
capabilities. 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 four
phases:
1. Product Planning (House of Quality):
Translate customer requirement into product
technical requirement to meet them.
2. Product Design: Translate technical
requirement to key part characteristics or
systems.
3. Process Planning: Identify key process
operations necessary to achieve key part
characteristics.
4. Production Planning (Process Control):
Establish process control plans, maintenance
plans, training plans to control operations.
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Linking these phases provides a mechanism

to deploy the customer voice through to control
of process operations.
Follow these steps:
1. Learn what each element represents
2. Form a multidisciplinary team. Obtain voice
of the customer from market surveys, focus
groups, observations, interviews. Identify
customer requirements and ask customer
to rate importance.
3. The development of the first issue of the
charts is the most time consuming part.
Conduct competitive analysis by customer
requirement, establish a quality plan based
on competitive mode you would like to have
for your future product.
Once this is completed, regular reviews and
updates require minimum time. Remember that
the benefits from an appropriately developed
QFD chart are very big compared with the effort
put focus on the issues that are important to
the customer.
Benefits of QFD include better
understanding of customer demands and design
interactions; early manufacturing involvement
during the design process reducing iterations and
focusing the design while fostering teamwork [4].
QFD METHODOLOGY AND THE HOUSE OF
QUALITY (HOQ)
The concept of QFD was created in Japan
in the late 1960s. According to Akao (1997) after
World War II, Japanese companies used to copy
and imitate product development; nevertheless,
they decided to move their approach to one
based on originality. QFD was introduced, in that
environment, as a concept for new product
development. It can be better understood from
the definition presented below which summarizes
the purposes of the technique: QFD is a method
for structured product planning and development
that enables a development team to specify
clearly the customers wants and needs, and then
to evaluate each proposed product or service
capability systematically in terms of its impact
on meeting those needs(Cohen, 1995).
The QFD method includes building one or
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more matrices known as quality tables. The first

matrix is named the House of Quality (Ho Q). It
exhibits the customers needs (Vo C) on the left
hand side, and the technical response to meeting
those needs along the top. Figure 1(a) shows
each of the sections contained in the Ho Q. Every
section holds important data, specific to a part of
the QFD analysis. The matrix is usually
completed by a specially formed team, who
follows the logical sequence suggested by the
letters A to F, but the process is flexible and the
order in which the HOQ is completed depends
on the team [1].

A four phases approach is accomplished by
using a series of matrixes that guide the product
teams activities by providing standard
documentation during product and process
development (Figure below). Each phase has a
matrix consisting of a vertical column of Whats
and a horizontal row of Hows. Whats are CR;
Hows are ways of achieving them. At each
stage, the Hows are carried to the next phase
as Whats [4].
Figure 1. The House of Quality [1]
Section A has a list of customer needs;

Section B contains market data, strategic goal
setting for the new product and computations for
prioritizing the customer needs; Section C
includes information to translate the customers
needs into the organizations technical language;
Section D contains the relationship between each
customers need and each technical response;
Section E (the roof) assesses the
interrelationships between elements of the
technical response; Section F contains the
160
prioritization of the technical responses,

information on the competitors and technical
targets. Moving on from the Ho Q, QFD
comprises the building of other matrices that help
to make detailed decisions throughout the
product development process, however in
practice they are rarely used (Cohen, 1995). The main
reason for this is that the integration of people
required to build the subsequent matrices, will
use 80 % of a companys employees (Amos, 1997).
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In order to better understand the structure

of the Ho Q, a brief example is presented. It
concerns the improvement of a pizza (Sower et
al, 1999); its Ho Q is shown in Figure 1(b). As
can be seen, the customers want value, taste
and the pizzas delivered hot. The current product
is superior to competitor X on two of the three
customer requirements, but ranks equal to or
below competitor Y on all three requirements. The
purpose of this product redesign project is to
make the current product superior to both
competitors on all three counts. There is a strong
positive correlation between the design
requirements of meat and cheese and the
customer requirement of value. That means that
the more meat and cheese on the pizza, the
higher the value to the customer. The roof shows
that there is a strong negative correlation
between meat and cheese and price, which
means 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 HoQ

shows the target values that the design team has
determined must be met to meet the technical
responses. These are the specifications for the
pizza that will put the current product ahead of
its two competitors [1].
QFD uses some principles from Concurrent
Engineering in cross-functional teams that are
involved in all phases of product development.
Each of the four phases in a QFD process uses
a matrix to translate customer requirements from
initial planning stages through production control
(Becker Associates Inc, 2000).
Each phase, or matrix, represents a more
specific aspect of the products requirements.
Relationships between elements are evaluated
for each phase. Only the most important aspects
from each phase are deployed into the next
matrix.
Figure 2. The four phases of traditional QFD [2]

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P-ISSN 2347-2189, E- ISSN 2347-4971
Phase 1- Product Planning:

Building the House of Quality led by the
marketing department, Phase 1, or product
planning, is also called The House of Quality.
Many organizations only get through this phase
of a QFD process. Phase 1 documents
customer s requirements, warranty data,
competitive
opportunities,
product
measurements, competing product measures,
and the technical ability of the organization to
meet each customers requirement. Getting good
data from the customer in Phase 1 is critical to
the success of the entire QFD process.
Phase 2- Product Design:
Table 1: Some of the important objectives of QFD

[5][6][7][8]
Resource
Vonderembse and
Raghunathan (1997)
Kathawala and
(1) Identify the customer
Motwani (1994); Zairi (2) Determine what the customer
(1995)
wants
(3) Provide a way to meet the
customers desires
Franceschini and
Rossetto (1995)
This phase 2 is led by the engineering

department. Product design requires creativity
and innovative team ideas. Product concepts are
created during this phase and part specifications
are documented. Parts that are determined to
be most important to meeting customers needs
are then deployed into process planning, or
Phase 3.
Phase 3- Process Planning:
Process planning comes next and is led by
manufacturing engineering. During process
planning, manufacturing processes are
flowcharted and process parameters (or target
values) are documented.
Phase 4- Process Control:
And finally, in production planning,
performance indicators are created to monitor the
production process, maintenance schedules, and
skills training for operators. Also, in this phase
decisions are made as to which process poses
the most risk and controls are put in place to
prevent failures. The quality assurance
department in concert with manufacturing leads
Phase 4[2].
QFD OBJECTIVES
Table 1 summarizes some of the important
objectives of QFD. It is important to note that a
design project can be considered as a mixture
of all objectives. While some trading off is often
unavoidable, the way to achieve an outstanding
product is to seek to optimize all elements.
162
QFD
To drive long-term improvements
in the way new products are
developed in order to create value for
customers
Jagdev et al., 1997
(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.
(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.
QFD BENEFITS AND IMPLEMENTATION

PROBLEMS
On the one hand, Hales and Staley (1995)
argued that using QFD can result in the
development of better products at a price that
the customer is willing to pay; moreover, based
on its application in different companies, the
following advantages and benefits have been
reported: Customer satisfaction (Fernandez et
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P-ISSN 2347-2189, E- ISSN 2347-4971
al., 1994), reduction in product lead times

(Hauser and Clausing, 1988), improved
communications through teamwork (Griffin and
Hauser, 1992) and better designs (Mehta, 1994).
In addition, Bicknell and Bicknell (In Chan and
Wu (2002a)) reported that tangible benefits that
are common when QFD is properly used are: a
30-50% reduction in engineering changes, 3050% shorter design cycles, 20-60% lower start
up costs, and 20-50% fewer warranty claims.[10]
On the other hand, an empirical study
conducted by Martins and Aspinwall (2001) within
the United Kingdom (UK), identified many QFD
implementation problems among the companies
surveyed. The results showed that there was a
problem in western companies associated with
working in teams. Problems in maintaining a
commitment to the methodology and an
unsuitable organizational culture were also
highlighted. Other aspects, such as time
consuming, costly, and most important,
complexity of the methodology, which are
commonly mentioned in the literature, were
deemed to be only secondary. Govers (1996)
declared that most of the problems that
companies have to untangle, in order to
implement QFD, are related to organizational
circumstances like project definition and project
management as well as team selection and team
building. A critical factor concerning project
definition is the Voice of the Customer while
with respect to project management and team
selection, it is essential to have the support of
top management and the integration of a team
with receptive open-minded members who are
willing to challenge established practice. The
need for a good facilitator, who knows the method
very well and has the social skills to build and to
manage a team, was also mentioned [9][11].
Hauser and Clausing (1996) compared startup and preproduction costs at Toyota auto body
in 1977, before QFD, to those costs in 1984,
when QFD was well under way. Ho Q meetings
early on reduced costs by more than 60 %.
Appendix 10, reinforces this evidence by
comparing the number of design changes at a
Japanese auto manufacturer using QFD with
changes at a US automaker. Also, Hauser and
Clausing considered the difference between
applying QFD in Japanese companies and not
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applying QFD in U.S. companies (Appendix 10).

As the Appendix shows, Japanese automaker
with QFD made fewer changes than U.S.
company without QFD. Some benefits of QFD
are illustrated in Table 2.
Benefits of QFD
Major
reduction
in
development, time and cost,
shorter design cycle and
changes. Significantly reduces
start up problems, times and
costs
Leads to truly satisfy and

delighted customer
Improved
Communication
The quality and productivity of

service become more precise in
a
continual
improvement
process and the company can
reach world class.
QFD
clarifies the
customer priority
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.
Source
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)
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)
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)
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),
Zairi (1995)
Ferguson (1990), Lim and Tang
(2000), Dhalgaard and Kanji
(1994), Stoker (1991), Markland
et al (1995, 1988), Hales (1995),
Lockamy and Khurana (1995),
Curry and Herbert (1988), Zairi
(1995)
Ferguson (1990), Ermer and
Kniper (1998), Kathawala and
Motwani (1994), Stauss (1993),
Dhalgaard and Kanji (1994), O
Neal and Lafief (1992), Zairi
(1995)
Table 2: Major Benefits of QFD [13]

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P-ISSN 2347-2189, E- ISSN 2347-4971
QFD is not always easy to implement, and

companies have faced problems using QFD,
particularly in large, complex systems (Harding
et al., 2001). Govers (2001) emphasized that
QFD is not just a tool but has to become a way
of management. He also categorized problems
of QFD in three groups as: methodological
problems, organizational problems and Problems
concerning product policy. Table 3, presents
some regular problems of QFD.
Problems of QFD
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.
Source
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.
It
can
be
difficult
to
determine
the
connection
between customer demands
Dahlgaard
and
Kanji
(1994); Bouchereau and
Rowlands (1999, 2000a);
Designing for customer
satisfaction (1994)
Dahlgaard and Kanji
(1994); Dale et al. (1998);
Bouchereau and Rowlands
(1999, 2000a)
QFD is not appropriate for Dale et al. (1998);

all applications. For example, Bouchereau and Rowlands
in the automotive industry there (1999, 2000a)
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.
Table 3: Some regular problems of QFD [13]

CONCLUSIONS
In this paper, an attempt was made to
demonstrate the capabilities and weaknesses of
QFD which has been regarded as one of the most
important advanced quality engineering
techniques. QFD has been found to have some
considerable problems, most of which seem to
affect adversely its employment. Examples of
some of the most important ones are: ambiguity
in the voice of the customer (VoC), managing
164
large HoQ and conflicts between Customers

requirements (CR). In spite of the above
problems, there are however a wide range of
benefits and advantages associated with using
such a customer satisfaction quality design
technique, which make it beneficial to designing
quality. QFD is a quality design and improvement
technique and relatively is closer to the
customers than other techniques. Also, QFD can
serve as a flexible framework, which can be
modified, extended, and be combined with other
quality design and improvement techniques.
There are still not enough publications about the
use of QFD in service areas. However, comparing
with other quality design techniques, QFD has
the potential to be the most suitable technique
for designing quality from customers point of
view. It is believed that the present investigation
will provide some good research opportunities;
for instance, emphasizing on enhancing QFD s
capabilities and improving the associated
problems with this technique. The flexibility of
QFD has facilitated its integration with other
advanced quality engineering techniques.
However, the following recommendations are
made to enhance the capabilities of QFD:
1) More care should be taken to the beginning
phases of QFD process (e.g. first house of
quality) and new models should be proposed
to improve the evaluation of the input data
(e.g. customers requirements), before
entering into other Ho Qs.
2) The effectiveness of QFD should be
improved through its integration with other
quality engineering techniques which could
improve the functioning of traditional QFD at
its early stages with respect to: competitive
analysis, correlation matrixes, determining
critical items, number of phases needed and
components of its phases.
3) Enhancements must be designed to take
place, with a focus on current problems
associated with QFD (e.g. ambiguity in Vo
C, managing large Ho Q and conflicts
between CR).
REFERENCES
1.
D.J. Delgado & E.M. Aspinwall, (2003) QFD

Methodology and Practical applications A Review,
Proceedings of the Ninth Annual Postgraduate
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Research Symposium, School of Engineering, The
University of Birmingham, 1-5
Management, Vol.12, No.6, 24-42.

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Bendell, T. (1993) Quality: Measuring and monitoring,

The Century Business, UK, 150-164.Betts, M. (1990)
QFD integrated with software engineering,
Transactions of The Second Symposium on Quality
Function Deployment, Novi, MI, 442-459.Bicheno, J.
(1994) The Quality 50: a guide gurus, tools, wastes,
techniques and systems, PICSIE Books.Bier, I.D. and
Cornesky, R. (2001) Using QFD to construct a higher
education curriculum, Quality Progress, April, 6468.Bode, J. and Fung, R.Y.K. (1998) Cost
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Akao, Y., ed. (1990). Quality Function Deployment,

Productivity Press, Cambridge MA, Becker
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MANUFACTURING QUALITY
1
*ROHITASH KUMAR KAUSHIK1, B KUMAR2

Research Scholar, Department of Mechanical Engineering,
2
*Address for correspondence: Rohitash Kumar Kaushik, Research Scholar, Department of

Mechanical Engineering, Sai Nath University, Ranchi, India
ABSTRACT
This paper deals with the quality during manufacturing. It discusses various manufacturing
steps and methods of manufacturing keeping in view the quality of product at all stages. It
includes Just-In-Time (JIT) and Just-In Sequences (JIS) in details. It emphasizes upon that
quality of a product has to be maintained during manufacturing employing different kinds of
gauges 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
MANUFACTURING STEPS
This paper discusses in details the aspects

of quality involved during manufacturing. It
systematically touches all the important points
for example Lean manufacturing, Six-Sigma, JIT,
KANBAN etc. that how they help to improve
production as well as quality. Particularly, first
step in Lean manufacturing is to restructure and
reorganize the basic manufacturing system in
to manufacturing uses that fabricate families of
parts. Then it involves methods to change the
tools, jigs, dies rapidly to avoid wastage of time.
Also it integrates Quality Control with a multiprocess worker who can run more than the bied
of process. A multi-functional worker can do more
that operate machines. He is also an inspector
who understands process capability, quality
control, process improvement. In Lean
production every worker has the responsibility
and the authority to make the product right the
first time and every time and the authority to
stop the process when something is wrong. The
integration of quality control into the
manufacturing system markedly reduces defects
while eliminating inspectors. Calls provide the
natural environment for the integration of quality
control. The functional idea is to inspect to the
present defect from occurring.
Manufacturing steps involve pre-production

activity, pilot run, production run and delivery to
customer. Pre-production activity involves
selection of suppliers, develop pilot run plan, and
develop manufacturing strategy with production
plan, quality plan, test plan, material plan, and
supplier plan. The pilot run is done to validate
manufacturing process against objectives set
forth in manufacturing strategy and product
specifications, standard cost, product quality,
documentation, foiling, training, process control,
validates supplier plan and contracts and internal
failure analysis and corrective action. Production
run is done to produce high quality product on
time while continuing to time tune the process,
first order manufacture and verification of product
cost.
www.ijsir.co.in
Delivery to customer is done to deliver first

production units to customer, refine
manufacturing process based on first build and
monitor field unit performance to correct any
problems. This is explained stepwise below:
1.
Definition of product need, marketing

information.
2.
Conceptual design and evaluation feasibility

study.
169

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

equivalent selection, safety review;
7.
Pilot Production.
8.
Production.
9.
Inspection and Quality Assurance.
to repair minor issues with their machines.

(e) Quick Response Manufacturing (QRM) in
making the time period between a
customers request for a product and the
final delivery of that product as brief as
possible.
(f)
10. Packaging, marketing and Sales literatures.

11. Product.
Methods of manufacturing:
Methods of manufacturing have changed
from the rigid, push-oriented production
principles of the early 20 th century to more
flexible, pull principles. Assembly line
manufacturers used to push mass production
ahead based on estimates of future demand.
This often resulted in waste of effort and
resources if short of estimated demand. To avoid
waste one needs to wait for actual demand for
manufacturing products as per customer
requests or take previous batch of product sales.
The modern manufacturing methods have three
main considerations:
i)
Waste reduction is done by following

several techniques:
(a) Just-In-Time (JIT) Manufacturers: By just

enough supplies to keep the process moving
and schedule them to arrive at the factory
Just-in-time for them to be used in
production.
(b) Automatic requests for new supplies are
sent to their supplier when supplies are
running low. These alert KANBAN and they
are generally computerized. KANBAN is a
system for inventory control.
(c) Just-in-Sequences (JIS). Supplies arrive at
the factory at the exact instrument. They
are needed within the manufacturing
sequence. This means production may
come to a stand still if the supplies are just
few minutes late.
(d) Total Productive Maintenance (TPM) is
followed to avoid stopping productions,
some factories wait until the end of the day
170
Cellular Manufacturing separates the factory

floor into difference sections or cells.
Machines area placed in a certain order so
that materials flow naturally towards the
compensation of the production.
(g) Single-minute Exchange of Die (SMED) is

to reduce waste time. Even between
projects SMED focuses on changing the
factory process from working on an old
product to a new product as quickly as
possible.
ii)
Quality of a product has to be maintained
A manufacturing process is a given a sigma

rating based on the percentage of its product
yield being defect free. A one sigma rating
designates a process with a yield of 31% and a
six-sigma rating is a process which nearly perfect
that is 99.99966% defect free. Thus every
company wants to achieve six-sigma method
focuses on measuring and analyzing process
data in order to find and remove defects. During,
the Lean manufacturing, it is concerned with
improving the flow between processes to reduce
waste.
Define, Measure, Analyze, Design, Verify
(DMADV) methodology is followed which is a
more anticipatory approach. Based on an
analysis of customer demand, manufacturers
plan ahead and try to design ways to avoid
defects in the first place.
Critical to Quality (CTQ) and Quality
Function Deployment (QFD) area two concepts
which try to pinpoint the elements of a product
that are most important to customers and
translate those needs into a manufacturing
strategy that focuses on getting the critical
elements exactly right.
Suppliers, Inputs, Process , Outputs
customers (SIPOC) is followed to allow
manufacturers to trace the life cycle of their
products from supplier to customer and identify
problem areas.
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P-ISSN 2347-2189, E- ISSN 2347-4971
Taguchi Loss function is considered which

suggests that production quality decreases as
variation increases.
on the end user and customer, which may

include durability, materials, toxicity and so
forth. Improvements in manufacturing can
include disintegration of parts, loose fatness
and so forth and should be a main focus.
iii) Accelerate Production:

Production is accelerated to make sure
products are made available and demand is met.
Machine flexibility should exist for change to
manufacture different products. Routing flexibility
concept is used to focus on the adaptability of
the manufacturing process as a whole.
Computer-aided-Design (CAD) and
Computer-aided-manufacturing (CAM) should be
adopted. If a factory has machine and routing
flexibility, CAD is used for design of production
processes and CAM is to guide parts through
those processes with robots and computercontrolled Machines (CCM).
Computer integrated Manufacturing (CIM)
creates a network of computer that observes and
operate the manufacturing process. Computer
can monitor every step of production for defects
and change the actions of a machine almost
immediately leading to flexibility.
Finally, the three major goals of reducing
cost, maintaining quality and accelerating
production are achieved through the combined
efforts of Lean manufacturing theories, six-sigma
methodologies and flexible processes.
Steps for Quality Manufacturing:
Improving quality manufacturing processes
leads to decreased waste, better quality products,
and overall improvement in customer
satisfaction. To begin with, a committee is formed
to ensure the following steps are completed and
taken from beginning to end:
i)
Actual process: Name the process and its

purchase, as well as its starting and ending
points, inputs and outputs and overall
requirements. Identify the customers and
suppliers who will be affected by this
process.
ii)
Areas of improvement: A random sampling

(Statistical Quality Control) is done. Sample
plans to suit various sizes are available with
Bureau of standards. Product is tested for
a variety of things that will have an impact
www.ijsir.co.in
iii) Solution for the problems: Brain storming

is done in committee, or specialists are
consulted. Additionally, get feedback from
those who work on or with the process on
daily basis.
iv) Detailed solution: A budget is included to
determine what personnel are necessary for
making the improvements, conduct, a
projected cost analysis and time frame for
completing the overall improvements. There
may also be a need to determine how the
rest of the manufacturing plant will be
affected by this and whether it will slow
production at 999 level.
v)
Put Plan into action: Involve everyone,

from the highest levels of management in
the manufacturing company down to the
workers who utilize the process and
implement the action plan.
vi) Evaluate: Now, there will be a need to

evaluate the improvements in the processes
as a whole. The process should have
desired effect, the process should be
successful, the problem should be fixed, and
wastes should be eliminated. The
improvements should be on time and within
budget.
vii) The steps two to six should be continuously
repeated as often as necessary to achieve
improvement within the manufacturing plant.
Final goal is to decrease the need for a
committee, and instead involve all members
of the plant continually working to improve.
Six-sigma approach is used for maintaining
quality in manufacturing which means
identifying errors or defects in the production
and elimination of these defects to minimum.
Also it means identifying errors or defects
in the production flow and eliminating them
to maximize productivity.
CONCLUSION
Thus, we see that by following above
procedure it is possible to ensure zero defects
and make the production line more smooth and
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effective. The main point is procedure should

be followed very strictly. A team leader should
employ a team of inspectors to keep on checking
that the work is carried out as per planning. This
is very important, then only Lean manufacturing,
JIT, SQC, KANBAN area possible for smooth
production link.
172
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.Paul

Degarmo, 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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P-ISSN 2347-2189, E- ISSN 2347-4971
A COMPARATIVE STUDY ON EMISSIONS FROM TWO

STROKE COPPER COATED SPARK IGNITION ENGINE WITH
ALCOHOLS WITH CATALYTIC CONVERTER
1
*N L MAHARAJA1 B. KUMAR2
2
*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-(thickness, 300 ) coated on piston crown, inner side of cylinder head] provided with catalytic converter with different catalysts such as sponge iron and manganese ore and compared with
conventional engine (CE) with pure gasoline operation. A microprocessor-based analyzer was
used for the measurement of carbon monoxide (CO) and un-burnt hydro carbon (UBHC) in the
exhaust of the engine at various magnitudes of brake mean effective pressure. Aldehydes were
measured by DNPH (dinitrophenyl hydrazine) method. CCE with alcohol blended gasoline considerably reduced emissions in comparison with CE with pure gasoline operation. Catalytic
converter with air injection significantly reduced pollutants with test fuels on both configurations
of the engine. The catalyst, sponge iron in comparison with manganese ore reduced the pollutants effectively with both test fuels in both versions of the engine. Methanol blended gasoline
effectively reduced pollutants in comparison with ethanol blended gasoline.
Keywords: S.I. Engine, CE, CCE, Emissions, Catalytic converter, Sponge iron, Manganese
ore, Air injection
NOMENCLATURE
BMEP
C
Fuel-equivalence ratio,
Brake mean effective pressure in bar
Number of carbon atoms in fuel composition
CCE
Copper coated engine
CE
Conventional engine
CO
Carbon monoxide
CO2
Carbon dioxide
DNPH Dinitrophenyl hydrazine
Gasohol 20% of ethanol blended with 80% of gasoline by volume
H
Number of hydrogen atoms in fuel composition
HPLC
High performance liquid chromatography
M
Manganese ore
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METCO
S
Set-A
Set-B
Set-C
SI
UBHC
A Trade name
Sponge iron
Without catalyst and without air injection
With catalyst and without air injection
With air injection and with catalyst
Spark ignition
Un-burnt hydro-carbons
INTRODUCTION
CO and UBHC, major exhaust emissions
formed due to incomplete combustion of fuel,
cause many human health disorders [1,2]. Such
emissions also cause detrimental effects3 on
animal and plant life, besides environmental disorders. Age and maintenance of the vehicle are
some of the reasons[4,5] for the formation of pollutants. Aldehydes which are intermediate com173

P-ISSN 2347-2189, E- ISSN 2347-4971
pounds[6] formed in combustion are carcinogenic

in nature and cause detrimental effects on human health and hence control of these pollutants is an immediate task. Engine modification[79]
with copper coating on piston crown and inner
side of cylinder head improved engine performance as copper is a good conductor of heat
and combustion improved with copper coating.
Catalytic converter was effective[10-14] in reduction of emissions in SI engine. The present paper reported the control of emissions of CO,
UBHC, and aldehydes from the exhaust of twostroke SI engine with alcohol blended gasoline
in different configurations of the engine with catalytic converter with different catalysts such as
sponge iron (S) and manganese ore (M) and
compared with pure gasoline operation on CE.
The performance of the catalyst was compared
with one over the other.
18.
19.
20.
21.
22.
23.
24.
25.
26.
Directional valve,
Air compressor,
Rotometer,
Heater,
Air chamber,
Catalytic chamber,
CO/HC analyzer,
Filter,
Round bottom flasks containing DNPH solution,

Fig.1 showed experimental set-up used for
investigations. A two- stroke, single-cylinder, air
-cooled, SI engine (brake power 2.2 kW at the
speed of 3000 rpm) was coupled to a rope brake
dynamometer for measuring its brake power.
Speed was measured with speed sensor
and torque with torque sensor. Compression
ratio of engine was 7.5:1.
Exhaust gas temperature, speed, torque,
fuel consumption, and air flow rate of the
engine were measured with electronic sensors.
1.
2.
3.
4.
5.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
174
Engine,
Electrical swinging field dynamometer,
Loading arrangement,
Fuel tank,
Torque indicator/controller sensor, 6. Fuel
rate indicator sensor,
Hot wire gas flow indicator,
Multi channel temperature indicator,
Speed indicator,
Air flow indicator,
Exhaust gas temperature indicator,
Mains ON,
Engine ON/OFF switch,
Mains OFF,
Motor/Generator option switch,
Heater controller,
Speed indicator,
Fig.1 : Experimental set up
In catalytic coated engine, piston crown and

inner surface of cylinder head were coated with
copper by flame spray gun. The surface of the
components to be coated were cleaned and subjected to sand blasting. A bond coating of nickelcobalt- chromium of thickness 100 microns was
sprayed over which copper (89.5%), aluminium
(9.5%) and iron (1%) alloy of thickness 300 microns was coated with METCO flame spray gun.
The coating had very high bond strength and did
not wear off even after 50 h of operation[7]. CO
and UBHC emissions in engine exhaust were
measured with Netel Chromatograph analyzer at
various magnitudes of BMEP. A catalytic converter [11] (Fig.2) was fitted to exhaust pipe of engine.
Fig.2. Details of Catalytic converter
Note: All dimensions are in mm.

1.Air chamber,
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P-ISSN 2347-2189, E- ISSN 2347-4971
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 definite
quantity of air into catalytic converter. Air quantity drawn from compressor and injected into
converter was kept constant so that backpressure
did not increase. Experiments were carried out
on CE and CCE with different test fuels [pure
gasoline, ethanol blended gasoline [gasohol],
methanol blended gasoline (20% by volume)]
under different operating conditions of catalytic
converter like Set-A, Set-B and Set-C. Air fuel
ratio was varied so as to obtain different equivalence ratios. For measuring aldehydes in the
exhaust of the engine, a wet chemical method[6]
was employed. The exhaust of the engine was
bubbled through 2,4 DNPH in hydrochloric acid
solution and the hydrazones formed from aldehydes were extracted into chloroform and were
analyzed by HPLC to find the percentage concentration of formaldehyde and acetaldehyde in
the exhaust of the engine.
RESULTS
Fig. 3-Variation of CO emissions with BMEP
in different versions of the engine with both pure
gasoline and methanol blended gasoline.
Fig.4-Variation of CO emissions with equivalence ratio, f in both configurations of the engine
with pure gasoline and methanol blended gasoline.
Fig.5- Variation of un-burnt hydro carbon
emissions (UBHC) with BMEP in different versions of the engine with both test fuels.
Fig. 6- Variation of UBHC emissions with
equivalence ratio, f with pure gasoline and methanol blended gasoline with both configurations of
the engine
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Table1- Data of CO emissions (%) with different test fuels with different configurations of
the engine at different operating conditions of
catalytic converter with different catalysts
Table 2- Data of UBHC emissions (ppm) with
different test fuels with different configurations
of the engine at different operating conditions of
catalytic converter with different catalysts
Table3-Data of Formaldehyde emissions (%
Concentration) with different test fuels with different configurations of the engine at different
operating conditions of catalytic converter with
different catalysts
Table 4-Data of Acetaldehyde emissions
(%Concentration) with different test fuels with
different configurations of the engine at different
operating conditions of catalytic converter with
different catalysts
DISCUSSION
From Fig.3, it could be observed that methanol blended gasoline decreased CO emissions
at all loads when compared to pure gasoline
operation on CCE and CE, as fuel-cracking reactions were eliminated with methanol. The combustion of methanol produces more water vapor
than free carbon atoms as methanol has lower
C/H ratio of 0.25 against 0.50 of gasoline. Methanol has oxygen in its structure and hence its
blends have lower stoichiometric air requirements compared to gasoline. Therefore more
oxygen that is available for combustion with the
blends of methanol and gasoline, leads to reduction of CO emissions. Methanol dissociates
in the combustion chamber of the engine forming hydrogen, which helps the fuel-air mixture to
burn quickly and thus increases combustion velocity, which brings about complete combustion
of carbon present in the fuel to CO2 and also CO
to CO2 thus makes leaner mixture more combustible, causing reduction of CO emissions. CCE
reduced CO emissions in comparison with CE.
Copper or its alloys acted as catalyst in combustion chamber, whereby facilitated effective combustion of fuel leading to formation of CO2 instead of CO. Similar trends were observed by
other researchers also[7] with pure gasoline operation on CCE.
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P-ISSN 2347-2189, E- ISSN 2347-4971
Fig. 3: Variation of CO emissions with BMEP in

different versions of the engine with pure gasoline and methanol blended gasoline at a compression ratio of 7.5:1 and speed of 3000 rpm
that CO emissions deceased considerably with

catalytic operation in set-B with methanol blended
gasoline and further decrease in CO was pronounced with air injection with the same fuel. The
effective combustion of the methanol blended
gasoline itself decreased CO emissions in both
configurations of the engine. Sponge iron decreased CO emissions effectively when compared with the manganese ore in both versions
of the engine with test fuels. CO emissions were
observed to be more with gasohol operation in
comparison with methanol blended gasoline in
both versions of the engine at different operating conditions of the catalytic converter. This was
due to the reason that C/H ratio of gasohol is
higher (0.33) in comparison with methanol
blended gasoline 0.25).
From Fig.4, it could be noticed that at leaner mixtures marginal increase in CO emissions, and at
rich mixtures drastic increase in CO emissions
were observed with both test fuels
TABLE 1: DATA OF CO EMISSIONS (%)

Conventional Engine (CE)
Set
Pure
Gasolin e
Set-A
S
5.0
Set-B
Set-C
Copper Coated Engine (CCE)
M
5.0
Methanol
blended
gasoline
S M
3.0 3.0
Gasohol
Pure Gasoline
Methanol ble nded

gasoline
S
3.5
3.0
4.0
1.8
2.1
2.0
3.0
1.2
1.5
Gasohol
M
3.5
S
4.0
M
4.0
S
2.4
M
2.4
S
2.9
M
2.9
2.3
2.8
2.4
3.2
1.44
1.92
1.9
2.32
1.5
2.1
1.6
2.4
0.96
1.44 1.26 1.74
From Fig.5, it could be observed UBHC

emissions followed the same trend as CO emissions in CCE and CE with both test fuels, due to
increase of flame speed with catalytic activity and
reduction of quenching effect with CCE.
Fig. 4 : Variation of CO emissions with

Equivalence ratio in both versions of the engine
with different test fuels with a compression ratio
of 7.5:1 at a speed of 3000 rpm
In different configurations of the engine. With
methanol blended gasoline operation minimum
CO emissions were observed at f = 0.85, and
with pure gasoline operations, minimum CO
emissions were observed at f = 0.9 with both
configurations of the engine. This was due to
lower value of stoichiometric air requirement of
methanol blended gasoline when compared with
gasoline. Very rich mixtures have incomplete
combustion. Some carbon only burns to CO and
not to CO2. From the Table-1, it could be observed
176
Fig. 5 : Variation of UBHC emissions with

BMEP in different versions of the engine with pure
gasoline and methanol blended gasoline at a
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P-ISSN 2347-2189, E- ISSN 2347-4971
compression ratio of 7.5:1 and speed of 3000

rpm
From Fig. 6, it could be seen that the trends
followed by UBHC emissions were similar to
those of CO emissions.
Fig. 6 : Variation of UBHC emissions with
Equivalence ratio in both versions of the engine
with different test fuels with a compression ratio
of 7.5:1 at a speed of 3000 rpm
Drastic increase of UBHC emissions was
observed at rich mixtures with both test duels in
different configurations of the engine. In the rich
mixture some of the fuel would not get oxygen
and would be completely wasted. During starting from the cold, rich mixture was supplied to
the engine, hence marginal increase of UBHC
emissions was observed at lower value of equivalence ratio. From Table-2, it could be noticed that
the trends observed with UBHC emissions were
similar to those of CO emissions in both versions
of the engine with both test fuels. Catalytic converter reduced pollutants considerably with CE
and CCE and air injection into catalytic converter
further reduced pollutants. In presence of catalyst, emissions got further oxidized to give less
harmful emissions like CO2. Similar trends were
observed with pure gasoline operation on CCE
by other researchers also[7]. Sponge iron was
proved to be more effective in reducing UBHC
emissions in both versions of the engine with different test fuels when compared with manganese
ore in both versions of the engine with different
configurations of the engine. Gasohol operation
increased UBHC emissions marginally in comparison with methanol blended gasoline in both
versions of the engine.
TABLE 2 : DATA OF UBHC EMISSIONS (ppm)

Pure Meth anol Gasohol
Gasoline blended
Set
gasolin e
S M S M S M
Set-A 750 750 525 525 562 562
Set-B 450 600 315 420 340 450
Set-C 300 450 210 315 225 330

Pure Gasoline Meth anol Gasohol
blended gasoline
S
600
360
240
M S M S
600 420 420 450
480 252 335 270
360 168 250 180
M
450
360
270
From Table-3 and Table-4, it could be noticed that the formaldehyde emissions in the exhaust decreased considerably with the use of
catalytic converter, which was more pronounced
with an air injection into the converter. Methanol
blend increased formaldehyde emissions considerably due to partial oxidation compared to pure
gasoline. The low combustion temperature lead
to produce partially oxidized carbonyl (aldehyde)
compounds with gasohol. CCE decreased formaldehyde emissions when compared to CE. The
trend exhibited by acetaldehyde emissions was
same as that of formaldehyde emissions. However, acetaldehyde emission was observed to be
more with ethanol blend compared to methanol
blend of gasoline in both versions of the engine
(Table-4).
TABLE 3 : DATA OF FORMALDEHYDE EMISSIONS
(% CONCENTRATION)
Set
Set-A
Set-B
Set-C

Pure
Methanol Gasohol
Gasoline blended
gasolin e
S M S M S M
9.1 9.1 23.6 23.6 14.6 14.6
6.3 8.2 10.8 12.6 7.0 9.2
3.5 5.5 8.0 10.1 5.9 7.7

Pure Gasoline Methanol
Gasohol
blended gasoline
S
6.8
4.1
3.2
M
6.8
5.9
5
S
13.6
10.2
3.5
M S M
13.6 9.31 9.31
12 5.0 7.1
5 3.93 5.8
TABLE 4 : DATA OF ACETALDEHYDE EMISSIONS (%

CONCENTRATION)
Set
Set-A
Set-B
Set-C

Pure
Methanol
Gasohol
Gasoline blended
gasolin e
S M S M S M
7.7 7.7 12.3 12.3 16.8 16.8
4.9 7.2 6.5 8.5 8.4 10.5
2.1 4.3 3.8 5.6 7.0 9.1

Pure Gasoline Methanol
Gasohol
blended gasoline
S
4.9
3.5
1.4
M
4.9
5.3
3.1
S
9.3
7.7
3.9
M
9.3
9.5
5.6
S
12.6
7.5
5.2
M
12.6
9.3
7.2
The partial oxidation of ethanol during combustion predominantly leads to formation of acetaldehyde. Copper (catalyst) coated engine
decreased aldehydes emissions considerably by
effective oxidation when compared to CE. Catalytic converter with air injection drastically decreased aldehyde emissions in both versions of
the engine due to oxidation of residual aldehydes
in the exhaust.
CONCLUSION
CO emissions in exhaust decreased by 40%
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177

P-ISSN 2347-2189, E- ISSN 2347-4971
with sponge iron, while they decreased by 20%

with manganese ore in CE with pure gasoline
operation. These pollutants decreased by 20%
with CCE when compared to CE with both test
fuels. Set-B operation decreased CO and UBHC
emissions by 40% each, while Set-C operation
decreased these emissions by 60% with test fuels when compared to Set-A operation. Sponge
iron was proved to be more effective in reducing
the pollutants than manganese ore. Methanol
blended gasoline reduced pollutants effectively
in comparison with gasohol operation in both
versions of the engine.
7.
Nedunchezhian N and Dhandapani S, Experimental

investigation of cyclic variation of combustion parameters in a catalytically activated two-stroke SI engine
combustion 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., Performance evaluation of copper coated four stroke
spark ignition engine with gasohol with catalytic converter, International Journal of Eng. Studies, 2(4), 465473, 2010.
9.
Narasimha Kumar, S., Murali Krishna, M.V.S., Murthy,

P.V.K., Seshagiri Rao, V.V.R... and Reddy, D.N., Performance of copper coated two stroke spark ignition
engine with gasohol with catalytic converter International
ACKNOWLEDGEMENTS
10.
Journal on Mechanical & Automobile Eng (IJMAE),

12(1), 36-43, , 2011.
11.
Murali Krishna, M.V.S. and Kishor, K., Control of pollutants from copper coated spark ignition engine with
methanol blended gasoline, Indian J. of Env. Prot.,
25(8), 732-738 , 2005.
12.
Murali Krishna, M.V.S., Kishor, K., Prasad, P.R.K. and

Swathy, G.V.V., Parametric studies of pollutants from
copper coated spark ignition engine with catalytic converter with gasoline blended methanol, Journal of
Current 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 spark
ignition engine with methanol blended gasoline and
sponge iron catalyst, Ecology, Environment &Conservation. 13(4), 13-17 , 2008.
14.
Murali Krishna, M.V.S. and Kishor, K., Investigations

on catalytic coated spark ignition engine with methanol blended gasoline with catalytic converter, Indian
Journal (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 engine
with methanol blended gasoline with catalytic converter, Indian Journal of Environmental Protection,
30(3),177-18 , 2010.
Authors thank authorities of Chaitanya

Bharathi Institute of Technology, Hyderabad for
facilities provided. The financial assistance from
Andhra Pradesh Council of Science and Technology (APCOST), Hyderabad, is greatly acknowledged.
REFERENCES
1.
Fulekar M H, Chemical pollution a threat to

human 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.M

Khopkar [New Age International (P) Ltd, Publishers,
New Delhi] 180-190 , 2005.
4.
Usha Madhuri T, Srinivas T and Ramakrishna K, A

study on automobile exhaust pollution with regard to
carbon monoxide emissions, Nature, Environ & Poll
Tech, 2, 473-474 , 2003.
5. Ghose M K, Paul R and Benerjee S K, Assessment of

the impact of vehicle pollution on urban air quality, J
Environ Sci & Engg , 46, 33-40, 2004.
6.
178
Murthy, P.V.K., Narasimha Kumar, S., Murali Krishna,

M.V.S., Seshagiri Rao, V.V.R. and .Reddy, D.N., Aldehyde emissions from two-stroke and four-stroke
spark ignition engines with methanol blended gasoline with catalytic converter, International Journal of
Eng. Research and Tech., 3(3),793802 , 2010.
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OPTIMAL POWER FLOW BY PARTICLE SWARM

OPTIMIZATION FOR REACTIVE LOSS MINIMIZATION
1
* G. SRIDHAR,1 RADHE SHYAM JHA RAJESH2

2
Principal, S (PG) ITM, Rewari, (HR), India
*Address for correspondence: G. Sridhar, Research Scholar,

Sunrise University, Alwar, Rajasthan, 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 have
been moving into a more competitive environment, OPF has been used as a tool to define the level of
the inter utility power exchange. Basically, this research work provides a new approach to solve the
single objective OPF problem considering critical objective function of reactive loss minimization for
utility/ industrial companies, while satisfying a set of system operating constraints, including constraints dedicated by the electrical network. Particle Swarm Optimization (PSO) has been used for
this purpose. Particle Swarm Optimization (PSO) is a population based stochastic optimization technique. The system is initialized with a population of random feasible solutions and searches for optima by updating generations. The IEEE- 30 bus system is considered throughout this research work
to test the proposed algorithm.
Keywords OPF-optimal power flow, PSO-particle swarm optimization.
INTRODUCTION
The Optimal Power Flow (OPF) has been
widely used for both the operation and planning
of a power system. Therefore, a typical OPF solution adjusting the appropriate control variables,
so that a specific objective in operating a power
system network is optimized (maximizing or minimizing) with respect to the power system constraints, dictated by the electrical network. This
paper focuses on single objective OPF problem
considering reactive loss minimization optimization. For optimization any optimization technique
is required and Particle Swarm Optimization
(PSO) is used in this research. Particle Swarm
Optimization (PSO) is a relatively new evolutionary algorithm that may be used to find optimal
(or near optimal) solutions to numerical and qualitative problems. Particle Swarm Optimization was
originally developed by a social psychologist
(James Kennedy) and an electrical engineer
(Russell Eberhart) in 1995, and emerged from
earlier experiments with algorithms that modeled
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the flocking behavior seen in many species of

birds.
OPTIMAL POWER FLOW SOLUTION METHODS CLASSICAL METHODS [2]:
1. Linear Programming (LP) Method
2. Newton-Raphson (NR) Method
3. Quadratic Programming (QP) Method
4. Nonlinear Programming (NLP) Method
5. 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 degree
program in electrical (Powe) are engineered in Gujarat
Technological University, India, PH-0919979858183.
E-mail: smitamishra75@yahoo.com
Prof. B. N. Vaidya is HOD Electrical of Shantilal Shah
Engg. College, Bhavnagar, Gujarat, India.
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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 have
been made in classical methods, they suffer with
the following disadvantages: In most cases,
mathematical formulations have to be simplified
to get the solutions because of the extremely limited capability to solve real-world large-scale
power system problems. They are weak in handling qualitative constraints. They have poor convergence, may get stuck at local optimum, they
can find only a single optimized solution in a
single simulation run, they become too slow if
the number of variables are large and they are
computationally expensive for the solution of a
large system. Whereas, the major advantage of
the AI methods is that they are relatively versatile for handling various qualitative constraints.
AI methods can find multiple optimal solutions in
a single simulation run. So they are quite suitable in solving multi-objective optimization problems. In most cases, they can find the global
optimum solution. The main advantages of ANN
are: Possesses learning ability, fast, appropriate
for non-linear modeling, etc. whereas, large dimensionality and the choice of training methodology are some disadvantages of ANN. The advantages of Fuzzy method are: Accurately represents the operational constraints and fuzzified
constraints are softer than traditional constraints.
The advantages of GA methods are: It only uses
the values of the objective function and less likely
to get trapped in a local optimum. Higher computational time is its disadvantage. The advantages of the EP are adaptable to change, ability
to generate good enough solutions and rapid
convergence. ACO and PSO are the latest entry
in the field of optimization. The main advantages
of the ACO are positive feedback for recovery of
good solutions, distributed computation, which
avoids premature convergence. It has been
mainly used in finding the shortest route in the
transmission network, short-term generation
scheduling and optimal unit commitment. PSO
can be used to solve complex optimization problems, which are non-linear, non-differentiable and
multi-model. The main merits of PSO are its fast
180
convergence speed and it can be realized simply for less parameters need adjusting. PSO has
been mainly used to solve Bi-objective generation scheduling, optimal reactive power dispatch
and to minimize total cost of power generation.
Yet, the applications of ACO and PSO to solve
Security constrained OPF, Contingency constrained OPF, Congestion management incorporating FACTS devices etc. Of a deregulated
power system are to be explored out.
TABLE I : SUITABLE METHODS FOR SOLVING THE
VARIOUS OPTIMIZATION PROBLEMS OF ELECTRICAL ENGINEERING.
Objective
function to be
optimized
Suitable method(s)
LP, NR
Economic
dispatch
Economic
AI
dispatch with
non-smooth cost
function
Economic
Fuzzy
emission
dispatch
NLP, OP, IP, AI
Reactive power
optimization
Optimal
AI
location of
FACTS device
Social welfare
QP, AI
Congestion
management
AI
Security
constrained
OPF
NLP, IP
Reason to use
that method
Fast methods
Nonlinear
problem
Suitable for
conflicting
objectives
Accurate
methods
Multi objective
non-linear
problem
Multi objective
non-linear
problem
Multi objective
non-linear
problem
Stable
convergence
PARTICLE SWARM OPTIMIZATION

Particle Swarm Optimization (PSO) is a relatively new evolutionary algorithm that may be
used to find optimal (or near optimal) solutions
to numerical and qualitative problems. Particle
Swarm Optimization was originally developed by
James Kennedy and Russell Eberhart in 1995,
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and emerged from earlier experiments with algorithms that modeled the flocking behavior seen
in many species of birds .In simulations, birds
would begin by flying around with no particular
destination and spontaneously formed flocks until
one of the birds flew over the roosting area. Due
to the simple rules the birds used to set their directions and velocities, a bird pulling away from
the flock in order to land at the roost would result
in nearby birds moving towards the roost. Once
these birds discovered the roost, they would land
there, pulling more birds towards it, and so on
until the entire flock had landed. Finding a roost
is analogous to finding a solution in a field of
possible solutions in a solution space. The manner in which a bird who has found the roost, leads
its neighbors to move towards it, increases the
chances that they will also find it. This is known
as the socio-cognitive view of mind. The sociocognitive view of mind means that a particle
learns primarily from the success of its neighbors .The concept of the PSO consists of, at each
time step, changing the velocity of (accelerating)
each particle toward its pbest and lbest locations (local version of PSO). Acceleration is
weighted by a random term, with separate random numbers being generated for acceleration
toward pbest and lbest locations. In the past several years, PSO has been successfully applied
in many research and application areas. It is
demonstrated that PSO gets better results in a
faster, cheaper way compared with other methods.
A. Basic Terms Used in PSO
The basic terms used in PSO technique are
stated and defined as follows [11]:
1. Particle X (I): It is a candidate solution
represented by a k-dimensional real-valued vector, where k is the number of optimized parameters. At iteration i, the jth particle X (i,j) can be
described as:
X i (i ) = [ X j 1 (i ); X j 2 (i );.....X jk (i );.....X jd
Where:
xs are the optimized parameters
d represents number of control variables
2. Population: It is basically a set of n particles at iteration i.
pop (i )= [ X 1 (i ), X 2 (i ), .........X n (i)]T
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Where: n represents the number of candidate solutions.

3. Swarm: Swarm may be defined as an
apparently disorganized population of moving
particles that tend to 2 cluster together while each
particle seems to be moving in a random direction.
4. Particle velocity V (i): Particle velocity
is the velocity of the moving particles represented
by a d-dimensional real-valued vector. At iteration 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 jth
particle with respect to the kth dimension.
5. Inertia weight w (i): It is a control parameter, which is used to control the impact of
the previous velocity on the current velocity.
Hence, it influences the trade-off between the
global and local exploration abilities of the particles. For the initial stages of the search process, large inertia weight to enhance the global
exploration is recommended while it should be
reduced at the last stages for better local exploration. Therefore, the inertia factor decreases linearly from about 0.9 to 0.4 during a run. In general, this factor is set according to the following
equation :
W = Wmax ( (Wmax - Wmin) / itermax)*
iter
Where: itermax is the maximum number of
iterations and iter is the current number of iterations.
6. Individual best X* (i): When particles are
moving through the search space , it compares
its fitness value at the current position to the best
fitness value it has ever reached at any iteration
up to the current iteration. The best position that
is associated with the best fitness encountered
so far is called the individual best X* (i).
For each particle in the swarm, X*(i)can be
determined and updated during the search.
For the jth particle, individual best can be
expressed 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 objective function f, the individual best of the jth
particle Xj*(i) is updated whenever f (Xj*(i)) < f
(Xj*(i-1)). Otherwise, the individual best solution
of the jth particle will be kept as in the previous
iteration.
7.Global best X** (t): Global best is the best
position among all of the individual best positions
achieved so far.
8. Stopping criteria: Termination of the
search process will take place whenever one of
the following criteria is satisfied:
B. Advantages of PSO
Many advantages of PSO over other traditional optimization techniques can be summarized as follows :PSO is a population-based
search algorithm. This property ensures PSO to
be less susceptible in being trapped on local
minima. PSO makes use of the probabilistic transition rules and not deterministic rules. Hence,
PSO is a kind of stochastic optimization algorithm that can search a complicated and uncertain area. This makes PSO more flexible and
robust than conventional methods. PSO can easily deal with non-differentiable objective functions
because PSO uses payoff (performance index
or objective function) information to guide the
search in the problem space. Additionally, this
property relieves PSO of assumptions and approximations, which are often required by traditional optimization models. PSO has the flexibility to control the balance between the global and
local exploration of the search space. This unique
feature of a PSO overcomes the premature convergence problem and enhances the search capability which makes it different from Genetic
Algorithm (GA) and other heuristic algorithms.
C. Flowchart for Basic Particle Swarm Optimization Algorithm
OPF USING PSO Step 10: If one of the stopping criteria is satisfied then we go
A. The Objectives: Minimization of Reactive Power to Step 11. Otherwise, we go to Step
5.
182
Transmission Loss
Static network-related system Voltage Stability Margin (VSM) depends on the availability
of reactive power to support the transportation
of real power from sources to sinks. In practice,
the QL is not necessarily positive. The expression for reactive power loss minimization is as
below:
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QL= Qgi- Qdi

B. The various steps involved in the implementation of PSO to the OPF problem are[3]
Step 1: Firstly read the Input parameters of
the system (bus, line and generator data) and
also specify the lower and upper boundaries of
each variable. For N generators, optimization is
carried out for N-1 generators and generator of
large capacity is considered at slack bus.
Step 2: Then the particles of the population
are randomly initialized i.e. are randomly selected
between the respective minimum and maximum
values. Also assign the velocity V initially between [-1 and 1].
Step 3: Obtain power flow solution and compute losses by Newton-Raphson method.
Step 4: The best fitness is assign
ed as pBest . At this stage the pBest is also
the gBest .
Step 5: Iteration i = i+1 is updated.
Step 6: Update the inertia weight w given
by
W = (Wmax - Wmin) / itermax = iter
Step 7: Modify the velocity v of each particle 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 also
modified according to the mentioned equation.
If a particle violates its position limits in any
dimension, 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 done
according to its updated position by running
power flow and calculate the fitness function. If
the evaluation value of each particle is better than
the previous pBest then the current value is set
to 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 is
satisfied than we go to step 11 otherwise we go
to step 5.
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Step 11: gBest is the optimal value that is

latestly generated by the particle.
C. Flow chart for PSO based OPF
D. The parameters that must be selected
carefully for the efficient TABLE IIIperformance of
PSO algorithm are:1. Both acceleration factors C1 & C2. (0-4)
2. Number of particles
3. Inertia factor w
The search will terminate if one of the below scenario is encountered:
-gbest f(i) gbest f(i-1)| < 0.0001 for 50 iterations Maximum number of iteration reached
(500 iterations)
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SIMULATION RESULTS
The OPF using PSO has been carried out
on the IEEE 30 bus system. The OPF solution
has been attempted for minimizing the reactive
power loss by considering the (i) Generated PV
and slack bus voltages, (ii) Voltage limits for load
bus voltages as control variables.
The simulation has been carried out on the
system having an Intel core i5 2.67 GHz processor with 4 GB of RAM in MATLAB 7.7.0 environment. Results are viewed as reactive power loss
as objective function. For the studies, the population size is considered as 50 Generated PV and
slack bus voltages between 0.95 to 1.15, Voltage limits for load buses are 0.95 to 1.05
A. Various Case studies:
TABLE II : THE ABOVE STUDY HAS BEEN SUMMARIZED UNDER THE FOLLOWING CASES
Case
no.
Reactive loss
applying PSO
In Mvar
79.5
Name
before
Reactive loss after applying

PSO
In Mvar
73.5
75
74 .9
Base case power flow solution Newton74 .8
Raphson method.(before optimization)

Optimal Power Flow solution by Particle
swarm optimization for Minimizing
Reactive Power Loss
74 .7
74 .6
u.74.5
.
Case
2
voltage as per specification voltage before

optimization
voltage after optimization
i
n
Case
1
Fig. 1 : Voltage Magnitute- BUS No.
74 .4
s 7 4.3
Bus
No.
1
2
3
4
5
6
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
184
Voltage
Magnitude
as per IEEE
specification
In p.u.
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
Voltage
Magnitude
before
applying
PSO
In p.u.
1
0.98
0.953318
0.944309
0.95
0.944243
1
0.983506
1
0.967354
0.962282
0.969677
0.963589
0.951564
0.948617
0.952909
0.955973
0.956607
0.950896
0.944794
0.942281
0.923133
0.949998
0.94009
0.928441
0.91598
Voltage
Magnitude
after
applying
PSO
In p.u.
1.032481
1.015079
0.994568
0.98718
0.987554
0.989664
1.046949
1.031638
1.047678
1.016218
1.011325
1.01818
1.012103
1.000944
0.998025
1.002041
1.004804
1.005427
1.000395
0.994448
0.992299
0.974157
0.999746
0.986903
0.979388
0.967615
l
o
sse 74.2
M V R
TABLE III:COMPARISON OF VOLTAGE MAGNITUDE
74 .1
74
73 .9
73 .8
73 .7
73 .6
73 .5
0 1 2
6 7 8 9
1 0 1 1 12 13 14 1 5 1 6 17 18 19 20 2 1 2 2 2 3 2 4 25 26 27 2 8 2 9 30 31 32 33 3 4 3 5 3 6 3 7 38 3 9 4 0 41 4 2 4 3 44 45 46 4 7 4 8 49 50
TABLE : IV : COMPARISON OF REACTIVE LOSSES
Fig. 2 : MVR Losses-Iteration No.

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These control variables include: active

power generation except the slack bus; all PVbus voltages; all transformer load tap changers;
and the setting of all switched reactors or static
VAR components.
4.
P.R.Sujin, Dr.T.Ruban Deva Prakash and M.Mary

Linda, Particle Swarm Optimization Based Reactive
Power Optimization, Journal Of Computing, Volume
2, Issue 1, January 2010, Issn 2151-9617
5.
Jean-Carlos Hernandez, Particle Swarm Optimization: Basic Concepts, Variants and Applications in
Power Systems, Student Member, IEEE, and Ronald
G. Harley, Fellow, IEEE
6.
A. H. Mantawy M. S. Al-Ghamdi, A New Reactive

Power Optimization Algorithm,Electrical Engineering
Department King Fahd University of Petroleum & Minerals, Dhahran 31261 Saudi Arabia Iteration No. Fig.
II : MVR losses-Iteration No.
B.
Interpretation of results After applying optimization

technique (PSO) Reactive loss decreases. Nodal Voltage uplift
7.
Malihe M. Farsangi Multi-objective VAr Planning with

SVC for a Large Power System Using PSO and GA ,
Hossien Nezamabadi-Pour, and Kwang Y. Lee, Fellow, IEEE
8.
Vladimiro Miranda Nuno Fonseca, Epso Best-OfTwo-Worlds Meta-Heuristic Applied To Power System
Problems , INESC Porto Instituto de Engenharia
de Sistemase Computadores do Porto, Portugal &
FEUP Faculdade de Engenharia da Universidade
do Porto, Portugal
9.
Numphetch Sinsuphun, Uthen Leeton, Umaporn

Kwannetr,Dusit Uthitsunthorn, and Thanatchai
Kulworawanichpong Loss Minimization Using Optimal Power Flow Based on Swarm Intelligences Nonmembers ECTI Transaction on electrical eng., Electronics, an communication vol.9, NO.1 February 2011
10.
B. Mozafari, T. Amraee1,A.M. Ranjbarand M. Mirjafari,

Particle Swarm Optimization Method for Optimal
Reactive Power Procurement Considering Voltage
Stability, Scientia Iranica, Vol. 14, No. 6, pp 534 c
Sharif University of Technology, December 2007
11.
M.A.Abido, Optimal Power flow using Particle Swarm

Optimization ,Department of Electrical engineering,
King Fahd University of Petroleum and Minerals,
KFUPM Box 183, Dhahran 31261,Saudi Arebia,14 aug
2000. Electrical power and energy system.
12.
N.P.Padhy, Artificial intelligence and intelligent systems, Oxford university
CONCLUSION
This paper focuses on single objective
Optimal Power Flow ( OPF) problem considering reactive loss minimization optimization. The
various research findings can be summarized as
follows implementing a single OPF objective
function optimization algorithm based on the
Particle Swarm Optimization (PSO). An algorithm
is developed and applied to a practical power
system network. The developed OPF algorithm
offers to : provide a flexibility to add or delete
any system constraints and objective functions,
having this flexibility it will help electrical engineers in analyzing other system scenarios and
contingency plans, calculate the optimum generation pattern as well as all control variables in
order to minimize reactive loss together with
meeting the transmission system limitations, reactive loss decrease after applying PSO and bus
voltages uplift after applying PSO ,to find the
optimum setting for system control variables that
achieve a minimum objective
REFERENCES
1.
Carpinter J., Contribution to the Economic Dispatch

Problem, Bulletin Society Francaise Electricians,
Vol.3, No.8, pp. 431-447,1962.
2.
K.S.Pandya, S.K.Joshi Survey of Optimal Power

Flow Methods ,Journal of Theoretical and Applied Information Technology
3.
Nakhon Ratchasima Power Loss Minimization Using Optimal Power Flow Based on Particle Swarm Optimization, U. Leeton, University of Technology, THAILAND 30000
www.ijsir.co.in
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INDUSTRIAL POLLUTION AND RELATED LEGISLATIONS IN

INDIA
M.I.KHAN1,*NIAZ AHMED SIDDIQUI2
Department of Mechanical Engineering, Integral University, Lucknow, (UP), India
2
Research Scholar, Department of Mechanical Engineering, Sai Nath University, Ranchi, India
1
*Address for correspondence : Niaz Ahmed Siddiqui, Research Scholar,

Department of Mechanical Engineering, Sai Nath University, Ranchi, India,
email:niazsiddiqui@yahoo.com
ABSTRACT
Pollution, in general, may be defined as the addition of undesirable, unwanted or objectionable
foreign matter to water, air and land which adversely change the natural quality of the environment
and results in harmful effect on human, plant and animal life. The pollution caused by industries
or 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 concerned
government regulations thereof. (a) Water Pollution: it is caused by industrial effluents, surface
run off, waste water discharge, toxic/chemical elements in waste water.(b) Air Pollution: it is
caused due to release of chemicals, particulates into the atmosphere e.g. carbon monoxide
(CO), sulphur dioxide (SO2), nitrogen dioxide (NO2), hydrogen sulphide (H2S) etc. (c) Noise
Pollution: it is caused by industrial processes, machine operations, construction activities, working
of 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 comes
under solid waste. Such solid wastes generated, domestically or industrially, create one of the
major concerns for the environment. (e) Radioactive Waste Pollution: radioactive wastes are
generated from the nuclear fuel cycle right from mining of uranium, fuel fabrication through
reactor operations and subsequent reprocessing of the spent fuel. These wastes are also
generated from use of radio-nuclides in medicines, research and industries. There is much
legislation enacted by the Government of India to control the environmental pollution. A few
important ones are: (a)The Environment (Protection) Act, 1986 (b)The Water (Prevention and
Control 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 Radioactive
Wastes) Rules, 1987 .These legislations are complete in totality and cover the most important
aspects, but our level of pollution control is not up to the level of developed countries. The basic
reason for which is the lack of awareness amongst the people and weak implementation of
legislations by the law enforcing authorities.
Keywords : Industrial pollution, Pollution control, Pollution control legislations, Environmental
pollution, Radioactivity, Environmental acts and rules.
INTRODUCTION
Pollution caused by industries is becoming
a serious concern for all. Government tries to
ensure that industries take adequate safety
measures to treat the effluents from their plant
before disposing off the effluents so that the
186
environment does not get polluted. Pollution of

the environment may take place either through
water, air, noise, solid wastages and radioactive
wastages.
At the stage of establishing of an industry, it
shall be seen whether the industry is polluting in
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P-ISSN 2347-2189, E- ISSN 2347-4971
nature and if so, the prior approvals that are

required to be obtained from the concerned
authorities are to be taken into consideration.
Certain industries that are highly polluting in
nature need prior clearance from the, Ministry of
Environment and Forests, Government of India
The industries have to apply for consent
order from Pollution Control Board of the
respective State Government after getting
environmental clearance from the Ministry of
Environment and Forests, Government of India.
The Pollution Control Board issues consent order
for starting the industry stipulating the necessary
Pollution Control measures to be followed /
adopted.
The consent order once given is not a
permanent one, but needs to be renewed at
stipulated intervals as specified. Renewed
consent order is given by the Pollution Control
Boards after ensuring that the effluent treatment
/ pollution control measures taken by the industry
are as per the norms stipulated.
Types of Pollutions
There are main five types of pollutions
created 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 water
pollution. Untreated effluents have increased the
level of toxins like cyanide and chromium up to
20 times. The surface water is the main source
of industries for waste disposal. It is found that
almost all rivers are polluted by some industry or
the other.
Different norms and guidelines are given for
all the industries depending upon their pollution
creating potentials. In India, there are sufficient
evidences available related with the
mismanagement of industrial wastes. Analysis
has been performed for 56 sectors, out of which
6 sectors appear to be non-polluting, 26 sectors
are high polluting and 24 sectors are low
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polluting. Sectors such as dairy, textile, paper,

leather, rubber, chemicals, drugs, fertilizers,
synthetic fiber etc. are responsible for most of
the pollution.
The polluted water must be treated
thoroughly and tested before discharging it out
of the industrys premises. If the practice of
effluent treatment is adopted in true sense, our
rivers can again get back to their original clean
and refreshing shape.
Disadvantages of Water Pollution
a.
Adverse effect on human life like skin

diseases, stomach disorder, eye infection
etc.
b.
Adverse effect on soil and vegetation.
c.
Adverse effect on marine life.
Air Pollution
Air in atmosphere is a reserve of oxygen and
carbon dioxide without which survival of plant and
animal is not possible. The other gases in the
atmosphere perform vital functions that maintain
living environment in balance.
Dust and Fume, generated by industries, try
to become air borne and then spread in the
surrounding atmosphere. Pollutants include
oxides of carbon, nitrogen, sulphur,
hydrocarbons, inorganic/organic acids,
insecticides etc. Air pollutants contain 22
minerals. Most of them are very poisonous.
The industries must control the emission
limits of the exhausts as per the set norm of the
Pollution Control Boards and avoid unrestricted
discharge of solid and gaseous pollutants to the
atmosphere.
It is always suggested that the industries
should consider the dust / fume generation
aspects seriously while designing their
equipment and should try to minimize the same.
Unavoidable dust and fume generated in the
process should be controlled at the source of
generation through the system of capture,
extraction, conveying, and collection. In some
cases fine dusts are suppressed with the help of
fine mist / fog.
Many large polluting industries have some
Dust Extracting System installed already but
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e. Headache.
could not be used properly either for deficiency

in equipment design or deficiency in the system
design or both. In this situation, the Original
Equipment Manufacturer (OEM) has big roles to
play. They are required to study the problems of
different systems separately and analyze them
critically and give solutions which are workable
and effective.
f. Sleep disturbance.
g. Annoyance.
h. Speech problem.
i. Aggression.
j. Anxiety.
k. Withdrawal.
Disadvantages of Air Pollution

a.
b.
CO (carbon monoxide): It is a chocking

gas. This acts on hemoglobin and releases
oxygen from blood. It causes drowsiness,
headache and even death.
SO2 (sulphur dioxide): It causes burning
sensation, bronchitis, asthma and lung
cancer. It is oxidized to trioxide and reacting
with moisture from acids which is washed
down to earth with rain causing acid rain.
Acid rain causes extreme damage to
buildings, vegetation, marine life etc.
l. Psychological problem.
m. Cardiac arrest
Solid Waste Pollution
All materials which are thrown away
because of no value are called solid waste. The
solid waste that we generate, industrial or
domestic, represents one of the major
environmental challenges. The enhancement in
industrialization resulted in vast increase in the
amount of refuse generated per person.
Types of Solid Wastes
c.
NO2 (nitrogen dioxide): It is foul odoured,

poisonous gas causing diseases like
respiration, digestion and nervous system.
a.
Garbage: Decomposable biological

domestic waste e.g. food, vegetables,
animal related wastes etc.
d.
H2S (hydrogen sulphide): It is also a fouled

smelled gas having hazardous effects on
human beings.
b.
Rubbish: Waste excluding decomposable

part of garbage e.g. paper, beverage, plastic
cans etc.
c.
Solid waste: These are industrial products

like metals, ceramics, paints, pigments,
plastic, rubber, leather, glass etc. and also
municipal solid wastes like sewage sludge,
ash, dirt, rubble, farm wastes, wood, paper
products etc.
d.
Litter: Street and highway refuse.
Noise Pollution
Industrial noise refers to noise that is created
in the factories which is jarring and unbearable.
Sound becomes noise when it becomes
unwanted and unpleasant. Heavy industries like
ship building and steel making have long been
associated with noise induced hearing loss.
Disposal of Solid Waste
Normal sound level should not be more than

50 decibels. It has been scientifically proved that
noise more than 85 decibels can cause hearing
impairment.
There are four main ways of disposing of solid

wastes:
a.
Ocean Dumping: It creates water pollution

and destroys marine life.
Disadvantages of Noise Pollution
b.
Incineration: It leads to atmosphere

pollution if not conducted under controlled
conditions.
c.
Land Fill: This has been by far the most

widely used method till its limitations are
realized in recent years.
d.
Recycling: This is the least offensive of the

method with respect to spreading of
Main disadvantages caused by the noise

pollution are listed below:
a. Increase in blood pressure.
b. Increased stress.
c. Fatigue.
d. Stomach ulcers.
188
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pollution. However, limited types of materials

can be subjected to this operation.
Land fill has been the most common way of
disposing of non-hazardous solid wastes. Since
most of these operations were carried out without
adequate precautions, their safety is being
reviewed and remedial measures are underway.
Disadvantages
Improper handling of solid wastes leads to
spread of many diseases. Glass / metal waste is
hazardous. Moist and warm environment favors
generation of pathogens. Those of substances
retaining water are breading grounds for insects
leading to gastroenteritis, hepatitis, dysentery
and encephalitis. Mosquitoes and flies give rise
to typhoid, cholera, malaria, filarial etc.
The containers with unused pesticides or
herbicides cause problem due to indiscriminate
disposal. Some may lead to explosion if they
contain some inflammable material.
The health of workers at disposal site is also
of concern. They must always use safety
helmets, dust masks, protective gloves, eye
protectors, safety shoes to protect themselves.
Enclosed trucks should always be used for
carrying waste.
Radioactive Waste Pollution
An industrial activity, invariably, generates
some sort of waste material. Nuclear industry is
no exception and the presence of radioactive
materials which may have adverse impact on
living beings and which is likely to continue to
the subsequent generation as well is what sets
radioactive wastes different from other
conventional hazardous wastes. Another unique
feature of the radioactive waste is the decay of
radioactivity with time. This fact can be exploited
by the nuclear waste management.
Management of radioactive waste in Indian
context includes all types of radioactive wastes
generated from the entire nuclear fuel cycle right
from mining of uranium, fuel fabrication through
reactor operations and subsequent reprocessing
of the spent fuel. Radioactive wastes are also
generated from use of radio-nuclides in
medicines, research and industries.
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Effective management of radioactive wastes

involves segregation, characterization, handling,
treatment, conditioning and monitoring prior to
final storage/disposal.
Types of Radioactive Wastes
Radioactive wastes arise in different forms
viz. solid, liquid and gas with variety of physical
and chemical/radiochemical characteristics.
(a) Solid Radioactive Waste
Significant quantities of solid wastes of
diverse nature are generated in the different
nuclear installations. They are essentially of the
following two types:
(i)
Primary Waste: This comprises components

and equipments contaminated with
radioactivity e.g. metallic hardware, spent
radiation sources etc.
(ii) Secondary Waste: This results from different

operational activities. Some solid radioactive
wastes include protective rubber and plastic
wear, miscellaneous metallic components,
cellulosic and fibrous materials, spent
organic ion-exchange resins, filter cartridges
etc.
Treatment and conditioning of solid wastes
are practiced to reduce the waste volume so as
to minimize the consumption of space and also
the movement of the radioactive material. Low
active combustible wastes are incinerated and
compactable wastes are reduced in volume by
mechanical compaction.
The final packaged conditioned waste is
then disposed off a few meters below the earths
surface in specially made trenches lined with
reinforced concrete. A multi-barrier approach is
followed to ensure confinement and isolation of
the wastes. Special emphasis is laid on closure
of such areas after it gets filled. These include
appropriate closure with a concrete cover.
(b) Liquid Radioactive Waste
Liquid radioactive wastes are generated in
relatively large volumes with low levels of radioactivity. If a particular stream of radioactive liquid
waste contains short-lived isotopes, it may be
stored for adequate time period to ensure that
majority of the radio-nuclides die down, thus,
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following the delay and decay principles.

Similarly, if the level of radioactivity present in
the liquid waste is small, it is required to dilute it
sufficiently to render the specific activity levels
well below the stipulated limits and discharge it
to a large water body following the dilute and
discharge principles. In all other cases, the waste
may call for suitable treatment in order to make
the waste satisfactorily fit to discharge.
Many processes like chemical precipitation,
ion exchange, evaporation reverse osmosis etc.
can be used singly or in combination for the
treatment of liquid radioactive wastes.
(c) Gaseous Radioactive Waste
Radioactive gases generally carry radionuclides. This must be removed before the gases
are released to the atmosphere through tall
chimneys. That is why always a comprehensive
gas treatment and ventilation system is installed
in nuclear power plants and other fuel cycle
facilities in order to keep the air free from
radioactive contamination. Various designs of
scrubbers are deployed so as to retain the
radioactive element in the liquid phase. Specific
absorbers are also used to remove volatile radionuclides like iodine, ruthenium etc.
Surveillance and monitoring of the clean
gases ensure that the discharges are well below
permissible limits.
Disadvantages of Radioactive Pollution
Radioactive waste, whether natural or
artificial, is a potential threat of radioactive
exposure to humans through many channels.
The routes are direct exposure to radioactive
materials, inhalation and ingestion of such
materials through air that one breathes or food
that one consumes. The quantum of exposure
(dose x duration of exposure) decides the
adversity that may result. Exposure may occur
to particular organ locally or to the whole body.
Sufficiently high exposure can lead to cancer. The
radio-activity of a particular radio-nuclide is
quantified in terms of what is referred to as
potential hazard index that is defined in terms
of the nuclide availability, its activity, maximum
permissible intake annually and its half-life. This
depends on a variety of factors like physical halflife, biological half-life, sensitivity of the organ or
190
tissue where the nuclide is likely to concentrate,

ionizing power of the radiation from the nuclide
that depends on the energy of the radiation
emitted from the radio-nuclides etc. It is from such
considerations that one concludes that
radioactive nuclides of few elements are the most
hazardous for human beings. In few other cases,
the effect of nuclides poses long-term hazards,
even to future generations also. The thought of
Atomic Bomb has set a certain perception in the
public mind. The dangers, use and abuse of
nuclear facilities, operations and waste are
enormous. Radioactive waste is potentially toxic
for many years, it is also the most difficult to be
disposed safely because of its heat and radiation
output.
The exposure to radioactivity has the
following main adverse effect on human life:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
Damage to genetic system (DNA)

Cancer
Cataract
Skin burns
Vomiting
Hair loss
Temporary sterility
Blood change/clotting
Damage of reproductive cells
Deformed limbs in future generations
Acts for Controlling Environmental Pollution

Few of the important Acts are discussed
below :
The Environment (Protection) Act, 1986
Scientific and industrial growth, without
sustainable development and proper care for
environment, invite the disasters like heavy
pollution of natural resources, depletion of
environment, severe health problems for human
beings etc. At this period penal laws of the
country did not suffice to take stringent steps to
check, control and reduce these regressing
phenomena. A new law was then formed to define
and explain the importance of certain terms like
environment, pollution etc.
This Act empowers Central Government to
make rules and lay procedures for prevention of
any event which may cause environmental
pollution. Central Government may for this
purpose provide for certain rules for following
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matters.
water, all water courses, sea and tidal waters etc.
a.
The standards of quality of air, water, soil

etc.
b.
The maximum allowable limits of

concentration of pollutants affecting
environment.
c.
The procedures and safeguards for the

handling of hazardous substances.
d.
The prohibition and restrictions on location

of industries etc.
The Central Government and the State

Governments are authorized to appoint Central
Board and State Board respectively to control and
check all kinds of activities polluting water and
also to promote cleanliness of streams and wells.
These Boards shall also make plans and
programs for prevention, control or abatement
of pollution of streams and wells. The Boards
have to lay down and modify the effluent
standards for sewage and trade effluents and
also evolve methods of utilization or recycling of
sewage.
Persons who carry on industry, operation or

any process etc. are not allowed to emit or
discharge any of the environmental pollutions in
excess of standards prescribed by the
Government.
The penalty and punishment prescribed for
contravention of any of the provisions of this Act
are purposely determined in a very harsh manner
to avoid any kind of mischief or non-observance.
Any failure of any rule will invite imprisonment
for the term up to 5 years and/or with the fine up
to rupees one lakh.
The Central Government is also authorized
to issue directions for closure, prohibitions or
regulation of any industry, operation or process
and also to stop or regulate the supply of
electricity, water or any other amenities or service
which are essential for the process of any such
defaulting industries even without the direction
of the court.
Supreme Court, in one of its very important
rulings, ruled that the right to environmental
protection should be considered as part of the
right to life under Article 21 of The Constitution
of India.
The Water (Prevention and Control of
Pollution) Act, 1974
The objective of this Act is to control the
pollution of water and also to preserve and
protect the purity of water. The Act also lays down
preventive and precautionary measures to be
taken by industrial owners.
In order to cover all sorts of water resources
under this Act, the definition of stream was
widened. This will include rivers, tanks, inland
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The authorities of such Boards are

empowered to take any samples of water source
or sewage from any area which is an effluent of
any industry for the purpose of analyzing/testing
the percentage of contamination in it. The Boards
can also carry out operations of cleaning and to
remove the matters from water source and
dispose it off in proper manner.
Contravention of any provision of this Act
will call for the imprisonment from minimum 3
months to maximum 7 years and/or with fine from
one thousand to five thousand rupees.
The Air (Prevention and Control of Pollution)
Act, 1981
With the increasing industrialization and
tendency of the majority of industries to
congregate in already heavily industrialized area,
the problems of air pollution began to be felt in
the country, more acutely so in such areas which
are also densely populated.
The presence in air of various pollutants
discharged through industrial emissions and from
certain human activities connected with traffic,
heating, use of domestic fuel, refuse incinerations
etc. has a detrimental effect on the health of the
people as also of animal life, vegetation and
property.
To check air pollution, The Air (Prevention
and Control of Pollution) Act, 1981 was enacted
by the Parliament under Article 253 of the Indian
Constitution. The Act exclusively deals with the
preservation of air quality and control of air
pollution. The Act envisages the setting up of Air
Pollution Control Boards at the Centre as well as
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in the States with power to issue and revoke

licenses to polluting industries, enforce emission
standards and to frame rules and regulations for
the control of air pollution.
The legislation is directly against polluting
industries called scheduled industries. The
schedule has a list of 20 types of industries such
as textile, power plants, iron and steel,
engineering, chemical, fertilizer, coal industries
etc. It covers all sources of pollution such as
industries, transport, railways, automobiles as
well as domestic fuel with extensive powers to
the Boards for effective action.
Under this Act, Government is empowered
to declare any area as the pollution control area.
The State Boards are formed for the purpose of
keeping check on all activities causing air
pollution. The Board can prohibit the use of any
such kind of fuel which may cause air pollution
and no one is allowed to use any other fuel than
the approved fuel.
No one is allowed to operate or start any
industrial plant specified in the schedule, in an
air pollution control area without taking prior
consent of the State Board. Every person has to
submit an application before the State Board for
consent of the Board to start such industry.
Keeping in view of the above, the Central

Government has made the rules for regulation
and control of noise producing sources as The
Noise pollution (Regulation and Control) Rules,
2000
The various noise levels, in decibels (dB),
and its effects on human being is shown below :
Noise
(dB)
Effects Observed
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
planning
developmental activity or carrying out
functions relating to town and country
planning shall take into consideration all
aspects of noise pollution as a parameter
of quality of life to avoid noise menace and
to achieve the objective of maintaining the
ambient air quality standards in respect of
noise.
b.
An area comprising not less than 100

meters around hospitals, educational
institutions and courts may be declared as
silence zone.
c.
A loud speaker or a public address system

shall not be used except after obtaining
written permission from the authority, also
the public address system shall not be used
at night (between 10.00 PM to 6.00 AM).
None of the industrial unit will be allowed to

discharge or emit any of the air pollutant in excess
of the standards laid down in prescribed manner.
Penalties for contravening the provisions of
this Act are stringent, imprisonment ranging from
six months to seven years with or without fine.
The Noise pollution (Regulation and Control)
Rules, 2000
Whereas the increasing ambient noise
levels in public places from various sources e.g.
industrial activity, construction activity, generator
sets, loud speakers, public address systems,
music systems, vehicular horns and other
mechanical devices have adverse effects on
human health and the psychological well being
of the people, it is considered necessary to
regulate and control noise producing source with
the objective of maintaining of ambient air quality
standards in respect of noise.
192
Violation
Whoever, in any place covered under the
silence zone, commits any of the following
offence; he shall be liable for penalty under the
provision of the Rule:
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a.
Whoever plays any music or uses any sound

amplifiers.
b.
Whoever beats a drum or blows a horn

either musical or pressure or trumpet or
beats or sounds any instrument.
c.
Whoever exhibits any mimetic, musical or

other performances of a nature to attract
crowds.
processing and disposal facility including

landfills from the State Board.
c.
The municipal authority shall comply with

these Rules as per the implementation
schedule.
d.
The municipal authority shall furnish its

annual report in the prescribed Form
Complaints / Punishment
a.
A person may, if the noise level exceeds the

ambient noise standards by 50 dB or more,
make a complaint to the authority.
b.
The authority shall act on the complaint and

take action against the violator in
accordance with the provisions of these
rules and any other law in force.
The Municipal Solid Wastes (Management &

Handling) Rules, 2000
Solid Wastes, if not handled properly is a
major health hazard. Its collection, transportation,
processing and disposal are critical activities.
Processing involves physical, chemical or
biological procedures. The recycling and disposal
by land filling are most common methods
employed so far. To regulate all these activities,
under controlled system, Government of India
enacted a set of Rules known as The Municipal
Solid Wastes (Management & Handling) Rules,
2000.
Application
These rules shall apply to every municipal
authority responsible for collection, segregation,
storage, transportation, processing and disposal
of municipal solid wastes.
Responsibility
a.
b.
i.
To the Secretary-in-charge of the

Department of Urban Development of the
concerned State or as the case may be
of the Union Territory in case of a
metropolitan city.
ii.
To the District Magistrate or the Deputy

Commissioner concerned in case of all
other towns and cities with a copy to the
State Board.
Implementation of Rules
a.
The Secretary-in-Charge of the Department

of Urban Development of the concerned
State or the Union Territory, as the case may
be, shall have the overall responsibility for
the enforcement of the provisions of these
rules in the metropolitan cities.
b.
The District Magistrate or the Deputy

Commissioner of the concerned district shall
have the overall responsibility for the
enforcement of the provisions of these rules
within the territorial limits of their jurisdiction.
The Atomic Energy (Safe Disposal of

Radioactive Wastes) Rules, 1987
The above said legislation, The Atomic
Energy (Safe Disposal of Radioactive Wastes)
Rules, 1987, has many clauses and sub-clauses.
Few of them are detailed below:
Every municipal authority shall, within the

territorial area of municipality, be responsible
for the implementation of the provisions of
these rules and for any infrastructure
development for collection, storage,
segregation, transportation, processing and
disposal of municipal solid wastes.
1. Restriction on the disposal of

radioactive waste : No person shall dispose of
radioactive waste
The municipal authority shall make an

application in the prescribed Form for grant
of authorization for setting up waste
(b) in any manner other than in accordance with

the terms and conditions specified in the
authorization issued under these rules;
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(a) unless he has obtained an authorization

from the competent authority under these
rules;
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(c) in any location different from those specified

in the authorization;
(d) in quantities exceeding those specified in
the authorization.
2. Application for authorization : Each
application for authorization to dispose or transfer
radioactive waste shall be made in the prescribed
format and shall give the brief description of
(a) the process, materials and equipment
generating radioactive wastes in the
installation;
(b) the equipment and systems provided in the
waste generating installation to monitor and
control the radioactive wastes and to reduce
environmental releases;
(c) any operation likely to result in a more

hazardous accident than that envisaged in
the safety analysis given by the applicant
are not carried out in the installation;
(d) personnel monitoring and environmental
surveillance is carried out in a continued
basis to evaluate the risks and to monitor
the environmental impact of the waste
disposal operations;
(e) after the waste disposal installation is
closed, institutional control is maintained for
such time as stipulated by the competent
authority in each specific case.
(c) the environment around the installation;
4. Maintenance of records of waste

disposal : Every authorized person shall
maintain records of disposal of radioactive waste,
giving the following particulars -
(d) the processes and equipments in the

installation for conditioning, treatment and
disposal of radioactive waste and the staff
employed for the purpose;
(a) the description, quantity, physical state,

chemical characteristics and the date of
disposal of each consignment of radioactive
waste;
(e) safety devices incorporated in the waste

disposal installation to contain the
radioactive effluent and control their release
to unrestricted areas during normal
operations;
(b) mode of disposal, concentration of

radioactive material in the waste disposed
off and site of disposal;
(f)
an estimate of the amounts of annual

releases, discharges and leakages from
radioactive waste repositories during normal
condition and an analysis of their anticipated
environmental impact;
(g) an analysis of the potential accidents which

may occur in the installation and design
features
and monitoring equipment
incorporated in the waste disposal
installation to control the release of
radioactivity in the event of such accidents.
3. Duties of the authorized person : Every
authorized person shall ensure that
(a) disposal of radioactive wastes is done in
accordance with the provisions of these
rules and in accordance with the terms and
conditions laid down in the authorization;
(b) records of waste disposal are maintained
by the competent authority;
194
(c) data on periodic radiation surveillance in and

around the site of the disposal of radioactive
waste.
5. Prevention of entry into restricted
areas: The authorized person shall make
adequate arrangements to prevent entry of
unauthorized members of the public in the
restricted areas and shall further ensure that only
the essential staff remains in the said areas to
perform necessary operations.
6. Power to inspect installations : Any
person duly authorized by the competent
authority for inspection and enforcement of these
rules may at any time
(a) inspect any installation where disposal of
radioactive waste is carried out;
(b) inspect any equipment, permanently
installed or mobile, therein;
(c) make such tests and measurements as may
be necessary for purposes of evaluating
radiation hazards;
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(d) order disposal of such radioactive wastes

as he deems necessary in the interest of
radiation protection.
7. Closure and institutional control:
Closure of a radioactive waste disposal
installation and institutional control shall be
undertaken by the authorized person after
obtaining permission from the competent
authority and in accordance with the procedure
as prescribed by the competent authority in each
case.
CONCLUSION
The environmental consequences of rapid
industrialization have resulted in countless
incidents of lands, air and water resources sites
being contaminated with toxic materials and other
pollutants, threatening humans and ecosystems
with serious health risks. More extensive and
intensive use of materials and energy has
created cumulative pressures on the quality of
local, regional and global ecosystems.
Applications of pollution control methods
have demonstrated considerable effectiveness
in controlling pollution problems. Application of
appropriate technologies is based on a
systematic analysis of the source and nature of
the emission or discharge, its interaction with the
ecosystem and development of appropriate
technologies to monitor pollution impacts.
India is one of the first countries which has
made provision for the protection and
improvement of environment in its legal system
which empowers State to make endeavor for
protection and improvement of the environment
and for safeguard the environment and
ecosystem of the country. A landmark provision
is also incorporated as one of the Fundamental
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Duties of every citizen of India to safeguard and

protect the environment. However, with our
countrys emerging environmental scenario with
industrialization, these legislations were found
either inadequate or being not effectively
applicable to check the degradation of our
environment.
Over the years, several
amendments have also been made in the various
existing legislations to meet the requirements of
the unfolding environmental issues. But, the need
of the day is to implement the existing legislations
with full sincerity to protect the environment for
peaceful and healthy co-existence of climate,
vegetation, land, rivers, human and animal lives.
REFERENCES
1.
Prof. K C Mathur and Prof. R N Shukla, Pollution

Management.
2.
G N Pandey and G C Carney, Environmental

Engineering.
3.
Gilbert M. Masters, Introduction to Environmental

Engineering and Science.
4.
Anjaneyulu Y, Introduction to Environmental

Science.
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 and

its 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
1
Research Scholar, Sai Nath University, Ranchi, India,
2
Department 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 :drkkshukla78@gmail.com
ABSTRACT
In response to the global warming crisis, in Rio deo Janeiro of Brazil, the 1992 UN Conference
on the Environmental and Development clearly raised the concept of sustainable development.
Through this conference more than 150 countries had established United Nations Framework
Convention on Climate Change, which was called UNFCCC for short. UNFCCC is the first
convention to take full control of greenhouse gas emissions including carbon dioxide discharge
and is an international convention to fight global warming which is causing a lot of adverse
effect to the development of society and economy. After that, in December 1997, the third
Conference of the Parties (COP) under the UNFCCC held in Kyoto of Japan, which aimed at
limiting 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 as
part of a program to trim out carbon emission. It is a widespread method and countries utilise it
in order to meet their obligations specified by international Kyoto Protocol (1997) of United
Nations Framework Convention on Climate Change; namely the reduction of carbon emissions
in order to mitigate future climate changes. It specifically targets carbon dioxide calculated in
terms of CO2 equivalent or CO2. Currently, future contracts in carbon credits are actively traded
in European Exchanges (ECX).The European Union Emission Trading Scheme (EU ETS) is
the largest multinational, greenhouse emissions scheme in the world and is committed to reduce
8% 1990 levels of emission in 2008-2012.Carbon Development Mechanism (CDM) is another
trading project which is administered by the CDM executive which reports and is accountable to
the Conference of Parties(COP) Carbon Trading. In India, though we are potentially the largest
market for carbon credits on the MCX, we still need to implement proper policies to allow trading
of certified emission reductions (CERs), carbon credit. To increase the market for carbon trading
Forward Contracts (Regulation) Amendment Bill has been introduced in the Parliament. Thus
we see that Carbon Trading is definitely the Greenest pastures for business trading for the
small 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 standards
that 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), Carbon
Footprint .Carbon trading in India
INTRODUCTION
Increase in GHGs mostly the Carbon dioxide
is the serious problem of the era. The problem
with humans contributing so much carbon dioxide
is that Earths natural system is overwhelmed and
196
cant keep up with the rate of our CO2 release.

The natural carbon cycle is disrupted and Earths
carbon sinks or places that carbon can be safely
absorbed are either diminishing or saturated. The
terms Global Warming and Climate Change,
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P-ISSN 2347-2189, E- ISSN 2347-4971
describes what is happening..!! Global economic

growth is driving higher carbon dioxide emissions
and we really must manage the tremendous
amounts of carbon dioxide we are emitting.
Definition of Carbon Trade
An exchange of credits between nations
designed to reduce emissions of carbon dioxide.
The carbon trade allows countries that have
higher carbon emissions to purchase the right to
release more carbon dioxide into the atmosphere
from countries that have lower carbon emissions.
The carbon trade originated with the 1997 Kyoto
Protocol and is intended to reduce overall carbon
dioxide emissions to 5% below 1990 levels
between 2008 and 2012.
Carbon emissions trading is a form of
emissions trading that specifically targets carbon
dioxide calculated in tonnes of carbon equivalent
or tCO2e and it currently constitutes the bulk of
emissions trading. This form of permit trading is
a common method and countries utilize it in order
to meet the obligations specified by Kyoto
Protocol; namely the reduction of the carbon
emissions in an attempt to mitigate the future
climate change. Emission trading works by
setting a quantitative limit on emissions produced
by 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 that
operate under one of the United Nations
Framework Convention on Climate Change
(UNFCCC) approved mechanisms such as the
Clean Development Mechanism (CDM).Credits
generated under this mechanism are known as
Certified Emissions Reductions (CERs). In the
voluntary market, carbon credits are generated
by projects that are accredited to independent
international standards such as the Verified
Carbon Standard (VCS). These credits are
known as Verified Emission Reductions (VERs).
Carbon Trade Exchange supports the trading of
both voluntary and compliance credits. It is
important to note that carbon credits differ from
carbon allowances although the term carbon
credit is interchangeably used to represent both.
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Although in most cases, they both represent

one tonne of carbon dioxide equivalent,
allowances do not originate from carbon projects
but are allocated to companies under a cap and
trade system such as the EU Emissions Trading
Scheme therefore, they represent the right to
emit.
How are carbon credits issued?
All projects listed on CTX are certified,
verified and registered, ensuring that actual
emission reductions take place before the credits
are issued thus providing a secure and
transparent environment for carbon trading. The
process of getting credits issued varies
depending on the credit type i.e. CERs vs VERs.
However, below is a very general overview of
the process a project developer needs to follow
before credits can be issued:
1.
2.
3.
4.
5.
6.
The selection of a approved methodology

which quantifies the GHG benefits of a
project
The development of a Project Design
Document (PDD) which describes the whole
project in detail including the project
crediting period and the demonstration of
additionality
An independent auditor reviews the PDD
and validates the project
The project is monitored to ensure that GHG
reductions are occurring
The monitoring reports are verified by an
independent auditor
The project gets credits issued into a
appropriate 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 a
carbon project is issued with credits, the registry
gives each one a unique serial number so that
they can be tracked through their entire life-cycle.
Registries also facilitate the retirement
(surrendering) of credits for carbon neutrality
purposes, ensuring credits are not resold at a
later date.
In the voluntary carbon market, the largest
registry is the Market Environmental Registry
which CTX is directly connected to. In the
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compliance markets, each scheme has its own

arrangements with regards to registries. CTX is
connected to various national registries in the EU
via CDC Climates Registry Electronic Interface
(REI).
Greenhouse gases
Greenhouse gases trap heat in the Earths
atmosphere. Cars, planes, power plants and
factories all emit GHG. The Kyoto Protocol, an
international GHG agreement, defines six
troubling types of emissions:
Carbon dioxide (CO2): When fossil fuels,

waste and plant matter burn, they emit CO2,
the most common GHG emission.
Methane (CH 4 ): Landfills, livestock,

agricultural activities and the production of
coal, natural gas and oil all generate CH4, an
emission far more powerful than CO2.
Nitrous oxide (N2O): Sewage treatment and

the combustion of fossil fuels both produce
N2O. s However, fertilizer and agricultural soil
management release the majority of this
potent emission.
Sulphur hexafluoride (SF6): The electric

power industry uses this man-made
compound for insulation and current
interruption.
Hydro fluorocarbons (HFCs): Solvents,

refrigerants, fire fighting agents and
propellants for aerosols use HFCs as a
replacement
for
ozone-depleting
chlorofluorocarbons (CFCs).
Per fluorocarbons (PFCs): There are

relatively low amounts of PFCs in the
atmosphere,- but theyre hard to get rid of.
The estimated atmospheric life of this solvent
and component of aluminium production
ranges from 10,000 to 50,000 years!
KYOTO PROTOCOL:
United Nations Framework Convention on
Climate Change
The Kyoto Protocol is an historical
agreement. It was the first international
agreement in which many of the worlds industrial
nations concluded a verifiable agreement to
reduce their emissions of six greenhouse gases
198
in order to prevent global warming. The major

feature of the Kyoto Protocol is that it sets binding
targets for 37 industrialized countries and the
European community for reducing emissions.
These amount to an average of five per cent
against 1990 levels over the five-year period
2008-2012.The Kyoto Protocol was adopted in
Kyoto, Japan, on 11 December 1997 and entered
into force on 16 February 2005. 184 Parties of
the Convention have ratified its Protocol to date.
It is an international agreement linked to
the United Nations Framework Convention on
Climate Change. The conference ended with an
agreement of Kyoto Protocol. The Protocol
took formal effect on February 16th 2005. Kyoto
Protocol is internationally binding and
enforceable agreements that will encourage
countries to reduce greenhouse gas emissions.
The Kyoto Protocol has introduced ground
breaking concepts on carbon credits, carbon
footprint 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 (particularly
carbon dioxide) to target levels below their 1990
emissions levels. A total of 41 industrialized
countries are currently listed in the Conventions
Annex-1 including the relatively wealthy
industrialized countries that were members of the
Organization for Economic Co-operation and
Development (OECD) in 1992, plus countries
with economies in transition (EITs), including the
Russian Federation, the Baltic States, and
several Central and Eastern European States.
Annex II Countries:
Annex II countries are a sub-group of the
Annex I countries. Developed countries which
pay for costs of developing countries if they
cannot reduce their emissions, they must buy
emission credits from developing countries or
invest in conservation are included in this
category. Countries like United States of America,
United Kingdom, Japan, Newzealand, Canada,
Australia, Austria, Spainetc are also included in
Annex- II.
This serves three purposes:
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a)
Avoids restrictions on growth because

pollution is strongly linked to industrial
growth, and developing economies can
potentially grow very fast.
b)
It means that they cannot sell emissions

credits to industrialized nations to permit
those nations to over-pollute.
c)
They get money and technologies from the

developed countries in Annex II.
Kuwait, Malaysia, Pakistan, Phillippines,

Saudi Arabia, Sigapore, South Africa, UAE etc.
Developing countries have no immediate
restrictions under the UNFCCC.
This serves three purposes:
a)
Avoids restrictions on growth because

pollution is strongly linked to industrial
growth, and developing economies can
potentially grow very fast.
b)
It means that they cannot sell emissions

credits to industrialized nations to permit
those nations to over-pollute.
c)
They get money and technologies from the

developed countries in Annex II.
CARBON EMISSIONS TRADING

It is relatively a new market and has traded
a bit at minor levels in the OTC market since the
1990s .Recent developments in this vibrant
market is due to significant global governmental
involvement which has facilitated the tremendous
growth for carbon emission trading since 1997
from $727 million in 2004 to over $120 billion in
2008. The carbon credit market emerged due to
various regularity bodies that collaborated with
governments to establish the framework for
carbon emission trading in a proactive attempt
to involve the world to decrease their carbon
footprint.
Furthermore, due to the complexity of this
market, carbon emission trading has attracted
numerous intermediaries including brokers,
exchangers, aggregators and financiers.
Opportunities for market participants are
expected to continue to increase as the value of
global carbon markets are forecast to grow by
68% per year to $669 billion in 2013.With the EU
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members taking common commitment to reduce

their average greenhouse emissions by 8% in
the first Kyoto commitment (2008-2012), the EU
has set up a European Emissions Trading
Scheme. With the Japanese and Canadian
governments entering the markets, and
increased pressure on US companies to comply
with the carbon emission reduction, the end-user
in this market has grown and will continue to do
so. Further to this, Britains Department of Energy
has committed to cut carbon emission by 8%
before 2050. Even, Barack Obamas new US
administration is considering whether to set up
its own federal carbon emissions trading scheme.
CARBON CREDITS
The primary purpose of the Protocol was to
make developed countries pay for their ways with
emissions while at the same time monetarily
rewarding countries with good behaviour in this
regard. Since developing countries can start with
clean technologies, they will be rewarded by
those stuck with dirty ones. This system poises
to become a big machine for partially transferring
wealth from wealthy, industrialised countries to
poor, undeveloped countries.
A CER or carbon Credit is defined as the
unit related to reduction of 1 tonne of CO 2
emission from the baseline of the project activity.
For example, India decided to invest in a

new power station, and has decided on a
particular technology at the cost of X crore. An
entity from an industrialised country (which could
even be a company) offers to provide India with
slightly better technology, which costs more (say
Y crore), but will result in lower emissions. The
industrialised country will only pay the
incremental cost of the project viz. Y minus X.
In return, the investing country will get certified
emission reductions (CERs), or credits, which it
can use to meet its Kyoto commitments. This is
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a very good deal indeed but for the investing

country. Not only do they sell developing
countries their technology, but they also meet
their Kyoto commitments without lifting a finger
to reduce their domestic emissions. Countries like
the US can continue to pollute at home, so long
as it makes the reductions elsewhere.
MECHANISMS OF EMISSION REDUCTONS
TO EARN CARBON CREDITS
Kyoto Protocol worked out three
mechanisms of the energy conservation and
emission 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 or
emission-limitation commitment under the Kyoto
Protocol (Annex B Party) to implement an
emission-reduction project in developing
countries. Under the UNFCCC charter, any
company from the developed world can tie up
with a company in the developing country that is
a signatory to the Kyoto Protocol. These
companies in developing countries must adopt
newer technologies, emitting lesser gases, and
save energy.
Only a portion of the total earnings of carbon
credits of the company can be transferred to the
company of the developed countries under CDM.
There is a fixed quota on buying of credit by
companies in Europe.
b) Joint Implementation (JI):

The mechanism known as joint
implementation, defined in Article 6 of the Kyoto
Protocol, allows a country with an emission
reduction or limitation commitment under the
Kyoto Protocol (Annex B Party) to earn emission
reduction units (ERUs) from an emissionreduction or emission removal project in another
Annex B Party, each equivalent to one tonne of
CO2, which can be counted towards meeting its
Kyoto target. Joint implementation offers Parties
a flexible and cost-efficient means of fulfilling a
part of their Kyoto commitments, while the host
Party benefits from foreign investment and
technology transfer.
c) Emissions Trading (ET):
Parties with commitments under the Kyoto
Protocol (Annex B Parties) have accepted targets
for limiting or reducing emissions. These targets
are expressed as levels of allowed emissions,
or assigned amounts, over the 2008-2012
commitment periods. The allowed emissions are
divided into assigned amount units
(AAUs).Emissions trading, as set out in Article
17 of the Kyoto Protocol, allows countries that
have emission units to spare emissions
permitted them but not used - to sell this excess
capacity to countries that are over their targets
.Thus, a new commodity was created in the form
of emission reductions or removals. Since carbon
dioxide is the principal greenhouse gas, people
speak simply of trading in carbon. Carbon is now
tracked and traded like any other commodity. This
is known as the carbon market.
INDIA AND CARBON CREDITS
India being a developing country has no
emission targets to be followed. However, it can
enter into CDM projects. As mentioned earlier,
industries like cement, steel, power, textile,
fertilizer etc emit green houses gases as an
outcome of burning fossil fuels. Companies
investing in windmill, bio-gas, bio-diesel, and cogeneration are the ones that will generate carbon
credits for selling to developed nations. Polluting
industries, which are trying to reduce emissions
and in turn earn carbon credits and make money
include steel, power generation, cement,
fertilizers, waste disposal units, plantation
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companies, sugar companies, chemical plants

and municipal corporations.
DELHI METRO RAIL CORPORATION (DMRC)
A must mention project is The Delhi Metro
Rail Corporation (DMRC): It has become the first
rail project in the world to earn carbon credits
because of using regenerative braking system
in its rolling stock. DMRC has earned the carbon
credits by using regenerative braking system in
its trains that reduces 30% electricity
consumption.
Whenever a train applies regenerative
braking system, the released kinetic energy starts
a machine known as converter-inverter that acts
as an electricity generator, which supplies
electrical energy back to the Over Head
Electricity (OHE) lines. This regenerated
electrical energy that is supplied back to the OHE
that is used by other accelerating trains in the
same service line. DMRC can now claim 400,000
CERs for a 10-year crediting period beginning
December 2007 when the project was registered
by the UNFCCC. This translates to Rs 1.2 crore
per year for 10 years. India has the highest
number of CDM projects registered and supplies
the second highest number of Certified Emission
Reduction units. Hence, India is already a strong
supplier of Carbon Credits and can improve on
it. (Refer Annexure No. 3 & 4 for projects
registered and expected average annual CERs
generated respectively)
BENEFITS FOR INDIA
By switching to Clean Development
Mechanism Projects, India has a lot to gain from
Carbon Credits:
a)
It will gain in terms of advanced

technological improvements and related
foreign investments.
b)
It will contribute to the underlying theme of

green house gas reduction by adopting
alternative sources of energy
c)
Indian companies can make profits by

selling the CERs to the developed countries
to meet their emission targets.
Trading of CERs
As a welcome scenario, India now has two
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commodity exchanges trading in Carbon Credits.

This means that Indian companies can now get
a better trading platform and price for CERs
generated. Multi Commodity Exchange (MCX),
Indias largest commodity exchange, has
launched future trading in carbon credits. The
initiative makes it Asias first-ever commodity
exchange and among the select few along with
the Chicago Climate Exchange (CCE) and the
European Climate Exchange to offer trades in
carbon credits. The Indian exchange also
expects its tie-up with CCX which will enable
Indian firms to get better prices for their carbon
credits and better integrate the Indian market with
the global markets to foster best practices in
emissions trading. On 11th April 2008, National
Commodity and Derivatives Exchange (NCDEX)
also started future contract in carbon trading for
delivery in December 2008.
MCX is the future exchange. People here
are getting price signals for the carbon trading
for the delivery in next five years. The exchange
is only for Indians and Indian companies. Every
year, in the month of December, the contract
expires and at that time people who have bought
or 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 because
that is the time to meet the norms in Europe. If
the Indian buyer thinks that the current price is
low for him he will wait before selling his credits.
The Indian government has not fixed any norms
nor has it made it compulsory to reduce carbon
emissions to a certain level. So, people who are
coming to buy from Indians are actually financial
investors. If the Europeans were unable to meet
their target of reducing the emission levels by
2009, 2010 or 2012, then the demand for the
carbon would increase and then they would make
more money. There was a huge requirement of
carbon credits in Europe before 2012. Only those
Indian companies that meet the UNFCCC norms
and take up new technologies will be entitled to
sell carbon credits. There are parameters set and
detailed audit is done before you get the
entitlement to sell the credit.
Financing support in India:
Carbon Credit projects require huge capital
investment. Realizing the importance of carbon
credits in India, World Bank has entered into an
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agreement with Infrastructure Development

finance Company (IDFC), wherein IDFC will
handle carbon finance operations in the country
for various carbon finance facilities. The
agreement initially earmarks a $10-million aid in
World Bank-managed carbon finance to IDFCfinanced projects that meet all the required
eligibility and due diligence standards .IDBI has
set up a dedicated Carbon Credit desk, which
provides all the services in the area of Clean
Development Mechanism/Carbon Credit
(CDM).In order to achieve this objective, IDBI has
entered into formal arrangements with multilateral agencies and buyers of carbon credits like
IFC, Washington, KfW, Germany and Sumitomo
Corporation, Japan and reputed domestic
technical experts like MITCON.HDFC Bank has
signed an agreement with Cantor CO2E India Pvt
Ltd and MITCON Consultancy Services Limited
(MITCON) for providing carbon credit services.
As part of the agreement, HDFC Bank will work
with the two companies on awareness building,
identifying and registering Clean Development
Mechanism (CDM) and facilitating the buy or sell
of carbon credits in the global market.ss
LEGAL ASPECT OF CARBON TRADING IN

INDIA
Examples of Carbon trading in India
Under the present provision of the Forward

Contracts Regulation Act, the trading of forward
contracts will be considered as void as no
physical delivery is issued against these
contracts. To rectify this Forward Contracts
(Regulation) Amendment Bill 2006 was
introduced in the Indian Parliament. The Union
Cabinet on January 25, 2008 approved the
ordinance for amending the Forward Contracts
(Regulation) Act, 1952. This Bill also amends the
definition of forward contract to include
commodity derivatives. Currently the definition
only covers goods that are physically
deliverable. However a government notification
on January 4th paved the way for future trading
in CER by bringing carbon credit under the
tradable commodities.
Jindal Vijaynagar Steel

The Jindal Vijaynagar Steel has recently
declared that by the next ten years it will be ready
to sell $225 million worth of saved carbon. This
was made possible since their steel plant uses
the Corex furnace technology which prevents 15
million tonnes of carbon from being discharged
into the atmosphere.
Powerguda in Andhra Pradesh
The village in Andhra Pradesh was selling
147 tonnes equivalent of saved carbon dioxide
credits. The company has made a claim of having
saved 147 MT of CO 2. This was done by
extracting bio-diesel from 4500 Pongamia trees
in their village.
Handia Forest in Madhya Pradesh
In Madhya Pradesh, it is estimated that 95
very poor rural villages would jointly earn at least
US$300,000 every year from carbon payments
by restoring 10,000 hectares of degraded
community forests.
202
The Multi Commodity exchange started

future trading on January 2008 after Government
of India recognized carbon credit as commodities
on 4th January. The National Commodity and
Derivative Exchange by a notification and with
due approval from Forward Market Commission
(FMC) launched Carbon Credit future contact
whose aim was to provide transparency to
markets and help the producers to earn
remuneration out of the environmental projects.
Carbon credit in India is traded on NCDEX
only as a future contract. Future contract is a
standardized contract between two parties to buy
or sell a specified asset of standardized quantity
and quality at a specified future date at a price
agreed today (the future price). The contracts are
traded on a future exchange. These types of
contracts are only applicable to goods which are
in the form of movable property other than
actionable claims, money and securities .
Forward contracts in India are governed by the
Indian Contract Act, 1872.
Mandatory Carbon Trading

The Kyoto Protocol, an international treaty
on climate change that came into force in 2005,
dominates the mandatory carbon market. It
serves as both a model and a warning for every
emerging carbon program.
In the early 1990s, nearly every member
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state of the United Nations resolved to confront

global warming and manage its consequences.
Although the resulting United Nations Framework
Convention on Climate Change (UNFCCC)
international treaty recognized a unified resolve
to slow global warming, it sets only loose goals
for lowering emissions. In 1997, the Kyoto
amendment strengthened the convention.
Mechanism (CDM) and Joint Implementation (JI).

CDM allows Annex I industrialized countries to
pay for emissions reduction projects in poorer
countries that do not have emissions targets. By
funding projects, Annex I countries earn certified
emissions reduction (CER) credits to add to their
own allowances. JI allows Annex I parties to fund
projects in other Annex I countries.
Under the Protocol, members of the

convention with industrialized or transitional
economies (Annex I members) receive specific
reduction targets. Member states with developing
economies are not expected to meet emissions
targetsan exception that has caused
controversy because some nations like China
and India produce enormous levels of GHG. The
Protocol commits Annex I members to cut their
emissions 5 percent below 1990 levels between
2008 and 2012. But because the Protocol does
not manage the way in which members reduce
their emissions, several mechanisms have
arisen. The largest and most famous is the
European Trading Scheme (ETS), still in its twoyear trial phase.
The Kyoto Protocol expires in 2012.

Lawmakers around the world are rushing to
analyze its achievements and shortcomings and
negotiate a successor. The United States,
Kyotos most famous holdout, lacks any national
mandatory carbon legislation but, ironically, has
a booming voluntary carbon market. In the next
section well learn about the Chicago Climate
Exchange.
The ETS is mandatory across the European

Union (EU). The multi sector cap and trade
scheme includes about 12,000 factories and
utilities in 25 countries. Each member state sets
its own emissions cap, or national allocation plan,
based on its Kyoto and national targets.
Countries then distribute allowances totalling the
cap to individual firms. Even though countries
distribute their own allowances, the allowances
themselves can be traded across the EU.
Independent third parties verify all emissions and
reductions.
There has been, however, some question
as to whether the ETS has actually helped reduce
emissions. Some people even call it a permit to
pollute because the ETS allows member states
to distribute allowances free of charge. The ETS
also excludes transport, homes and public sector
emissions from regulation and as with all capand-trade schemes, governments can essentially
exempt influential industries by flooding them
with free allowances.
The ETS allows its members to earn credits
by funding projects through two other Kyoto
mechanisms: the Clean Development
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CRITICISMS
One criticism of carbon trading is that it is a
form of colonialism, where rich countries maintain
their levels of consumption while getting credit
for carbon savings in inefficient industrial projects
(Liverman, 2008, p. 16). Nations that have fewer
financial resources may find that they cannot
afford the permits necessary for developing an
industrial infrastructure, thus inhibiting these
countries economic development. Other
criticisms include the questionable level of
sustainable development promoted by the Kyoto
Protocols Clean Development Mechanism.
Another criticism is of non-existent emission
reductions produced in the Kyoto Protocol due
to the surplus (hot air) of allowances that some
countries have. For example, Russia has a
surplus of allowances due to its economic
collapse following the end of the Soviet Union
(Liverman, 2008, p. 13). Other countries could
buy these allowances from Russia, but this would
not reduce emissions. Rather, it would simply be
a redistribution of emissions allowances. In
practice, Kyoto Parties have as yet chosen not
to buy these surplus allowances (PBL, 2009)
In China some companies started artificial
production of greenhouse gases with sole
purpose of their recycling and gaining carbon
credits. Similar practices happened in India.
Earned credits were then sold to companies in
US and Europe.
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Critics of carbon trading, such as Carbon

Trade Watch, argue that it places
disproportionate emphasis on individual lifestyles
and carbon footprints, distracting attention from
the wider, systemic changes and collective
political action that needs to be taken to tackle
climate change. Groups such as the Corner
House have argued that the market will choose
the easiest means to save a given quantity of
carbon in the short term, which may be different
from the pathway required to obtain sustained
and sizable reductions over a longer period, and
so a market-led approach is likely to reinforce
technological lock-in. For instance, small cuts
may often be achieved cheaply through
investment in making a technology more efficient,
where larger cuts would require scrapping the
technology and using a different one. They also
argue that emissions trading are undermining
alternative approaches to pollution control with
which it does not combine well, and so the overall
effect it is having is to actually stall significant
change to less polluting technologies. In
September 2010, campaigning group FERN
released Trading Carbon: How it works and why
it is controversial] which compiles many of the
arguments against carbon trading.
The Financial Times published an article
about cap-and-trade systems which argued that
Carbon markets create a muddle and ...leave
much room for unverifiable manipulation.
Lohmann (2009) pointed out that emissions
trading schemes create new uncertainties and
risks, which can be commoditised by means of
derivatives, thereby creating a new speculative
market.
Recent proposals for alternative schemes
to avoid the problems of cap-and-trade schemes
include Cap and Share, which was being actively
considered by the Irish Parliament in May 2008,
and the Sky Trust schemes. These schemes
state that cap-and-trade or cap-and-tax schemes
inherently impact the poor and those in rural
areas, who have less choice in energy
consumption options.
the goal being to reduce global warming) have

been modified in ways that have been attributed
to permitting money laundering to take place. The
principal point here is that financial system
innovations (outside banking) open up the
possibility for unregulated (non-banking)
transactions to take place in relativity
unsupervised markets. The principle being that
poorly supervised markets open up the possibility
of structuring to take place.
CONCLUSION
Even though India is the largest sbeneficiary
of carbon trading and carbon credits are traded
on the MCX, it still does not have a proper policy
for trading of carbon in the market. As a result,
the Centre has been asked by The National
Commodity and Derivatives Exchange Limited
(NCDEX) to put in place a proper policy
framework for allowing trading of certified
emission reductions (CERs), carbon credit, in the
market. Also, India has huge number of carbon
credits sellers but under the present Indian law,
the buyers based in European market are not
permitted to enter the market. To increase the
market for carbon trading Forward Contracts
(Regulation) Amendment Bill has been
introduced in the Parliament. This amendment
would also help the traders and farmers to utilize
NCDEX as a platform for trading of carbon
credits. However, to unleash the true potential of
carbon trading in India, it is important that a
special statue be created for this purpose as the
Indian Contracts Act is not enough to govern the
contractual issues relating to carbon credits.
Having cornered more than half of the global total
in tradable certified emission reduction (CERs),
Indias dominance in carbon trading under the
clean development mechanism (CDM) of the
Unconventional on Climate Change (UNFCCC)
is beginning to influence business dynamics in
the country.
REFERANCES
1.
http://carbontradexchange.com/knowledge/what-iscarbon-credit
STRUCTURING ISSUES
Corporate and governmental carbon
emission trading schemes (a trading system
devised by economists to reduce CO2 emissions,
204
http://carbontradexchange.com/
http://www.carbontradewatch.org/publications/
carbon-trading-how-it-works-and-why-it-fails.html
2.
AEA (2009) Reducing the emissions of HFC-23 within

and outside of the clean development mechanism,
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May 2009, Oxfordshire, UK. Work commissioned by
the Department of Energy and Climate Change
3.
AEA Technology (2009) Report on International

Aviation and Maritime Emissions in a Copenhagen
(post 2012)
7.
Haites, E (2003) Harmonisation between National

and International Tradeable Permit Schemes: CATEP
Synthesis Paper, Organisation for Economic Cooperation and Development, Paris.
8.
Haites, E (2008) Linking emissions trading schemes

for international aviation and maritime emissions,
Climate Strategies, Cambridge Harbury, C and
Lipsey, R (1992) First principles of economics,
Second Edition, Oxford University Press, Oxford
Agreement: Final Report, AEA Technology,

Oxfordshire, Ambrosi, P and Capoor, K (2009) State
and Trends of the Carbon Market 2009, The World
Bank,Washington DC
4.
Anderson, J and Mehling, M (2009) Linking the EUs

emissions Trading System to any future US
Emissions Trading Scheme, European Parliament
Policy Department Economic and Scientific Policy,
European Parliament Associated Press (2009)
Automakers, Obama announce mileage, pollution
plan, 19 May 2009
5.
Associated Press (2009) Obama team debuts at U.N.

climate talks, Msnbc, 29 March 2009
6.
Australian Government (2008) Carbon Pollution

Reduction Scheme: Australias Low Pollution Future,
White Paper Volume 1. Available at http://
www.climatechange.gov.au/emissionstrading/
index.html
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
www.ijsir.co.in
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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 Professor
Durga Devi Saraf Institute of Management, Mumbai, India
Email: shalinibariar@gmail.com
ABSTRACT
Advancement in technology in recent years has transformed the purpose of communication
and 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 growing
importance of social media marketing has come with a revolution in the IMC approach. The low
cost and greater benefits have been the major reason for the success of the social media
marketing. The study reveals how the consumer awareness generated by social media leads
to success in the marketing communications. The continuous updates about the products on
the social media generate interest which leads to higher customer involvement and hence
enjoys the top of mind recall.
Keywords: Social media marketing, consumer awareness, consumer involvement, top-of-mind
recall.
INTRODUCTION
During the last decade, the business world
has experienced and reached to an absolutely
new horizon of technological advancements. The
consumers have started experiencing a
substantial change in their lifestyles due to the
internet, and mobile technology. The way of
learning, working, living, and communicating has
changed dramatically. Brain Solis (2010) states,
the democratization of information, transferring
people from content readers into publishers, it is
the shift from a broadcast mechanism , one-to many and many to many model, rooted in
conversations between authors, people and
peers. Blackshaw and Nazzaro stated that a
variety of new sources of online information that
are created, initiated, circulated and used by
consumers intent on educating each other about
products, brands, services, personalities, and
issues (Blackshaw & Nazzaro , 2004). Griffin
(1997) stated that, with the increase in social
media networking, building a relationship with
your targeted audience and conversing with them
has become a major part of marketing adopting
the erstwhile pull marketing strategy. Social
media offers a quicker and more cost-effective
way to reach highly targeted markets than
206
marketing through traditional media, (Mannonen

& Runonen, 2008).
In the todays scenario, the social media
(consumer generated media) are continuously
growing and being treated as one of the most
important vehicle for creating word of mouth
publicity. It can be in form of consumer to
consumer email, discussion forum, newsgroups,
blogs, social networking sites etc. The business
marketers are paying too much importance to this
as they believe that it often carries much higher
credibility and trust than any other traditional
media, especially the advertisements which are
believed as misleading and untruthful. During the
past few years, along with the traditional modes
of marketing communications, the reliance has
shifted to the one-to-one promotions, most
importantly the social media. Due to the
emergence of social media, the marketers have
found an inexpensive method to create and
implement the marketing campaigns. The social
media marketers focus on creating such a
content which generates desirable attention and
also influence people for sharing it on their social
network. The social media relies on the actively
participating users who contribute to the entire
campaign by their involvements. The key to the
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success of this media are user participation, user

loyalty, user motivations, and the interaction
between people.
and test market for promoting the product in long

terms and enjoy customer loyalty for longer
period.
WHAT IS SOCIAL MEDIA?
BENEFITS OF SOCIAL MEDIA MARKETING
There are many definitions of social media

but, at its core, social media uses Internet-based
technologies that facilitate the creation and
exchange of user-generated content. Social
media refers to Web sites that permit people to
interact with the site and with each other using
simple interfaces. The social media mainly
includes, the social networking, email marketing,
blogs, multimedia sharing, viral marketing,
affiliated marketing. At the time of publication,
Face book, qq.com, Twitter and YouTube are
among the most popular social media sites.
Social media provides the information that people
share on those sites, including status updates,
image and video comments, responses to blogs
and forums, and any other individual
contributions to the online space. This information
reflects naturally occurring conversations among
people who may or may not personally know
each other. The low cost of social media
marketing as well as the amount of users and
user information available has contributed in
making social media marketing big business.
The marketers believe that the use of Social

media along with other IMC tools helps in faster
Brand Building due to the following benefits.
The consumers current lifestyle has shown

special influence of the word of mouth impact on
consumers buying behaviour. These changes in
lifestyle have imposed various challenges and
opportunities for marketers on social media. The
social media provides numerous opportunities for
expanding and strengthening relationships to
customers. These include targeted brand building
with the help of activities like executive blogs or
micro sites, podcasts which are specially
developed to focus on specific target markets.
The social media offers a quicker and cost
effective technique to approach the highly
targeted market than targeting through traditional
media like television, websites, newspapers or
public relations etc .
Viewing this recent development in social
media marketing, there are opportunities for
research and development to get immediate
feedback on the product , make corrections and
counter challenge. Social media can include
customers in the product development process
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The benefits of social media marketing are:

1.
Social media is extremely targeted
2.
Increases business exposure
3.
Gives insight about current and potential

customers
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 is
considered as the latest tool for promoting a
brand and creating a competitive advantage over
the competitors by enjoying consumers top of
the mind recall. It has become very necessary to
study how the effective strategy be applied to
social media that it efficiently manages to build a
brand and reap benefits of customer preference.
OBJECTIVE
The objective of the research is to explore
how social media is helping in brand building and
how consumers perceive it.
SUB OBJECTIVE
1.
To find out how social media helps in brand

building.
2.
To study the consumers perception about

the social media usage
3.
To find out what factor helped social media

marketing attained success
HYPOTHESIS
1.
Social media generates consumer

awareness and hence leads to greater
brand building
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P-ISSN 2347-2189, E- ISSN 2347-4971
2.
Consumers believe that continuous and

detailed product information on social media
leads to top of mind recall.
3.
Consumer involvement and relationship

plays important role in the success of the
social media marketing
Research Design : Exploratory
Variable : Social media marketing
Sampling : Convenience Sampling
Instrument: Personal interview and

Questionnaire
Data Collection: Primary and Secondary
Sample size: 50
Population and Segmentation : social media

users and Media agencies
Research techniques: Measure of central

tendency, measure of dispersion ,hypothesis
testing, error testing
Level of significance :test is done at the 5%

level of significance
DATA INTERPRETATION
With the help of questionnaire and personal
interview analysis;
1.
It was observed that 64% respondents

believed that social media generated
awareness which leads to stronger brand
building
2.
It was observed that 88% people believed

that continuous updates about the products
on social media generates interest and later
leads to top of mind recall
3.
It was observed that 67% people believed

that customer involvement and relationship
plays important role in the success of social
media marketing.
HYPOTHESIS TESTING
The hypothesis testing is done at 5% level
of significance and as the sample size is 50, use
normal distribution as an approximation to the
sampling distribution. Z test is done to prove the
hypothesis.
As we conduct a one tailed test, i.e. left
tailed test, at the level of significance at 5%
208
The values of Z TAB = -1.645 (5% Level of

significance, for left tailed test )
ZCAL is calculated using the formula ZCAL
= p^ p
p q/N
Where,
If Z TAB < Z CAL, we accept the hypothesis.
Hypothesis 1 : Social media generates
consumer awareness and hence leads to greater
brand building
The results of Hypothesis 1 states that out
of 50 respondents, 32 believed that social media
generates consumer awareness about the brand
and hence it leads to the greater brand building.
p ^ = 0.64
q= 0.5 p= 0.5
Z cal = 0.64- 0.5/0.035 = 4
n=50
The value of Z calculated being 4 shows

that the value is greater than the value of Z
tabulated which is -1.645
Hence, the Hypothesis 1 is accepted and
the chances of Type II error is less than 1%
Hypothesis 2 : Consumers believe that
continuous and detailed product information on
social media leads to top of mind recall.
The results of Hypothesis 1 state that out of
50 respondents, 40 believed that consumers
believe that continuous and detailed product
information on social media leads to top of mind
recall.
p ^ = 0.8 q= 0.5 p= 0.5 n=50
Z cal = 0.8- 0.5/0.035 = 8.6
The value of Z calculated being 8.6 shows
that the value is much higher than the value of Z
Hypothesis 3 : Consumer involvement and
relationship plays important role in the success
of the social media marketing.
The results of Hypothesis 3 state that out of
50 respondents, 34 believed that consumer
involvement and relationship plays important role
in the success of the social media marketing.
p ^ = 0.68 q= 0.5 p= 0.5 n=50
Z cal = 0.68- 0.5/0.035 = 5.1
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The value of Z calculated being 5.1 shows

that the value is much higher than the value of Z
CONCLUSION
The importance of traditional marketing mix
tools cannot be ignored when it comes to
connecting with consumer still in the era of techno
savvy consumers, the consumers give enough
time to the social media. The active online users
fully expect companies to be present on social
media and be willing to interact with them.
However, as much as companies are also
realising the importance of social media, it is
important that every companys in-house expert
or media marketing agency must understand the
rules of this new medium to correctly involve
companies and customers together, and to be
able to measure the importance of social media
activities. In order to succeed a robust strategy
is an absolute imperative. In other words, every
company/ brand needs to take a strategic rather
than a tactical approach to incorporating social
media into their marketing planning. It has been
observed that social media is an important
platform in generating consumer awareness
which leads to generating desire and hence
giving a chance for greater brand building
opportunity to the branding organisations. During
the leisure time the customers prefers to socialise
and when the information is interesting enough
to be involved with, the customers get emotionally
attached to the said brand and hence makes it
an alternative option in the buying process. Due
to the continuous updates and in detailed
information about the products on the social
media sites, it leads to top of mind recall and
hence it leads to the success of social media
marketing. Good and relevant content may play
a very important role in any social media strategy.
The content represents the brand and gives
customers a reason to stay engaged. When
consumers participate actively and has
personalized interaction with customers it may
help companies to build strong relationships and
create a sense of loyalty among the customers
which my play a important role as a reference
group. The success of the social media campaign
can be enhanced by the effectiveness with which
the customers get engaged through the various
www.ijsir.co.in
activities. The integration of social media with

customer relationship management strategies
may become an important element for
organizations that want to optimize the power of
social interactions to get closer to customers as
highlighted by social media experts. But in spite
of any other reason, the customers are more
interested in getting a tangible value. Business
organizations need to realize that the basic
objective of most of the customers to interact with
companies on social media is not to feel
emotionally connected. To successfully exploit
the potential of social media, marketing
companies need to deliver tangible value by
designing proper experiences in return for
customers valuable time, attention, and
endorsements.
REFERENCES
1.
BELCH G.E., BELCH M.A. (1996) Advertising and

Promotion; An integrated marketing communications
perspective Irwin/McGrawhill Publishing USA.
2.
CLOW K.E., BAACK .D. (2004) Integrated Advertising,

Promotions and Marketing Communications Pearson
Education Inc Upper Saddle Rwer, New Jersey USA.
3.
GILSON C. and HAROLD .E.B (1980) Advertising

concepts and strategies. Banden Publishers, Random
House, New York USA.
4.
LEVIT .T. (1969) Marketing Principles Harvard

Business Review. Harvard USA.
5.
Drury, Glen., 2008. Social Media: Should marketers

engage and how can it be done effectively.
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Journal of Direct, Data and Digital Marketing Practice,

(9), pp.274-277.
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Duncan, T., and Caywood, C., Ed. 1996. The Concept,

Process, And Evolution of Integrated
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Marketing Communication. Mahwah, N.J., Lawrence

Erlbaum Associates.
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Eley, B. and Tilley, S., 2009. The Online Marketing

Inside Out. Sitepoint.
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Idman, RM. et al., 1993. Modern Marketing. London:

Weiling and Gs.
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Griffin, A. (1997) PDMA Research on New Product

Development Practices: Updating Trends and
Benchmarking Best Practices. Journal of Product
Innovation Management, vol. 14, pp. 429 458
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Blackshaw P, Nazzaro M. 2004. Consumer-generated

media (CGM) 101: word-of-mouth in the age of the
web-fortified consumer. http://www.brandchannel.com/
images/Papers/222_CGM.pdf [29 January 2011].
13.
Mannonen, Petri; Runonen, Mikael SMEs in Social

Media
Proceedings of NordiCHI 2008 Workshop: How Can
HCI Improve social Media Development, Lund, 20.22.10.2008, pp. 86-91, 2008.
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IMPORTANCE OF LIFE INSURANCE IN MEETING OUT FINANCIAL NEEDS AND SECURITY IN CURRENT SCENARIO
WITH CHALLENGES AND EMERGING TRENDS
1
*JYOTI AGARWAL1, S.C. PANDEY2

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: agarwaljyotilko@gmail.com
ABSTRACT
From the above discussion it is evident that life insurance industry expanded tremendously
from 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 riders
were provided by the life insurers to suit the requirements of various customers. However, the
new business of such companies was more skewed in favor of selected states and union territories. During the period of study, most of life insurance business was underwritten in the last
four months of the year. Private life insurers used the new business channels of marketing to a
great extent when compared with LIC. Investment pattern of LIC and private insurers also
showed some differences. Solvency ratio of private life insurers was much better than LIC in
spite of big losses suffered by them.
INTRODUCTION
The journey of human life, from womb to
tomb is full of woes, worries and unlimited needs.
Man is endowed with highly intellectual ability
which encourages him for the betterment and
advancement of his life so as to achieve happiness and comfort, also benefiting in that process
all those who depend on him for economic security, which gave rise to the business of insurance.
The insurance is primarily a social device
adopted by civilized society for mitigating the incidence of loss of income to families by unforeseen contingencies. Life Insurance Corporation
of India (LIC) came into existence on 1st September, 1956 after nationalization of all the 245
companies engaged in life insurance business.
From its very inception, the Corporation has
made impressive growth always striving for further improvement. American psychologist
Abraham Maslows theory of hierarchy of needs
has calibrated human needs into five stages: (1)
Physiological needs ( 2) Safety/Security needs (
3) Social needs, 4) Ego needs and 5) Self Actu210
alization/Self Fulfillment needs. In the present socioeconomic scenario, the human needs can be
restructured in a FEP module i.e. on financial,
emotional and philosophical aspects and here
we will throw light on these three with reference
to insurance.
While earlier studies on life insurance sector mainly focused upon LIC, it was only after
reforms in this sector that certain studies covering private players have taken place. Among
early studies, Arora (2002) highlighted that LIC
was likely to face tough competition from private
insurers having large established network and
their trained intermediaries throughout India.
Verma (2003) analyzed the various type of products offered by public sector giant and the new
global players in the private sector. Kumar and
Taneja (2004) highlighted the opportunities and
challenges before the insurance industry in India due to liberalization, globalization and
privatization. Kulshrestha and Kulshrestha (2006)
highlighted that demand for life insurance in rural India was expanding at the annual rate of 18
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per cent as compared to 3.9 per cent in urban

areas which provided good opportunity for life
insurers to perform.
The present paper is an attempt to study the
recent life insurance scenario in the light of
changes mentioned above. For this purpose,
various indicators like number of policies and
products, growth of life insurance business and
premium income , operating expenses, profit &
loss A/c have been analyzed.
DATA COLLECTION AND ANALYSIS
The study is based upon secondary data
which has been collected from annual reports of
IRDA, IRDA journal and Life Insurance Today.
Besides, a few websites have also been consulted. The data used in the paper covers the
period from 2001-02 to 2011-12. For the analysis of data, statistical tools like percentages, ratios, growth rates and coefficient of variation have
been used.
ANALYSIS AND DISCUSSION
Table 1 : Profit & Loss Position (Rs. crore)
Year
Profits/Loss (+) ()
Table 2: Operating expenses for conducting Insurance Business

Year
Operating
expenses
(Rs. crores)
Total
Premium
(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 financial power, using his muscle power and intellectual power; so that he can have that money
power. The financial needs can be split into four
Ss, i) Swapping, ii) Saving, iii) Stocking and iv)
Securing. While people roll in the first three steps,
i.e. Swapping, Saving and Stocking gradually in
that order; the fourth one, i.e. Securing lacks
behind. Man seems to relegate financial security to a lower down position. Financial security
is as important need in the personal financial
planning of an individual as other needs are.
Hence it deserves the full attention for enduring
financial stability. Insurance is a firm fulcrum for
providing this stability. Yet people are by instinct
averse to insurance. This can be attributed to
the peculiar characteristics of insurance, such
as, intangibility of the product and benefits appearing to come to fruition at too distant a future.
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
Emotional Aspect
2012-13
1489.92
Insurance is significantly concerned with

emotions. Insurance is meant for catering to unpredictable and deferred needs. It should, how-
Source - IRDA Annual Report
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ever, be purchased well before its need arises,

lest it get too late. It is of little use digging a well
when thirsty. People postpone availing of insurance cover as they dont sense the immediate
need thereof. Some people sarcastically feel that
not many persons are really benefited by insurance. It is true that many people come out unhurt and safe in the journey of life. But quite a
good number of unfortunate people, though relatively lesser in number, face the storm and they
and/or their loved ones are forced to bear the
brunt and to face a life of hardship by the happening of an unfortunate tragedy which apparently had a low probability but turned out to be a
calamity of utmost severity. It is therefore better
to keep the life boat ready when one gets set for
a voyage. It is rightly said that It is better to have
insurance for a hundred years and not need it,
than to need it one day and not have it. Insurance is concerned with dreaded and disliked
eventualities like death, disease, disability and
dilapidation. Everyone is exposed to these risks.
Everyone has to accept these realities of life and
be well prepared to face them. Insurance is undoubtedly the best way out. People act on emotions rather than on reason. Insurance is a long
term contract. The benefits fructify in future. The
timing of fructification is to be decided in the initial stage by proper planning. The fruit reaper has
to have patience, if he wants to enjoy the fruit.
Philosophical Aspect
Insurance means spreading of risk and sharing of loss amongst the community of insured
people. It is a co-operative venture. Insurance is
beneficial not only to the individual but to the
entire community of the insured people. Thus it
promotes fraternal concern. When an individual
dies, three deaths occur, that of i) the individual
himself or herself, ii) a father, a mother, a brother,
a sister, a son, a daughter or some such relative, iii) a breadwinner of the family. The third
death is the most disastrous. As it results in stoppage of the income, the family is made to face a
financial crisis. Nevertheless, if the deceased individual were to be insured, there would be only
two deaths. The third death would be avoided,
economically at least, and the family would be
financially secure. If the number of such secured
families is more in the society, the socio-economic inadequacy would be minimized to a great
212
extent. The money paid by the insured public by

way of premium does not remain idle in the coffer. World over, it is used for promoting industries, business, commerce and developmental
programs particularly in developing countries like
India. Indirectly, the insured community contributes for a noble cause nation building activity.
With a proper perspective, insurance can be used
as a means to achieve many objectives. One can
perform his duties as a father, as a husband or
as a son by insuring himself so that financially
the dependents do not become orphaned in the
event of his premature death. He can express
his love and affection towards his beloved ones
even from beyond the graveyard. Finance can
be managed in a better way with the help of insurance. Men have many wants, needs and desires. They can fulfill their desires by means of
insurance, which means freedom or liberation
from all worries, which insurance undoubtedly
ensures. It can, therefore, be said that insurance
is a multifaceted tool in the hands of mankind for
a number of purposes. About 10% of the GDP of
the developed countries comes from insurance
premium (in India it is a little over 4%). Insurance as a business activity is a driver of economic development. Insurance is an effective
device which promotes stability, prosperity and
happiness to the individual and the society at
large. Development and insurance are also
complementary to each other. Prudent men will
realize the importance of insurance and will accept it as an integral part of the way of financial
planning in life.
Decisions of quantum of insurance
For an individual, having decided to obtain
insurance, the next logical dilemma to deal with
is to the quantum of insurance that he or she
should purchase. With the dynamics of finance
and economy ever being so volatile, it is certainly
a major decision and is something that is not easy
to arrive at. Besides, current affordability as also
the projected affordability in future, considering
the fact that it is a long term commitment, is another factor that has to be weighed sensibly. In
such a scenario, the Human Life Value (HLV)
provides the most objective and need-based
solution. Human life has an economic value. It is
the monetary worth of an earning person and is
the capitalized value of his net future earnings
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less cost of his current self maintenance. It is

exactly to preserve or secure this economic value
of human life, which is subjected to vagaries of
nature, that life insurance was devised. Once the
prospect realizes this important fact, his endeavor
to purchase life insurance is to protect his
dependants from any eventuality. If the human
life value-based selling and after sales service
are rendered by the agent in letter and spirit to
the clients utmost satisfaction, there will be further development and conservation of life insurance business. Human lifes value may be defined as the capitalized value of the net future
earnings of an individual after taking into account
appropriate costs for his/her self maintenance. It
is the monetary value of an earning person. The
facts that determine it are training and education, character and health and, above all, his
ability to work. The higher these factors, the
higher are the values; and the lower these factors, the lower is his economic value.
Human life value-based selling and appropriate after-sales service are the need of the hour.
The emphasis should be on the total needs concept, as the basis for developing life insurance
programs for individuals. In the same vein, emphasis should be on the concept of building a
life insurance clientele, which can be achieved
only by an agent who gives professionally competent service and advice. If these two aspects
are pursued by the insurer in letter and spirit,
there is ample scope for increase in volumes of
business, and its retention.
Challenges of the Industry
Life insurance industry is passing through a
difficult phase in our country. There is enormous
scope for the industry to grow. Yet, the industry
is unable to grow in recent years. There has been
de-growth in 2012-13 to the extent of 6.32% in
terms of First Premium Income (FPI). The
economy is growing and so is the per capita income in all the segments of the economy. But,
the life insurance industry finds it difficult to make
use of this golden opportunity. Insurance intermediaries lost much of their credibility after the
ULIPs failed to generate expected returns. A lot
of ULIPs were sold on false promises. So, now
the insurance intermediaries find it difficult to regain the same confidence of people. This is a
great challenge. This challenge is greater for
www.ijsir.co.in
those agents who operate in the rural and semiurban areas. As agents still contribute 78.69%
of total business, their success is critical for the
success of the life insurance industry in India.
The productivity of the agents is low because
of miss-selling of ULIPs. Barring a small proportion of agents who have got MDRT or similar recognition for the consistency of their performance,
a very large number of agents have failed to become true professionals. They are mostly part
timers and do not even have the inner motivation to grow. If insurance industry has to grow,
the same way, the skills, competencies and attitudes of all agents have to get a total face lift.
Professionalizing a vast sales force is a big challenge for all insurers. The average number of
policies sold by the agents in 2011-12, proves
that an insurance agent, on an average, has not
been able to make a career out of his job. If an
agent is not fully devoted in this profession on a
regular basis, it is very difficult for him to bring
quality business and also to give proper services
to the customers.
Perhaps the biggest challenge is the lack of
proper insurance awareness. Even after 57 years
LIC was formed , many people still do not understand the value of insurance properly. Although
LIC did a commendable job in spreading the
message of insurance, most people still can not
distinguish insurance from other forms of investments. That is why only a few products are demanded by the market. Our agents have failed
to market need based insurance. At best, insurance is sold as a savings instrument or an investment instrument. Most of the agents continue
to push products which give more commissions
or where service obligations are less. Agents
could have been the ideal medium for generating insurance awareness as they are in direct
contact with the customers. But lack of competency, professionalism and integrity on the part
of many of the agents (and of other intermediaries as well) have prevented them from improving insurance awareness to the extent it should
have been.
Recent Trends in the life insurance industry
The good news is that the insurers are trying their best to meet the challenges. Recent
trends in the industry show that the insurers are
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fast changing the way of their functioning. Insurers are now trying to sell a blend of linked and
non-linked products. They are also trying to sell
more of long term products. This is a step in the
right direction. People indeed need more of long
term insurance products, covering them protection throughout their working life. This will also
ensure consistency of business for the insurers.
Many insurers, especially the private insurers are
now successfully marketing term assurance
among the youth. This is great as the youth can
get a large cover at the minimum of premium.
Term assurance carries no maturity value and
therefore it is heartening that the new generation is able to pick up a product which is pure
insurance. But, while granting a huge cover, the
insurers have to assess the quality of each risk
carefully because if a claim is repudiated later, it
can shake the confidence of the people in the
institution called life insurance .
Another important trend in insurance industry is that a large volume of selling is happening
online. Some private insurers have been doing
business online for quite some time. Since the
new generation is tech savvy and makes a lot of
buying online, insurers are rightly catching the
young customers in the internet. After all, an insurer has to be present wherever the customers
are i.e. purely customer friendly . The insurers
are rightly doing a lot of marketing and brand
building activities in the social media.
have a great chance to increase their sales as

people will have a freedom to choose whichever
insurer they want to go with. LIC has been asked
to make its presence felt in areas where population is more than 10,000. Probably, LIC will do
this by opening one man offices within the premises of its bank assurance partners. Other insurers are surely contemplating similar actions,
to go deeper into the insurance market.
Another important and heart warming trend
in insurance industry is that the insurers are trying to discharge their Corporate Social Responsibility as much as they can. An insurer is judged
not just by the greatness of its products but also
by its human face. When insurers directly do
some work in building the infrastructures of the
society or help some underprivileged sections
of society, people become more respectful of
them and can eventually become loyal customers.
Insurance can indeed change the face of
India as it can provide confidence to people to
take more risks which are very important for taking the country to the next level of growth and
development. If the insurers can involve rural and
urban youths as volunteers in this campaign
along with employee volunteers of the insurers,
the required level of awareness can surely be
generated in a few years.
Emerging Trends
Although insurers know that it is difficult to

professionalize lakhs of tied agents with diverse
social and educational backgrounds, they understand the importance of training in improving the
skills and attitudes of the agents working across
the length and breadth of the country. Even today, common people get to interact with the
agents only, before buying insurance. If the agent
is found knowledgeable and trustworthy, it improves the image of the insurers.
Multi-distribution i.e. increasing penetration

through new modes of distribution such as
the internet, direct and telemarketing and
NGOs
Product innovation i.e. increased levels of

customization through product innovation
Claims management i.e. timely and efficient

management of claims to prevent delays
which can increase the claims cost
All insurers have started depending heavily

on their bank assurance partners, for increasing
insurance penetration in special segments. In our
country, people depend a lot on banks and therefore banks have earned more acceptability in
rural as well as in urban areas. New IRDA regulation is going to allow banks to sell insurance
products of multiple insurers. So, all insurers
Profitable growth i.e. expanding product

range, developing innovative products and
expanding distribution channels
Regulatory trends i.e. mandated regulatory

changes by the IRDA to promote a competitive environment in both the life and nonlife insurance sectors
214
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Globalization- The Dynamic Force
REFERENCES
Globalization has become a broad heading

for a multitude of global interactions, ranging from
the expansion of cultural influences across borders to the enlargement of economic and business relations throughout the world. It has different dynamic force for different person. It may be
treated as a phenomenon, a philosophy and a
process, which affects human beings.Insurance
being an integral part of financial service could
not claim immunity to the impact of the globalization process and opened up to private and
global players world over, including India. So
many MNCs are now entering into the insurance
sector which is now a booming sector. Marketing after globalization has become more customer oriented, better service oriented and more
competitive. To sustain in present era insurance
sector has to provide better satisfaction, more
value addition and strategic development.
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 ReformsAn Unpublished Agenda for Economic Development: 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 INSURANCE
PROSPECTS AND CHALLENGES, LIFE INSURANCE TODAY, 1(10): 9-13.
4.
Verma, Vinay,New Trends in Product Design: An

Overview of Life Insurance Products, The Insurance
Times, 23 (6): 16-28, 2003.
5.
Taneja, Aruna, Kumar Narendera. Insurance in India

Challenges and Opportunities.
6.
IRDA Annual Reports, Insurance Regulatory and

Development Authority, Mumbai, 2001 to 2007.
7.
IRDA Journal, Various Issues (2000-01 to 2009-10).
8.
Life Insurance Today, Various Issues (2000-01 to 200910)
9.
[Online] Available : www.irdaindia.org
10.
[Online] Available : www.irdajournal@irda.gov.in
CONCLUSION
From the above discussion it is evident that
life insurance industry expanded tremendously
from 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 riders were
provided by the life insurers to suit the requirements of various customers. However, the new
business of such companies was more skewed
in favor of selected states and union territories.
During the period of study, most of life insurance
business was underwritten in the last four months
of the year. Private life insurers used the new
business channels of marketing to a great extent when compared with LIC. Investment pattern of LIC and private insurers also showed
some differences. Solvency ratio of private life
insurers was much better than LIC in spite of big
losses suffered by them.
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FDI IN INDIAN RETAIL SECTOR: ANALYSIS OF

COMPETITION IN
AGRIFOOD SECTOR
*
P NIXON DHAS1, N P SHARMA2

Research Scholar, Sunrise University, Alwar, Rajasthan , India
2
Director, Nimbus Academy of Management, Dehradun, Uttara Khand, India
1
*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 the
Investment Commission of India, the retail sector is expected to grow almost three times its
current levels to $660 billion by 2015. However, in spite of the recent developments in retailing
and its immense contribution to the economy, retailing continues to be the least evolved industries
and the growth of organized retailing in India has been much slower as compared to rest of the
world. Undoubtedly, this dismal situation of the retail sector, despite the on-going wave of
incessant liberalization and globalization stems from the absence of an FDI encouraging
policy in the Indian retail sector. In this context, the present paper attempts to analyze the
strategic 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 findings
of the study point out that FDI in retail would undoubtedly enable India Inc. to integrate its
economy with that of the global economy. Thus, as a matter of fact, FDI in the buzzing Indian
retail sector should not just be freely allowed but should be significantly encouraged.
Keywords: Organized retail, Globalization, Foreign direct investment, Strategic issues and
Prospects, Farmers and Agri-food sector.
INTRODUCTON
Retailing is one of the most important sectors
of India economy. It provides 9% employment to
the total workforce and contributes around 15%
to the Indian GDP. It could have been a welcome
step in strengthening Indias FDI regime with
making it in tune with countrys needs. The FDI
policy has been moving away from the license
mentality of protection against imagined foreign
dictators towards a more open, healthy and
competitive environment. This policy would have
provided a window for the world class retailer
Hermes, Tiffany & Co and Wal- Mart etc. to set
their foot in the booming Indian retail sector. The
Indian Government believes that the opportunity
of FDI in multiband retail and further liberalization
of single-brand retail trade will facilitate greater
216
FDI inflows providing new opportunities and

benefits besides quality improvement. At a time
when declining investments have led to slower
GDP growth, however, a healthy competition,
between the large domestic retailers and those
with FDI, should be maintained. Imposing socially
desirable constraints on FDI funded retailers
would lead into unfair competition. In spite of the
recent developments in retailing and its immense
contribution to the economy, retailing continues
to be the least evolved industries and the growth
of organized retailing in India has been much
slower as compared to rest of the world. One
main cause for this is that retailing is one of the
few sectors where foreign direct investment is
not allowed. Within the country, there have been
protests by trading associations and other
stakeholders against allowing FDI in retailing. In
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2004, The High Court of Delhi referred to Blacks

Law Dictionary to define the term retail. The term
retail is defined as a sale for final consumption
in contrast to a sale for further sale or processing
(i.e. wholesale). Thus, retailing can be said to be
the interface between the producer and the
individual consumer buying for personal
consumption. This excludes direct interface
between the manufacturer and institutional
buyers such as the government and other bulk
customers. Retailing is the last link that connects
the individual consumer with the manufacturing
and distribution chain. A retailer is involved in
the act of selling goods to the individual consumer
at a margin of profit.
The study is based on secondary sources
of data. The main source of data are various
Economic Surveys of India and Ministry of
Commerce and Industry data, RBI bulletin, online
data base of Indian Economy, journals, articles,
news papers, etc.
INDIAN RETAIL SECTOR OVERVIEW
Retailing in India is one of the pillars of its
economy 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 markets
in the world by economic value. India is one of
the fastest growing retail markets in the world,
with 1.2 billion people. Indias retailing industry
is essentially owner manned small shops. In
2010, larger format convenience stores and
supermarkets accounted for about 4% of the
industry, and these were present only in large
urban centers. Indias retail and logistics industry
employs about 40 million Indians (3.3% of Indian
population). Until 2011, Indian central
government denied foreign direct investment
(FDI) in multi-brand retail, forbidding foreign
groups from any ownership in supermarkets,
convenience stores or any retail outlets. Even
single-brand retail was limited to 51% ownership
and a bureaucratic process.
In November 2011, Indias central
government announced retail reforms for both
multi-brand stores and single-brand stores.
These market reforms paved the way force retail
innovation and competition with multi-brand
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retailers such as Walmart, Carrefour and Tesco,

as well single brand majors such as IKEA, Nike,
and Apple. The announcement sparked intense
activism, both in opposition and in support of the
reforms. In December 2011, under pressure from
the opposition, Indian government placed the
retail reforms on hold till it reaches a consensus.
In January 2012, India approved reforms for
single-brand stores welcoming anyone in the
world to innovate in Indian retail market with
100% ownership, but imposed the requirement
that the single brand retailer source 30% of its
goods from India. Indian government continues
the hold on retail reforms for multi-brand stores.
IKEA announced in January that it is putting on
hold its plan to open stores in India because of
the 30% requirement. Fitch believes that the 30%
requirement is likely to significantly delay if not
prevent most single brand majors from Europe,
USA and Japan from opening stores and creating
associated jobs in India.
ENTRY OPTIONS FOR FOREIGN PLAYERS
PRIOR TO FDI POLICY
Although prior to Jan 24, 2006, FDI was not
authorized in retailing, most general players had
been operating in the country. Some of entrance
routes used by them have been discussed in sum
as below:1. Franchise Agreements:
It is an easiest track to come in the Indian
market. In franchising and commission agents
services, FDI (unless otherwise prohibited) is
allowed with the approval of the Reserve Bank
of India (RBI) under the Foreign Exchange
Management Act. This is a most usual mode for
entrance of quick food bondage opposite a world.
Apart from quick food bondage identical to Pizza
Hut, players such as Lacoste, Mango, Nike as
good as Marks as good as Spencer, have entered
Indian market place by this route.
2. Cash and Carry Wholesale Trading:
100% FDI is allowed in wholesale trading
which involves building of a large distribution
infrastructure to assist local manufacturers. The
wholesaler deals only with smaller retailers and
not consumers. Metro AG of Germany was the
first significant global player to enter India through
this route.
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3. Strategic Licensing Agreements:

Some foreign brands give exclusive licenses
and distribution rights to Indian companies.
Through these rights, Indian companies can
either sell it through their own stores, or enter
into shop-in-shop arrangements or distribute the
brands to franchisees. Mango, the Spanish
apparel brand has entered India through this
route with an agreement with Piramyd, Mumbai,
SPAR entered into a similar agreement with
Radhakrishna Foodlands Pvt. Ltd
4. Manufacturing and Wholly Owned
Subsidiaries:
The foreign brands such as Nike, Reebok,
Adidas, etc. that have wholly-owned subsidiaries
in manufacturing are treated as Indian companies
and are, therefore ,allowed to do retail. These
companies have been authorized to sell products
to Indian consumers by franchising, internal
distributors, existent Indian retailers, own outlets,
etc. For instance, Nike entered through an
exclusive licensing agreement with Sierra
Enterprises but now has a wholly owned
subsidiary, Nike India Private Limited.
FDI POLICY IN INDIA
FDI as defined in Dictionary of Economics
(Graham Bannock et.al.) is investment in a
foreign country through the acquisition of a local
company or the establishment there of an
operation on a new (Greenfield) site. To put in
simple words, FDI refers to capital inflows from
abroad that is invested in or to enhance the
production capacity of the economy. Foreign
Investment in India is governed by the FDI policy
announced by the Government of India and the
provision of the Foreign Exchange Management
Act (FEMA) 1999. The Reserve Bank of India
(RBI) in this regard had issued a notification,
which contains the Foreign Exchange
Management (Transfer or issue of security by a
person resident outside India) Regulations, 2000.
This notification has been amended from time to
time. The Ministry of Commerce and Industry,
Government of India is the nodal agency for
motoring and reviewing the FDI policy on
continued basis and changes in sectoral policy/
sectoral equity cap. The FDI policy is notified
through Press Notes by the Secretariat for
218
Industrial Assistance (SIA), Department of

Industrial Policy and Promotion (DIPP). The
foreign investors are free to invest in India, except
few sectors/activities, where prior approval from
the 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 of
2006 issued by DIPP and consolidated FDI Policy
issued in October 2010 which provide the sector
specific guidelines for FDI with regard to the
conduct of trading activities.
a)
FDI up to 100% for cash and carry wholesale

trading and export trading allowed under the
automatic route.
b)
FDI up to 51 % with prior Government

approval (i.e. FIPB) for retail trade of Single
Brand products, subject to Press Note 3
(2006 Series).
c)
FDI is not permitted in Multi Brand Retailing

in India.
Prospected Changes in FDI Policy for Retail

Sector in India
The government (led by Dr.Manmohan
Singh, announced following prospective reforms
in Indian Retail Sector.
1.
India will allow FDI of up to 51% in multibrand sector.
2.
Single brand retailers such as Apple and

Ikea, 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 their
goods from small and medium sized Indian
suppliers.
4.
All retail stores can open up their operations

in population having over 1million.Out of
approximately 7935 towns and cities in
India, 55 suffice such criteria.
5.
Multi-brand retailers must bring minimum

investment of US$ 100 million. Half of this
must be invested in back-end infrastructure
facilities such as cold chains, refrigeration,
transportation, packaging etc. to reduce
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post-harvest losses and

remunerative prices to farmers.
6.
provide
The opening of retail competition (policy) will

be within parameters of state laws and
regulations.
SINGLE AND MULTI-BRAND RETAILING

FDI in Single-Brand Retail
The Government has not categorically
defined the meaning of Single Brand anywhere
neither in any of its circulars nor any notifications.
In single-brand retail, FDI up to 51 per cent is
allowed, subject to Foreign Investment Promotion
Board (FIPB) approval and subject to the
conditions mentioned in Press Note 3 that (a)
only single brand products would be sold (i.e.,
retail of goods of multi-brand even if produced
by the same manufacturer would not be allowed),
(b) products should be sold under the same brand
internationally, (c) single-brand product retail
would only cover products which are branded
during manufacturing and (d) any addition to
product categories to be sold under single-brand
would require fresh approval from the
government. While the phrase single brand has
not been defined, it implies that foreign
companies would be allowed to sell goods sold
internationally under a single brand viz., Reebok,
Nokia, and Adidas. Retailing of goods of multiple
brands, even if such products were produced by
the same manufacturer, would not be allowed.
Going a step further, we examine the concept of
single brand and the associated conditions.
FDI in Single brand retail implies that a retail
store with foreign investment can only sell one
brand. For example, if Adidas were to obtain
permission to retail its flagship brand in India,
those retail outlets could only sell products under
the Adidas brand and not the Reebok brand, for
which separate permission is required. If granted
permission, Adidas could sell products under the
Reebok brand in separate outlets.
FDI in Multi-Brand Retail
The government has also not defined the
term Multi Brand. FDI in Multi Brand retail implies
that a retail store with a foreign investment can
sell multiple brands under one roof. In July 2010,
Department of Industrial Policy and Promotion
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(DIPP), Ministry of Commerce circulated a

discussion paper [14] on allowing FDI in multibrand retail. The paper does not suggest any
upper limit on FDI in multi-brand retail. If
implemented, it would open the doors for global
retail giants to enter and establish their footprints
on the retail landscape of India. Opening up FDI
in multi-brand retail will mean that global retailers
including Wal-Mart, Carrefour and Tesco can
open stores offering a range of household items
and grocery directly to consumers in the same
way as the ubiquitous kirana store.
EFFECTS
OF
STAKEHOLDERS
FDI
ON
VARIOUS
Impact on Farming Communities

A supermarket revolution has been
underway in developing countries since the early
1990s. Supermarkets (here referring to all
modern retail, which includes chain stores of
various formats such as supermarkets,
hypermarkets, and convenience and
neighborhood stores) have now gone well
beyond the initial upper- and middle-class
clientele in many countries to reach the mass
market. Within the food system, the effects of this
trend touch not only traditional retailers, but also
the wholesale, processing, and farm sectors.
When supermarkets modernize their
procurement systems, they require more from
suppliers with respect to volume, consistency,
quality, costs, and commercial practices.
Supermarkets impact on suppliers is biggest
and earliest for food processing and foodmanufacturing enterprises, given that some 80%
of what supermarkets sell consists of processed,
staple, or semi-processed products. But by
affecting processors, supermarkets indirectly
affect farmers, because processors tend to pass
on the demands placed on them by their retail
clients. Supermarket chains prefer, if they are
able, to source from medium and large
processing enterprises, which are usually better
positioned than small enterprises to meet
supermarkets requirements. The rise of
supermarkets thus poses an early challenge to
processed food microenterprises in urban areas.
By contrast, as supermarkets modernize the
procurement of fresh produce (some 1015% of
supermarkets food sales in developing
countries), they increasingly source from farmers
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through specialized and dedicated wholesalers

(specialized in product lines and dedicated to
modern segments) and occasionally through
their own collection centers.
Where supermarkets source from small
farmers, they tend to buy from farmers who have
the most non-land assets (like equipment and
irrigation), the greatest access to infrastructure
(like roads and cold chain facilities), and the
upper size treacle of land (among small farmers).
Where supermarkets cannot source from
medium or large-scale farmers, and small
farmers lack the needed assets, supermarket
chains (or their agents such as the specialized
and dedicated wholesalers) sometimes help
farmers with training, credit, equipment, and other
needs. Such assistance is not likely to become
generalized, however, and so overtime assetpoor small farmers will face increasing
challenges surviving in the market as it
modernizes.
When farmers enter supermarket channels,
they tend to earn from 20 to 50% more in net
terms. Among tomato farmers in Indonesia, for
example, net profit (including the value of own
laborer as imputed cost) is 33 39% higher
among supermarket channel participants than
among participants in traditional markets. Farm
laborer also gains. But supplying supermarket
chains requires farmers to make more up-front
investments and meet greater demands for
quality, consistency, and volume compared with
marketing to traditional markets.
Support for retail reforms
In a pan-Indian survey conducted over the
weekend of 3 December 2011, overwhelming
majority of consumers and farmers in and around
ten major cities across the country support the
retail reforms. Over 90 per cent of consumers
said FDI in retail will bring down prices and offer
a wider choice of goods. Nearly 78 per cent of
farmers said they will get better prices for their
produce from multiform at stores. Over 75 per
cent of the traders claimed their marketing
resources will continue to be needed to push
sales through multiple channels, but they may
have to accept lower margins for greater
volumes.
220
Farmer groups
Various farmer associations in India have
announced their support for the retail reforms.
For example:
1. Shriram Gadhve of All India Vegetable
Growers Association (AIVGA) claims his
organization supports retail reform. He
claimed that currently, it is the middlemen
commission agents who benefit at the cost
of farmers. He urged that the retail reform
must focus on rural areas and that farmers
receive benefits. Gadhve claimed, A better
cold storage would help since this could help
prevent the existing loss of 34% of fruits and
vegetables due to inefficient systems in
place. AIVGA operates in nine states
including Maharashtra, Andhra Pradesh,
West Bengal, Bihar, Chattisgarh, Punjab and
Haryana with 2,200 farmer outfits as its
members.
2. Bharat Krishak Samaj, a farmer association
with more than 75,000 members says it
supports retail reform. Ajay Vir Jakhar, the
chairman of Bharat Krishak Samaj, claimed
a monopoly exists between the private guilds
of middlemen, commission agents at the
sabzi mandis (Indias wholesale markets for
vegetables and farm produce) and the small
shopkeepers in the unorganized retail
market. Given the perishable nature of food
like fruit and vegetables, without the option
of safe and reliable cold storage, the farmer
is compelled to sell his crop at whatever price
he can get. He cannot wait for a better price
and is thus exploited by the current monopoly
of middlemen. Jakhar asked that the
government make it mandatory for organized
retailers to buy 75% of their produce directly
from farmers, bypassing the middlemen
monopoly and Indias sabzi mandi auction
system.
3. Consortium of Indian Farmers Associations
(CIFA) announced its support for retail
reform. Chengal Reddy, secretary general of
CIFA claimed retail reform could do lots for
Indian farmers. Reddy commented, India has
600 million farmers, 1,200 million consumers
and 5 million traders. I fail to understand why
political parties are taking an anti-farmer
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stand and worried about half a million brokers

and small shopkeepers. CIFA mainly
operates in Andhra Pradesh, Karnataka and
Tamil Nadu; but has a growing member from
rest of India, including Shetkari Sanghatana
in Maharashtra, Rajasthan Kisan Union and
Himachal Farmer Organisations.
4. Prakash Thakur, the chairman of the People
for Environment Horticulture & Livelihood of
Himachal Pradesh, announcing his support
for retail reforms claimed FDI is expected to
roll out produce storage centers that will
increase market access, reduce the number
of middlemen and enhance returns to
farmers. Highly perishable fruits like cherry,
apricot, peaches and plums have a huge
demand but are unable to tap the market fully
because of lack of cold storage and transport
infrastructure. Sales will boost with the
opening up of retail. Even though India is the
second-largest producer of fruits and
vegetables in the world, its storage
infrastructure is grossly inadequate, claimed
Thakur.
5. Sharad Joshi, founder of Shetkari
Sangathana (farmers association), has
announced his support for retail reforms.
Joshi claims FDI will help the farm sector
improve critical infrastructure and integrate
farmer-consumer relationship. Today, the
existing retail has not been able to supply
fresh vegetables to the consumers because
they have not invested in the backward
integration. When the farmers produce
reaches the end consumer directly, the
farmers will naturally be benefited. Joshi feels
retail reform is just a first step of needed
agricultural reforms in India, and that the
government should pursue additional
reforms.
Suryamurthy, in an article in The Telegraph,
claims farmer groups across India do not support
status quo and seek retail reforms, because with
the current retail system the farmer is being
exploited. For example, the article claims:
a)
Indian farmers get only one third of the price

consumers pay for food staples, the rest is
taken as commissions and mark-ups by
middlemen and shopkeepers.
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b)
For perishable horticulture produce,

average price farmers receive is barely 12
to 15% of the final price consumer pays.
c)
Indian potato farmers sell their crop for Rs.2

to 3 a kilogram, while the Indian consumer
buys the same potato for Rs.12 to 20 a
kilogram.
CASE STUDIES OF HOW MNCs ARE

HELPING FARMERS
CASE 1 . PepsiCo India helping farmers
improve yield and income
The companys vision is to create a costeffective, localized agro-supply chain for its
business by:
1.
Building PepsiCos stature as a

development partner by helping farmers
grow more and earn more.
2.
Introducing new high yielding varieties of

potato and other edibles.
3.
Introducing sustainable farming methods

and practicing contact farming.
4.
Making world-class agricultural practices

available to farmers and helping them raise
farm productivity.
5.
Working closely with farmers and state

governments to improve agro sustainability
and crop diversification.
6.
Providing customized solutions to suit

specific geographies and locations.
7.
Facilitating financial and insurance services

in order to de-risk farming.
THE JOURNEY SO FAR

Where stand today, at a glimpse
1.
Today PepsiCo Indias potato farming

program reaches out to more than 12,000
farmer families across six states. We provide
farmers with superior seeds, timely
agricultural inputs and supply of agricultural
implements free of charge.
2.
We have an assured buy-back mechanism

at a prefixed rate with farmers. This insulates
them 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 of
interest.
4.
We have arranged weather insurance for

farmers through our tie-up with ICICI
Lombard.
5.
We have a retention ratio of over 90%, which

reveals the depth and success of our
partnership.
6.
In 2010, our contract farmers in West Bengal

registered a phenomenal 100% growth in
crop output, creating in a huge increase in
farm income.
7.
The remarkable growth has resulted in

farmers receiving a profit between Rs.20,
000 40,000 per acre, as compared to
Rs.1000020,000 per acre in 2009.
Case 2. Bharti Walmart initiative through

Direct Farm Project:
Corporate Social Responsibility (CSR)
initiatives in Bharti Walmart are aimed at
empowerment of the community thereby
fostering inclusive growth. Through our
philanthropic programs and partnerships, we
support initiatives focused on enhancing
opportunities in the areas of education, skills
training and generating local employment,
women empowerment and community
development. In conjunction with the farmers
development program in Punjab, community
building activities have been implemented in
village, Haider Nagar. Due to lack of sanitation
facilities, households tend to use the farm fields,
thereby affecting yields and impacting the
produce that is being supplied to stores. In order
to improve the yields and the communitys way
of life, we are working on the issues of Sanitation
and Biogas, Education, Awareness Building and
Health and Hygiene.
Education: 100% children enrolled in formal
education program. Children groups had been
formed to discuss children issues. All the
nonschool going children had been given nonformal basic education required to mainstream
them in the government schools. A sanitation
block has been constructed, hand pump has
222
been installed and school uniforms have been

donated to create a better learning environment
for children. Fifteen students have been
mainstreamed back in school.
Health and Hygiene: A dispensary has been
started in Haider Nagar to help people avail
medical facilities in the village itself. Nearly 2000
patients have availed the dispensary facilities.
Twenty Community Dustbins have also been
installed in the village to bring about a change in
the living conditions of the people and to provide
them garbage free environment.
Sanitation and Biogas: Ensured that 100%
households have toilets in the village. Eighty Bio
Gas plants have been installed to help people
conserve gas energy and utilize the waste
generated from their cattle and toilets; thus
making the environment healthier.
Waste Management: twenty Community
Dustbins have been installed in the village to
bring about a change in the living conditions of
the people and to provide them garbage free
environment thus ensuring a healthier living.
This and many other cases suggest that
opening of Indian retail sector to FDI is a win-win
situation for farmers. Farmers would benefit
significantly from the option of direct sales to
organized retailers. For instance, the profit
realization for farmers selling directly to the
organized retailers is expected to be much higher
than that received from selling in the mandis. Also
rise in the organized retail whether domestic or
through entry of foreign players will lead to an
increase in investments in both forward and
backward infrastructure such as cold chain and
storage infrastructure, warehousing and
distribution channels thereby leading to
improvement in the supply chain infrastructure
in the long run. Global majors such as Wal-mart,
Carrefour and Tesco are expected to bring a
global scale in their negotiations with the MNCs
such as Unilever, Nestl, P&G, Pepsi, Coke, etc.
The improved cold chain and storage
infrastructure will no doubt lead to a reduction in
losses of agriculture produce. It may also lead to
removal of intermediaries in the retail value chain
and curtail other inefficiencies. And this may,
result in higher income for a farmer.
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Source:http://bharti-walmart.in/Community
.aspx?id=64
Following are the few recommendations for

formulation of policies by government
Impact on Consumers
Supermarkets
Much of the Indian retail trade (particularly

grocery) still has traditional features: small familyrun shops and street hawkers dominate the
situation in most of the country. However, the
retail trade in India is now undergoing an
intensive structural change which could cause
irreversible damage to local commodity supply
chains and competition. The existing regulations
are not adequate to fulfil the new requirements.
India can learn (and perhaps forestall loss of
genuine competition and product variety) from
the experience of south-east Asian countries
which are improving regulatory frameworks and
some advanced retailing economies like
Germany which are already considered more
successful regulators in this sector. German
competition policies in content and
implementation are significant for India to the
extent that they are different from other advanced
retailing countries like the US and Great Britain.
German policy now proactively aims to preserve
small and medium competitors in retail sector.
and
existing
Supermarkets tend to charge consumers

lower prices and offer more diverse products and
higher quality than traditional retailers .These
competitive advantages allow them to spread
quickly, winning consumer market share. In most
countries supermarkets offer lower prices first in
the processed and semi processed food
segments. Only recently, mainly in the first and
second wave countries have supermarket prices
for fresh fruits and vegetables been lower than
traditional retailers (except in India). The food
price savings accrue first to the middle class, but
as supermarkets spread into the food markets
of the urban poor and into rural towns, they have
positive food security impacts on poor
consumers. For example, in Delhi, India, the
basic foods of the urban poor are cheaper in
supermarkets than in traditional retail shops: rice
and wheat are 15% cheaper and vegetables are
33% cheaper.
Existing Indian retail firms such as
Spencers, Food world Supermarkets Ltd, Nilgiris
and ShopRite support retail reform and consider
international competition as a blessing in
disguise. They expect a flurry of joint ventures
with global majors for expansion capital and
opportunity to gain expertise in supply chain
management. Spencers Retail with 200 stores
in India, and with retail of fresh vegetables and
fruits accounting for 55% of its business claims
retail reform to be a win-win situation, as they
already procure the farm products directly from
the growers without the involvement of
middlemen or traders. Spencer claims that there
is scope for it to expand its footprint in terms of
store location as well as procuring farm products.
Foodworld, which operates over 60 stores, plans
to ramp up its presence to more than 200
locations. It has already tied up with Hong Kongbased Dairy Farm International. With the
relaxation in international investments in Indian
retail,
Indias Foodworld expects its global
relationship will only get stronger.
www.ijsir.co.in
Policies
for Competitiveness with
Inclusiveness in the Supermarket Revolution:
As the supermarket revolution proceeds in
developing countries, governments have several
options for helping small farmers participate in
supermarket channels (or gain access to viable
alternatives) and traditional retailers coexist or
compete with the modern retail sector.
Option 1: Regulate Modern Retail. To the extent
developing countries have regulated modern
retail; their goal has been to reduce the speed
and scope of its spread. The regulations have
mainly limited the location and hours of modern
retail. On balance, these regulations have done
little to limit supermarket spread, partly because
although regulations tend to target large-format
stores (and thus not limit small traditional stores),
modern retail comes in a wide variety of formats,
including neighborhood stores and convenience
stores.
Option 2: Upgrade Traditional Retail. A number
of good examples of programs to upgrade
traditional retail exist. Of particular interest are
those of East and Southeast Asia, such as in
China, Hong Kong, the Philippines, Singapore,
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and Taiwan. In most of these countries, the

programs in question are municipal, sometimes
under a national umbrella policy.
Option 3: Upgrade Wholesale Markets to Serve
Retailers and Farmers Better. Small shops and
wet-market stall operators typically source food
products from wholesale markets, which typically
buy from small farmers. Upgrading wholesale
markets infrastructure and services is thus
important to the whole traditional supply chain.
Private-sector actors are helping traditional
retailers (and supermarket independents and
chains) obtain the services and products they
need. Governments need to supplement private
efforts with public investments in improving
farmers access to assets, services, training, and
information. Some of these assets are public
goods, such as regulations on retailer-supplier
relations to promote fair commercial practices,
wholesale market upgrading, market information,
and physical infrastructure such as cold chains
and roads.
Option 4: Help Farmers Become Competitive
Suppliers to Supermarkets. Private-sector
programs are emerging to help small farmers get
the assets and services they need to supply
supermarket channels. Metro, for example, has
direct procurement links to fish and vegetable
farmers in China. Agri- food businesses in India,
like ITC, Tata, Godrej, Reliance, and DSCL
Hariyali , have rural business hubs that offer
consumables, farm inputs, and technical
assistance and procure output from farmers.
Option 5: Regulation of misleading statements
and advertisements. The law against dishonest
competition (referred to as unfair trade practices
in India) forbids a number of marketing practices
which are regarded as dishonest. These include
misleading statements or advertisements about
business circumstances, especially the nature,
origin, manner of manufacture or the pricing of
goods or commercial services or the size of the
available stock. In a recently reported case in
India a leading corporate retailer, Subhiksha
claimed in advertisements that its prices were
the lowest compared to rivals like Big Bazar,
DMART, and Apana Bazar, etc. Big Bazar filed a
case against the advertisements and the
Advertising and Standards Council of India is
understood to have given its verdict in April 2007.
224
However, the verdict has not been made public

as yet.
Option 6: Regulatory Framework to avoid
monopolistic practices. The possible
monopolistic/ monopolistic tendencies of the
large retailers (fears of predatory behavior and
abuse of dominance) would have to be
proactively dealt to ensure competition in the
market. Appropriate policy formulation can also
aide this cause, as was done during the telecom
sector liberalization with the National Telecom
Policy mandating that each circle should have at
least 4-6 players. It is to be understood that free
and fair competition in procurement of farm
produce is the key to farmers enhanced
remuneration.
CONCLUSION
The discussion above highlights:
(1) Small retailers will not be crowded out, but
would strengthen market positions by turning
innovative /contemporary.
(2) Growing economy and increasing purchasing
power would more than compensate for the
loss of market share of the unorganized
sector retailers.
(3) There will be initial and desirable
displacement of middlemen involved in the
supply chain of farm produce, but they are
likely to be absorbed by increase in the food
processing sector induced by organized
retailing.
(4) Innovative government measures could
further mitigate adverse effects on small
retailers and traders.
(5) Farmers will get another window of direct
marketing and hence get better
remuneration, but this would require
affirmative action and creation of adequate
safety nets.
(6) Consumers would certainly gain from
enhanced competition, better quality, assured
weights and cash memos.
(7) The government revenues will rise on
account of larger business as well as
recorded sales.
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(8) The Competition Commission of India would

need to play a proactive role.
Development Policy Review, 2010, 28 (4): 435-456.

11.
Association of Traders of Maharashtra v. Union of

India, 2005 (79) DRJ 426.
12.
Indian retail: The supermarket s last frontier. The

Economist. 3 December 2011.
13.
INDIAN RETAIL INDUSTRY: A Report. CARE

Research. March 2011.
14.
Global Powers of Retailing 2011". Deloitte. 2011.
15.
Indias retail reform: No massive rush. The Economist.

2 December 2011.
Thus from developed countries experience

retailing can be thought of as developing through
two stages. In the first stage, modern retailing is
necessary in order to achieve major efficiencies
in distribution. The dilemma is that when this
happens it inevitably moves to stage two, a
situation where an oligopoly, and quite possibly
a duopoly, emerges. In turn this implies
substantial seller and buyer power, which may
operate against the public interest.
16.
Retail Global Expansion: A Portfolio of Opportunities.

AT Kearney. 2011.
17.
REFERENCES
MIND THE GAP. Calcutta, India: The Telegraph. 1

December 2011.
18.
Tripathi, Salil (29 December 2011). India needs

Supermarkets.London: The Guardian.
1.
The Bird of Gold - The Rise of Indias Consumer

Market. McKinsey and Company. May 2007.
2.
Anand Dikshit (August 12 2011). The Uneasy

Compromise Indian Retail. The Wall Street Journal.
Winning the Indian consumer. McKinsey & Company.
2005.
3.
Majumder, Sanjoy (25 November 2011). Changing

the way Indians shop. BBC News.
4.
Retailing in India Unshackling the chain stores. The

Economist. 29 May 2008.
5.
Agarwal, Vibhuti; Bahree, Megha (7 December 2011).

India puts retails reforms on hold. The Wall Street
Journal.
6.
Sharma, Amol; Sahu, Prasanta (11 January 2012).

India Lifts Some Limits on Foreign Retailers. The
Wall Street Journal.
7.
IKEA shelves Indian retail market move. The Financial

Times. 22 January 2012.
8.
Association of Traders of Maharashtra v. Union of

India, 2005 (79) DRJ 426.
9.
The Supermarket Revolution in Developing Countries,

Policies for Competitiveness with Inclusiveness ,
Thomas Reardon and Ashok Gulati, IFPRI Policy Brief
2 June 2008.
10.
The Impacts of Supermarket Procurement on Farming

Communities in India: Evidence from Rural Karnataka,
Bill Pritchard, C. P. Gracy and Michelle Godwin,
www.ijsir.co.in
19.
WalmartFact Sheets. Walmart. November 2011.
20.
Indian retail kings around the world. Rediff, 6

December 2011.
21.
Walmart Asia to make India an export hub. Business

Standard. April 14, 2010.
22.
Grant, Tavia (January 25, 2011). The Wal-Mart effect:

food inflation tame in Canada. Toronto: The Globe
and 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 of

Commerce, Government of India. 28 November 2011.
25.
Tripathi, Salil (29 December 2011). India needs

Supermarkets.London: The Guardian.
26.
India government puts foreign supermarkets on

pause. Reuters. 4 December 2011
27.
Farmer Organisations back retail FDI. The Financial

Express, 2 December 2011.
28.
Suryamurthy, R. (2 December 2011). Enter, farmer

with an FDI in retail query. Calcutta, India: The
Telegraph.
29.
FDI in retail is first major step towards reforms in

agriculture, 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
1
*VIKAS SINGH1, N P SHARMA2

Research Scholar, Department of Management, Sai Nath University, Ranchi, India
2
Director, Nimbus Academy of Management, Dehradun, Uttara Khand, India
*Address for correspondence : Vikas Singh, Research Scholar, Department of

Management, Sai Nath University, Ranchi, India
ABSTRACT
Six Sigma is a proven business strategy for improving the organizations effectiveness and
achieving higher levels of performance. Six Sigma applications have proved its success in
product and process / service Industries by deploying any one of its models like DMAIC or
DFSS during implementation. In the recent times, educational institutions are attempting to
leverage the success of industries in improving their efficiency and the quality of service that
are delivered by them. In the context of educational institutions, the customer and products are
complex phenomenon to describe unlike an industry. Engineering educational institutions, under
the globalised industrial scenario faces lots of challenges in their service offerings of quality
education and also in their output of students as products for employment in industry. This
issue of quality in higher education is a concern not only for the stake holders, but also for the
society at large. There have been many initiatives at the national level by government and other
interested stake holders at the macro level. Attempts have been made in this work to deliver a
broader framework of DMAIC approach to impact quality of engineering education at the micro
level of institutions themselves by leveraging the success of industries in applying six sigma for
complex problems. The scope of the work also includes review the published literatures related
to this work
Keywords: Six Sigma, DMAIC, Engineering Education, Educational Enterprise, Engineering
Colleges
INTRODUCTION
Six Sigma and its Success with Industries
Quality is a measure for success of any
organization. It helps in setting metric for
achieving higher goals of accomplishments from
the historical data of the own organization and
for bench marking the current level of
performance with leaders in the particular domain
towards setting targets for achievements. It also
helps in continuous improvement and excel in
the given function. There have been many
initiatives of quality in the industries for achieving
higher standards like Zero Defects, TQM, 5S and
many others. Quality Gurus like Deming, Juran
and many others during various phases have
226
immensely contributed to the quality movement

that benefitted the industries at large. One such
quality movement is Six Sigma, which originated
at Motorola in early 1980s [1] and was recognized
with the prestigious Malcom Baldrige National
Quality Award (MBNQA) in 1988 [2]. Six sigma
was popularized by demonstrating it as a
successful business model, by Jack Welch at GE
during late 1980s and 1990s [3]. Success of Six
Sigma either in Motorola, GE or any other
organizations later can be attributed to the
management and leadership commitments. Six
Sigma word is not always a smooth one and
requires the patience of a saint, never-give-up
philosophy and long-term perspective to work on
quality [4]. Some of the organizations failed in its
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first attempt of implementation in making

considerable business impact, recognized that
they did not create enough of sustainable
infrastructure or force fit Six Sigma into the
organization and without management support
[4]
.
Six Sigma is a structured approach and a
discipline. DMAIC (Define, Measure, Analyze,
Improve and Control) is the most familiar model
of Six Sigma to the industries in general, which
is applicable to both process and product
industries. This model leverages effective
utilization of existing resources, without any
additional investments on resources or
infrastructure to achieve entitlement [3] in Six
Sigma implementation in delivering business
results. Basically DMAIC strategy aims at lowhanging fruits. Design for Six Sigma (DFSS) is
another model aimed at delivering defect free
products / process with a focus at the design
stage itself. It is largely applicable for completely
new process or product development, or new
design to process or product quality when
existing process / product quality attained
entitlement.
Six Sigma methodologies in brief, starts with
the customer by closely understanding their
needs / expectations, making appropriate
changes / improvements to the process / product
and delivering the solution that exceeds customer
expectations rather than meeting the
expectations.
QUALITY
CHALLENGES
OF
THE
ENGINEERING EDUCATIONAL ENTERPRISE
Quality and its sustenance in higher
educational institutions, more particularly in
professional institutions is a great challenge for
the mere existence of the educational institutions
themselves. Employability of the students
produced by the engineering institutions, for
employment by the industry at 25% [5, 6] is a major
cause of worry for all the stake holders and has
been elaborated [7]. Apart from the need for
absorption by the industries for employment, the
products of engineering institutions have also to
be equipped with the knowledge necessary for
carrying forward research work in institutions of
higher learning. The requirements of the
customers (industry and research institutions) of
www.ijsir.co.in
engineering institutions from its products

(students) are quite different, industry requiring
more emphasis on practical knowledge for
applications and applied research, while
research institution requiring strong knowledge
on concepts for theoretical research. This throws
a good challenge for the institutions and its
products. Unlike the industry, the engineering
institutions have to meet the needs of complex
demands of varying stake holders, regulatory
bodies like AICTE, funding members for the
educational process like parents, industries
under globalised scenario and expectations of
students themselves as stake holders in the input
process.
Educational Institutions in general and
Engineering Educational Enterprise (EEE) in
particular, have been attempting to address the
quality challenges of EEE by leveraging various
models that were found to be successful in
industries for this complex issue. In this work,
attempts have been made to focus on Six Sigma
methodology towards this cause, review the
literatures towards this work and deliver a
broader frame work to be carried forward at the
institutional level.
LITERATURE SURVEY
Joan [8] in his work has briefed on how to
apply Six Sigma methodology to project levels
in the mechanical engineering department of the
institution, which is comparable to Green Belt
Projects of a Six Sigma Enterprise and is not dealt
on the frame work at the institution level,
nevertheless explains the usefulness of six sigma
to educational institution. Prabhakar and Dinesh[9]
in their work explained how Six Sigma
methodology to a specific problem of increasing
the pass percentage of students in engineering
institutions is similar to that of a task as explained
by Joan [8]. Jayanta and Robert [10] in their work
very nicely brought out the usefulness of Six
Sigma approach in impacting quality and
productivity improvement in higher educational
institutions in United States. Interestingly, authors
have brought out the wastages / under utilization
of resources by quantifying academic work of 9
months in a year, with an idle time of 3 months
on resources. They briefed further on, whether
academic institutions can be run like a business
enterprise, quantifying the importance of faculty
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P-ISSN 2347-2189, E- ISSN 2347-4971
role and explained the lack of investments in their

development. They have also briefly explained
all the 5 phases of DMAIC model.
Ramasubramanian [11] has nicely captured in his
literature the various roles of Six Sigma, DMAIC
one of the most familiar model of Six Sigma and
broadly listed various tools applicable in various
phases of Six Sigma to educational institutions
at macro level. The focus is not to dwell into the
application of six sigma to the specific issue
under discussions. Imam et. al. [8] briefed in their
work traces the Six Sigma origin, development
and the different phases of the Six Sigma
Methodology. They also compared various
categories of educational system across the
globe. Interestingly this article quantifies levels
of defects generated across global poles in
products and process. It is not within the scope
of the work to include suggesting a method or
approach.
Ramanan et. al [7] in their work attempted to
explain the application of Six sigma in addressing
employability issues of engineering graduates,
which is task specific similar to studies reported
earlier [8,9]. Sean [13] while attempting to explain
the implications of Six Sigma in industry and
educational institutions narrated the various
roles, tools and phases of the Six Sigma model
and has not delivered a frame work. Ramanan
et.al. [14] focused in explaining the necessity and
benefits of having Six Sigma as a measurement
metric for measuring quality of higher education.
SIX SIGMA DMAIC FRAME WORK FOR
ENGINEERING EDUCATIONAL ENTERPRISE
(EEE)
From the success and also from the failures
of the industry from Six Sigma implementation,
it is confidently learnt that effectiveness and
benefits from Six Sigma implementation is largely
dependent on leadership / management

commitments and involvement of everyone in the
process, of Six Sigma deployment.
Hence, the delivery of a successful frame
work for EEE, starts from the top most level of
the enterprise, thus ensuring commitment and
support for six sigma deployment leading to
measurable results.
1. System and Sub-System of DMAIC and its
Analogy to EEE
DMAIC as briefed [7] is the process
improvement methodology of Six Sigma
approach either at the system level or at the
component / task level for the product or process
industry. It shall be of benefit in explaining the
model and frame work with an example of a
product and apply the analogy to EEE for system
level approach. Fig.1 captures one of the highly
sophisticated, highly safety critical medical
device from GE [15] used in interventional
diagnostics and also in procedure like stenting
in coronary artery of the heart. The medical
device as a system (Fig. 1), integrates various
sub-systems (Fig. 2) by leveraging cutting edge
technology across various domains of
engineering [15] in delivering the flaw less function
to the doctors and patients. We can extend the
same analogy of the system approach to EEE,
which has to integrate with various sub-systems
of like various departments of academic
excellences, various departments of
administrative functions and various external
agencies like regulatory authorities, investors
(parents), society etc. in delivering a flawless
service and outputs from EEE. Fig. 3 covers a
broader system and sub-system involvement to
an EEE and can be extended / expanded /
modified according to the structure and discipline
of EEE.
Fig. 1 & 2 Typical Medical Device & System and Sub-System[15]

228
Fig. 3 System and Sub-System of EEE

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1.1: Impact of Quality Flowing from

Component to Sub-System to System
effectiveness and efficiency of deployment and

sustenance.
It could be appreciated from the industrial

product example explained here, if the system
has to function flawless, each one of the
components as small as a screw or a capacitor
etc., in the sub-system has to function flawless
all the time. Hence it can be realized that the
importance the smallest component like a bolt in
a complex product is as important as the system
itself in its flaw less function. This analogy is
applicable to educational institutions comprising
of various functions, departments, internal and
external shareholders etc. For example, a
typographical mistake in a mark sheet of an EEE
by a clerk in an examination section of an
administrative department is as important as a
researchers publication in an accredited journal
in measuring the quality of an engineering
educational enterprise.
3. Typical DMAIC Structural Model for EEE
2. Typical DMAIC Model for EEE and aligning

it with Quality Systems Vision and Mission
It could visualize EEE as a system
comparable to that of the product as explained
earlier. Each of the EEE has its Mission and
Vision (V&M) statements towards what they want
to achieve, by aligning Six Sigma model with
Quality Systems vision and mission it can be
easily tracked towards measurable objectives at
all levels. A generic DMAIC model of an EEE is
depicted in Fig. 4 with broader objectives to be
achieved in each one of the phase of the DMAIC
Six Sigma Model towards EEE. This frame work
can be adopted at sub-system and also at the
individual levels by having the V&M or Goals
and Objectives (G&O) by aligning it with a flow
down from system level to component. To
achieve these objectives industries have adopted
a structure of Six Sigma Roles towards
Fig. 4: DMAIC Model for EEE

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As explained earlier, success of Six Sigma

depends on leadership involvement and
commitment. The head of the organization
Chairman / President / Director / Principal is
assigned / assumes the role of Sponsor or
Champion depending on the size of the
organization, which is accountable for V&M in
quality systems. The defined goals are then flown
down to department heads, to individuals in chain
of implementation to achieve desired goal. A
generalized EEE structure for implementation of
DMAIC is depicted in Fig. 5. Depending on the
size of the EEE and its function Champion,
Sponsor and MBB roles can get merged thus
performing all the intended function. The broad
DMAIC EEE Structural model is depicted for
one department and function to explain how V&M
is flown into individual levels towards achievable
objectives. This can be extended / expanded /
adopted based on various stated V&M or G&O
of the EEE.
Though this structure is explained keeping
engineering educational enterprise in mind, but
adoptable with modifications to any educational
environment with suitable modifications as
appropriate. As the faculty develops the passion
in adopting and leveraging the Six Sigma
approach in their research and academic work,
it further flows down into their respective student
and research scholar projects, thus full potential
of Six Sigma is realized into the EE enterprise
as a whole. This is the way, Motorola, GE and all
other great leaders demonstrated success by
driving Six Sigma as a DNA of the organization.
4. Typical DMAIC Tools Applicable to EEE
Model
Fig. 5: DMAIC Structural Model for EEE
Fig. 6: Tools in DMAIC

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Fig. 6 is suggestive in nature of the various

tools that could be used in various phases of the
DMAIC model in achieving the desired G&O or
V&M. It is not a rule that a specific tool has to be
used 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 success
is at the organization level and hence its
deployment requires commitment and
engagement at the highest level. A typical
engagement of various levels of the organization
and their alignment to Six Sigma role in a frame
work for achieving the desired targets or realistic
goals are captured in Fig. 7. It flows from top
level (like system in a product) to the bottom level
(like that of a component in a system) in assigning
the roles and responsibilities to achieve the
quality goals, with achieved goals flowing-up from
lowest level to the highest level of the system. A

typical example is captured what could be
achieved at the each phase at various level for
the given cause / target from top level and what
can be achieved at next levels as it flows down
to the level like that of a system in a product to
component. This explains the CTQ (Critical to
Quality) flow down from system level to
component / part level. It also explains how the
quality rigor is achieved in component / part level
and is flown back to build the quality rigor into
the system with the broad structure of roles and
responsibilities and mapping it to the DMAIC
EEE Structure. It is a typical example and has to
be altered based on the CTQ at the institution
level which is comparable to that of a system
and to the departments comparable with that of
a sub-system and to the individuals of the
institution comparable to that of a part /
component level quality.
Fig. 7: DMAIC Model for EEE - Roles and Responsibilities CTQ Flow Down from System to Individual vs
Achievement of Quality from Individual to System
SCOPE FOR FURTHER WORK
SUMMARY AND CONCLUSION
The structure of the DMAIC for the EEE has

been structured and formulated. Each of the
phase and the complexity with the applicable
tools along with the case study are dealt
separately in the future publications. It has also
been included to bring-out how to merge DMAIC
Frame work proposed in this work can be merged
with ISO Standards adopted by the EEE, thus
avoiding / repeating administrative work. DFSS
model for the institutions which has the
opportunity to introduce new papers / courses
are dealt separately in future work.
From the literatures surveyed and

references, broader structural frame work of a
DMAIC Model for EEE with organization
structure, applicable tools and assignable roles
and responsibilities has been delivered.
230
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Heaven, Quality Progress, 2003, 31-32
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Bhote, K. (2002). The Ultimate Six Sigma: Beyond

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Total
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a Measurement Metric in Measuring Quality of Higher
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BIO MEDICAL WASTE: A SERIOUS ENVIRONMENTAL

CONCERN
*KUSHAGRA SAH1, SWAPNIL SRIVASTAVA1, 2 SHUBHAM SINGH
1
Damodaram Sanjivayya National Law University, Visakhapatnam,
2
Symbosis Law School, Pune
*Address for correspondence : Kushagra Sah, Damodaram Sanjivayya National Law University,
Visakhapatnam, India,
e-mail: kushagrasah@gmail.com
ABSTRACT
Though hospitals make relatively insignificant contribution to the total garbage mountain, they
have an obligation to deal with bio-medical waste in an effective and safe manner being
hazardous and infectious in nature. Because of its composition, there are significant risks
associated with hospital waste. Infections are the most common health hazards associated
with poor hospital waste management, which has been magnified with the advent of AIDS and
hepatitis 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 are
essential for well-being of patients, hospital staff, the community and the environment. Although
the risk posed by bio-medical waste can never be totally eradicated, it can be significantly
reduced by careful planning. An effective programme of hospital waste management can have
distinct economic benefits such as cost saving linked to waste reduction and improved purchasing
power. Ministry of Environment and Forest, Government of India, notified the rules for
management and handling of bio-medical waste called Bio-medical waste (Management and
Handling) 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 unfortunate
that medical waste regulation has never before focused on the immediate and extremely high
risk faced by the hospital workers and waste handlers. There is no mention of workers safety,
procedure, training and operation and monitoring the activities. Now, hospital waste management
is 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 the
responsibility of this group to segregate and manage the waste in such a way, that it is no
longer hazard for them, public and environment.
INTRODUCTION
Medical care is vital for our life, health and
well-being. Hospital is a place to provide medical
care and serve the patient. But the wastes
generated from the medical activities carried on
during patient care have many adverse and
harmful effects to the environment including
human beings. The huge amount of the Hospital
Waste can be hazardous, toxic and even fatal
because of their high potential for diseases
transmission. Because of its composition, there
are significant risks associated with Hospital
Waste. Infections are the most common health
232
hazards associated with poor hospital waste

management, which has been magnified with the
advent of AIDS and Hepatitis B virus infections
and increase in the prevalence of the diseases
like hospital acquired infections and transfusion
transmitted diseases. The hazardous and toxic
part of waste from health care establishments
comprising infectious, bio-medical and radioactive material as well as sharps (hypodermic
needles, knives, scalpels etc.) constitute a grave
risk, if these are not properly treated/disposed
or is allowed to get mixed with other municipal
waste. The situation gets more worsen due to its
ability to contaminate other non-hazardous/nonwww.ijsir.co.in

P-ISSN 2347-2189, E- ISSN 2347-4971
toxic municipal waste. The rag pickers and waste

workers are often worst affected, because
unknowingly they rummage through all kinds of
poisonous material while trying to collect items
to sell for reuse. Beside this air pollution due to
emission of hazardous gases by incinerator such
as furan, dioxin, hydrochloric acid etc. have
compelled the authorities to think seriously about
hospital waste and the diseases transmitted
through improper disposal of hospital waste. This
problem has now become a serious threat for
the public health and, ultimately, the Central
Government had to intervene for enforcing proper
handling and disposal of hospital waste and a
Bio-medical Waste (handling and management)
Rule was introduced in 1998.
A modern hospital is a complex
multidisciplinary system which consumes
thousands of items for delivery of medical care
and is a part of physical environment. All these
products consumed in the hospital leave some
unusable leftovers i.e. hospital waste. The last
century witnessed the rapid mushrooming of
hospital in the public and private sector, dictated
by the needs of expanding population. The
advent and acceptance of disposable has made
the generation of hospital waste a significant
factor in current scenario.[1]
pressure. Most hospitals in India do not have

proper disposal facilities for these hazardous
wastes.Thus we can say hospital waste refers to
all waste generated, discarded and not intended
for further use in the hospital.
AMOUNT AND COMPOSITION OF HOSPITAL
WASTE GENERATED3
(a) Amount
Country
U. K.
2.5
U.S.A.
4.5
France
2.5
Spain
3.0
India
1.5
(b) Hazardous/non-hazardous
Hazardous
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15%
a) Hazardous but non-infective 5%

b) Hazardous and infective
10%
Non-hazardous
85%
(c) Composition
By weight
Plastic
14%
Combustible
WHAT IS A HOSPITAL WASTE?

Hospital waste is generated during the
diagnosis, treatment, or immunization of human
beings or animals or in research activities in these
fields or in the production or testing of biological
waste. It may include wastes like sharps, soiled
waste, 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 a
serious threat to human health if not managed in
a scientific and discriminate manner. It has been
roughly estimated that of the 4 kg of waste
generated in a hospital at least 1 kg would be
infected. [2] Hospital waste contaminated by
chemicals used in hospitals is considered
hazardous.These
chemicals
include
formaldehyde and phenols, which are used as
disinfectants, and mercury, which is used in
thermometers or equipment that measure blood
Quantity (kg/bed/day)
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
per day
15 lakh Kg
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 intermediate
product, which is generated during the diagnosis,
treatment or immunisation of human being or
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animals, in research pertaining thereto, or in the

production or testing of biological and the animal
waste from slaughter houses or any other similar
establishment. All biomedical waste is
hazardous. In hospital it comprises of 15% of total
hospital waste.
bandages or any other materials that were in

contact with infectious agents or blood,
pathological waste including organs, body parts,
tissues. These are potentially dangerous and
present a high risk of infection to the general
public and to the staff.
COMPONENTS OF BIO-MEDICAL WASTE4
B) Laboratory Waste:
i)
This is also high risk category waste. This

includes chemicals used in the pathological
laboratory, microbial cultures and clinical
specimens, slide, culture dish, needle, syringes,
as well as radioactive waste such as Iodine-125,
Iodine -131 etc.
Human anatomical waste (tissues, organs,

body parts etc.)
ii) Animal waste (as above, generated during

research/experimentation, from veterinary
hospitals etc.)
iii) Microbiology and biotechnology waste, such
as, 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, contaminated and discarded medicines)
vi) Soiled waste, such as dressing, bandages,
plaster casts, material contaminated with
blood etc.
C) Non-clinical Waste:
This includes wrapping paper, office paper,
and plastic that has not been in contact with
patient body fluid.
D) Radioactive waste:
This describes waste resulting from nuclear
medicine treatments, cancer therapies and
medical equipment that uses radioactive
isotopes. Pathological waste that is contaminated
with radioactive material is treated as radioactive
waste rather than infectious waste.
vii) Solid waste (disposable items like tubes,

catheters etc. excluding sharps),
E) Kitchen waste:
viii) Liquid waste generated from any of the

infected areas (waste generated from
laboratory and washing, cleaning,
housekeeping and disinfecting activities)
This includes food waste, wash and waste

water. It is a potential source of pests and vermin,
such as cockroach, mice and rats and is thus an
indirect potential hazard to the staff and patients
in a hospital.
ix) Incineration ash (ash from incineration of any

bio-medical waste)
x) Chemical waste (chemicals used in
production of biological, chemicals used in
disinfection, as insecticides, etc.) wash and
waste water. It is a potential source of pests.
Medical wastes are also classified into five
different categories based on their sources and
potential hazards they may cause.
A) Clinical Waste:
This includes body fluid, drainage bags,
blood collection tubes, vials, culture dishes, other
types of broken/unbroken glassware that were
in contact with infectious agents, gauze,
234
THE WORLD HEALTH ORGANIZATION

CLASSIFIES MEDICAL WASTE INTO:
Sharps
Infectious
Pathological
Radioactive
Pharmaceuticals
Others (often sanitary waste produced at

hospitals)
Sharp wastes make up most of the volume

of medical wastes produced by SQGs. The next
highest is blood and body fluids.
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BIO MEDICAL WASTE:

CONCERN
A SERIOUS
The problem of bio-medical waste disposal

in the hospitals and other healthcare
establishments has become an issue of
increasing concern, prompting hospital
administration to seek new ways of scientific, safe
and cost effective management of the waste, and
keeping their personnel informed about the
advances in this area. The need of proper
hospital waste management system is of prime
importance and is an essential component of
quality assurance. This topic has assumed great
importance in our country, especially in the light
of honourable Supreme Court Judgement and
the notification of the Bio-medical waste
(Management &handling) Rules, 1998.
HONOURABLE
JUDGEMENT5
SUPREME
COURT
1. Supreme Court judgment dated 1st March

1996 in connection with safe disposal of hospital
waste ordered that
(a) All hospitals with 50 beds and above
should install either their own incinerator or
equally effective alternative method before 30th
November 1996.
(b) The incinerator or the alternative method
should be installed with a necessary pollution
control mechanism conforming to the standard
laid down by Central Pollution Control Board
(CPCB).
(c) Hazardous medical waste should be
segregated as source and disinfected before final
disposal.
According to these rules, it shall be the duty of

every occupier of an institution generating biomedical waste, which includes hospitals, nursing
homes ,clinics, dispensaries, veterinary
institution, animal houses, pathology laboratories
,blood banks etc., to take all steps to ensure that
such wastes are handled without any adverse
effect to human health and the environment. They
have to either setup their own facility within the
time frame (schedule VI[10]) or ensure requisite
treatment at a common waste treatment facility
or any other waste treatment facility.
HEALTH HAZARDS ASSOCIATED WITH
POOR MANAGEMENT OF BIO-MEDICAL
WASTE11
Hospital waste management is a part of
hospital hygiene and maintenance activities. In
fact only 15% of hospital waste i.e. Biomedical
waste is hazardous, not the complete. But when
hazardous waste is not segregated at the source
of generation and mixed with non-hazardous
waste, then 100% waste becomes hazardous.
The question then arises that what is the need
or rationale for spending so much resource in
terms of money, man power, material and
machine for management of hospital waste? The
reasons are:
a)
b)
c)
BIO-MEDICAL WASTE (MANAGEMENT AND

HANDLING) RULES, 1998
The Central Govt. has notified these rules
on 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 gazetted
on 16th October, 1997 and Public suggestions /
comments were invited within 60 days. These
suggestions were considered before finalising the
rules.
d)
e)
f)
SCOPE AND APPLICATION OF THE RULES9

These rules apply to all those who generate,
collect, receive, store ,transport, treat, dispose
or handle bio-medical waste in any form.
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g)
Injuries from sharps leading to infection to

all categories of hospital personnel and
waste handler.
Nosocomial infections in patients from poor
infection control practices and poor waste
management.
Risk of infection outside hospital for waste
handlers and scavengers and at time
general public living in the vicinity of
hospitals.
Risk associated with hazardous chemicals,
drugs to persons handling wastes at all
levels.
Disposable being repacked and sold by
unscrupulous elements without even being
washed.
Drugs which have been disposed of, being
repacked and sold off to unsuspecting
buyers.
Risk of air, water and soil pollution directly
due to waste, or due to defective
incineration emissions and ash.
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APPROACH FOR
MANAGEMENT
HOSPITAL
WASTE
Based on Bio-medical Waste (Management

and Handling) Rules 1998, notified under the
Environment Protection Act by the Ministry of
Environment and Forest (Government of India).
1.
IDENTIFICATION
COMPONENTS
OF
GENERATED12
OF
VARIOUS
THE
WASTE
The Bio-medical Waste (Management and

Handling) Rules, 1998 says that such waste shall
be segregated into containers/bags at the point
of generation in accordance with Schedule II[13]
of the Rules prior to its storage, transportation
,treatment and disposal. This would help in easy
identification of the various components of health
care waste. All containers bearing hazardous
material must be adequately labelled according
to Schedule IV[14] of the Rules.
2. SEGREGATION OF WASTE
3. COLLECTION OF WASTE:
Collection of bio-medical wastes should be
done as per rules in colour coded plastic bags
as mentioned in the earlier table. There is a need
to be vigilant so that intermixing of different
categories of waste is not done inadvertently by
the patients, attendants or visitors. The
containers for collection should be strategically
located at all points of generation as mentioned
in the earlier table. The process of collection
should be documented in a register, the coloured
polythene bags should be replaced and the
garbage bin should be cleaned with disinfectant
regularly.
4. STORAGE OF WASTE:
Storage refers to the holding of bio-medical
waste for a certain period of time, after which it
is sent for treatment and disposal. In other words
it means that the duration of time wastes are kept
at the site of generation and transit till the point
of treatment and final disposal.
Segregation is the essence of waste

management and should be done at the source
of generation of bio-medical waste e.g. all patient
care activity areas, diagnostic services areas,
operation theatres, labour rooms, treatment
rooms etc. The responsibility of segregation
should be with the generator of biomedical waste
i.e. doctors, nurses, technicians etc. (medical and
paramedical personnel). The biomedical waste
should be segregated as per categories
mentioned in the rules.
5. TRANSPORTATION OF WASTE
The colour, coding, type of container to be

used for different waste category and suggested
treatment options are listed below:
Trolleys or carts should be thoroughly

cleaned and disinfected in the event of any
spillage. The wheeled containers should be so
designed that the waste can be easily loaded,
remains secured during transportation, do not
have any sharp edges and is easy to clean and
disinfect. Hazardous biomedical waste needing
transport to a long distance should be kept in
containers and should have proper labels. The
transport is done through desiccated vehicles
specially constructed for the purpose having fully
enclosed body, lined internally with stainless steel
or aluminium to provide smooth and impervious
surface which can be cleaned. The drivers
compartment should be separated from the load
compartment with a bulkhead. The load
compartment should be provided with roof vents
for ventilation.
COLOR CODING & TYPE OF CONTAINER

FOR DISPOSAL OF BIO-MEDICAL WASTE15
Colour
Coding
of
Type
Waste
Treatment
Contain
Categ
Options as per
ers
Yellow
Plastic bag
Red
Disinfected
ory
Schedule 1
1,2,3,
Incineration/d
eep burial
3,6,7
Autoclaving/Mi
Container/
cro
Plastic bag
Chemical
waving/
Treatment
Blue/
Plastic
4,7
White
bag/punctu
cro
translu
re
chemical
cent
container
proof
Autoclaving/Mi
waving/
treatment
and
destruction/sh
redding
Black
236
Plastic bag
5,9,10
Disposal
(Solid
secured
landfill
in
Within hospital, waste routes must be

designated to avoid the passage of waste through
patient care areas. Separate time should be
earmarked for transportation of bio-medical
waste to reduce chances of its mixing with
general waste. Desiccated wheeled containers,
trolleys or carts should be used to transport the
waste/plastic bags to the site of storage/
treatment.
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6. TREATMENT OF HOSPITAL WASTE:16

Improper treatment of hospital waste creates a
lot of health risks to the public. The failure to
properly dispose of syringes and needles can
result in them being repackaged, leading to an
unsafe reuse. Also, mismanagement of hospital
waste leads to health risks to all those who are
exposed to it.Treatment of waste is required:
To disinfect the waste so that it is no longer

the source of infection.
To reduce the volume of the waste.
Make waste unrecognizable for aesthetic

reasons
Make recycled items unusable.
6.1 General Waste

The 85% of the waste generated in the
hospital belongs to this category. The safe
disposal of this waste is the responsibility of the
local authority.
6.2 Bio-medical Waste: 15% of hospital waste
Incineration: The incinerator should be

installed and made operational as per
specification under the BMW Rules 1998 and
a certificate may be taken from CPCB/State
Pollution Control Board and emission levels
etc. should be defined. In case of small
hospitals, facilities can be shared. The waste
under category 1, 2,3,5,6 can be incinerated
depending upon the local policies of the
hospital and feasibility. The polythene bags
made of chlorinated plastics should not be
incinerated.
7. SAFETY MEASURES17
7.1 Safety Measures for the Medical and Paramedical Staff
The following instructions need to be notified
and strictly adhered to:
Clear directives in the form of a notice to be
displayed in all concerned areas.
Issuance of all protective clothes such as,
gloves, aprons, masks etc. without fail.
Sterilisation of all equipment and issue of only
properly sterilised equipment and tool, such
as, surgical tools to the medical personnel
and maintenance of registers for this
purpose.
Deep burial: The waste under category 1

and 2 only can be accorded deep burial and
only in cities having less than 5 lakh
populations.
Autoclave and microwave treatment:

Standards for the autoclaving and
microwaving are also mentioned in the
Biomedical Waste (Management and
Handling) Rules 1998. All equipment
installed/shared should meet these
specifications. The waste under category
3,4,6,7 can be treated by these techniques.
Standards for the autoclaving are also laid
down.
7.2 Safety Measures for Cleaning and

Transportation Staff
Shredding: The plastic (IV bottles, IV sets,

syringes, catheters etc.), sharps (needles,
blades, glass etc) should be shredded but
only after chemical treatment/microwaving/
autoclaving. Needle destroyers can be used
for disposal of needles directly without
chemical treatment.
Provision of disinfectant, soap etc of the right

quality and clean towels.
Secured landfill: The incinerator ash,

discarded medicines, cytotoxic substances
and solid chemical waste should be treated
by this option.
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Provision of disinfectant, soap etc of the right

quality and clean towels/tissue papers
Regular medical check-up (half-early).
Display of illustrated notices with clear

instructions for dos and donts in Hindi and
the local language.
Issuance of all protective gears such as,
gloves, aprons, masks, gum boot etc .without
fail.
Provision of a wash area, where they can

take bath, if needed/desired.
Washing and disinfecting facility for the
cleaning equipment and tools.
Regular medical check-up (at least halfyearly).
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8. TRAINING
Each and every hospital must have well
planned awareness and training programme
for all personnel working in the institute
including
administrators,
medical,
paramedical and sanitary staff.
The administration of the establishment,
whether big or small, should provide written
instructions to all the departments generating
or managing waste, stating the policy of the
organisation and the decisions taken which
are to be adhered to.
All the medical professionals must be made
aware of Bio-medical Waste (Management
and Handling) Rules 1998.
Training should be conducted to all
categories of staff in appropriate language/
medium and in an acceptable manner.
A core group of trainers should be trained for
continued in-house training of the
administrative, para-medical and sanitation
staff.
8. MANAGEMENT AND ADMINISTRATION
A Hospital Waste Management Committee
should be constituted in each hospital for proper
implementation of Bio-Medical Waste
Management Rules 98, under the chairmanship
of the Medical Superintendents. It is a broad
based committee with representatives from
hospital administration, clinical departments,
pathology and microbiology departments and has
powers to take decisions on all matters relating
to bio-medical waste management in their
respective hospitals. Heads of each hospital will
have to take authorization for generation of waste
from appropriate authorities as notified by the
concerned State /U.T. Government, well in time
and to get it renewed as per time schedule laid
down in the rules. The annual reports, accident
reports, as required under BMW rules should be
submitted to the concerned authorities as per
BMW rules format.
9. MEASURES FOR WASTE MINIMIZATION
Proper collection and segregation of
biomedical waste are important. At the same
time, the quantity of waste generated is equally
238
important. A lesser amount of biomedical waste

means a lesser burden on waste disposal work,
cost-saving and a more efficient waste disposal
system. Hence, health care providers should
always try to reduce the waste generation in dayto-day work in the clinic or at the hospital. As far
as possible, purchase of reusable items made
of glass and metal should be encouraged. Select
non PVC plastic items. Adopt procedures and
policies for proper management of waste
generated, the mainstay of which is segregation
to reduce the quantity of waste to be treated.
Establish effective and sound recycling policy for
plastic recycling and get in touch with authorised
manufactures.18
9.1 Authorization
Every occupier of the institution generating,
collecting, receiving, storing, transporting,
treating, disposing or handling bio-medical
wastes in any other manner, except such
occupier of clinics, dispensaries, pathological
laboratories, blood banks providing treatment/
service to less than 1000 patients per month and
every operator of bio-medical waste facility shall
make an application in the prescribed Form No.
I to the Prescribed Authority for the grant of
authorization. 19 A prescribed fee shall also
accompany the application for the grant of
authorization.20
9.2 Role of Advisory Committee
In order to check the waste management
an Advisory Committee should be formed. Rule
(1) puts an obligation on the Government of every
State to constitute an Advisory Committee. The
Committee will include experts in the field of
medical and health, animal husbandry and
veterinary sciences, environmental management, municipal administration and any other
related department or organization including nongovernmental organizations.21 The committee
shall advise the Government and the Prescribed
Authority about matters related to the
implementation of these rules.
The Ministry of Defence shall constitute an
Advisory Committee in respect of all health care
establishments to advise the Director General,
Armed Forces Medical Services and Ministry of
Defence in matters relating to implementation of
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these rules.22 Further Rule 9-A provides that the

Central Pollution Control Board shall monitor the
implementation of these rules in respect of all
the Armed Forces health care establishments
under the Ministry of Defence.
and hazardous waste. Also, to search for

suitable materials to be used as
containers for bio-medical waste
requiring incineration/autoclaving/
microwaving.
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 the
case may be, shall be responsible for providing
suitable common disposal/ incineration sites for
the bio-medical wastes generated in the area
under their jurisdiction. In the areas outside the
jurisdiction of any Municipal Body, it shall be the
responsibility of the occupier generating the biomedical waste/ operator of the bio-medical waste
treatment facility to arrange for suitable sites,
individual or in association, so as to comply with
the provisions of these rules.[240
10. COORDINATION BETWEEN HOSPITAL
AND OUTSIDE AGENCIES
Co-ordination between the civic authority
and the common treatment / disposal facility is
extremely important for timely removal of the
waste. There should be no confusion regarding
placement of the waste components, their
containers and colour coding, removal schedule
etc. The hospitals should always be in coordination with:
I.
II.
Municipal authority : A large percentage

of waste (in India up to 85%), generated
in Indian hospitals, belongs to general
category (non-toxic and nonhazardous).The hospital should have
constant interaction with municipal
authorities so that this category of waste
is regularly taken out of the hospital
premises for land fill or other treatment.
Co-ordination with Pollution Control
Boards: Search for better methods
technology, provision of facilities for
testing, approval of certain models for
hospital use in conformity with standards
laid down.
III. Private Agencies: To search for cost

effective and environmental friendly
technology for treatment of bio-medical
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IV. Development of non-PVC plastics as a

substitute for plastic which is used in the
manufacture of disposable items.
CONCLUSION
The safe and effective management of biomedical waste is not only a legal necessity but
also a social responsibility. Lack of concern,
motivation, awareness and economic factors are
some of the problems faced in proper hospital
waste management. Clearly there is a need for
awareness and education about the hazards
associated with improper waste management.
Lack of apathy to the concept of waste
management is a major obstacle to the practice
of waste disposal. An effective communication
strategy is imperative keeping in view the low
awareness level among different category of staff
in the health care establishments regarding
biomedical waste management. Therefore, it is
emphasised on the following policy initiatives:
1.
To ensure that the regulations are

implemented and supported by regulatory
bodies. Strict instructions by authorities
should be given and fear for punitive action
should be there in the Para medical staff.
2.
To ensure an access to clean disposal

technologies and clean medical products
which do not create undesirable waste so
that the sector can benefit from them.
3.
Addressing worker safety issues though

procedures, information and training,
involving various stakeholders such as
nurses and ward boys and other
paramedical staff without whom any waste
system can hope to succeed.
4.
An accreditation system for health care

units, for the waste management system,
can only be as good as other systems within
the hospital.
5.
Incorporating training and awareness

through on-going programs and
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incorporating waste management focuses

in course curriculum.
6.
7.
8.
The development of safe and reliable

transport and collection systems for hospital
waste to support the sharing of facilities and
the setting up of common treatment facilities.
Solid waste utilization practices after proper
treatment for cost containment for waste
management /cost recovery should be
adopted by other large hospitals especially
tertiary care hospitals where the treatment
cost is very high and bulk of solid waste is
generated.
Awards and incentives are components for
the success of the programme. Awards
should be instituted for medical, surgical,
laboratory and research staff for suggesting
innovative ideas/ designs/systems to
combat with the problem. Similarly, the
nursing and the Para medical staff and
sanitation staff may also be given awards
to suggest practical ideas for improvement
in their sphere of activities.
REFERENCES
1.
Hospital Waste: An Environmental Hazard And Its

Management Dr. Hem Chandra
2.

3.

4.
Biomedical Waste (Management and Handling) Rules

1998 : Gazette of India extraordinary, Part II, Section3, Subsections II), 1998, dated 28th July 1998.
240
5.
Dr. B.L.Wadehravs.Union of India&ors. [AIR 1996 SC

2969];
6.
Rules to regulate environmental pollution
7.
Persons handling hazardous substances to comply with

procedural safeguardsPower to make rules
8.

1998
9.
Schedule for waste management facilities like

incinerator/autoclave / microwave system
10. Hospital waste an environmental hazard and its

management,by: Dr. Hem Chandra
11.

1998
12. Colour coding and type of container for disposal of biomedical wastes
13. Label for transport of bio-medical waste containers/
bags
14. Schedule II of the bio-medical waste (management and
handling) rules, 1998
15. Hospital waste: an environmental hazard and its
16. Biomedical Waste (Management and Handling) Rules
1998
17. hospital waste an environmental hazard and its
18. P.S.Jaswal, NishthaJaswal, Environmental Law,
Allahabad Law Agency, 3rd Edition, pg.430
19. Rule 8 of The Bio-Medical Waste (Management and
Handling) Rules, 1998.
Allahabad Law Agency, 3rd Edition, pg.430.
21. Rule 9(2) of The Bio-Medical Waste (Management and
22. Rule 14 of The Bio-medical Waste (Management and
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
*Address for correspondence : Prakash Yadava, Research Scholar,
BBD University, Lucknow, Uttar Pradesh, India
email: prakash771983@gmail.com
ABSTRACT
The financial performance of SIDBI in recent years is critically analyzed in this paper. The
research paper suggests the recommendations for improvement in financial performance of
SIDBI.
(IV) TOOLS FOR ANALYSIS-
INTRODUCTION
The Small Industries Development Bank of
India (SIDBI) was set up in 1990 under an Act
of Parliament- the SIDBI Act, 1989. The charter
establishing SIDBI envisaged SIDBI to be the
principal financial institution for the promotion,
financing and development of industries in the
small scale sector and to coordinate the functions
of other institutions engaged in similar
activities.SIDBI commenced its operations on
April 2, 1990, by taking over the outstanding
portfolio and activities of IDBI pertaining to the
small-scale sector.
Ratios, Dupont analysis

DATA ANALYSIS & INTERPRETATION
LIQUIDITY RATIO
CURRENT RATIO
(I) RESEARCH DESIGN
Descriptive Research
INTERPRETATION
(II) SAMPLE DESIGN

Sample Unit
SIDBI
YEAR
2011
2012
2013
CURRENT
1.11
155129/146804
181856/202099
= 1.05
= 0.899
5.41
14.29
RATIO
%
11
We can see that the current ratio of SIDBI

is first decreasing from 2011 to 2012 and then it
is increasing from 2012 to 2013. Hence, the
financial position at present sounds good.
QUICK RATIO
CHANGE
(III) DATA COLLECTION METHOD

Secondary data is used such as SIDBIs
website, Published data of SIDBI, internet etc.
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241

P-ISSN 2347-2189, E- ISSN 2347-4971
INTERPRETATION
80
quick
ratio
60
40
percenta
ge
change
20
0
2011 2012 2013
In the turnover ratio we can see that the ratio

of the company is decreasing from 0.99, 0.68
and 0.13 for the year 2011, 2012 and 2013
respectively. This shows that the companys
turnover is decreasing.
GROSS MARGIN RATIO
YEAR
2011
2012
2013
GROSS
1.30
6.41
7.55
30.00
393.07
17.78
INTERPRETATION
The Quick Ratio is seen as 0.72, 0.67, and
0.16 for 2011, 2012, and 2013 respectively. It is
decreasing from 2011 to 2013.
MARGIN RATIO
CHANGE (%)
LEVERAGE RATIOS
600
DEBT EQUITY RATIO
gross margin
ratio
400
0.002
200
total debt
ratio
0.001
2011 2012 2013
percentag
e change
0
2011 2012 2013
percentage
change
INTERPRETATION
YEAR
2011
2012
2013
TOTAL DEBT
RATIO
0.00
0.00
0.0014
CHANGE (%)
0.00
0.00
0.00
DUPONT ANALYSIS
INTERPRETATION
In the total debt ratio, we can see that the
ratio is constant 0.00 in the year 2011and 2012
respectively and then it increased and became
0.0014 in the year 2013.
TURNOVER RATIO
YEAR
2011
2012
2013
TURNOVER
0.99
0.68
0.13
RATIO
CHANGE %
98
The gross margin for the company in ratio

is calculated as Gross Margin Ratio and here we
can see that the Gross Margin Ratio for the year
2011, 2012 and 2013 is 1.30, 6.41 and 7.55
respectively.
-31.31
-80.88
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
a*b*c
13.87
21.55
24.14
e)ROI (before tax)
EBIT / Net Asset
4.09
6.13
6.80
f)Financials
Profit After Tax/
0.55
0.58
0.57
Leverage Income
EBIT
g)Financial leverage
Net Asset/ Net Worth
0.56
0.44
0.37
e*f*g
1.25
1.56
1.43
Retained Earnings /
0.75
0.76
0.76
0.94
1.19
1.09
Asset(RONA)
(B/S)
h)Return on equity
200
turnover
ratio
100
0
-100
242
2011 2012 2013
percentage
change
(ROE)
i)Retention ratio
Profit After Tax

j)Equity growth
h*i
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Graphical Presentation of Du Pont Analysis
The equitys 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 area

which means that it is unpredictable to say
that if the firm will become bankrupt in future
or not.
Also the analysis showed that the different

ratios calculated are also showing the
fluctuating nature for the last three years.
30
RONA
20
10
ROE
0
2011
2012
2013
INTERPRETATION
From the above Graphical Presentation it is
clear that the Return on Net Assets is increasing
year by year which is a good sign for the
enterprise. On the other hand, the values of the
Return on Equity and Equity Growth are facing
the fluctuations as they are first increasing and
then they tend to fall.
FINDINGS
SUGGESTIONS AND RECOMMENDATIONS

Although the organisation serves the nation
with various benefits and vitality but while going
through the study of this organisation I would
suggest this enterprise to make alterations.
Since the SIDBI is a premier institution hence

it is playing a very important role in
development of SSIs.
In Du Pont Analysis, it is seen that the Return

on Net Assets is at a good growth but the Return
on Equity and Equity growth is decreasing year
by year.
Passing through financial fluctuations SIDBI

still is the big devotee in the development of
the SSI.
Hence the efforts should be made in order

to improve these two also.
Various ratios and analysis showed that the

financial position of the SIDBI is somewhat
viable.
The Return on Net Assets is increasing year

by year.
www.ijsir.co.in
REFERENCES
1.
Kotahri C.R. (2002), Research Methodology: Methods

& techniques, Viswa Prakashan
2.
Pandey I.M. (2008).Financial Management, Vikas

Publication house Pvt. Ltd.
3.
www.sidbi.co.in
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ROLE OF GEOGRAPHICAL ENVIRONMENT ON

ENVIRONMENTAL DEGRADATION COGNITION IN TRIBAL
AND NON-TRIBAL ZONES
1
* MAHENDRA SINGH1, ROHTASH MALIK2

Research Scholar, Department of Geography, Sai Nath University, Ranchi, India
2
Principal, Mahila Mahavidyalaya, Jhojhu Kalan, Bhiwani, India
*Address for correspondence: Mahendra Singh, Research Scholar, Department of Geography,

ABSTRACT
Environmental degradation is the complex process involving transformation and material loss
from any one of the environmental components. Environmental degradation arises by natural
processes or by man-made activities. The primary knowledge about environmental degradation,
causes and consequences of environmental degradation and planning measures about
environmental degradation are the three main parameters selected to know the cognition about
environmental degradation in different geographical environment in the Jalgaon district of the
Maharashtra state considered for the study. Among the geographical environment, parameters
sslike location, slope of land, physiography, climate, soils, resources, accessibility, socioeconomic status, population etc. are considered to demarcate the tribal and non-tribal zones
of the study region. Geographical environmental zones and their relation with environmental
degradation cognition were studied with the help of statistical method.
Keywords : Material Loss, Natural Process, Consequences, Cognition Process
INTRODUCTION
The major form of environmental
degradation varies from region to region,
depending upon the geographical environment.
The major causes of environmental degradation
are water pollution and scarcity, air pollution,
global atmospheric changes, solid and
hazardous wastes, congestion and noise in
various areas, soil loss, forest loss in rural areas,
depletion of raw materials and energy resources,
ecosystem losses. The main consequence of the
environmental degradation is on health,
productivity and amenity in the region. In this
research article, investigators have studied the
role of geographical environmental factors on
cognition about environment degradation.
STUDY REGION
In this research work, Jalgaon district of
Maharashtra state is selected for study due to
sizable variations in geographical environment.
244
Northern part of the study region is occupied by

Satpura Mountainous area, steep slope,
undulating relief, lower agricultural land, unfertile
soil, low accessibility, inhabitance of tribal
community like Pawara, Tadavi, Bhil. The
extreme southern part is occupied by Ajanta hills,
a offshoots of Sahyadri Mountain habited by tribal
community Banjara. The central part of the
study region is occupied by Central Tapti river
plain, which is agriculturally fertile, prosperous,
high literacy area, accessible and is inhabited
by non-tribal community hindu, muslim, harijan
population. This area is well developed area
known as cotton and banana belt of India. The
tribal and non-tribal zones dominate the
monsoon climate.
OBJECTIVES
1) To study and mark the geographical
environmental zones in the study region
2) To know the environmental degradation
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P-ISSN 2347-2189, E- ISSN 2347-4971
cognition among the tribal and non-tribal

population
3) To study the comparison between
environmental area and cognition of
environmental degradation.
4). To suggest some planning measures to
improve cognition of environmental
degradation.
SOURCE
DATA
METHODOLOGY
AND
RESEARCH
To complete this basic and applied research

work, investigators have used the secondary data
for the study and demarcation of geographical
environmental zones. Gazetteers,census hand
book, general population report, atlas, socioeconomic data are gained from secondary
sources. To achieve our objectives primary data
is generated from door to door to survey with the
help of questionnaire, interview of experts and
field observations. The identified ten questions
related to three parameters like primary
knowledge about environmental degradation,
cognition about causes and consequences of
environmental degradation and planning
measures, views about environmental
degradation are included in questionnaire. From
the both tribal and non -tribal environmental
zones, ten villages are selected by stratified
sampling method. From these villages one
hundred houses were selected for questionnaire
survey with the help of stratified samples. The
questionnaire data was developed in tabulation
and processed by statistical method. The
comparative study was done and the results were
obtained.
GEOGRAPHICAL ENVIRONMENT AND
COGNITION
OF
ENVIRONMENT
DEGRADATION
In the study region, two environmental zones
are demarcated i.e. central Tapti river plain, a
agriculturally prosperous region inhabited by nontribal population and northern Satpura isolated
hilly area, inhabited by tribal community. For this
study, two geographical environmental regions
were considered. Both the regions are having
identical
environment
reflecting
the
environmental degradation cognition among the
population.
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Table I : Tribal environment and Cognition of

environmental degradation
% 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
50.70
dali
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
Sample
Villages
Source Field Work, 2010

Table I revels the gender variations of
cognition among the tribal population among the
ten tribal villages. There are variations in
environmental degradation, cognition among the
tribal males and females. There are also
variations in environmental degradation
parameters like primary knowledge about
environmental degradation, cognition about
causes and consequences of environmental
degradation and environmental planning. Among
the ten tribal villages there are sizable variations
in primary knowledge about environmental
degradation i.e. ranges from 50.70 % to 53.50%
among the male population. Among the male
population we can see lower level of cognition
about environmental degradation i.e. 35.90 % to
40.80 %. The tribal parameter of environmental
degradation planning is lowest among the tribal
males population. i.e. 25.10% to 29.10%. As
compared to tribal male population, tribal female
population is having lower level of environmental
degradation parameter. As we see in table, a
sizable tribal women population is having primary
knowledge about environmental degradation i.e
50.15 % to 52.80%. While cognition about causes
and consequences of environmental degradation
is lower than first parameter i.e. 32.10% to
38.50%. The planning views about environmental
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P-ISSN 2347-2189, E- ISSN 2347-4971
degradation is lowest among the tribal women

i.e only 23.10 %to 28.90%. There are sizable
variations among the tribal women about
environmental degradation in the ten sample
villages. Lastly, we can see that tribal male
population is having higher environmental
degradation cognition than tribal females in the
study region.
TRIBAL LITERACY AND COGNITION ABOUT
ENVIRONMENT DEGRADATION
On this aspect, investigators have studied
the co-relation between illiterate and literacy
population and cognition about environmental
degradation. From the ten villages, illiterate and
literate males / females were surveyed by
identified questionnaire to study the relationship
between literacy and cognition about
In the identified questionnaire on cognition
about environmental degradation, 50 questions
for illiterates and literates were keenly observed
and from that it was noted that there is close
relationship between literacy and cognition of
environmental degradation. The illiterate males
and females are having the lower level of
cognition about environmental degradation than
the tribal literates in the study region. There are
gender variations in cognition about
environmental degradation. Males are having the
higher cognition about environmental
degradation than tribal females. In the
representative questionnaire, we can see that
there are variations in environmental degradation
parameter. Almost tribal males and female are
having higher cognition about primary knowledge
of environmental degradation, than cognition
about causes and consequences of
environmental degradation and environmental
degradation planning. The same pattern we can
see in the Table II about environmental
parameters among the tribal males and females.
NON-TRIBAL
ENVIRONMENT
AND
COGNITION
OF
ENVIRONMENTAL
DEGRADATION
The central part of the study region is
occupied by Tapti river basin, which is extensive
fertile plain, accessible area and socially and
economically developed region, and inhabited by
246
non-tribal Hindu population. This area is

agriculturally prosperous region known as cotton
and banana belt of India. This area has higher
infrastructure facilities. Ten villages from this
environmental zone were selected for case study
and one hundred questionnaires from each
village were considered as sample study. While
selecting the samples for study, males, females,
literacy levels were also considered
Table II : Non-tribal environment and cognition of
environmental Degradation
% of Population (Males)
% of Population (Females)
Hingone
65.50
52.50
Cognition
Primary about
Planning
Knowledg e cause & about Env.
in Env. Consequen Degradati
Degradati ces of Env. on
on
Degradatio
n
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
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
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
Sample
Villages
Nashirabad
Mehunbare
Cognition
Primary about
Planning
Knowledg cause & about Env.
e in Env. Consequen Degradati
Degradati ces of Env. on
on
Degradation
Source Field work 2010

Table II shows the gender variations of
cognition about environment degradation among
the non-tribal population in the study villages.
There are sizable variations in cognition about
environmental degradation among males and
females. In the environmental degradation study,
we have considered the three parameters
primary knowledge about environmental
degradation
cognition,
causes
and
consequences of environmental degradation and
planning view. Among the non-tribal male
population, we can see higher cognition about
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environmental degradation than the non-tribal

females. The basic knowledge about
environmental degradation value ranges from
62.50% to 69.15% for the males. The second
parameter causes and consequences effect view
value ranges between 50.80% to 54.50% for
males. The third parameter planning measures
value is lowest for the males. Among the nontribal females, we can see variations in the
environmental degradation parameters. As our
expectations, there is lower value about causes
and consequences and planning measures about
environmental degradation among females.
To study the relationship between educated
level and cognition about environmental
degradation, investigators selected fifty
questionnaire of literates and non-tribal persons.
The detail observation of these questionnaire and
interviews show that there are very close
relationship between cognition about
environmental degradation and literacy levels.
As our expectations, illiterates are having lower
level of cognition about environmental
degradation.
In both environment zones, male and females

are having higher level of cognition about
primary knowledge on environmental
degradation than other parameters.
All most whole population of the study region

has lowest level of planning measures about
To improve the environmental degradation

cognition among the population, awareness
programs like documentary films, posters,
exhibitions, street plays, essay competition
etc. should be implemented.
REFERENCES
1.
Maharashtra State Gazetteers, Govt. of India, 1981.
2.
Choondowat, Samiksha (2005). Assessment of Natural

resources and Environmental Degradation in Udaipur
basin, Ph.D thesis, Dept. of Geography. M. Z. Sukhadia
University, Udaipur, (Rajasthan) India.
3.
Mittal, S. Agrawal M (2004) : Environment and

Environmental education in 21st Century, Navchetana
Publication, Jaipur.
4.
Santra, S. C. (2009). Environmental Science, New

Coastal Book Agency (P) Ltd., Kolkata
5.
Sinha, S. K. and Swaminathan M.S. (1989).

Deforestations, Climate Change and sustainable
Newton Security : A case study of India Climate change
19. 2001-09.
6.
Singh, Savindra (2000). Environment Geography.

Prayag Pub. Allahabad.
7.
Saxena, H. M. (2000). Environmental Degradation

Rawat publication, New Delhi
OBSERVATIONS AND FINDINGS

*
There are sizable variations about cognition

environmental degradation among tribal and
non-tribal population.
There is difference in cognition about

environmental degradation among the males
and females in both geographical
environment.
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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 Shekhar

Azad University of Agriculture & Technology , Kanpur, Uttar Pradesh, India
email: drrenuka11@gmail.com
ABSTRACT
Delivering high quality service to passengers is important for airlines to survive, gaining
competitive advantages through repeated customer patronage, preferred transportation supplier
status, market share gains and eventually increased profitability for the airlines . Airline
companies have realized the importance of satisfied customers to find a place for themselves
in this competitive world and initiated many projects to measure service quality and satisfy the
customers by improving service quality. Based on this, in this study, in order to evaluate
customers satisfaction at Domestic Airlines, with special reference to Indian Airlines the factors
affecting customers experience were analyzed using weighted SERVQUAL SCALE & GAP
ANALYSIS methodology.
This research paper evaluates the underlying forces of service quality- influences on passengers
satisfaction in domestic Airline, with special reference to Indian Airlines. The study examines
which dimensions have a positive influence on service quality and which dimensions have the
most and least important impact on service quality in domestic air travel, as perceived by Indian
airline passengers. The findings of this study are based on the analysis of a sample of 300
respondents. The findings reveal that the service quality dimensions are positively related to
customers satisfaction.
Keywords: Service Quality, Customers Satisfaction, Service Quality Dimensions, GAP
Analysis, CRM.
INTRODUCTION
An essential aspect of managing service
quality is the identification of client expectations,
and then designing the service system to focus
on these requirements. The airline business
must aim at fulfilling the individual customers
needs or even reaching beyond these. The
airline companies have realized that they have
to listen to consumers to survive in a competitive
market.(Booth M;2000) and airline companies
also have become aware of the importance of
having happy customers (Riddleberger EJ;IBM
Global Business Services;2009). The prerequisite of the customer s satisfaction is
understanding and knowing what they want.
248
The aviation sector has become the most

important segment in the economic development
of a nation. It plays a vital role in moving people
or products from one place to another, especially
when the distances involved are far. In a highly
competitive environment the provision of high
quality services to passengers is the core
competitive advantage for an airlines profitability
and sustained growth. In the past decade, as the
air transportation market has become even more
challenging, many airlines have turned to focus
on airline service quality to increase service
satisfaction. Service quality conditions influences
an industrys competitive advantage by retaining
customer patronage, and with this gain market
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P-ISSN 2347-2189, E- ISSN 2347-4971
share. Delivering high-quality service to

passengers is essential for airlines survival, so
airlines need to understand what passengers
expect from their services. Understanding
exactly what customers expect is the most crucial
step in defining and delivering high-quality
service. Service quality is one of the best models
for evaluating customers expectations and
perceptions. The performance of a company
leads to passengers satisfaction with a product
or service. According Heskett et al. (1994), profit
and growth are simulated by customers loyalty
and loyalty in its turn is driven by customers
satisfaction, and customer s satisfaction
depends on the value customers receive from
the service.
Understanding importance and sources of
customer satisfaction is important for any
company or any industry to grow and remain
profitable, but in airline industry customers are
carriers only assets (Carlzon, 1987). Hence
understanding and managing satisfaction
through service quality is essential, and requires
greater attention from carriers nowadays, in
struggling and challenging environment.
According to Parasumaran et al. (1991),
continuously providing consistent, reliable and
fair services is a key to achieve customers
loyalty.
Airlines should also know their competitors
and consider the market competition campaign.
CRM is an essential component of the corporate
strategy of airline companies to differentiate
themselves from competitors in the eyes of
customers.( Boland et al 2002). In recent years,
customer relationship management has been
expanded to include an integrated perspective
on marketing, sales, customer service, channel
management, logistics and technology for
engaging in customers satisfaction. Practitioners
are calling it customer relationship management
(CRM) and are interested in all aspects of
interactions with customers to maintain a longterm profitable relationship with them.
The purpose of this study is to identify the
dimensions of service quality and aims at
investigating how these dimensions contribute
to customers satisfaction in Indian Airlines. This
research work discusses a process approach to
service quality in the airline Industry, taking a
www.ijsir.co.in
customers point of view. The process describes

steps from ticket purchase to the completion of
the journey, analyzing each step from service
quality perspective and assigning attributes that
help to measure customers satisfaction in Indian
Airlines.
The results from this research may be useful
for airline industry, airline managers to improve
their service quality and customers satisfaction,
finally the growth of the airline industry.
PROBLEM STATEMENT
Excellent passengers satisfaction is one of
the greatest assets for airline industry in todays
competitive environment . The research related
to service quality and customers satisfaction in
the airline industry has been growing in interest
because the delivery of high service quality is
essential for airlines survival and
competitiveness. A number of studies have been
conducted in service quality related theories and
methods in the airline industry. . Although
examining the effect of individual dimensions of
service attributes has potentially great utility for
airline managers, the effects of individual
dimensions of airline service quality has not been
fully investigated in previous airline service
studies. Keeping in view all these aspects, this
study is conducted. The main aim of the study is
to analyze service quality and customers
satisfaction of domestic airlines with special
reference to Indian Airlines. In addition, the
findings would enhance the airliners to improve
their service quality, customer relationship
management CRM, and finally customers
satisfaction.
LITERATURE REVIEW
Customers consider five dimensions in their
assessment of service quality-Reliability,
Responsiveness, Assurance, Empathy,
Tangibles. Of the five dimensions, Reliability is
considered to be the most important one. It refers
to the company delivering on its promises. The
other four dimensions relate to the process of
service delivery or how the service was delivered.
Service is intangible, performed by people,
providing satisfaction to customers. Services are
essentially performance. Services have unique
characteristics i.e. intangibility, inseparability ,
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P-ISSN 2347-2189, E- ISSN 2347-4971
heterogeneity , perishability and ownership.

Quality of a service , as perceived by the
customer is the result of a comparison between
the expectations of the consumer and his real
life experiences. A service quality can be
described as the delivering of excellent or
superior service relative to customer s
expectations . According to Parasuraman ,
Zeithaml and Berry(PZB) ;
passengers vis--vis service quality on the

different flights, changes in the marketing mix
need to be implemented to improve the
perception of quality. But, in general, passenger
hardships have increased after Sept 11 attacks (
Gkritza, Niemeier & Mannering 2006). Much of
the research in services marketing centers on
understanding services and service quality from
customers point of view (Brown et al. 2006).
Perceived Service Quality = Perceived

Service Expected Service .
Maintaining quality are the main concerns

of business today. Providing quality is not a
concern of manufacturing companies alone. The
delivery of high-quality service becomes a
marketing requirement among air carriers as a
result of competitive pressure (Ostrowski et al.,
1993).
Most important factor for the rising

importance of service quality is that it is proving
to be a winning competitive strategy. The ultimate
aim of an excellent service quality system is to
satisfy the customers need and go beyond to
delight the customers. A good or excellent
service quality would result in customers
satisfaction or customers delight. Increased
customers satisfaction in turn leads to higher
level of customer retention and also positive word
of mouth.
In an era of increased competition, the
importance of achieving high levels of
customers satisfaction has gained the attention
of researchers and practitioners alike. This is
especially the case in the service sector, where
many companies are focusing upon service
quality improvement issues in order to drive high
levels of customers satisfaction.
Numbers of common factors have been
identified as critical drivers of customers
satisfaction. The service profit chain is one of the
most widely supported theories of customers
satisfaction Heskett et al. (1994). In brief, it
proposes a positive linear relationship between
staff satisfaction, service quality and customer
satisfaction leading, ultimately, to profitability.
Parasuraman etal. (1985) also recognized the
significance of staff satisfaction and service
quality as drivers of customer satisfaction in
developing their SERVQUAL measurement tool.
Airlines need to have valid and reliable
measures for a better understanding of the
variables likely to impact the perception of service
quality being offered by them. They need to
measure not only customer perceptions but also
expectations of airline passengers. If significant
variations are found in the perceptions of airline
250
OBJECTIVES OF THE STUDY

The Indian Airline is suffering from very
intense competitions on its national market. The
airline is not only enduring from low market share
on most routes, on which other airlines are also
having flight operations but also losing the
market share on some others. The pre-requisite
of the customers satisfaction is understanding
and knowing what they want. In such a scenario,
service quality is a significant driver of passenger
satisfaction, loyalty and choice of airlines. Thus
scientific investigations into service quality and
customers satisfaction is need of the hour The
main aim of the study is to analyze service quality
and customer satisfaction of domestic airlines
with special reference to Indian Airlines. Specific
objectives of the study are as follows
1- To examine in detail the services being offered
in domestic airlines with special reference
to Indian Airlines .
2- How can the passengers satisfaction within
Indian Airlines be described?
3- To investigate how much satisfied Indian
Airlines passengers are with its services?
4- To evaluate how can Indian Airlines
managers improve and promote satisfaction
level among the passengers?
In order to evaluate the customer s
satisfaction and service quality in domestic
airlines industry with special reference to Indian
Airlines, the following hypotheses have been
made ;
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P-ISSN 2347-2189, E- ISSN 2347-4971
1- Service quality leads to customer s

satisfaction.
2- Service quality creates brand loyalty.
3- Empathy is one of the important dimensions
in service quality.
4- Reliability has a direct positive effect on
service quality.
5- Tangiblity has an importance in service
quality.
METHODOLOGY
In this study, sampling was done by
interviewing, randomly selected 300 passengers,
at different Air Ports i.e. Indira Gandhi
International Airport , New Delhi , Choudhary
Charan Singh Airport Lucknow. A structured
questionnaire was used for data collection. The
questionnaire was divided into two sections, in
which first section reveals the demographic
profile of respondents and second part was for
evaluation of their overall experiences, as they
received from the Indian airlines services. The
questions were phrased in the form of statements
scored on a 5-point Likert type scale, ranking
from highly dissatisfied / highly disagree to
highly satisfied/ highly agree. Average score
analysis was used to evaluate to various service
quality dimensions. Service quality and
customers satisfaction were analyzed on the
basis of Mean Difference, which is presented in
Table-1&2
SERVICE QUALITY AND CUSTOMERS
SATISFACTION ANALYSIS
TABLE 1:
DEMOGRAPHIC ANALYSIS
Demographic Profile of of Respondents

In demographic profile of respondents , it is
found that there was total 64% male and 36%
female respondents who replied the research
questions regarding service quality and customer
satisfaction in Indian Airlines, in which 69%
respondents were married and 31% respondents
were unmarried. Regarding age group analysis
of respondents there were 24% respondents
belonging to age group of 21- 30 years, 29%
respondents were of age group between 31- 40
years, 31% respondents were of age group 4150 years, and 16% respondents belonged to
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GENDER
Total No of Respondents %
N=300
192
64%
108
36%
MALE
FEMALE
MARITAL STATUS
MARRIED
207
69%
UNMARRIED
93
31%
AGE
21-30
72
24%
31-40
87
29%
41-50
93
31%
51-60
48
16%
BACKGROUND
URBAN
273
91%
RURAL
27
09%
EDUCATION
INTERMEDIATE
27
09%
GRADUATE
132
44%
POST GRADUATE
111
37%
PhD.
9
03%
Dr/ Engg/ Other
21
07%
Proffessional
Reason to Fly300
36%
Business
108
37%
Jobs
111
14%
Education
42
13%
Others
39
Frequent Flyer
231
77%
Since How Long
FlyingMore then one Years 111
37%
More then three years. 90
30%
Less then one year
69
23%
Common way to
purchase ticket
On- Line
258
86%
Other.
42
14%
age group 51 to 60 years . Regarding
background of respondents there were
91% urban respondents who were using
Indian Airlines flights , while remaining 09%
respondents belonged to rural background
.Regarding education level of respondents , it is
found that 09% respondents were having
education up to Intermediate, 44% Graduate,
37% Post Graduate, 03% having PhD, while 07%
were doctors, engineers and others
professionals. It is found that the main reason
to use airlines flights by the respondents was
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jobs/ service related works(37%), followed by

business related trips (36%)and 14% for
educational purpose. Majority of the
respondents (86%) said that they perform the
selection and purchase of air tickets by
themselves, via online bookings. Out of 300
respondents, 77% respondents were frequent
flyers of Indian Airlines. The study shows that
37% respondents were using airline services
more than one year, 30% were using airline
services more than three years, while 23%
respondents were using airlines services less
than one year.
Table 2: Gap Analysis
Expected services (E) & Perceived services (P)

SERVICE
QUALITY
DIMENSIONS:
Total YES f
No f
%
RESPONSIVENES,
ASSURANCE,
TANGIBILITY ,
EMPATHY,
RELIABILITY i.e.
Mean Yes f
f %
Mean Gap(D)=
(Expected
service
Perceived
service).
Gap(D)=
(Expected
service
Perceived
service).
D =E-P
D = E-P
(~ Mean)
( ~ f %)
(RATER MODEL)
& ATTRIBUTES
Reponsiveness
1. Get Informations
about time of
300
service.
2. Prompt& accurate 300
services.
3. Efficient Check
in & Baggage
300
Handling services
4. Willingness to
help
300
5-Prompt handling
of
request/complaints
300
ASSURANCE :
6. Knowledge to
answer customers'
questions.
285 95% 0.95 283 99% 0.99
D= - 0.04 D=
~0 4%
288 96% 0.96 257 89% 0.89
D= 0.07
D=
~ 07%
291 97% 0.97 232 79% 0.79
D= 0.18
288 96% 0.96 286 99% 0.99
D= - 0.03
D= 18%
D= 0
~3%
252 84% 0.84 197 78% 0.78
D= 0.06
D=
~06%
300
294 98% 0.98 291 98% 0.98
D= 0
D=
~0%
300 291 97% 0.97 290 99% 0.99

7. Trustworthy crew.
8. Employees instill 300 273 91% 0.91 272 99% 0.99

confidence to
passengers.
252
D= - 0.02 D=
~02%
D= - 0.08 D=
~8%
Gap Analysis
The difference between expectations minus
perceptions (D=E-P). A negative difference
indicates on the average that perceived reality
exceeds expectations that should produce
satisfied customers. On the other hand, a
positive difference indicates that on the
average. Perception of service delivery failed
to meet the expected level of service quality
indirectly producing dissatisfied customers.
(Parasuraman et al).
1. It is found in study that majority of
respondents 99% are satisfied with
service quality attribute of getting proper
information about time of various services
of the Indian Airlines. There is ve GAP ;
D= -0.04, in expected services and
perceived services ,which indicates
customers are satisfied with this service
quality.
2. The study reveals that there is positive
gap D= 0.07 regarding Prompt and
Accurate services of the Indian Airlines.
A positive difference indicates that on the
average, perception of service delivery
failed to meet the expected level of service
quality indirectly producing dissatisfied
customers. So it indicates that customers
are dissatisfied with Prompt and Accurate
services of the Indian Airlines. So there is
need to improve this service quality
,because customers satisfaction depends
on service quality and finally makes profit
to company.
3. Regarding Efficient check in & Baggage
Handling services, of the Indian Airlines, it
is found that there is +ve GAP ,D= 0.18, in
expected service mean and perceived
service mean. . So it indicates that
customers are dissatisfied with this
services quality of the Indian Airlines. So
improvement is needed for this service
quality also.
4. It is found that there is ve GAP (D= 0.03), in service quality dimension of
willingness to help to passengers by the
Indian Airlines staff. It indicates that
customers of Indian Airlines are satisfied
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P-ISSN 2347-2189, E- ISSN 2347-4971
with service quality attribute of the Indian

Airlines.
5. Regarding Prompt handling of request/
complaints: The study reveals that there
is positive gap D = 0.06, a positive
difference indicates that on the average,
perception of service delivery failed to
meet the expected level of service quality
indirectly
producing
dissatisfied
customers. So it indicates that customers
are dissatisfied with services quality
attribute of prompt handling of requests/
complaints by the employees of Indian
Airlines. So there is need to improve this
service quality attribute for more customer
satisfaction, because customer satisfaction
depends on service quality.
6. There is no GAP (D=0) found in perceived
services and expected services of the
Indian Airlines in reference to Knowledge
to answer customers questions: by the
employees of the Indian Airlines.
7. The study reveals that there is negative
gap D = - 0.02, The difference between
expectations minus perceptions (D=E-P).
A negative difference indicates on the
average that perceived reality exceeds
expectations, means that produce satisfied
customers. It indicates good service quality
attribute of the Indian Airlines having
trustworthy crew.
8. It is found that there is negative GAP (D =
-0.02) for service quality attribute
employees in still confidence to
passengers, which indicates that
passengers of the Indian Airlines are
satisfied with this service quality attribute
of the Indian Airlines.
9. It is found that there is positive GAP (D=
0.14), which indicates customers
dissatisfaction regarding feel safe and
secured during flights. So improvement is
needed by the Indian Airlines for their
customers to feel safe and secured during
flights.
10. The study reveals that there is positive
gap D = 0.14 for services quality attribute
of flights breakdown, a positive difference
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indicates that on an average, perception

of service delivery failed to meet the
expected level of service quality indirectly
producing dissatisfied customers. It
indicates that passengers of the Indian
Airlines are dissatisfied with service quality
attribute of flights breakdowns. So there
is need to improve this service quality
attribute too.
CONCLUSION
Airline service dimensions were found to
have direct and positive influences on airline
image and passengers satisfaction intentions.
In this study, passengers are satisfied to the
service provided and overall facilities delivered
by the airline companies. The passengers are
satisfied with the services quality delivered in inflight services. While analyzing demographic
profile of the passengers, educated and working
passengers mostly belonging to urban areas are
using flights more frequently. The results
suggested that according to the gap scores,
responsiveness dimension has better customers
satisfaction level and assurance dimension
followed the responsiveness. In these two
dimensions, it is observed that customers are
satisfied
in general with service quality
dimension of responsiveness and assurance.
When considered in totality, the results of this
study suggest that majority of passengers are
satisfied with basic services provided by Indian
Airlines. To combat the growing competition due
to globalization, it is suggested that there should
be satisfaction among passengers of Indian
Airlines regarding vast network of services, safe
and secured flights, waiting time etc. Unsatisfied
passengers expect airline to ensure safe journey,
to meet time commitments, convenient flight
schedules, less waiting time for baggage arrival,
better baggage handling mechanism etc.
REFERENCES
1.
Boland Declan,Doug Morrison & Sean ONeill ( 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 Studies
7/8 : 293-308. Carlzon ,Jan (1987) , Moment of Truth,
Ballinger Publications Company: Cambridge,
Massachusets, USA.
253

P-ISSN 2347-2189, E- ISSN 2347-4971
3.
Gkritza, K., Niemeier, D. & Mannering, F. (2006). Airport

security screening and changing passenger
satisfaction: An exploratory assessment. Journal of Air
Transport Management 12, 213219
7.
Parasuraman, A., Berry, L.L., and Zeithaml V.A. (1988).

SERVQUAL: A multiple-item scale for measuring
consumer perceptions of service quality. Journal of
Retailing, 4(1), 12-37.
4.
Heskett, J.L., Jones, T.O., Loveman, G.W., Sasser,

W.E. Jr and Schlesinger, L.A. (1994), Putting the
service-profit chain to work, Harvard Business Review,
March/April, pp. 164-74.
8.
Parasuraman, A., Zeithaml, V. A., and Berry, L. L.

(1991). Refinement and reassessment of the
SERVQUAL scale. Journal of Retailing, 67(4), 420-50.
9.
5.
IBM Institute for business value, The future of airline

CRM.page 1- 19.
Riddleberger EJ (2009) Leading a Sustainable

Enterprise. IBM Global Business Services 1-16 New
York.
6.
Parasuraman, A., Zeithaml, V. A., & Berry, L. L. (1985).

A conceptual model of service quality and its
implications for future research. Journal of Marketing,
49, 41-50.
10. Ostrowski, P. L., O Brien, T. V., and Gordon, G. L.

(1993). Service quality and customer loyalty in the
commercial airline industry, Journal of Travel
Research, Vol. 32, pp. 16-28.
254
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A STUDY ON MORAL JUDGMENT ABILITY OF TEENAGERS

(14-19 YEAR)
1
*SUNIL KUMAR SINGH1, MANISHA SINGH2

Department 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: sksingh.ms@gmail.com
ABSTRACT
Moral judgment involves a cognitive capacity to define situation in terms of right and duties.
Pre-adolescent can see themselves better from other peoples view and thus develop awareness
for moral issues. The sample consisted of 300 children, 150 of which were in the age group of
14-16 years and 150 in the age group of 17-19 years. Sex ratio was also maintained. Moral
judgment was measured by Moral judgment Test developed by Meera Verma and Durga Nand
Sinha. Results revealed a significant difference in the moral judgment ability between two groups
with older children (17-19 years) scoring higher than younger ones (14-17 years), which
suggested that maturity is a necessary (though not sufficient) condition for development of
moral judgment ability.
Key words: Morality, Judgment ability, Teenagers
INTRODUCTION
Morality, which is defined as the sum of an
individuals way of behaving that is judged
through persons ethical rightness or wrongness,
refers to how human beings come to resolve
discrepancies between their centered egoistic
needs and obligations to act in favor. The ability
to make moral judgment plays an important role
in the development of morality. Moral judgment
involves a cognitive capacity to define situation
in terms of rights and duties. It is the ability to
evaluate the situations and moral issues as right
or wrong keeping in view the knowledge of moral
standards. Developmental theorizing and
research have centered on the three moral
components mentioned below.
An affective, or emotional, component that
consists of the feelings (guilt, concern for other
feelings) that surround right or wrong actions and
motivate moral thoughts and actions.
A cognitive component that centers on the
way we conceptualize right and wrong and make
decisions about how to behave.
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A behavioral component that reflects how

we actually behave when we experience the
temptation to lie, cheat or violate other moral
rules.
Table 1: Six Dimensions of Character that Define
Moral Maturity
S.
Character
No.
Dimension
1
Principle
Idealistic
2
Dependable loyal
3.
Has integrity
4.
Caring-Trustworthy
5.
Fair
6.
Confident
Sample traits
Clear values, concerned about doing right,
highly development conscience, law abiding.
Responsible, loyal, reliable faithful, honorable.
Consistent, rational, hard working.
Honest, trustful, sincere, kind, considerate.
Virtuous, fair, just.
Strong, self assured self confident.
Developmental theorists generally agreed on six

aspects of moral maturity shown in table.
THE COGNITIVE COMPONENT OF MORAL

DEVELOPMENT:
Cognitive develop mentalists study morality
by examining the development of moral
reasoning that children display when deciding
whether various acts are right or wrong.
According to cognitive theorists, both cognitive
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P-ISSN 2347-2189, E- ISSN 2347-4971
growth and social experiences help children to

develop progressively richer understandings of
the meaning of rules, laws and interpersonal
obligations. As children acquire these new
understandings, they are said to progress
through an invariant sequence of moral stages,
each of which evolves from and replaces its
predecessor and represents a more advanced
or mature perspective on moral issues. Piaget
formulated a stage theory of moral development
that includes a pre moral period and two moral
stages. Kohlberg has refined and extended
Piagets theory. He discovered that moral
development extends for beyond Piagets
autonomous stage, becoming increasingly
complex through out adolescence and into young
adulthood. Like Piaget, Kohlberg assumes that
each succeeding stage evolves from and
replaces its predecessor; once the individual has
attained a higher stage of moral reasoning, he
or she should never regress to earlier stages.
Parents with inductive discipline are more

effective for various reasons. First, it provides
children with cognitive standard (or rationales)
to evaluate their conduct. Second, this form of
discipline helps children to sympathies with
children and allows parents to talk about such
moral affects as pride, guilt and shame.
IMPACT OF PARENTING ON THE

DEVELOPMENT OF MORAL JUDGEMENT
ABILITY :
In view of the above, the present study has

been planned with the objective to study the
impact of age difference, gender, parents
education for learning moral judgment ability.
The child gets the first idea of right and

wrong from his parents. There is also an
important cognitive component to parents
interaction with their children that may facilitate
childrens moral development, parents are
centrally important by virtue of their concern with
their affective relationship with their child, and
their ability to provide the types of interactions
that facilitate moral judgment. Moral judgment
is generally affected by disciplinary techniques
that parents actually use. Three major
approaches are: (1) Love withdrawal: A form of discipline in
which an adult withhold attention, affection,
or approval in order to modify or control a
childs behavior.
(2) Power Assertion: A form of discipline which
an adult relies on his or her superior power
to modify or control a childs behavior.
(3) Induction: Explaining why a behavior is
wrong and should be changed by
emphasizing how it affects other people,
often suggesting how the child might repair
any harm done.
256
So induction may be an effective method of

moral socialization because it calls attention to
the cognitive, affective and behavioral aspects
of morality.
An approval of studies reveals that the ability
of moral judgment passes through a
developmental phase which follows a
progressive increase for judging in terms of
internal purposes, norms and value. This occurs
in predictable stages related to stages in
intellectual development. As childrens ability to
perceive change, they move into a higher level
of moral development.
OBJECTIVES:
Bearing in mind all the points discussed, the
present study focuses on the following objectives:
*
To study the moral judgment of respondents.
To study the impact of age on moral

judgment.
To study the effect of gender on moral

judgment.
HYPOTHESES:
i) There will be a significant difference in moral
judgment ability of 14-16 years and 17-19
years age groups.
ii) There will be no significant difference in moral
judgment of boys and girls.
SAMPLE AND SAMPLING PROCEDURE
The sample for the study consisted of 300
students in the age group 14-19 years. The
sample further comprised of 150 children in 1416 years age group and 150 in 17-19 years age
group. The ratio between boys and girls was also
maintained in each category i.e. 75 boys and 75
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P-ISSN 2347-2189, E- ISSN 2347-4971
girls in each age group.

FIGURE 1 : DISTRIBUTION OF RESPONDENTS
Table3: Frequency Distribution of Respondents

According to their Sex
Total No. of Respondents

(N = 300)
Age Group
Subject
14-16 Years
Boys
75
Girls
75
Boys
75
Girls
75
17-19 Years
MORAL JUDGEMENT OF RESPONDENTS
14-16 years age group
17-19 years age group
(N=150)
(N=150)
The moral judgment of the respondent was

assessed by Moral Judgments Test. Scores for
moral judgment were calculated. Mean, standard
deviation and z score and chi-square values were
computerized in the view of the findings and the
results were interpreted.
Boys
Girls
Boys
Girls
(N=75)
(N=75)
(N=75)
(N=75)
Table 4: Frequency distribution of respondents

according to their moral judgment ability
Age Group
RESEARCH DESIGN :
When more than one independent variable
is included in a study, a factorial design is
necessary. By using 2 x 2 factorial design the
researcher has studied the significant impact of
gender and age.
TOOLS USED:
Moral Judgment Test by Meera Verma &
Durganand Sinha (1967)
General- Information Performa
ANALYSIS OF DATA:
FREQUENCY
DISTRIBUTION
SELECTED VARIABLES
FOR
Table 2: Frequency Distribution of Respondents

according to their Age
Age Group
14-16 Years
150
17-19 Years
150
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Very
High
Average
High
Ability Ability`
Low
Very
Ability
Low
Ability
Total
Ability
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
A close perusal of Table-4 reveals that

maximum subjects in the age group 17-19 years
(85) fall under average category while in the age
group 14-16 years 59 respondents were under
average category. This indicates that more
number of older children i.e. 17-19 years old had
the average ability to make moral judgment as
compared to younger children i.e. 14-16 years
old.
There were 27 subjects of 14-16 years age
group in Very High Ability category where as
there were only12 subjects of 17-19 years age
group in this category. In the High Ability
category the number of subjects from both age
groups was similar. In Low Ability category also,
the number of subjects from 2 age groups was
again almost similar. Thus although the number
in the very high ability is slightly higher for the
younger age group; the majority of respondents
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P-ISSN 2347-2189, E- ISSN 2347-4971
lie in the average category, where the oldsters

predominate.
Table 5: Comparison of Mean Scores of subjects at
two age-levels over their Moral Judgment
Age Group
14-16 years boys
Mean
25.8
Standard
Deviation
Score
Age
32.8
7.9
14-16 years girls
26.8
7.8
17-19 years girls
29.7
6.8
4.9*
2.2*
*Statistically significant at .01 and .05 probability

level
It is clear from Table-5 that mean score of
respondents in the 17-19 years age group was
higher than the mean scores of respondents in
the younger age group 14-16 years. Also the
value of Z was significant.
In agreement with the above finding, Gibbs
et al. (1982) reveals the fact from a study that
maturity of moral reasoning is strongly related to
age. A combined data from a cross-sectional
study reveals that age is correlated with moral
maturity at .72.
Higher moral judgment ability of subjects in
the age group 17-19 years, who are almost on
the threshold of adolescence, can be accounted
to their ability to think rationally and understand
other persons perspective which comes with
increase in age. As children begin to interact with
other people and their social sphere broadens,
they come to know that others may have different
view point from theirs. They start judging a
situation in a rational way and become able to
consider consequences and intentions
simultaneously when judging the morality of an
act.
In case of 14-16 years age bracket the
computed value of Z is greater than 1.96 but
Levels than 2.58, so, it is significant at 5% level
of significance but insignificant at 1% level of
significance.
Subject
Mean
Standard
Scores Deviation Score
Group
14-16
Boys
27.4
5.1
years
Girls
29.7
7.8
17-19
Boys
30.6
2.5
years
Girls
29.9
12.3
5.5
17-19 years boys
258
Table 6: Comparison of Mean Scores of Boys and

Girls over their Moral Judgment
2.1 *
.53
*Statistically Significant at .05 level of

significance.
It is inferred from Table-6 that the mean
scores for girls was slightly higher than the mean
scores for boys at both the age levels but the
value of z was significant which indicates that
there is no significant difference between moral
judgment of boys and girls.
In line, walker (1984) found no consistent
gender differences in the stages at which people
were scored when responding to Kohlbergs
dilemmas. Rather he believed that the moral
reasoning of males and females is more similar
than different.
In contrast, research finding has found that
in females and males moral reasoning often
centers on different concerns and issues. While
females often articulate a care perspective and
males a gender perspective, the gender
difference is not absolute and the two orientations
are not mutually exclusive (Yons1990).
Thus, these general patterns may be the
result of the different ways in which males and
females are socialized in our society. A woman
taught since childhood to value compassion
toward others and social obligations and a man
to value his freedom to make choices.
MAJOR FINDINGS
Major findings of the present study are
summarized as follows:i).
A significant difference was found in moral

judgment level in the two age groups; with
older children (17-19) scoring higher than
the younger ones (14-16 years).
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ii).
Insignificant gender difference was

observed in the moral judgment of
respondents.
relationship of moral reasoning and ego strength to

cheating behaviour. Monographs of Society for
Research in Child Devt. Toronto.
13.
Hyde, J.S. (2000), Gender differences in erotic

plasticity. Evolutionary or Socio-cultural forces?
Psychological Bulletin, 126, 375-379.
14.
Kahn, J.V. 1983. Moral reasoning of Piagetian matched retarded and non-retarded children and
adolescents. Journal of Genetic Psychology. 143 (1) :
69-77.
15.
Kahn, Peter, H.Jr. 1992. Childrens Obligatory and

Discretionary Moral Judgements. Child Development.
63 : 416-430.
16.
Kohlberg, L. (1964). The devt. of moral character &

moral ideology. In M. Halfman & L. Halfman (Eds.),
Review of Child Devt. Research. Newyork: Russell
Sage.
17.
Kothari, S. 1994. The role of SES, IQ and sex in the

devt. of moral concepts among 6th graders. Prachi
Journal Psychocultural Dimensions. 9(2) : 69-75.
18.
Krevans, J & Gibbs, J.C. (1996) Parents use of

inductive discipline. Retations to childrens empathy
and pro social behaviour. Child Devt., 67, 3263-3277.
19.
Lin, S. & Jun, Y. 1992. Case control study of family

background and intelligence structure of children with
academic difficulties. Chinese Mental Health Journal.
6 (4) : 157-159.
20.
Lind, P & Smith, E.J.1984. Moral reasoning and social

functioning among educable mentally handicapped
children. Journal of Developmental Disabilities. 10(4)
: 209-215.
CONCLUSION
It was concluded from the research findings
that cognitive maturity is closely related to mature
moral judgment. This is not surprising as a high
level of abstract thinking is required in the
development of evaluation of intent, rational
ethical standards and sensitivity to the roles,
perceptions and feelings of others. Also, definite
shifts in moral judgment occur with increase in
chronological age, as older subjects were found
higher in moral judgment.
Further, certain
antecedent conditions like sex, fathers education
showed negligible impact on moral judgment but
mothers education was found to be of paramount
importance.
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1.
A1 - Deen, Hala - F 1991. Moral Judgement in mentally

retarded children. Derasat Nafseyah. 1 (4): 553-570.
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Berk, Laura. E. 1996 Child Development. 3rd ed. New

Delhi : Prentice Hall of India.
3.
Blankeney, C. & Blankeney, R. 1989. A Logic to the

Madness> Toward a Theory of Moral Disorder.
Berkeley : The Inst. for Clinica Devt. Psy.
4.
Bussey, K.F. & Maughan, B. 1982. Gender differences

in moral reasoning. J.Personal, Social, Psychological,
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Lyons, N.P. 1990. Listening to voices we have not

heard. In C.Gilligan, N.P. Lyons (Eds), Making
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Colby, A : Kohlberg, L : Gibbs, J & Leiberman, M.

1983. A longitudinal study of moral judgement.
Monographs of Society for Research in Child Devt.
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Newton, G.B. 1984. A study of selected factors related

to moral devt. in children ages 7-10 Diss. Abstr. Int.
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Gupta, P : Puja 2010, A study of Moral Judgment

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Nichols, K.E. 1982. A longitudinal study of deliberate

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Int. 42 (2) : 4707.
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Finn, E.J. & Doyle, R.E. 1983. The effect of three

experimental conditions on the moral judgements of
9th graders. Counselling and Values. 27(3) : 150-159
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Papalia, Diane E. & Olds, Sally. W. 1986. A Childs

World. 4th Ed. New Delhi. Mc Grow - Hill Book
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Gibbs, J.C. & Wildman, K.F. 1982. Measuring the devt.

of socio-moral reflection. Social Intelligence.
Englewood Cliffs : Prentice Hall.
25.
Piaget, J. 1932. The Moral Judgement of the Child.

Newyork : Free Press.
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Gilligan, C. 1982. In a Different Voice. Cambridge :

Harvard Univ. Press.
Ratcliff, D.E. 1987. Predicting the moral development

of the mentally retarded. Journal of Psychology and
Christianity. 6(1): 65-67.
10.
Gibbs, J.C. 1984. Construction and validation of a

multiple choice measure of moral reasoning. Child
Development. 55(2) : 527-536.
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Sharma, V. & Kaur, K. 1992. Moral judgement as

function of intelligence, birth order and age of the
children. Psychologia - An International Journal of
Psychology. 35(2) : 121-124.
28.
Sigmand, M & Erdynast, A. 1988. Interpersonal

understanding and moral judgement in adolescents
with emotional and cognitive disorders. Child
11.
12.
Gregg, V: Gibbs, J.C. & Basinger, K.S. 1994. Patterns

of developmental delay in moral judgement by male
and female delinquents. Merrill Palmer Quarterly. 40(4)
: 538-553.
Hess L: Lonkey, E. & Roodin, P.A. 1985. The
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Psychiatry and Human Devt. 19 (1) : 36 - 44.
29.
30.
33.
Speicher, B. 1994. Family patterns of moral judgement

during adolescence and early childhood.
Developmental Psychology. 30(5) : 624-632.
Walker, L.J. & Taylor, J.H. 1991. Family interaction

and the devt. of moral reasoning. Child Development.
62 : 264 - 283.
34.
Wygant, S.A. & William, R.N. 1995. Perceptions of a

principled personality; An interpretive examination of
the Defining Issues Test. Journal of Social Behaviour
and Personality. 10 (1) : 53 - 66.
31.
Verma, B.P. &Murti, R. 1998. Intgerface between

prolonged deprivation and intelligence as determinants
of values, needs and adjustments of male and female
students. Indian Educational Review. 34 (2) : 79-89.
32.
Walker, L.J. 1984. Sex differences in the devt. of moral
260
reasoning : A Critical Review. Child Development. 55

: 677 - 691.
Speicher, B. 1992. Adolescent moral judgement and

perception of family interaction. Journal of Family
Psychology. 6 (2) : 128 - 138.
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E GOVERNANCE IN HIGHER EDUCATION

1
*S.K. SINGH1, MANISHA SINGH2, PRIYANKA SINGH3

Geeta 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,
e-mail: sksingh.ms@gmail.com
ABSTRACT
Higher education in India has seen massive growth in recent years. On one hand, this growth
promises to produce more skilled individuals to fulfill needs of ever growing Indian economy
and on the other hand it poses a huge challenge for the governing bodies like UGC, AICTE and
others to maintain or improve the quality of education. An integrated Higher Education Service
System (HESS) at a national level can be one of the key ICT initiatives to help India become a
provider of world-class education. This system can provide deep visibility to governing bodies
at a university and student level to analyze their performance and hence gear up for future
requirements. HESS will enable various stakeholders to leverage the improved operational
efficiency in various key processes like grants, utilization certificates, approval processes,
feedback mechanism etc. With deeper visibility and increased operational efficiency the Indian
Higher Education System would be bolstered not only to satisfy the needs of students by making
them more employable but also combat possible competition from foreign universities.
Keywords : e-Governance, Higher Education Service System, Integrated System
INTRODUCTION
OPERATIONAL CHALLENGES
India has seen a lot of change in its

educational system since independence. The
government has shown great commitment in
terms of funds for educational sector over many
years. These funds have created many worldclass institutions like IITs, IIMs etc. but these kinds
of institute are few in number. Pressing need of
an emerging
India
necessitates the
establishment of high quality institutions/
universities in sufficient number. India has one
of the largest Higher Education System in the
world. The higher education system, which caters
to needs of approximately 99.54 lacks of
students, definitely deserves applause for its
commendable work so far. Despite having the
largest Higher Education System, the quality of
education, in general, cannot be claimed to be
the best. Providing education to such a massive
student base brings with it a number of
challenges both at operational and strategic level
as described below:
(1) Duplication of procedures
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According to a survey conducted by FICCI,

most of the promoters of institutions/universities
feel that multiplicity of regulating agencies like
University Grant Commission (UGC), All India
Council for Technical Education (AICTE), Medical
Council of India ( MCI), Central Council of Indian
Medicine, etc. leads to duplication of procedures
causing immense loss of time and resources.
Ideally, a single window should exist for approval
process. The university/institute should be asked
to submit all the documents at once online for
approvals. Various regulating agencies should
then internally coordinate to fetch the documents/
details from that common pool. This would greatly
reduce the unnecessary duplication of work for
university.
(2) Long funding cycles
The approval cycle for funds tends to be long
due to verification and various performance
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analysis of the university being funded.

Performance analysis consumes a lot of time and
resource. In general, the time from request for
funds to disbursement of funds is approximately
seven months. The difference between time of
request for fund and disbursement of fund leaves
much to forecasting and guesswork. If this
difference can be reduced then the expenditure
can be planned better. It will not only improve
the utilization rate of grants but also prevent
institute from making an unplanned and hasty
decision for utilizing the remaining amount.
(3) Long Approval Processes
There are various accrediting bodies like
NAAC, NBA etc. to maintain and improve the
quality of education in a university/institute.
These bodies take approximately nine months
for the accreditation process to be completed.
The process of approval and accreditation
should be faster and preferably paperless for
universities to get the rating quickly. If the process
is short then the frequency for accreditation for a
university can be more i.e. a university that has
been rated A in one year can continue to be
graded every year or every two year hence,
keeping itself up-to-date with the norms and rules
set by governing bodies. This also will help
students who seek admission based on rankings/
ratings of the colleges.
(4) Fraudulent Practices
Despite a great control of governing bodies
in Higher Education, there are many colleges and
students who get involved in fraudulent activities.
This is a cause of concern of various recruiters/
other universities. It also is a negative indicator
of Indian Higher Education System for various
MNCs, present in the country, who take this news
back to their countries.
The verification of any college or students
qualification should be possible from a single
source. This would help large universities/
corporate keep a check on students trying to seek
admission/job with forged certificates.
STRATEGIC CHALLENGES
(1) Deteriorating quality of education
India has some of the great institutes and
universities but the number of employable
262
students is very less. According to NASSCOM,

of 3 million graduates and post-graduates added
to the workforce in India every year only 25% of
technical and 10-15% of non-technical graduates
are employable by growing IT and ITES sector.
In todays environment, it is essential for the
governing bodies to keep a track of universities
based on monthly basis. There should be a metric
to assess the performance of a university on an
overall basis and on course basis. Some of the
criteria can be the progression of course during
a specified period, number of students attending
them etc. Based on these metrics, the university/
college can be asked to explain the reason for
good/bad performance. To achieve all this, there
should be consolidated information about each
university/college to track their performance
versus grants allocated.
(2) Outdated curriculum
A major issue in Higher Education today is
obsolete and irrelevant course curriculum. Today,
the demand of industry is far from the learning
that a student has gone through. In fast growing
economy, the preference will always be given to
a person who understands the industry practices.
Based on this criterion of little practical
knowledge, many graduates are losing out on
possible job opportunities for various MNCs
inside and outside the country. The need today
is to analyze the trend being followed by
institutions of excellence. Also, by seeing how
the students are selecting their courses, a trend
can be obtained about the movement of
preferences among students. This kind of
analysis can help governing bodies determine
the academic plan and course curriculum for the
lesser performing universities.
(3) Unemployed Students
It would be a mistake to assume that
smaller colleges/universities would not have
bright or employable students. There have been
many cases where bright students from lesserknown colleges do not even get an opportunity
to showcase their potential. It should be a duty
of governing bodies to provide some
opportunities to these bright students. This can
be achieved if industry interaction is improved
through a common medium. The governing
bodies should provide a common platform for
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best performing students and industry seeking

employees to interact for jobs, projects, research
work etc. If a governing body is involved in this
process then the industry will see it as a credible
platform to recruit.
E-GOVERNANCE
E governance has played a major role in
reducing operational inefficiency and improving
decision-making in many areas of governance.
An integrated Higher Education Service System
( HESS) is one such concept that can empower
the governing bodies to administer the progress
of the education plan in the whole country and
serve various stakeholders in a much better
manner.
STAKEHOLDERS OF HESS
Higher Education Service System is
conceptualized to be an integrated system having
interfaces with all the Universities. The data
required for this system will be as following:
university/college along with all the required

documents
List of necessary details required for

accreditation.
(3) Industry/Corporate Bodies

Governing bodies can empanel some of the
organizations selected through a process to
become key contributors in providing inputs
regarding the latest trends in the industries. This
would enable the governing bodies to keep the
universities/colleges in synch with the market
needs. Organizations can provide input to the
system in terms of:
Desired skill set in current scenario
Obsolete course contents
Details of upcoming projects/employment
These contributions can be made at a

common place in the system.
INPUTS REQUIRED FOR THE SYSTEM
OUTPUT FROM HIGHER EDUCATION

SERVICE SYSTEM
(1) Universities/Colleges
(1) Consolidated information for analysis
All the universities and colleges in India

should have an interface with UGC by registering
themselves with HESS. Each university will have
access to the system, where it would have to
furnish the following details on a periodic
(quarterly/monthly) basis:
HESS will have consolidated information of

all the registered universities and their students.
It would enable the governing bodies analyze
trends and take strategic decision in future. For
illustration, in many universities across United
States, a system is used to analyze the
demographics of students registering with a
university. It helps them analyze the application
trend based on geography and demographics
e.g. students from which part of the country are
not applying to the university and why. Similar
analysis can be done in India by governing
bodies to see and compare the performances of
various universities based on regions. This
analysis can then help them in devising a strategy
for the overall growth of a region and its
population.
Details of fund utilization
Details of all the registered students

including their grades, attendance etc.
Courses offered and curriculum
Progress of course on a periodic basis
Details of academic/research project where

human resource is required
(2) Governing Bodies

All the governing bodies including UGC,
AICTE, MCI (Medical Council of India) etc. should
also be registered with the system (HESS). Each
body will have separate access to the system.
These bodies will have to furnish following details
to the system:
Details of fund allocation

Details of approval processes for a
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Once the data about universities/colleges

and their students is consolidated, many kinds
of analysis can be carried out for the betterment
of the education system. Some of the analysis
can be:
Trend Analysis of Demand: The choice of

courses by students is probably the best
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indicator of changing market needs. This

trend can be proactively tracked by the
governing bodies and a mechanism can be
developed in short time to empower various
universities to deliver a quality education in
those courses.
Performance Analysis: With the data

available about colleges and universities,
various metrics can be defined to measure
the performances. Some of the metrics can
be employment rate vs. passing graduation
rate. This kind of analysis will help governing
bodies to concentrate on specifically on
those universities that have bad
employment to passing graduates ratio.
(4) Benchmarking against better performing

colleges
It is really astonishing to see the gap
between some of the top institutes (IITs, IIMs etc.)
of India and the other institutes. The gap among
these institutes needs to be reduced to raise the
overall level of higher education in the country.
With HESS having consolidated information
about all the colleges and universities,
benchmarking of lesser performing colleges can
be done with the better performing colleges
based on some common criteria like:
Efficacy of fund utilization: If two colleges

with similar funding perform at different
levels then the governing bodies can
organize a knowledge sharing session
between the two colleges.
Better student performances: If two

colleges with same course offering and
similar faculty - student ratio have drastically
different results then the best practices can
be replicated from one college to another.
Course modification: Based on feedback

from the industry, the system (HESS) can
identify intelligently which courses need to
be modified. Subsequently, with the
approval of authorities necessary changes
can be made to the curriculum in a short
time making our system dynamic and
adaptable to change.
(2) Visibility into fund utilization by

universities
By enforcing universities/colleges to update
the fund utilization status on a periodic (monthly/
quarterly) basis the governing bodies can have
a deeper visibility into the efficacy of funds. This
would help the governing bodies to improve the
utilization rate by monitoring on a regular basis
and preventing hasty decisions by universities
to utilize the fund before its expiry.
(3) Single point of contact for universities/
colleges
The system will gather all the pre-requisites
from governing bodies and professional councils
for funding/approval process. This information
will be consolidated at a place to reduce the
duplication of efforts. To illustrate, when a
university applies for funds/approval or any other
engagement with UGC (as example) then the
entire necessary documents can be submitted
online by the university without any manual
interaction. These documents will stay in the
repository of the HESS so that if university has
to interact with any other body like AICTE etc.
then the university needs not resubmit common
information. The system will fetch the information
from the repository for AICTE. This will reduce
submission of similar information by the
universities to different governing bodies. The
data will be submitted by the university at a
common place and will then be re-routed to
various governing bodies as and when required.
264
All this kind of analysis can be performed in

a short time by using HESS.
(5) Intelligent feedback mechanism
The voices of the end consumer of education
i.e. students are rarely heard directly by the
governing bodies. There are too many levels for
the voice or opinion of a student to remain original
before reaching the concerned authorities. HESS
can have an interface with the students to get
the direct feedback on some critical matters like
efficacy of course etc. The feedback then can be
intelligently analyzed by the system to show the
impact of suggested change on the key result
areas (like governance, teaching, evaluation etc)
set by the governing bodies.
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(6) Industry orientation and improved

employment rate
The yardstick to measure the quality of
education in a country is either the contribution
in Research & Development ( R & D ) or the
employment rate. Assuming that every institute
has a limited number of R & D aspirants,
measuring the quality of education depends
mainly on employment rate. Though governing
bodies need not be responsible for creating job
opportunities yet they can play a significant role
in reducing the unemployment rate in lesserknown colleges by re-directing some of the job
opportunities. This would be a great help for
bright students in lesser-known colleges. For
creating such opportunities projects/jobs in
various fields can be published in the system by
industry/other colleges. These project
requirements can then be internally
communicated to select institutes based on some
rules e.g. colleges with low employment rate but
good academic results can be given preference.
This is not to say that governing bodies should
act like placement agencies but like a body that
will make sure that good universities or good
candidates in remote areas dont lose out an
opportunity to change their lives. Assumption
here is that the corporate houses and
organizations would trust a governing body more
than an individual university.
KEY BENEFITS
university/colleges request to verify the status

of a college. In case of transfer/admission/
placement of a student to a university/
organization, his / her credentials can be verified
on a real-time basis. This will prevent students
from using fake degrees to get admission/job.
D. Improved quality of education
An integrated system like HESS can enable
the authorities to analyze the performance of one
of the best performing institute in related field
and compare it with other colleges to identify the
gap areas. Also, the system can obtain feedback
from industry and students to modify course
curriculum if deemed appropriate by the
authorities. This will allow all the lesser
performing colleges to reduce the gap with better
performing institutes. It will be helpful in the
betterment of the higher education in the country
and increase the number of employable students.
E. Increased and broadened employment
The HESS can be used as an analytical tool
to assess the performance of an institute based
on employment rate vs. the number of passing
graduates. This would enable the governing
bodies to capture the reason behind the low
employment rate in a college. The opportunities
from corporate houses/colleges can then be
broadly diverted to lesser-known colleges for
some bright students.
A. Single window approval/clearance system
POSSIBLE ROADBLOCKS
As discussed above, the HESS can provide

a single window for approval/clearance for an
institution. The documents/details to be
submitted need not be duplicated. A common
repository would hold the documents from where
the concerned governing body can fetch the
information anytime.
The HESS can be a significant step in

improving the governance and service levels in
higher education but there can be some
roadblocks in the success of this concept.
B. Faster approval and funding processes

HESS can reduce long cycle of accreditation
and approval by automating most of the manual
processes. This will not only help in better
utilization rate but also encourage the universities
to go for accreditation/approval on a regular
basis.
C. Keeping a check on fraudulent colleges
The integrated system can respond to any
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A. Furnishing data by universities/colleges

The biggest roadblock in the success of this
kind of system would be the availability of data
with universities/colleges. At the moment, this
data would have to be uploaded on a monthly/
quarterly basis manually in most cases. The bestcase scenario would be if these institutes/
universities have the required data maintained
in their own systems. In such a scenario, the data
can be fetched /requested at any moment for
analysis and decision can be taken on real data
and not past data.
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B. Threat of losing control
REFERENCES
One possible concern area for universities/

colleges would be of losing control over the
utilization of funds, innovation in teaching etc.
This threat would require to be attended by the
governing bodies. Actually, it is not a threat but
an opportunity to gear up for possible competition
from foreign universities in the long run by being
transparent and more efficient.
1.
FICCI Survey on Understanding of Private Higher

Education in India, 2006
Higher Education Sector in India: Opportunities &
Reforms(Foundation for Democratic Reforms / Lok
Satta), 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.
C. Concern about sharing best practices
3.
Another area of concern especially for the

better performing institutes can be that of sharing
their practices through which they achieved better
results. This again needs to be addressed by
the authorities by giving some incentives for
sharing their practices in an open manner with
lesser performing colleges.
Measuring Returns: Examining the Financial and

Process Improvement Impact of Student
Administration, Human Resources, and Finance
Systems in Higher Education, White Paper by Edu
ventures, 2004.
4.
Ministry
of
Education
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 and

Disbursement 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
CONCLUSION
Higher Education Service System (HESS)
is a concept that can possibly revolutionize the
governance in higher education. It has the
capability of improving quality of higher education
and increasing number of employable students.
Despite its great potential to help the higher
education in India, the success of this concept
will be based on a great coordination and support
from governing bodies and universities/colleges.
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WOMEN EDUCATION FOR

NATIONAL DEVELOPMENT IN INDIA
1
* B.C. TRIPATHI1, M. AWASTHI2, R. SHUKLA3

Department 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,
e-mail-tripathibc@yahoo.co.in
ABSTRACT
Education of women is most important for development of society in a holistic way. Education
helps 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 in
providing knowledge and education, there is urgent need to establish schools, colleges and
universities exclusively for women in various states of the country. Although some schemes
have been launched by central government and state governments in our country to educate
girls, especially from marginalized families of below poverty line (BPL), followed by giving a
package 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 the
country. Concerted efforts involving educationists, social workers and policy makers are
warranted in this important sector for overall development of the country.
Keywords: Women education, Development
INTRODUCTION
Education is considered a key instrument
for the change which is responsible for national
development. It is true fact If you educate a
boy, you educate an individual, but if you educate
a girl , you educate a family, society and untimely
the nation. Education liberates women from
ignorance and enhances their self esteem. It
enabled them to choose their own way and look
after their families in better way. Womens
education brings about more vigilant enhancing
ability to rear and bring up children in a better
way. There is a positive correlation between
women literacy rate and life expectancy. While
illiteracy is invariably associated with poverty,
malnutrition, deprivation, high mortality, high
population growth and all other aspects of
underdevelopment; womens education becomes
imperative. When women are educated, their
dependence may disappear or decrease.
Education helps women to resist exploitation,
besides of course empowering them to be selfreliant. The National Policy on Education 1986
www.ijsir.co.in
states Education will be used as an agent of

basic change in the status of women. In order to
neutralize the accumulated distortions of the past,
there will be a well-conceived edge in favor of
women. The National Education System will play
a positive interventional role in the empowerment
of women. It will foster the development of new
values through redesigned curricula, test books,
training and administration.
The aim of education to women should be
in such a way that they may apply their acquired
knowledge to the pursuits of daily life and they
may be able to get desired employment in order
to make themselves economically independent.
Further, education for women should always be
directed towards their holistic development so
that they can adjust themselves to the
complexities of the society. Education must
create an awareness to them about their rights
and duties so as to make them independent in
thinking and decision making. If women are to
contribute effectively to national development in
the 21st century, the fundamental question arises
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whether they will be sufficiently equipped to

participate fully by receiving a quality education
that will prepare them to enter in any field
exposing them to science, technology and
communications and stimulating their creativity.
Government has laid many policies and
programs for the development of women
education.
LITERACY/ ILLITRACY
Female literacy rate has improved from 7.95
per cent to 24.82 per cent between 1951 to 2011.
The decadal growth rates and changes in the
sex ratio among literates at the national level
during this period are indicated in the table give
below. The table indicates that while the decadal
growth rate in female literacy is higher as
compared to males, the trend shows a steep
decline for both sexes:
EMERGING CONCERN
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
Table 1: Female literacy rate (1951-2011)

Elementary education has emerged as a key
policy to programmatic concern of the Indian
Government. Some important schemes have
been launched viz. Sarva Shiksha Abhayan
(SSA) or Education for All with very ambitious
goal launched in the year 2001,Spearfish
programs within SSA, National Program for
Education of Girls at Elementary Level (NPEGEL)
and Kasturba Gandhi Balika Vidyalaya focusing
exclusively on girls in educationally backward
districts. Another landmark scheme : Mid Day
Meal Scheme has been launched to encourage
children in rural areas for education. In addition,
Mahila Samkhya (Education for Womens
268
Equably) program lunched by Govt. of India is

an affective way to provide education to
economically and socially backward women.
This program was launched in 1989 by the
Government of India and was operational in few
states like Uttar Pradesh, Gujrat and Karnataka.
The Mahila Samkhya Programme address
several gander issues, including violence against
women. It includes a number of innovative nonformal educational programs for women and
adolescent girls. This involves enabling women
to address and deal with problems of isolation
and lack of self confidence, oppressive social
customs and struggle for survival, all of which
inhibit their empowerment. In the present time ,
Mahila Samkhya Scheme is active in about
12,000 villages, over than 60 districts in India,
including Bihar. It may be added that UNICEF
has been active an collaborator with Mahila
Samkhya Scheme for a long time. It strives to
make women aware, empowered, capable and
self-reliant. It has been particularly successful in
laagering out of school girls by working with the
community to create learning opportunities in
alternative centers, residential camps and early
childhood development centers.
NATIONAL PROGRAME FOR EDUCATION IF
GIRLS AT ELEMENTRY LEVEL
This program under the existing scheme of
Sarva Shiksha Abhiyan (SSA) provides additional
components for education of underprivileged
girls at the elementary level. This scheme is being
implemented in educationally backward blocks
(EBBs) where the level of rural female literacy is
less than the national average and the gender
gap is above the national average, as well as in
blocks of districts that have at least 5 % SC/ST
population having female literacy below 10% as
per census data 1991.
KASTURBA GANDHI VIDYALAYA: More
than 750 residential schools are being setup in
difficult areas with boarding facilities at
elementary level for girls predominately
belonging to the SC/ST/ OBC and minorities. The
scheme would be applicable only in identified
educationally backward blocks. Whereas per
census data 2001, the rural female literacy is
below the national average. Among these blocks,
schools may be set up in areas with concentration
of tribal population, with low female literacy.
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CONDENSED COURSES OF EDUCATION

FOR WOMEN
This scheme provides education to
adolescent girls who do not have opportunity of
joining formal education system to pass primary,
upper primary and secondary level examinations
and it helps to develop their skills.
REFERENCES
1.
Ali khan mohsin (2001) ,- Womens education still a

distant dream Yojana V. 4, 5 December pp.40-42.
2.
Anju Vyas and Sunita Singh (1993), Women

programmes and Schemes/Women studies in India,
New Delhi Sage Publication p.-129
3.
Bhasker Rood (1994), Women education and

Employment. In. International Encyclopeadia of
Women 2, New Delhi, Discovery Publishing Hence
p.6
4.
India, (1996), Department of women and child welfare,

states refort p.5
5.
Jayantic (2002), Rural education and rural

reconstruction Yojana. V.46, June pp.54-56.
6.
Nisha Singh (2001),- Technology Education and the

Indian Women, University News 39(10) pp. 12-14.
7.
Singh O R (2001) , Education and Womens

empowerment social welfare 40(1) pp. 35-36.
8.
Verma Devi, K (2000),- Womens education what

direction? Social Welfare 40(1) pp.6-8.
CONCLUSION
This paper reveals that there has been
considerable improvement in participation of girls
during the post-Independence period, yet it
continues to be below 50% both at primary and
upper primary levels of school education.
Although the increase in enrolment has been
more significant at the upper primary level as
compared to primary level have a sufficient
progress has been made.
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ROLE OF E-GOVERNANCE TO STRENGTHEN HIGHER

EDUCATION SYSTEM IN INDIA
1
*CHARANJEET KAUR1, PREM MEHTA2

Research Scholar, Department of Education, Sai Nath University, Ranchi ,India
2
Principal, 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. A
remarkable growth in the higher education sector had made the administration of higher
education institutions intricate. Many researches reveal that the integration of ICT helps to
reduce the intricacy and enhance the overall administration of higher education. Electronic
Governance (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-access
citizen services, and improve processing of transactions both within the government, and
between the government and other agencies. E-Governance is understood as a set of
activities involving the effective contribution of information and communication technology
(ICT) for strengthening administration and management in higher education system . In
India, it has declined somewhat over the past three decades due to remarkable increase in
the number of colleges and universities and their privatization. It has become very important
for the government to keep track of their functioning. Educational institutions may have
various requirements that include computerization and management of processes such as
registration, admission, student information, classes, time table, transport, attendance,
library, salary and expenses, examinations, performance, grades, hostels, security and
reports. Many of the software providers allow their clients to choose from the available
modules to suit their needs to monitoring of these aspects. In this study, an attempt has
been made to discuss the concept of E-Governance and use of latest application in higher
education sector.
Keywords: E-Governance, Information and Communication Technologies (ICT), Indian
higher education system (IHS), IMS (Management Information System)
INTRODUCTION
e- Governance can transform citizen
service, provide access to information to
empower citizens, enable their participation in
government and enhance citizen economic and
social opportunities, so that they can make better
lives, for themselves and for the next generation.
Formation of communication transactions,
integration of various stand-alone systems and
services between Government-to-Citizens (G to
C),
Government-to-Business
(G
to
B),Government-to-Government( G to G) as well
270
as back office processes and interactions within

the entire government frame work. Through the
e-Governance, the government services will be
made available to the citizens in a convenient,
efficient and transparent manner. The three main
target groups that can be distinguished in
governance concepts are government, citizens
and businesses/interest groups. In eGovernance there are no distinct boundaries.
Generally, four basic models are availableGovernment to Customer (Citizen), Government
to Employees, Government to Government and
Government to Business. Governments are
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specialized institutions that contribute to

governance. Representative governments seek
and receive citizen support, but they also need
the active cooperation of their public servants.
Governance is the outcome of politics. [9]
Change has been happening at an uneven
pace in any growth-oriented industry, and the
education sector is no exception. Rapid growth
in the field of education has made governance
in academic sector a very complex task. The 21st
century has witnessed tremendous advancements in technology which has led to far-reaching
developments in the administrative system. Costeffective technology combined with the flexibility
in learning and administrative activities is
essential to enhance efficiency. Computers can
be used extensively for educational
administration. There are some of the areas
where computers can be used for effective
educational 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 y

System
Information and Communication Technology

(ICT) plays a vital role in supporting powerful,
efficient management and administration in
education sector. It is specified that technology
can be used right from student administration to
various resource administration in an education
institution (Christiana Maki 2008). Sharad Sinha
(2008) mentioned the various administrative
challenges for Indian education system of the
21st 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 need

for ICT integration into administrative activities
of higher education institutions. The various ways
of introducing technology in education institution
administration are the following (Caroline Salerno
2009):
www.ijsir.co.in
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 parents

to write e-mail addresses on medical forms.
Insist that all teachers create a class Web

page
Attend technology conferences to see what

other schools are doing, what other teachers
are doing to integrate technology, and what
principals are doing to encourage the use of
technology 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 to
cover teaching, research and extension. If we
critically analyze the different concept of higher
education, it can list the various roles of higher
education in the society. Higher education is the
source or feeder system in all walks of life and
therefore supplies the much-needed human
resources in management, planning, design,
teaching, and research. Scientific and
technological advancement and economic
growth of a country are as dependent on the
higher education system as they are on the
working class. Development of indigenous
technology and capabilities in agriculture, food
security and other industrial areas are possible
because of our world- class higher education
infrastructure. Higher education also provides
opportunities for lifelong learning, allowing people
to upgrade their knowledge and skills from time
to time based on the societal needs. The Kothari
commission (1996) listed the following roles of
the universities (Higher education institutions in
the modern Society):
(i)
To seek and cultivate new knowledge, to

engage dynamically and fearlessly in the
pursuit of truth, and to interpret old
knowledge and benefits in the light of new
needs and discoveries
(ii) To provide the right kind of leadership in all

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walk of life, to identify gifted youth and help

them develop their potential to the full of
cultivating physical fitness, developing the
powers of the mind and cultivating right
interests, attitudes and moral and
intellectual values
(iii) To provide the society with competent men
and women trained in agriculture, art,
medicine, science and technology and
various other professions who will also be
cultivated individuals, imbibed with a sense
of social purpose
(iv) To strive to promote quality and social justice
and to reduce social and culture differences
through diffusion of education
(v) To foster in the teachers, students and
through them in the society generally, the
attitudes and the values needed for
developing the good life in individuals and
society (GOI, 1996)
E-GOVERNANCE IN HIGHER EDUCATION
India has one of the largest higher education
system in the world .Despite having the largest
higher education system, the quality of education,
in general, cannot be claimed to be the best.
Technical and vocational education in India has
seen enormous growth in recent years with a
large increase in total number of institutes
imparting higher education. On one hand, this
growth promises to produce more skilled youth
to fulfill needs of ever growing Indian industry
and on the other hand it poses a huge challenge
for the governing bodies like UGC, AICTE, NCVT,
NCTE, PCI, MCI, INC, DCI etc and state technical
education boards to maintain and improve the
quality of education being imparted through these
new and existing technical and vocational
institutes. But according to data reported by
NASSCOM(National Association of Software and
Service Companies) in its 2004 report, out of 3
million graduates and post-graduates added to
the workforce in India every year only 25% of
technical and 10- 15% of non-technical graduates
are employable by growing IT, and other sectors.
It is a very serious situation.
The lack of knowledge, qualities and skills
desired by the employers, from the youth, may
lead to the problems like unemployment/
underemployment, which will lead to their
272
disapproval and hence their offense will be

reflected in terms of an increase in crime and
other antisocial activities.[4]
Now a days, our education system is untidy,
to say the least. It is characterized by
substandard technical and vocational institutions
lagging good infrastructure and qualified
teachers, teacher truancy, obsolete syllabi,
inadequate infrastructure, unemployable
graduates and a lot more other problems. The
scenario has been further worsened due lack of
some effective and real time monitoring
mechanism and widespread corruption prevalent
in government. regulatory bodies that help such
substandard institutes to start and remain
functional without bothering to maintain any
quality at all. Mushrooming of a large number of
unrecognized and substandard fake universities/
institutions, distribution of fake certificates of
diploma, degree and Ph.D, courses fraudulently,
without being caught, is also another outcome
of such a untidy system. [5]
NECESSITY OF E- GOVERNANCE IN HIGHER
EDUCATION
If the quality of our higher education system
has to be improved to make these institutes really
word class, then there is no alternative to the
introduction of e-governance in this sphere at the
fastest possible pace. Implementation of egovernance in technical and vocational institutes
will enable their effective and real time monitoring
by government/the regulatory bodies and other
stakeholders their own managements, parents
of the students and the society, thereby forcing
them to maintain quality and become more
responsible. E-governance process brings
transparency in the system, so e-governance
initiatives in the field of higher education will help
reduce the corruption up to a large extent. The
introduction of e-governance in higher education
is one such concept that can empower the
governing bodies to administer the progress of
the education plan in the whole country and
serves various stakeholders in a much better
ways. E-Governance is becoming a global
phenomenon that is increasingly attracting the
attention of community citizens including
politicians, economists, decision and policy
makers amongst others (Naheed et al., 2009).
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According Info Dev Report (2002) an

effective e-governance satisfies these following
needs:
Providing greater access to government

information
Promoting public engagement by enabling

the public to interact with government officials
Making government more accountable by

making its operations more obvious and thus
reducing the opportunities for corruption
Providing development opportunities,

especially benefiting rural and traditionally
underserved communities
E-Governance in higher education system

will enable various stakeholders to control the
improved operational efficiency in various key
processes like grants, utilization certificates,
approval processes, feedback mechanism etc.
With deeper visibility and increased operational
efficiency the Indian higher education system
(IHS) would be implemented not only to satisfy
the needs of students by making them more
employable but also combat possible competition
from foreign universities.
Basic Infrastructure Model: The private

sector invests in infrastructure and the
government runs the operations and
management of the institutions in turn,
making annualized payments to the private
investor.
Outsourcing Model: Private sector invests
in infrastructure and runs operations and
management and the responsibility of the
government is to pay the private investor
for the specified services.
Equity/Hybrid Model: Investment in
infrastructure is shared between
government and private sector while
operation and management is vested with
the private sector.
Reverse Outsourcing Model: Government
invests in infrastructure and the private
sector takes the responsibility of operation
and management.
Colleges and universities will need to
change radically in the coming years and
first think social intranets may be a key to
this transformation.
BENEFITS OF E-GOVERNANCE IN HIGHER
EDUCATION
In order to remove the copying of

procedures, there should be consolidated
information about each university and college to
track their performance. The tools of egovernance may enable the universities or
colleges to submit the documents online for
approval. All agencies should internally coordinate to carry the details from common pool.
This would greatly reduce the unnecessary
duplication of work in the university. Apart from
this, there may be a number of other services
that can be provided with the introduction of such
type of governance.[1]
(i)
MODELS
OF
PRIVATE
SECTOR
PARTICIPATION IN HIGHER EDUCATION
(ii) Increase in student enrollment ratio.
Recently, the University Grants Commission

(UGC) has recommended four models of Public
Private Partnership to the Planning Commission
and according to an estimate the country requires
an investment of over US $ 150 billion in the next
10 years. The four models proposed by the
Planning Commission are in terms of basic
infrastructure model. [10]
www.ijsir.co.in
The benefits of e-governance in an

educational sector are improved efficiency,
increase in transparency and accountability of
educational administrative activities convenient
and faster access to services, and lower costs
for administrative services. The multi-faceted
benefits of e-governance can be described as
under these points [7]:
Benefit to university
Centralized information access from
anywhere
(iii) Provide quality e-services, e-participation,

(iv) Increase clearness
(v) inventive teaching tools
(vi) Improved decision making, Private Public
Participation
(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 likeexamination 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 in
governance
SUGGESTIONS AND RECOMMENDATIONS
The online methods enable more effective
education and offer significant advantages over
traditional services.[7]
Provide E Services After the
implementation e-governance, we improve the
delivery of services to students, faculty by
providing services like enrollment, examination,
result, feedback, requests for documents,
requests for certificates, issuing admit cards and
ID cards, employment etc.. The system provides
timely alert to colleges through SMS /Emails. Egovernance in education provides new ways of
communicating to the students, imparting
education and organizing and delivering
information and services.
Improved education system - Egovernance in education sectors allows use of
274
information and communication technologies

with the aim of improving education, information,
service delivery, encourage student participation
in the decision making process, making
administration transparent and effective and give
universities a new channel of educational
unemployment. Also, the system can obtain
feedback from industry and students to modify
course curriculum if deemed appropriate by the
authorities. This will allow all the lesser
performing colleges to reduce the gap with better
performing institutes. It will be help in the
betterment of the higher education in the country
and increase the number of employable students.
Innovative Teaching Tools The new
technologies offer vast opportunities for progress
in all walks of life. With the introduction of new
technological initiatives, the structure of higher
educational institutions has changed. The
changing role of lecturers, the changeable
learning environment and the design of eLearning facilities all contribute to a potentially
more flexible organizational structure of higher
education in rural areas. The future delivery of
education will be based through e-Learning
technology providing lecturers with superior
teaching tools. The online methods enable more
effective education and offer significant
advantages over traditional teaching methods.
This has been possible by technological
implementation based environments such as
bulletin, boards, virtual lectures and e- Libraries
and video conferencing. In e- learning
environment can support communication with
classmates and lecturers.
Private Public Participation Almost all
e-government projecst have found it convenient
to involve different private agencies for different
tasks through public-private-partnership (PPP)
arrangements. These tasks include design and
development of application software, population
of data and content in the regional language,
procurement and installation of networking and
computer systems, deployment of software and
delivery of services.
Centralized Information - E-Governance
has provided electronic information infrastructure
to simplify service delivery, reduce duplication,
and improve the level and speed of service at a
lower cost. The centralized information approach
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of e-Governance keeps all information at one

place in electronic form. This approach of making
information secure prevents it against any theft
or leakage.
Use of intranet - Intranet-based training
provides a low cost and knock-on savings, that
can be a virtual two-way system, with students
connected to mentors and teachers receiving
real-time feedback and support. Managers with
employees scattered among sites and locations,
particularly if they are so far flung that they are
in different areas, need a cheap and effective
way to communicate them. ICT is already proven
as the way to access knowledge based
information from anywhere to anytime but a
limitation of the university that they cant
communicate with other colleges.
With the help of above benefits and
suggestions it is possible to design a system that
is student centric and can provide a variety of
servicesinformative, interactive, and
transactional and integrated system across the
entire spectrum of the education sector. Central
universities, state universities, autonomous
institutes, deemed and private universities and
affiliated colleges will enter the data and caters
the need of MIS of regulating and coordinating
bodies.
at this level in the model will provide the

information to the regulating and accreditation
bodies.
CONCLUSION
Planning for efficient administration of higher
educational institutions, increasing global
communication skill and to achieve the world
class standard, it is necessary to have a improved
collaboration and access to information available
in all the parts of the world which are possible
only by introducing IT in educational sector with
e-governance as a security for maintaining
standard. The e-governance needs security for
smooth information flow, best practice database
and enhanced capacity for information analysis
etc. Government should support by enacting
favorable legislations and updated amendments
for maintaining standards in the educational
process and improvements in the related field. It
requires completely new infrastructure,
procedures, policies and working skills for
producing and collecting online information. With
the advent of ICT, electronic governance is an
emerging trend to re-invent the way the
government works, becoming a new model of
governance. Such a comprehensive and
integrated system can also enable authorities to
analyze the performance of one of the best
performing institutes and compare it with other
schools and colleges to identify the gaps.
Through e-governance we improve the quality
of higher education system in India. Egovernance can create the transparency
between the universities, colleges and students.
It will bring forth, new concepts of governance,
both in terms of needs and responsibilities. Many
problems of higher education system can be
solved by the Public Private Partnership model
and e-governance.
Fig: Use of e-governance in Higher Education
REFERENCES
Users can tap the system and find out the

related information needed. The higher education
coordinating and regulating bodies could obtain
the reports on various issues about future
planning like budget, demand of courses etc. The
regulatory body has a critical role to play
according to this model. These units will be
responsible of data integration and will cater the
need of various stakeholders. . The MIS working
1.
Ashok Kumar (GIAN JYOTI E-JOURNAL, Volume 1,

Issue 2, Jan Mar 2012) E-Governance in Education
Sector
2.
Dr.R.Krishnaveni and J.Meenakumari(International

Journal of Environmental Science and Development,
Vol. 1, No. 3, August 2010)Usage of ICT for
Information Administration inHigher education
Institutions A study
3.
HarshitaBhatnagar.( International Journal of Scientific

& Engineering Research, Volume 4, Issue 5, May-
www.ijsir.co.in
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P-ISSN 2347-2189, E- ISSN 2347-4971
2013) e-Governance in Higher Education: A Case
Study of IGNOU, New Delhi.
4.
JatinderGarg, SonuBalaGarg and NavdeepChoudhary

(Research Cell: An International Journal of
Engineering Sciences. Issue Sept 2011, Vol. 4)
Effective Implementation of E-Governance in Technical
Institutions in India using ICT to Make them World
Class.
5.
Mr. Sanjeet Kumar Tiwari, Mr. JubrajKhamari, Anjali

Singh.(IOSR Journal of Research & Method in
Education. Volume 2, Issue 3, Jul. Aug. 2013)
Promoting E- Governance Culture in Higher Education
Institutions.
6.
Prateek Bhanti1, Dr. S. Lehri2, Dr. Narendra Kumar

(International Journal of Emerging Technology and
Advanced Engineering. Volume 2, Issue 8, August
2012) E-Governance: An Approach towards the
Integration of Higher Education System in India.
276
7.
RanjeetaKapoor and NishthaKelkar(National

Conference on New Horizons in IT - NCNHIT 2013)
E-Governance: Higher Education in Rural Area.
8.
Sebahat Bartn Orman Fakltesi Peyzaj Mimarl

Blm 2007(Importance of e-education and egovernance: Case of zonguldakkaraelmas university,
Department of Landscape Architecture)
9.
SudipSuklabaidya, AngshuMaanSen(International
Journal of Emerging Trends & Technology in Computer
Science.Volume 2, Issue 3, May June 2013)
Challenges and Prospects of E-governance in
Education.
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
1
*PREM YADAV1, PREM MEHTA2

Research Scholar, Department of Education, Sai Nath University, Ranchi, India
2
Principal, V. B. College of Education, Rohtak, India
*Address for correspondence: Prem Yadav, Research Scholar, Department of Education

ABSTRACT
Education influences economic development directly and also indirectly. The direct impact is
through productivity, employment, composition of the labour force, division of labour, mobility of
labour, 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 study
investigates the growth of higher education in India during the period 1950 to 2005. The objective
of this study is to analyze growth of higher education in India using the year wise growth rate
formula. The result shows that the there is satisfactory growth of higher education in India
During study period.
Keywords: Education Influences, Economic Development, Productivity, Employment,
Modernization
INTRODUCTION
Developing countries and developed ones
have rapid economic development as the primary
objective. Human beings play a crucial role in
this development. Gerald M, Meir has aptly
remarked: The key to development is human
being and his (her) abilities, values and attitudes
must be changed in order to accelerate the
process of development (Meir G.M., 1975).
Education plays a key role in this process.
Theoretical and empirical researches have
substantiated the fact that investment in human
capital formation of a country plays a fundamental
role in improving the efficiency and productivity
of human beings, and through them the various
factors that complement and supplement the
production process. This investment in people,
especially through the medium of education has
attracted the attention of economists across the
world. A properly planned education system
contributes significantly to the growth and
economic development of a country (Agrawal P.,
1982). The modern university system in India
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came into existence during British rule. However,

the seeds of higher learning have its deep rooted
origin since the vedic times in the form of
gurukuls and ashrams. In India, during the British
rule, the first three universities were set up in
1857 and the thrust of development was mainly
on liberal Arts education. Growth was modest
with 18 universities established over a period of
90 years. Most of these followed the model of
the three leading universities at Bombay, Calcutta
and Madras. At the time of independence, there
were 20 universities and about 500 colleges, with
an enrolment of less than 150,000. Presently, the
Indian system of higher education is one of the
largest in the world (Tilak JBG, 2007).
REVIEW OF LITERATURE
Lakdawala D.T. and Shah K.R. (1978)
studied the funding pattern of education in
Gujarat state during 1960-61 to 1969-70. The
study examined the unit cost in colleges and their
economic and optimum size. The study proposed
policy actions and revision of funding pattern in
higher education. Tilak J.B.G. and Varghese N.V.
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(1991), in their study entitled Financing of

Education in India, analyzed various aspects of
public financing of education in India, particularly
the centre-state partnership in deciding the total
amount of resource allocation to education, its
distribution by levels of education and inter-state
differences. The study also discussed possible
alternative sources of financing education. The
study argued that fee is an important source of
additional financing for education in India.
Majority of the resources spent on education
come from government sources, which has little
possibility of any further increase. Therefore,
optimum utilization of existing resources and
mobilization of additional resources become very
important for financing education in the coming
years. Another important aspect is the devolution
of financial and other authority between the state
and districts for evolving policies on financing
education in India in the coming years. OECD
conducted an economic survey of India (OECD,
2007). It suggested that there is an urgent need
to improve education in India. The study found
that there are marked differences in educational
attainment across gender and social
backgrounds. However, higher enrolment is just
a first step to better outcomes. More needs to be
done to raise the quality of education, including
providing stronger incentives for teachers to work
and improving both the attendance and
completion rates of students and teachers
training. Educational reforms at the state-level
and in OECD countries suggest that
decentralization helps to raise efficiency and
should 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 higher
education sector in India. The paper relates to
the growth of higher education in India in relation
to the changing funding pattern and suggests
ways to ensure that higher education remains
both affordable and accessible to all. The author
emphasizes the need for greater adaptability in
the higher education system so that it continues
to provide the needed skills and trained workforce
to the economy as it integrates with the world
economy. The author also suggests policy
measures required to promote, sustain, and
enhance world-class research considering the
weaknesses in the prevailing regulatory and
278
quality assurance environment. The paper

provides a road map for reforms towards
improved accountability of the system.
..Mukherjee A.N. in his study Public Expenditure
on Education: A Review of Selected Issues and
Evidence (2007) discussed the role of education
in economic development which has been
recognized in mainstream economic literature.
Divergence between the private and social rate
of return from education is the rationale for
intervention by the state in ensuring equity in
opportunity across the population. The New
Growth Theories predict that higher levels of
schooling and better quality of workforce will lead
to an increase in the growth rate, further
strengthening the case for public expenditure on
education. The outcome of such research has
implications for the financing of education.
However, the effectiveness and efficiency of
resource allocation by the government has
generated considerable debate, both from
ideological and technical points of view. It is
widely acknowledged that there is a large scope
for improvement in both the level and the quality
of publicly funded education. New institutional
arrangements are being designed to address the
deficiencies in incentives and monitoring, thereby
improving quality.
OBJECTIVE :
The specific objective of this study is to
examine the growth of higher education in India
during the period 1950-2005.
HYPOTHESIS:
There is no significance growth of higher
Education in India during the Period 1950-2005.
DATA
SOURCE
METHODOLOGY
AND
RESEARCH
The study used secondary data available in

published sources. The time series data on
institutions, enrolment and teachers in higher
education in India were compiled from various
reports published by the Department of Higher
Education, Ministry of Human Resource
Development, Govt. of India, New Delhi. Year
wise growth rate was calculated by following
formula:
Growth Rate = (New Value - Old Value /
Old Value)*100
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Empirical Results
Table 1: Growth of Institutions, Enrolment and
Teachers in Higher Education in India
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
Source: Department of Higher Education, Ministry of

Human Resource Development, Govt. of India, New
Delhi
Note: * Universities include central, state,

private and deemed to be universities as also
institutions of national importance established
both by the central and state Governments.
During 1950-51 to 2004-05, the number of
universities has increased from 28 to 418, and
the number of colleges from 578 to 17,635.
During the same period, enrolment in higher
education has also increased from 0.174 million
to 10.48 million. The number of teachers has also
gone up from around 24,000 in 1950-51, to
4,72,000 in 2004-05. The expansion of higher
education after independence was higher during
the decades of 1950s and 1960s. This may be
because of the growing demand for higher
education during this period which was a global
phenomenon. The growth of such institutions was
comparatively slow during the 1970s and 1980s.
However, during 1990s and onwards, the
expansion of higher education system has
regained momentum.
Table 2 : Growth of Higher Education in India
(CAGR %)
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
Source: Authors own calculation

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During the year 1950-51 to 1960-61, the

number of universities has grown at a compound
annual 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 of
growth was relatively low compared to the earlier
period on all parameters. This has increased
considerably during the period 2000 and then
after when the compounded annual growth rate
of universities has been more than 11% per
annum and that of students enrolment and
teachers being around 5% per annum. In the
present times, as shown in table 1.05, as of 2006,
the number of institutions has grown considerably
during the period 2001 and onwards. This may
be because of the efforts made by the
government in promoting the establishment of
institutions of higher education etc.
Table 3 : Number of Universities and Other Academic
Institutions till 2006
Academic Institutions
Total number up to:
Type of Universities and other
1947 1966 1980 1993
Academic Institutions till 2006
Central Universities
3
5
8
10
Institutions recognized as 'Deemed
5
11 12 30
Universities'
2
9
9
10
Institutions of National Importance
18 56 81 112
State General Universities
State Agriculture Universities
--6
20 25
28 87 130 187
Total
2006
18
95
13
176
40
342
Source: Department of Higher Education, Ministry of

Human Resource Development, Govt. of India, New
Delhi
As is shown in the table 3 there has been a

sharp increase in the number of state universities
and institutions recognized as deemed to be
universities during the recent times and the total
number of universities and other institutions has
increased from 28 at the time of independence
which has risen to 342 during 2006.
CONCLUSION
Nevertheless, in spite of these impressive
figures, India lags far behind the developed
countries with a population of 100 crores. The
country has only 417 universities. In contrast to
this, Japan with a population of 12.7 crores has
684 universities and The USA, with a population
of 27.6 crores, has 2364 universities. Germany
with population of 8.2 crores has 330 universities.
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The average size of Indian higher education

institution in terms of enrolment is much smaller
as compared to that of Europe, US and China.
4.
Meier G.M (1975), Leading Issues in Economic

Development, Oxford University Press, London.
5.
Mukherjee A (2007), Public Expenditure on

Education: A Review of Selected Issues and
Evidence, Working paper from financing Human
Development paper 1, National Institute of Public
Finance and Policy.
6.
OECD (2007) www.oecd.org/dataoecd (viewed as on

12-1-2009)
7.
Tilak J.B.G and Varghese N.V. (1991) Financing of

Education in India, International Institute of
educational Planning, Anybool ltd. United Kingdom
8.
Tilak, J.B.G. (2007), Student loan and Financing of

Higher Education in India, Journal of Educational
Planning and Administration, July, Volume XXI, No.3.
REFERENCES
1.
Agarwal Pawan (2006), Higher Education in India:

The Need for Change www.icrier.org/pdf/
icrier_wp180_Higher_Educaion_in_India_pdf (viewed
as on 12-1-2009)
2.
Agrawal, P. (1982) Financing of Higher Education in

India, Ganga Kaveri Publishing House, Varanasi.
3.
Lakdawala D. T. and Shah K. R. (1978) funding

pattern of education in Gujarat state during 1960-61
to 1969-70.Optimum Utilization of Educational
Expenditure in Gujarat, Ahmedabad, sardar Patel
Research Institute
280
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VALUE-BASED EDUCATION: PROFESSIONAL

DEVELOPMENT VITAL TOWARDS EFFECTIVE
INTEGRATION
1
*VINAY KUMAR1, PREM MEHTA2

Research Scholar, Department of Education, Sai Nath University, Ranchi, India
2
Principal, V. B. College of Education, Rohtak, India
*Address for correspondence : Vinay Kumar, Research Scholar, Department of Education

ABSTRACT
Value-based education promotes a thought provoking and interactive environment for the
students through the values incorporated in the curriculum. It promotes quality education and
holistic development of each child for a bright future. Teachers play an important role in helping
students imbibe the values. Professional development is vital in integrating values in the
classroom. Understanding the principles and aim of values education enable teachers to create
effective learning environment for values education. This article suggests steps to construct a
value based curriculum towards quality education. This also emphasizes the importance and
need for teacher training for better outcome on the topic, and also suggests a plan to prepare
teachers as values educators.
INTRODUCTION
Value based education instills educational
and cultural values among students and aims at
achieving multi-faceted development of a human
being namely intellectual, physical, spiritual, and
ethical development. The values incorporated in
a value-based curriculum may include
cooperation, responsibility, happiness, simplicity,
unity, peace, respect, love, tolerance, honesty,
humility, and freedom. The main purpose of
holistic education is to prepare students to meet
the challenges of living as well as academics.
Multiple studies have reported that value based
education is a holistic approach to students
education, one that provides complete education
of body and mind through innovative approaches
and critical educational thinking.
Education can be considered as a means
to impart general and specific information;
teaching skills and most importantly inculcate
values. The present system of education is
almost wholly geared to the first, a little to the
second and only marginally to the third (Burra,
2007). The neglect of ethical values, which
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should form the substratum of any good

education, has led to ineffectual, decadent, empty
learning. Burra describes in the article that it is
the duty of every society to pass on the values
enshrined in its scriptures and philosophical texts
to each generation, in order, that the spirit of its
culture lives on. This can be achieved only when
education is value oriented. Education should be
a process of acquiring true knowledge. In
planning for good values and objectives, the
teacher and student will have to cooperate and
work together. The purpose of education is to
strengthen character in the younger generation
which is an answer to many of the problems that
face people today. It can bring about a
widespread renewal of individual commitment to
an active life of principle and this renewal is
imperative. Values like truth, right action, love,
peace and non violence include in a balanced
way the profound moral insights of the great
civilizations.
LINKING VALUE BASED EDUCATION TO
TEACHERS AND TEACHER TRAINING
In the 21st century, it is vital to recognize
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that value-based education integrated into the

school curriculum promotes quality education
and positive school environment. Initiatives in
schools around the world have stressed upon
an all around development of the students by
implementing value-based education programs.
Yet it is a greatest challenge in education to teach
how to imbibe values as it is different from
imparting knowledge of mathematics or science.
Teachers help student perceive information
and transform it to knowledge and to wisdom. At
the same time, they help adolescent to develop
love of knowledge and try to transform into a good
citizen. More than ever, now our young people
need to have compassion, adaptability, moral
courage, patience, and increased tolerance.
Cavazos (2002) noted that teaching values in our
schools is a vital part of preparing children for
the inevitable challenge and occasional pain of
real-life decision making. In the article the writer
believes that teaching values can enhance
education. Values can be positive or negative,
depending on circumstances, and this author
adds that a values-based education is an
education in thinking, in weighing and making
choices, in exploring consequences, and in
working through problems to find which
approaches are helpful in reaching positive
healthy solutions. In an attempt to balance
academic achievement and character education,
schools and teachers must respect the primary
role of the parents and family (Cavazos, 2002).
Value-based programs help schools and
teachers go hand in hand with the parents by
working with them and incorporating values to
provide the best educational environment
possible for their children.
Todays world is aware of the importance and
relevance of value based education. It is sad to
note that the teachers today often are unmindful
of the tremendous responsibility they have but
feel contented with covering the curriculum and
producing intellectuals rather than humans.
Lickona (1993) noted that Character education
is far more complex than teaching math or
reading; it requires personal growth as well as
skills development. Yet teachers typically receive
almost no pre-service or in-service training in the
moral aspects of their craft. Many teachers do
not feel comfortable or competent in the values
282
domain. The teachers are trained and qualified

to teach disciplines such as mathematics but are
rarely trained to teach values which is usually a
very challenging thing to do. This may also be
because value education does not form a
separate subject of study or examination at any
stage of the curriculum. Irrespective of why many
training workshops are not available for the
educators to imbibe values education, there is a
strong need for training teachers in the topic for
better outcome. The question that arises is Are
teachers trained to implement such curriculum?
So, the question of how well the teachers know
to impart such knowledge or be effective in
promoting effective learning in values education
needs to be answered.
IMPORTANCE OF TEACHER TRAINING
TOWARDS A GOAL OF HIGH QUALITY
EDUCATION
Values are essential building blocks on
which an education for a humanistic and
international society must be built on. This boosts
self esteem both personal and cultural; promotes
respect and tolerance for others as individuals
and as members of ethnic/cultural groups; and
creates a sense of belonging. Value based
education promotes a secure physical, emotional
and political locus within society; a sense of
responsibility in relation to social, political,
economic, cultural and environmental factors, an
appreciation of the importance of learning
(Sanyal, 2000). This approach to education can
probe a well-rounded development and help
students aim the highest (Eidle, 1993).
Practice what you preach is a saying that
is very apt for teachers when it comes to values
education. Teachers need to be able to imbibe
values in their attitude and in action to be able to
bring them into their classrooms. Narvaez and
Lapsley (2008) looked at education as a valueinfused enterprise and addressed the question
of how to train teachers for positive character
formation. They noted that teachers implicitly
imparts values when they select and exclude
topics; when they insist on correct answers; when
they encourage students to seek the truth of the
matter; when they establish classroom routines,
form groups, enforce discipline, encourage
excellence.
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PREPARING TEACHERS AS VALUES

EDUCATORS AND THE 21ST CENTURY
VALUE EDUCATION SCHOOLS
Confucius has outlined the ethics of teaching
in three beautiful words. Ren - means an act of
utmost love. Yi - refers to moral uprightness. Li indicates etiquettes in personal and institutional
life. According to Confucian theory, only a person
who is always a source of love, morally upright
and whose behavior not only in personal but also
in the institutional life is impeccable, is worthy of
being a teacher. An ideal teacher is a guide and
source of interest who loves the subject, the
profession and last but not the least loves the
students. It is very challenging for the 21st
century educators to keep up with the changing
world unless they are lifelong learners and an
effective catalyst to this social and economic
change.
Today we are in a technological world where
things are happening fast. A question that
educators ask themselves is whether they are
capable of training the young citizens to be the
torch barriers of the noble human world. It is not
just enough for the young learners to acquire
knowledge to earn a living but also require them
to be a good citizen and be educated as a whole
child. Changing world at different levels raises a
big concern to focus on the relevance and
importance of value education at the same time
emphasizes on the need to train teachers in new
techniques to promote a quality system of
education with a focus of value based education.
Before planning an orientation workshop for
teachers, it is important first to understand how
to construct a values curriculum for quality
education. Following are the steps that
administrators and curriculum developers can
take to structure the value based curriculum:
1. Articulate vision statements and the
underlying principles of value based
curriculum
2. Outline values to be integrated in the
curriculum
3. Duration and formulation of detailed specific
objectives and lesson plans for each value
according to age and mental maturity.
4. Selection of appropriate activities, seminars,
fieldwork, group-work and projects necessary
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to achieve the objectives

5. Integrating values in every subject based on
the needs of the individual and society
6. Organizing these units meaningfully in a
coherent simple way
7. Outlining an evaluation plan to assess the
manner in which values objective is attained
8. Ongoing scope of open discussion with
parents and community about the
improvement of the curriculum
9. Modifying and improving the curriculum
based on the above step and finalization.
10. Planning teacher training workshop and
orientation on value based curriculum to
promote understanding of the underlying
principles and aim to create robust learning
environment
After a school has successfully planned a
values curriculum, it is very important that the
school plans orientation training workshop for
teachers to enable them to implement and
integrate the curriculum into the class effectively.
IDEAS FOR SUCCESSFUL TEACHER
TRAINING
Multiple schools worldwide have introduced
value-based programs as part of their curriculum.
These curriculums are getting very popular in the
schools in UK and India, and are getting attention
in the schools in USA as part of character
education. Training and discussion are needed
to understand the underlying principles, aim and
approach to value based education. Workshops
could provide a platform to teachers to practice
teaching an activity that imbibe values as well
as give them an opportunity to experience it as a
child. Through these trainings teachers can not
only understand their own values and strengths
but also gain a better understanding of their
students.
Values cannot be just taught students but
have to be modeled and imbibed by adults and
teachers so that they become part of the
character of the individual. The values curriculum
promotes a learning environment where values
are absorbed progressively and through a variety
of activities structured according to the relevance
and age of the students. The process of learning
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is based on experiences, action and reflection

through project-based learning, seminars, groupwork, dialogue, role-play, films and other media
presentations, fieldwork.
1.
Telling: A process for developing values that

enables a pupil to have a clear picture of a
value _ laden situation by means of his own
narration of the situation.
Teacher training is needed to help teachers

equip with new strategies and techniques to
promote values learning. The following
components can be included in a 3-5 days
workshop for training teachers to integrate values
in their classroom and make it an experiential
learning:
2.
Inculcating: An approach geared towards

instilling and internalizing norms into
persons own value systems.
3.
Persuading: The process of convincing the

learner to accept certain values and behave
in accordance with what is acceptable.
4.
Modeling: A strategy in which a certain

individual perceived as epitomizing
desirable/ideal values are presented to the
learners as a model.
5.
Role playing: Acting out the true feelings of

the actor(s) by taking the role of another
person but without the risk of reprisals.
6.
Simulating: A strategy in which the learners

are asked to pretend to be in a certain
situation called for by the lesson and then
to portray the events and also by imitating
the characters personality.
7.
Problem solving: An approach wherein a

dilemma is presented to the learners asking
them what decisions they are going to take.
8.
Discussing situations, stories, pictures, etc:

This technique asks the learners to
deliberate on and explain the details in the
lesson.
9.
Studying biographies of great men: This is

an approach that makes use of the lives of
great men as the subject matter for trying to
elicit their good needs and thoughts worthy
for emulation.
1. Workshops need to be interactive

2. Discussion on underlying principles, aim and
approach to values education with mentors
3. Guide teachers in day to day lessons and
transactions. Practice teaching an activity,
experience an activity as a student and
receive feedback from one another
4. Equip teachers to provide as many real-life
situations to imbibe a value. Share creative
thoughts among each other
5. Open discussion with teachers on new ideas
for improving and evolving the curriculum
Through value oriented teacher education,
the challenge of teacher education to prepare
teachers to take care of the holistic education of
children can be resolved. New courses and
professional programs are being developed by
several institutions to enable value education to
be integrated in the academic curriculum.
National Council for Teacher Education (NCTE)
is well aware of the challenge in providing value
orientation to teacher education and has been
conducting orientation programs on education in
human values for teacher educators. Titles
related to value education available from the
NCTE web site are: Education for Character
Development; Education for Tomorrow; Report
of the Working Group to Review Teachers
Training Programme; Role and Responsibility of
Teachers in Building up Modern India; Gandhi
on Education; Sri Aurobindo on Education; and
Tilak on Education (http://www.ncte-in.org ).
Furthermore, the following approaches can
be used for teaching values in character building
activities as reported on the UNESCO APIED on
Education for Affective Development
284
10. Moralizing: The process of working out a

sense of morality through active structuring
and restructuring of ones social
experiences (e.g. moral reasoning and
analysis)
11. Values clarification: Values clarification as
a strategy for values development may be
considered as learner-centered. It relies
heavily on the pupils ability to process his
beliefs, behave according to his beliefs and
to 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 their
place in the world and build their self-confidence.
Values in a school curriculum add a dimension
to promote holistic development of the students
and benefits their academic achievement.
Teachers feel a need to introduce experiential
approaches to values education as a means to
counter an overly cognitive national curriculum
and to address issues of behavior, discipline and
social attitudes. The role of teachers cannot be
deemed minor in developing good character
among students. Values educators must facilitate
a students personal internalized discovery that
one would want to be a values-oriented and
values-guided person because through such
activity one can feel good about oneself, respect
oneself, and esteem oneself well (Eidle, 1993).
Professional development sessions allowing
educators to interact with each other lets
individuals examine and view his or her own
beliefs differently by using thoughts and
testimonies from others; such experiences permit
individuals to make sense of the world around
them which is transformative learning (Cranton
& King, 2003). There are some training
workshops available worldwide for implementing
value based education that have tremendously
helped teachers develop skills to create a value
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based environment that promotes inspiring and

active listening classrooms. Much remains to be
done in this direction to make this effort
meaningful and worthwhile, keeping in mind what
is best for the future.
REFERENCES
1.
Arweck, E., Nesbitt, E., & Jackson, R. 2005. Common

values for the common school? Using two values
education programmes to promote spiritual and moral
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INTERNATIONAL JOURNAL OF SCIENTIFIC &

INNOVATIVE RESEARCH
(A Bi-annual Official Journal of Sky Institute, a constituent Institution of BALA JI FOUNDATION
established under Societies Registration Act 1860)
AIM & SCOPE
The International Journal of Scientific & Innovative Research (IJSIR)is a bi-annual published on
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/ offline Journal which publishes innovative research papers, reviews, mini-reviews, short
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at one level of significance.
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Results
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with the sequence established by the first identification in the text of the particular table or figure.
Journal Articles
Singh N., Verma P., Pandey B.R., Gilca M. Role of Withania somnifera in Prevention and Treatment
of Cancer: An Overview. International Journal of Pharmaceutical Sciences and Drug Research. 2011;
3(4): 274-279.
A Book
Singh N, Gilca M. Herbal Medicine Science embraces tradition a new insight into the ancient
Ayurveda. Edn 1, Lambert Academic Publishing (Germany), 2010, pp. 115-116.
A chapter in a Book
Nadkarni KM, Indian Materia Medica. Edn 3, Vol. I, Popular Prakashan, Mumbai, 2000, pp. 242-246.
A Report
World Health Organization. The World Health Report 2004: changing history.
Geneva: WHO; 2004.
Conference Proceedings
Stock A, Signal Trasduction in Bacheria. In the Proceedings of the 2004 Markey Scholars
Conference. 2004, pp. 80-89.
A Thesis
Strunk, JL. The extraction of mercury from sediment and the geochemical partitioning of mercury
in sediments from Lake Superior, M.S. thesis, Michigan State Univ. East Lansing, Ml, 1991
Illustrations
Tables Should be typed on separate sheets of paper and should not preferably contain any
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show lines separating columns but not those separating rows except for the top row that shows
column captions. Tables should be numbered consecutively in Arabic numerals and bear a brief title
in capital letters normal face. Tables should not be very large that they run more than one A4 sized
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consecutively in Arabic numerals and bear a brief title in lower case bold face letters below the figure.
Graphs and bar graphs should preferably be prepared using Microsoft Excel and submitted as Excel
graph pasted in MS Word.
Abbreviations, Units Etc
Authors should follow internationally agreed rules especially those adopted by the IUPAC-IUB
Commission on Biochemical Nomenclature (CBN). The journal will essentially follow the rules defined
in the IUPAC Manual of symbols and terminology for physico-chemical quantities and units.
Short Communications
The journal publishes exciting findings, preliminary data or studies that did not yield enough
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as full papers but are only up to 10 pages in length in total. Short Communications should not have
subtitles such as Introduction, Materials and Methods, Results and Discussion all these have to be
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Submission of Manuscript
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Manuscript Charges
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the accepted paper is published.
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by the Editor) transferring copyright before the manuscript can be published. By submitting a manuscript
to the editor or publisher you are deemed to have granted permission to publish the manuscript.
Ethical Matters
Authors using experimental animals and human subjects in their investigation must seek approval
from the appropriate Ethical Committee. The method section must include a statement to prove that
the investigation was approved and that informed consent was obtained.
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COVER LETTER
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From
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Editor-in-Chief
International Journal of Scientific and Innovative Research (IJSIR)
Sir,
Ref:
Title
Type
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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
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This manuscript has not been published or considered for publication by any other journal or
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VOLUME 2, ISSUE 1 (JANUARY - JUNE) 2014

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

DR. B.R. PANDEY

COMMITTEE FOR EDITORIAL ASSISTANCE

Dr. Pankaj Verma

Shri Sanjay Pandey

Shri Ashish Tiwari

Senior Research Fellow,

Prof. (Dr.) S.P. Singh

Former Vice Chancellor, CCS Meerut University, Meerut, Uttar Pradesh

Former Prof & Head, Deptt. of Pharmacology,

Prof. (Dr.) R. L. Singh

King George Medical University, Lucknow.

Prof & Head, Department of Biochemistry & Coordinator Biotechnology

Dr. Sarita Verma

Prof.(Dr.) M.I. Khan

Pro. & Ex-Head, Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.

Prof. (Dr.) S.K.Agarwal

Prof & Head, Deptt. of Mechanical Engg.,

Dr. Bharat Sah

Prof. (Dr.) S.K. Avasthi

Prof.(Dr.) Amrika Singh

Prof., Deptt. of Physiology,

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

Prof.(Dr.) U.N. Dwivedi

Prof. & Head, Deptt. of Clinical Hematology & Medical Oncology,

Prof.(Dr.) U.K. Misra

Prof. & Head, Deptt. of Biostatistics & Health Informatics,

Dr. A.K. Gupta

Dr. Rupesh Chaturvedi

Former Deputy Director General,

Associate Prof., School of Biotechnology,

Prof. (Dr.) Amod Kumar Tiwari,

Asstt. Prof. Deptt. of Internal Medicine, CD University,

Prof.(Dr.) Chandra Dhar Dwivedi

Former Prof. & Chairman, Deptt. of Pharmaceutical Sciences, College of

Principal Scientist, Martek Biosciences Corporation,

Prof.(Dr.) Vimal Kishore

Prof. & Chairman, Deptt. of Basic Pharmaceutical Sciences,

Editor in Chief, Natural Product Communication,

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

Chief Scientist, Division of Toxicology, CSIR-Central Drug Research

Dr. Mohd. Tarique

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

Dr. Vinod Singh

Prof. & Head, Deptt. of Medicinal Chemistry,Institute of Medical Sciences,

Assoc. Prof. & Head, Deptt. of Microbiology, Baruktulla University, Bhopal,

Prof.(Dr.) R.K. Singh

Assoc. Prof., Deptt. of Physics & Electronics.Dr. R. M. L. Awadh University ,

Prof. (Dr.) R.S.Diwedi

Senior Scientist, CSIR- Central Institute of Medicinal & Aromatic Plants,

Dr. Atul Gupta

Former Director, National Research Centre for Groundnut (NRCG) , ICAR,

Dr. Saudan Singh,

Prof. (Dr.) Nuzhat Husain

Prof. (Dr.) Amita Jain

Dr. Shivani Pandey,

Dr. Sudhir Mahrotra

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

Associate Prof., Deptt. of Biochemistry, Lucknow University, Lucknow, U.P.

Dr. B.C. Yadav,

Prof. (Dr.) Vibha Singh

Prof., Deptt. of Oral & Maxillofacial Surgery, Faculty of Dental Sciences,