Proceedings

Proceedings for National Conference
TH FUTUR
WI IS
N
TI
O
EDUCATI
C
VISION
VI
RT M
UE DO
SKILL WIS
National Advisory Board
Prof. IK Bhat Director Prof. Naresh Bhatnagar Prof. H.S. Shan Prof. Pradeep Kumar
NIT Hamirpur IIT Delhi Ex Head, IIT Roorkee IIT Roorkee
Prof. Sehijpal Singh Prof. P.S. Mishra Dr. B.S. Pabla Prof. Arvind Bhardwaj
GNDEC Ludhiana IIT Roorkee Principal, CCET Chandigarh DBRANIT Jalandhar
Prof. SS Rattan Prof. Sudhir

ii Saxena Prof. Anoop Kumar Prof. Vinod Yadav
NIT Kurukshetra NIT Kurukshetra NIT Hamirpur MNNIT Allahabad
Dr. Inderdeep Singh Dr. A.K. Sharma Dr. P.K. Jha Dr. Pankaj Chandna
IIT Roorkee IIT Roorkee IIT Roorkee NIT Kurukshetra
Dr. Gian Bhushan Dr. Hari Singh Dr. A.A. Sheikh Dr. Manu Sharma
NIT Kurukshetra NIT Kurukshetra SVNIT Surat UIET Chandigarh
Dr. Harmesh Kansal Dr. Sanjeev Kumar Dr. Anish Sachdeva Dr. V.R. Komma
UIET Chandigarh PEC Chandigarh DBRANIT Jallandhar MNNIT Allahabad
Dr. B.S. Sidhu Mr. Sumit Samaiyar Mr. JK Mehta Mr. Sai Sunder
PTU Jallandhar Country Head, General Manager, NTPC General Manager, Cybermotion
Altair Engineering Technologies Pvt. Ltd.
AFTMIE - 2010
Preface
On behalf of Ganpati Institute of Technology & Management, it gives me immense pleasure to present the
proceedings of two days National Conference, 'Advancements and Futuristic Trends in Mechanical & Industrial
Engineering' being held at Ganpati Institute of Technology and Management, Bilaspur, District Yamuna Nagar,
on 12th and 13th November, 2010.
Modern day world being a place of inter disciplinary activities, Mechanical Engineering has significantly
evolved to accommodate the latest innovations and trends in the various fields of engineering. The conference
aims at bringing researchers and experts from academia and industry on a common platform to discuss share
and create awareness about the latest technologies being adopted in the field of science and engineering and
help bridging the gap between academia, research and industry.
An overwhelming response from various scholars, researchers and academicians from all parts of the country
has been received. The Souveneir consists of abstracts of the 118 selected papers from amongst 180 received.
I would like to thank the reviewers, the National Advisory Committee members and the speakers who
contributed their lecture notes for the conference. I would also especially thank Dr. Inderdeep Singh, Dr.
PankajChandna and the Management of our institute for their repeated encouragement and guidance which
helped us in pulling ourselves together and organize this event.
I will also praise the enormous efforts taken by the members of the organizing committee, senior functionaries
and other staff members in conducting such a big event.
It is the participants with whom the success of the conference lies. I am grateful to the participants from all over
India, whose deliberations at the conference shall apprise the other participants of the latest technologies and
trends in Mechanical Engineering.
VikasDhawan
(Convenor)
Addl. Director
Ganpati Institute of Technology & Management
Bilaspur 135102
Distt.Yamunanagar, Haryana
PROCEEDINGS OF NATIONAL CONFERENCE ON 'ADVANCEMENTS & FUTURISTIC TRENDS IN MECHANICAL & INDUSTRIAL ENGINEERING
Steering Committee
Patron
Mr. Chattar Singh Kashyap
Chairman, Ganpati Knowledge temple
Bilaspur
Conference Chair
Prof. Ajmer Singh
Dean Academics
Convenor
Vikas Dhawan
Addl. Director
Organizing Secretaries
Mr. Varun Bhatia Miss Aditi Gambhir
Mrs. Poonam Dhawan Miss Swati
Members
Faculty Members of Ganpati Knowledge Temple
Bilaspur
Organisational Support
Senior Functionaries of Ganpati Knowledge Temple
Bilaspur
ii
12-13 NOV, 2010 GANPATI INSTITUTE OF TECHNOLOGY & MANAGEMENT, BILASPUR, YAMUNANAGAR
iii
Chattar Singh Kashyap

Chairman
Ganpati Knowledge Temple
Message
Bilaspur - 135 102
I am pleased to know that Ganpati Institute of Technology and Management is organizing a

National Conference on, 'Advancements and Futurist Trends in Mechanical and Industrial
Engineering' with the aim of sharing and spreading the latest researches and new innovations in
the field of Science and Technology.
The interaction between Ganpati fraternity and reputed individuals from well known individuals
and organizations will surely prove to be fruitful. I would welcome more such endeavours, even at
higher level, to be planned in the near future.
I wish the conference to be a Grand Success.
Chattar Singh Kashyap
iv
J. K. Mehta
General Manager NTPC Limited
Regional Manager (South Asia)
Message
World Energy Council
The energy sector world-over is in transition and is experiencing a very rapid rate of
obsolescence. Never before has the humanity faced such challenging outlook for the energy and
the planet which can be summed up in five worlds “More Energy - Less Carbon-dioxide”.
The upcoming generation of young engineers has a great challenge to meet the energy demands
sustainably and would need critical knowledge of competency required for the future, categorized
by engineering large and small scale systems, meeting the competing edge of knowledge and
embracing the collaborative advantage, regulating the global innovation and preparing for the
technical capabilities of the nano-bio future awaiting us.
The National Conference on Advancements & Futuristic Trends in Mechanical and Industrial
Engineering organized by Ganpati Institute of Technology & Management is an appropriate forum
to address these issues and to create synergy in academic, industry and research to ensure
optimal Availability, Accessibility, Acceptability and Accountability of energy for a sustainable
future.
I wish the Conference success.
J K MEHTA
v
Dr. H. S. Shan
Former Emeritus Professor & Head
Mechanical and Industrial Engg Deptt.
Message
Indian Institute of Technology Roorkee,

Roorkee - 247 667 (India)
I am glad to know that Ganpati Institute of Technology and Management, Bilaspur is organizing
two day National Conference, 'Advancements and Futuristic Trends in Mechanical and
Industrial Engineering' on 12th and 13th November 2010.
I hope the deliberations in the conference will enlighten the participants with the latest
technological advancements and inter-disciplinary activities of Mechanical Engineers. I also
hope that the Institute will organize such activities in future also.
I wish the event a grand success.
Dr. H. S. Shan
vi
Dr. Pankaj Chandna

Message
Professor In charge-CCEEC
National Institute of Technology Kurukshetra
Message
Kurukshetra Haryana INDIA
It is most befitting that Ganpati Institute of Technology & Management, Bilaspur Yamunanagar, is
organizing a National Conference on Advancements and Futuristic trends in Mechanical and
Industrial engineering on November 12-13, 2010.
As India transforms itself from a technology-borrower to a technology-developer and is poised to

st
be amongst the leading countries of the world in the 21 century as knowledge superpower, there
are increasing compulsions to evolve a mechanism to generate new technologies. This has
forced the technical institutions, more than ever before, to involve confronting the newer
challenges of developing research centers with global recognition, setting up competent industry
liaison offices, protecting the intellectual property rights of the researchers, strengthening the
library and other support services, and adjusting the core purposes of the academic world. A
paradigm shift in our approach has to take place and we need to synergize our efforts as a TEAM
(Together Everyone Achieves More) realizing that Industry-Institute interaction is a win-win
proposition and is an operating necessity in the current globally competitive, knowledge driven
society. Such Conferences provide a useful forum to academicians, technologists, entrepreneurs
and other stakeholders for exchange of concepts and emerging technologies.
With this belief that the participants of this conference will gain from the deliberations and build
strong networks for promoting the ongoing research in the area of Mechanical and Industrial
Engineering, I would also like to congratulate and convey my regards to all those involved in
conceptualizing and organizing the conference.
(Pankaj Chandna)
vii
Prof. Ajmer Singh

Dean Academics
Ganpati Institute of Technology & Management
Message
Bilaspur - 135 102

ajmersingh100@yahoo.com
It is a matter of great joy and pride for me that a National Conference on “Advancements &
Futuristic Trends in Mechanical and Industrial Engineering” is going to be organized in Ganpati
Institute of Technology and Management Bilaspur, Yamuna Nagar. The subject of the conference
is related to latest trends in technology and has been chosen wisely by the organizers. This type
of conferences are necessary for the expansions of new ideas and trends in technical education
as well as industry. The conference will provide a platform to the teaching community and
researchers to exchange their views and ideas amongst themselves. Young and budding
technocrats sharpen and polish their skills by interacting with other like minded persons in such
gatherings .The conference will also provide an opportunity to our teaching faculty and students
to interact with senior faculty and research scholars from IIT's, NIIT's and other renowned
Institutions in India. It will certainly inspire and motivate them to learn and do something new and
innovative while pursuing their studies. I highly appreciate Mr. Vikas Dhawan, Director (R&D) and
Convener of the Conference and his team of dedicated teachers who have been working
tirelessly for the last five months to make the conference a success. I also commend the
Chairman and other members of Governing Body for their full support and co-operation to the
organizers in holding the Conference. They gave full freedom to the convener Mr. Vikas Dhawan
to take all decisions regarding the conference and pledged their full support.
My congratulations to the Convener,his team and the Governing Body for taking this initiative and
I am sure that they will make it an annual event
I express my sincere good wishes for the success of the conference
Ajmer Singh
viii
Plenary Address
Dr. Inderdeep Singh

Deptt. of Mechanical and Industrial Engineering,
Indian Institute of Technology Roorkee
Uttarakhand 247 667
inderfme@iitr.ernet.in
Designing with Composite Materials: Issues and Challenges
The rapid technological advances have placed unprecedented challenge to the material scientists and engineers. The
stringent design guidelines and in-service requirements of present day products necessitate the design and
development of advanced materials. The materials being used today in various applications should not only satisfy the
design requirements but should also be environment friendly and easily recyclable. The composite materials represent
one such family of advanced materials. Although developed initially for aerospace applications, the composites are
today finding applications in most diverse fields such as marine and sports goods and equipment because of their high
strength to weight ratio and design flexibility. The composites are often called 'tailor made' materials due to the
versatility they offer to the designers.
“Composite materials are macroscopic combinations of two or more distinct materials having a discrete and
recognizable interface separating them” as per Reinhart in H/B of Composites, 1998. Also, “Composite materials form a
material system composed of a mixture or a combination of two or more macro constituents that differ in form and
chemical composition and are insoluble in each other”(Komanduri, 1997). The constituents of the composite are called
the matrix and the reinforcement. The matrix provides the supporting medium to the reinforcement which is the major
load bearing member of the composite. The composite family can broadly be classified on the basis of the type of the
matrix as the Polymeric Matrix Composites (PMCs), the Metal Matrix Composites (MMCs) and the Ceramic Matrix
Composites (CMCs). The reinforcement in the matrix can be in the form of continuous fibers, discontinuous (random)
fibers, particulates, flakes and whiskers. The combination of the matrix and the reinforcement provides synergic effect
and results in properties which are not attainable with either of the constituent acting alone.
ix
Polymeric Matrix Composites are the most widely used materials in diverse spectrum of applications. The process of
designing with composite materials presents conditions and requirements which are completely different from that of
designing with conventional materials such as metals. Depending on the requirement of the product, the material has
first to be designed and then its suitability checked according to the product design specifications. Therefore, the
detailed design and analysis approach in context of PMCs is usually a step lower than is usual for products being
designed with metals. The composite is developed from at least two different constituents and a number of individual
laminae, each having different fiber orientation, thickness and reinforcing material. It is important to note that material
can be designed to have specific properties in a particular direction as compared to the other and this element of
anisotropy present another challenge to the designers. Each and every element of the PMC can be designed according
to the specifications of the product. The issues highlighted hereby makes the job of the designers quite complex and it is
usually not possible to arrive at the final design in a single stage. The decision to choose the matrix material from a wide
variety of thermo-sets and thermoplastics available as well as its suitability or compatibility with the fibrous
reinforcement is a daunting task. The design process in case of composite materials is an iterative process where a
large number of combinations of the matrix and the reinforcement are tried before arriving at the final design.
It is usually not possible to perform the iterations manually; a computational system would aid the designers in carrying
out their work in a timely manner. The Finite Element (FE) approach has been adopted worldwide for designing with
PMCs. The basic steps involved in designing using FE approach are the geometric modeling, finite element
generation (discretization), specifying the boundary conditions, selection of data for analysis (fiber orientation,
lamination sequence, thickness or material) and analysis of the output. A large number of commercialized FE platforms
are available for modeling and analysis of PMCs.
(a) (b)
Fig. 1. (a) Ballistic Impact of PMC laminate (b) Orthogonal Machining of PMC Laminate
Figure 1 shows two typical cases of investigating the behavior of PMCs using the FE approach. A large number of
design problems such as composite joints, cylindrical shells with cut-outs have been attempted and successfully
completed. The present lecture would outline the important issues and challenges in the design process with Polymeric
Matrix Composites and would highlight the application of Finite Element approach as an important design tool for
PMCs. The additional steps involved while modeling and analyzing the PMCs would be addressed. Case studies
related to the use of FE approach in design and analysis of PMCs would also be discussed.
x
Plenary Address
Dr. A.K. Sharma

Uttarakhand 247 667
akshafme@iitr.ernet.in
Electromagnetic Energy in Material Processing :

An Approach to Green Manufacturing
INTRODUCTION
The challenging demands for new and improved processes and materials of high integrity for advanced engineering
applications require innovation and newer technologies. Finer microstructures and near theoretical densities in special
powder metal components are still challenging. Increasing cost and time is also a concern of the industry. Among
various well established manufacturing processes, processing through electromagnetic energy is green and clean
manufacturing process and significantly fast. Electromagnetic energy in the form of lasers is extensively used in the
area of casting, welding, cutting, machining, cladding, etc. X-ray, Gamma ray and Infrared rays are mostly used in non-
destructive testing of processed materials. Recently research has started in processing of materials using microwave
energy. The electromagnetic energy can be defined as, the energy source required to transmit information (in the form
of waves) from one place (material) to another. This information can be in the form of light, heat, or in any other form.
Electromagnetic energy is created by the acceleration of charged particles in magnetic and electric field and acting at
right angles to each other. The oscillation of the particles in the wave emits energy called as electromagnetic energy.
Electromagnetic energy is a form of energy that is reflected or emitted from objects in the form of electrical and magnetic
waves that can travel through space. There are many forms of electromagnetic energy including gamma rays, x rays,
ultraviolet radiation, visible light, infrared radiation, microwaves and radio waves. The electromagnetic energy can be
selectively produced and at various wavelengths (as shown in the Fig. 1) to suit the intended application. The wide
range available in the spectrum offers a variety in its applications.
xi
Fig. 1. The electromagnetic spectrum with relative size measures [5]
LASERS IN MANUFACTURING
A laser (acronym for 'Light Amplification by Stimulated Emission of Radiation') is a device which produces
electromagnetic radiation, often visible light, using the process of optical amplification based on the stimulated emission
of photons within a so-called gain medium. The emitted laser is notable for its high degree of spatial and temporal
coherence, unattainable using other technologies. Spatial coherence typically is expressed through the output being a
narrow beam which is diffraction-limited, often a so-called pencil beam. Lasers have covered radiation at wavelengths
ranging from infrared range to ultraviolet and even soft x-ray range. Lasers serve many purposes in science and
industry. The required power and wavelength dictates the type of laser chosen for a specific application. The application
domains of lasers are consumer electronics, surgery in medical, manufacturing, research and military applications.
Lasers can be divided into gas lasers, solid state lasers and liquid lasers according to the active medium used. A
schematic illustrating the principles of operation of a typical laser material processing set up and few common
applications of laser in material processing are presented in Fig. 2 and Fig. 3.
Carbon dioxide (CO2) laser is a typical molecular gas laser, it emits laser light at a wavelength of 10.6 mm, power ranges
from several watts to 100 kW. The active medium of CO2 laser is a mixture of CO2, helium and nitrogen gases; the
approximate constitute is CO2:N2:He::0.8:1:7. Helium gas has high thermal diffusivity, while the thermal diffusivity of CO2
is low. The carbon dioxide laser was one of the earliest gas lasers to be developed and is still one of the most useful.
Carbon dioxide lasers are the highest-power continuous wave lasers that are currently available. They are also quite
efficient; the ratio of output power to pump power can be as large as 20%. Because of the high power levels available
(combined with reasonable cost for the laser), CO2 lasers are frequently used in industrial applications for cutting,
welding, machining, and surface treating while lower power level lasers are used for engraving. They are also very
useful in surgical procedures (laser surgery, skin resurfacing) because water (which makes up most biological tissue)
absorbs this frequency of light very well. Researchers in Israel are experimenting with using CO2 lasers to weld human
tissue, as an alternative to traditional sutures.
xii
Fig. 2. Laser engineering net shaping: (a) working principle; and (b) parts fabricated on titanium alloy [4].
In solid state lasers, ions are suspended in crystalline matrix to generate laser light. The ions emit electrons when
excited; the crystalline matrix spread the energy among the ions. The first solid state laser is ruby laser, but it is no longer
used because of its low efficiency. Two common solid state lasers are Niodinium-Yittrium Aluminium Garnet (Nd-YAG)
lasers and Nd-glass lasers whose structures are very similar. Both use krypton or xenon flash lamps for optical
pumping. For Nd-glass lasers, the glass rod has the advantage of growing into larger size than YAG crystals, but the low
thermal conductivity of glass limits the pulse repetition rate of Nd-glass laser. So Nd-glass lasers are used in high pulse
energies and low pulse repetition rates applications. It is suitable for hole piercing and deep keyhole welding operations.
An YAG crystal has a higher thermal conductivity than glass, thus the thermal dissipation in Nd-YAG laser cavity can be
improved, operation power can be up to several hundred watts in continuous mode, and high pulse rates (50kHz) can
be reached. The YAG is a complex crystal of Yttrium-Aluminium-Garnet with chemical composition of Y3Al5O12; it is
transparent and colorless. The wavelength of Nd-YAG laser is 1.06mm. Solid state lasers are widely used in laser
machining. Liquid lasers use large organic dye molecules as the active lasing medium. These lasers can lase in a wide
frequency range, i.e. they are frequency tunable. The spectral range of dyes covers infrared, visible and ultraviolet light.
Pumping is carried out by another pulsed/continuous laser, or by pulsed lamp. These lasers are used in spectroscopic
investigation and photochemical experiments.
Fig. 3. Typical laser applications: (a) Welding; (b) Cladding; (c) Hardening [6, 7]
xiii
MICROWAVES IN MATERIAL PROCESSING

Clean and efficient processing of materials has been one of the priority issues in recent developments in manufacturing research. New
developments and innovative ideas in the area of materials processing have often led to the discovery of new technologies which are faster,
better, cheaper and greener. Notable examples of such innovations are recent developments in the area of microwave processing. Use of
microwave energy provides an excellent opportunity to process materials (especially, ceramics and ceramic composites, which are difficult to
process otherwise) in an uncharacteristically faster way. A concept of hardly 50 years old, has found application in almost every walk of life
today.
Microwaves are electromagnetic waves with wavelength in the range of 10 mm to 300 mm. Microwave generally refer to signals with frequency
in the range of .3 GHz to 300 GHz as shown in Fig. 4. The most common microwave frequency used for materials research is 2.45 GHz, the
same used for the domestic microwave ovens.
Fig. 4. Electromagnetic spectrum with microwaves highlighted [6]
Microwave heating/processing of materials largely depends on dielectric and magnetic properties of the materials
being processed. Microwaves can be reflected, absorbed and/or transmitted by materials. Reflection and absorption
require interaction of the microwaves with the material; while transmission is the result of partial reflection and
incomplete absorption. In microwave processing, the heat is generated internally within the material instead of
originating from external sources. Energy is transferred to materials by interaction of the electromagnetic fields at the
molecular level, and the dielectric properties ultimately determine the effect of the electromagnetic field on the material.
Heating is rapid as the material is heated by energy conversion rather than energy transfer. There is a 100% conversion
of electromagnetic energy into heat. Microwave interaction is through either polarization or conduction process.
Polarization involves short range displacement of charge through formation and rotation of electric poles and
conduction requires long range transport of charge. Like lasers, microwaves are highly coherent and polarized. They
obey the laws of optics. However, unlike laser heating, microwave heating is fundamentally different from conventional
heating processes. Microwave processing has the edge over other techniques of processing in the following aspects:
• Energy savings
• Rapid and uniform internal heating
• Precise and controlled heating, and Potentiality to process materials/products that are difficult or impossible to
produce reliably by conventional methods.
Selective heating
• Volumetric heating (due to deep energy penetration)
xiv
• Short processing times

• Improved quality and properties
Another significant feature of microwave processing is that instantaneous bulk heating of the material. Further,
in contrast to the conventional heating, reverse gradient of heating does takes place in microwave heating. The heat is
generated internally within the material instead of originating from external sources, and transmits towards outside.
Hence, there is an inverse heating profile (inside-out) unlike in conventional heating.
Initially microwaves are used in the area of communication, further establishment use of microwaves are in the
areas like food processing, rubber vulcanization, textile and wood products and drying of ceramic powders. The
continued efforts by researcher diversified this domain, in the field of applications in ceramics and composites material
processing in the form of synthesizing, glazing, sintering and joining (Fig. 5).
Fig. 5. (a) Microwave joining of ceramic composites. (b) Scanning electron micrographs of the joint interface [1].
In spite of such significant progress, there has been hardly any detailed report on microwave joining of metallic
materials. The main reason for this little work in microwave heating was due to the misconception (until recently) that all
metals reflect microwaves and/or cause plasma formation, and hence cannot be heated in microwave field. However,
Sharma et al. have successfully carried out joining of bulk metallic pieces with fusion of the parent metals in a low cost
home microwave system. Joining of pure metals (copper), similar alloys (stainless steel to stainless steel), and
dissimilar alloys (stainless steel to mild steel) in the bulk form have been reported. Afew typical joints of bulk metal and a
scanning electron microscope micrograph of a typical section of a butt joint is presented in Fig. 6(a) & (c) and Fig. 6(b) &
(d) respectively. A dense uniform microstructure with good metallurgical bonds between the sandwich layer and the
interface is clearly observed.
Fig. 6. (a) &(c) Typical view of joints developed through microwaves; (b) & (d) Microstructure of the weld zone.
xv
Recently, the viability of the microwave cladding process has also been explored in the Indian Institute of Technology
Roorkee [8]. Initial results showed that the developed process have high potential to enhance the surface properties of
target the material at relatively low cost with higher speed of processing. Microwave cladding of EWAC (Ni based)
powder has been successfully carried out on austenitic stainless steel (SS-316) surface by using a multimode domestic
microwave oven, operated at 900W and 2.45GHz. The experiments were carried out at different exposure time of
microwave radiation from 2 minutes to 6 minutes. Clad obtained was found well metallurgically bonded with the
substrate. Back scattered electron (BSE) image of such a typical clad is presented in Fig.7.
Fig. 7 Typical BSE image of EWAC clad cross section.
Conclusions
Applications of electromagnetic energy in processing of materials not only ensure rapid production but contribute towards green
manufacturing approach. Rapid manufacturing of metal parts are especially suitable for the fabrication of small number of pieces and mass
customization. Direct fabrication of metal products of high density and excellent mechanical properties is possible by using electromagnetic
manufacturing techniques. The production of end-use parts made of metal is one of the most promising applications for these techniques. The
aeronautic, automotive and medical industries are the main markets. The advent of the new machines is expected to increase the rate of
production, production accuracy and other mechanical and aesthetic attributes of the processed parts.
References:
1. Aravindan S. and Krishnamurthy, R. Joining of ceramic composites by microwave heating, Materials Letters, 1999, 38, 245249.
2. Asai S, Recent developments and prospect of electromagnetic processing of materials, Science and Technology of Advanced
Materials, 1 (2000), 191-200.
3. Clark D.E., Sutton,W.H. and Lewis D. Microwave processing of materials, Annu Rev Mater Sci., 1996, 26, 299-301.
4. Edson Costa Santosa, Masanari Shiomia, Kozo Osakadaa and Tahar Laoui, Rapid manufacturing of metal components by laser
forming, Journal of Machine Tools & Manufacture 46, (2006), 14591468.
5. http://www.buzzle.com/articles/what-is-electromagnetic-energy.html, Dated 3-11-2010
6. http://imagine.gsfc.nasa.gov/docs/science/know_l1/emspectrum.html, Dated 3-11-2010
7. Lasform, Aeromet, http://www.aerometcorp.com/. Dated 3-11-2010
8. Sharma A.K. and Gupta Dheeraj, “A method of cladding/coating of metallic and non-metallic powders on metallic substrates by
microwave irradiation” Indian Patent, 2010, 527/Del/2010.
9. Sharma Apurbba Kr. and Krishnamurthy, R., “Microwave processing of sprayed alumina composite for enhanced performance”,
Journal of European Ceramic Society, 2002, 22, 28492860.
10. Sharma A.K., Srinath M.S. and Pradeep Kumar, 2009, “Microwave Joining of Metallic Materials”, Indian Patent, (File
No.1994/Del/2009).
xvi
Plenary Address
Dr. Pradeep Kumar Jha

Uttarakhand 247 667
Continuous Casting of Aluminium- Recent Trends
The global energy crisis led to the development of technological advancements in the area of casting, continuous
casting being one of them. Although continuous casting was mostly applied in steelmaking areas, the resurgence of
Aluminium as an important material in most of the engineering applications in last two decades led to its use in
processing Aluminium. Schematic of continuous casting is shown in Fig 1. This process converts molten aluminum
alloys directly into strip suitable or wire-bars, hence eliminating the operations associated with traditional mould casting
(discontinuous process) or D.C. casting (a semi-continuous process) and reduce the capital investment and operational
costs. While processing Aluminium through continuous casting route, the strip casting processes is most common.
Present study gives an overview about the possibilities to produce aluminium strips/bars in a continuous way.
Strip casting: The continuous casting technologies can be divided by processes based on casting direction
(horizontal/vertical) and by mould type (fixed/mobile walls). Strip casting technologies are suitable for the casting of
wrought alloys and allow the production of strip from 3 mm to 20 mm thickness and up to 2150 mm width. In this process,
molten metal enters the casting mould, the space between two rolls, solidifies there and leaves the mould as a
continuous strip (in case of casting with the help of two rolls as shown in Fig 2). Following are the different methods to
produce strips using continuous casting route:
Twin roll casting process: In this process molten metal is fed into the space between a pair of counter-rotating,
internally cooled rolls. In a very short time after leaving the casting nozzle the molten metal solidifies due to the contact
xvii
with the water-cooled rolls. The casting direction can be horizontal or vertical. The solidification zone is 10 mm to 20 mm
long and is followed immediately by a zone of hot-rolling in the same gap. This method is in fact roll casting processes
because the strip thickness can be reduced of 5% to 20% in-situ by hot rolling. The strip usually has a temperature
between 400°C and 550°C and can be directly coiled at hot temperature.
Single roll casting process: In this process, molten metal is delivered to the surface of a rotating roll that is internally
water-cooled. The molten metal is dragged onto the surface of the roll to form a thin strip of metal, which cools on contact
with the surface of the roll.
Twin belt slab casting process: Two moving thin steel belts are provided which create a moving mould for the metal to
be cast. The belt is subjected to extremely high thermal gradients, with molten metal in contact with the belt on one side
and a water coolant in contact with the belt on the other side.
Block caster technique: A number of chilling blocks is mounted adjacent to each other on a pair of opposing tracks.
Block casters require precise dimensional control to prevent flash caused by small gaps between the blocks.
Combination of a rotating steel belt and a water-cooled casting wheel: In this, the mould is formed between the
belt and a sector on the outside of the casting wheel.
Fig 1: Schematic of continuous casting process Fig 2: Twin roll strip casting process
xviii
Plenary Address
Dr. Sehijpal Singh

Professor and Head
Department of Mechanical Engg
Guru Nanak Dev Engg College
Ludhiana-141006
Fine Machining With Magnetic Abrasives: Latest Trends

ABSTRACT
With the development of industrial manufacturing technology, fine surface finish is in high demand in a wide spectrum of
industrial applications. Mostly, it is desired that the final surface produced after many manufacturing operations should
have good finish and surface characteristics. But in most of the cases, components produced after manufacturing
operations does not have required surface finish and surface characteristics. So, manufacturers have to adopt different
methods to obtain the desired surface finish and characteristics. Initially filing, lapping, honing and super finishing was
the traditional methods to achieve good surface finish for simple parts. After that polishing and buffing was introduced by
which a very fine surface finish can be achieved. In the present talk one of the promising technologies for fine finishing of
surface has been explained. The technology is based upon the micro attractive forces which are sufficient to cause
micro removal of material form the surfaces once some relative motion is given to one of the components. The
traditional name of the technology is magnetic abrasive machining. Brief history of the technology has been given.
Subsequently, the latest developments and innovations have been introduced to appreciate the use of technology for
micro finishing.
MAGNETIC ASSISTANCE FOR ABRASIVE MACHINING: BRIEF HISTORY

Magnetic Abrasive Machining (MAM) or Magnetic Abrasive Finishing (MAF) is a process where abrasive machining is
carried out using small forces generated by magnetic attraction. The process is mainly suitable for processing
dynamically balanced work pieces, level plates, but also intricate shapes. MAM was originated in 1940 in USA. First
patent in was granted to Lee L.E. (US patent 2827740) in 1958. During 1950-1960 Initial developments (manufacturing
of magnetic abrasive powders, application for heavy work pieces) took place in former USSR (Baron, 1975, Konokov
and Sulev 1967) and in Bulgaria (Makedoonski 1974). In the eighties further development of equipment for fine
machining of tubes, rods, flat surfaces, (Japanese Researchers, Shinmura and Yamaguchi and co workers) were
reported. Magnetic Fluid Grinding and Magnetic Float Polishing was introduced in mid nineties (Childs, 1992;
Komandhri, 1994). In India many research initiatives were taken particularly at IIT Kanpur by Jain and coworkers. The
work is mainly focused on finite element modeling and measurement of forces generated in MAM.
xix
TECHNOLOGY OF MAGNETIC ABRASIVE MACHINING

The working principles of MAM can be explained by referring Fig 1. Plane as well as round (Internal and external)
surfaces can be fine machined with MAM.
Fig. 1 Plane and circular finishing with MAM (1)
MAJOR APPLICATIONS OF MAM

• Polishing of strip materials (sheets and plates)
• Grinding and Polishing of PCBs
• Finishing of Ceramic-Alumina substrates
• Polishing of Translucent aluminum discharge Lamps
• Surface machining of Silicon wafers for ICs production
• Sliding surface between inner and outer races of bearing,
• External round surfaces (Shafts, pins, axels)
• Removal of oxide layers and protective coatings
• Internal Round surfaces (Bomb Shells, Roller bearing, thimbles)
• Complicated parts (rubber rings, synthetic and moulded parts)
• Chamfering and deburring of end faces of gears
• Ceramic balls
• Removal of burrs from bore edges in complicated bulk pieces
LATEST DEVELOPMENT IN MAM

Use of Alternative Magnetic Field
Traditionally, direct current was used to cause magnetic flux. A new precision internal machining process has been
proposed that controls the surface integrity of internal surface of critical components such as high-pressure gas or liquid
piping systems. This process utilizes an alternating magnetic field to control the force and dynamic motion of the tools
needed for machining. Due to the effects of alternative magnetic field on the pins a random motion is exhibited by the
pins. This motion is active three dimensional and due this motion the pins collide with inner surface of the pipe. With this
type of interaction which is low force interaction a very fine surface is generated. Therefore, surface integrity is also
controlled. The process is better than conventional peening processes which are very difficult to apply on internal
surface. Instead of using costly magnetic abrasives, fine pins made up of special stainless steel have been used for
finishing the internal surface of tubes. Apart from finishing, this process also gives a peening effect to the surface. The
fatigue strength of the surface is increased with this treatment. The SS pins are given varying AC frequency which
imparts random and gentle striking on the surface. For manufacturing of pins a stainless steel wire is cold rolled and cut
into small pins. Due to high rolling pressure the crystal of the metal are aligned in one particular direction thus magnetic
properties are produced in it.
xx
Fig. 2 Use of SS pins for internal finishing with alternative magnetic field (2)
MAGNETIC FLOAT POLISHING

Magnetic Float Polishing is based on magneto-hydrodynamic behaviour of a magnetic fluid that can float a non magnetic float and abrasives
suspended in the magnetic fluid. There is a bank of small magnets placed in a non magnetic base. Circular balls (may be of ceramics) are placed
in a container having magnetic fluid with fine abrasives. The balls are pressed softly in between a float and a drive shaft. The rotating drive shaft
gives continuous motion to the balls. The gentle magnetic forces cause fine polishing of the balls in a uniform pattern and with fine luster.
ELECTROLYTIC MAGNETIC ABRASIVE FINISHING

In Electrolytic magnetic abrasive finishing, electrochemical action is combined with magnetic attraction. With this arrangement, a passive film is
produced on the work surface during processing due to the electrochemical reaction. When the magnetic field influences the electrolytic
process the path of negatively charged ions towards the anode surface changes in to a cycloid curve under the effect of Lorentz forces (3). This
change results in an increase in probability of collision between the electrolytic ions and the unionized electrolyte thus enhancing the
electrochemical reaction of the Electrolytic process
MAGNETO ABRASIVE FLOW MACHINING

This is another development where abrasive flow is assisted with magnetic attraction (5). Performa of cutting is increased with this assistance.
In this process, modification of the distribution pattern of abrasive particles near the inner surface of the hollow work piece takes place with the
result that more number of abrasive particles takes part in abrasion. Moreover, the deflection to some of the axially flowing abrasive particles so
that they strike on the work piece surface at a slight incidence angle.
MAGNTORHEOLOGICAL ABRASIVE FLOW MACHINING

Magnetorheological (MR) polishing fluid comprises of carbonyl iron particles (CIPs) and silicon carbide abrasives dispersed in the viscoplastic
base of grease and mineral oil, exhibits change in rheological behaviour in presence of external magnetic field (4). This smart behaviour of MR-
Polishing Fluid is utilized to precisely control the finishing forces, hence final surface finish. In MRP-fluid, on the application of external magnetic
field, the iron particles acquire dipole moments proportional to the magnetic field strength and when the dipolar interaction between the particles
exceeds their thermal energy, the particles aggregate into chains of dipoles aligned in the field direction.
REFERENCES
1. Komanduri R (1996) “On material removal mechanism in finishing of advanced ceramics and glasses” Annals of CIRP 45/1 509-514
2. Yamaguchi H and Shinmura T. “Development of a new precision internal machining process using an alternating magnetic field”.
Precision engineering 2003; 27; 51-58.
3. K.P. Rajurkar, D. Zhu, J.A. McGeough, J. Kozak, A. De Silva, “New Developments in Electro-Chemical Machining”, CIRP Annals -
Manufacturing Technology, Volume 48, Issue 2, 1999, Pages 567-579
4. Jha S., Jain, V.K. (2007) “Effect of extrusion pressure and number of finishing cycles on surface roughness in magnetorheological
abrasive flow finishing (MRAFF) process” International Journal of Advanced Manufacturing Technology, Vol.23 (7-8), pp.725-729.
5. Singh Sehijpal (2002) “Studies in metal finishing with magnetically assisted abrasive flow machining”. Ph D Thesis, Deptt. of
Mechanical and Industrial Engineering, IIT Roorkee.
xxi
Plenary Address
Sumit Samaiyar
Industry Manager - India
Altair Engineering
+919810563214
CAE & Product Innovation
The latest trends in Engineering Syllabus, it to keep adding new subjects and new versions of old subjects. At present,
Design & Analysis fall under the part of new subjects.
Design has been a core part of Mechanical Engineering and got itself represented in different forms, for eg Computer
Aided Design (CAD) is one of the most familiar Technologies these days.
Analysis (CAE) is the technology used beyond design. Both Design and Analysis are interlinked to actual industry
needs. Analysis is the integral study of a product.
Today's Mechanical Engineers need to work towards product innovation. Product innovation is today the sine-qua-non
for economic development on a scale that's inclusive of large society.
For India to develop into economic powerhouse, we need to move from replicating foreign products, move from
“tropicalizing” existing technology for India markets and move from a single minded focus on cost savings alone Indian
markets. We need to conceptualize, develop and market products that can capture the world's imagination. In the
pursuit of innovative products, breakthrough R&D leading to technology develops.
The presentation will focus on what blocks product Innovation in India and what can be done to make it possible for
innovative products to emerge out of India.
In today's global business environment, innovation in product development is not simply a noble aspiration. It is a
competitive necessity as consumers demand products that are more capable and stylistic than ever before. Top-
performing companies focus on innovation through the introduction of ingenious elements to their products and/or
processes.
Technologies like optimization, DOE, manufacturing process simulation, impact /safety analysis and process
automation are becoming the mainstream R&D activities. CAE tools have become indispensable for requirements-
driven product development, acceleration in product and process innovation, MEMS design, product design quality etc.
Product design encompasses considerations from a variety of requirements such as packaging, performance,
manufacturing, cost of production, service and warranty claims. With increasing reliance on CAE and virtual testing for
performance predictions and manufacturability issues, execution of a standard design validation plan with clear
definition of performance is mandatory.
xxii
Contents
Preface
National Advisory Committee
Steering Committee
Messages
Plenary Address
Abstracts
Sr. No. PLENARY ADDRESS Page No.
i. Designing with Composite Materials: Issues and Challenges ix

Dr. Inderdeep Singh
ii. Electromagnetic Energy in Material Processing : An Approach to Green Manufacturing xi
Dr. A.K. Sharma
iii. Continuous Casting of Aluminium- Recent Trends xvii
Dr. Pradeep Kumar Jha
iv. Fine Machining With Magnetic Abrasives: Latest Trends xix
Dr. Sehijpal Singh
v. CAE & Product Innovation xxii
Sumit Samaiyar
ABSTRACTS
1. Cutting Forces in Oil Machining EN8 in Dry, Mist and Wet Lubrication Condition Using Biological Oil as Substitute 1
Jai Shankar.V.P
2. Effect of Process Parameters on abrasive jet machining 6
Bhaskar Chandra Kandpal
3. Experimental Analysis During Drilling of Glass Fiber Reinforced Plastic (GFRP) 11
Seema Singh, K.L. Meena, Dr. Jaspreet Singh Oberoi, Charanjitsingh
4. Experimental Investigation on Electrochemical Deburring (ECD) Process 16
Dr. S. Mitra, Dr. S. Sarkar
5. CBN Tool Wear Mechanisms In Continuous Cutting Of Hardened Tool Steel 21
J. S. Dureja
6. Abrasive Flow Machining Performance Measures On Work-Pieces Of Different Geometrical Shapes & Sizes 25
Saad Saeed Siddiqui, M Hameedullah
7. Analysis of Superfinishing Processes - Review Paper 31
S.D. Singh, Harichand Tewatia
8. Optimisation of Abrasive flow Machining using a Genetic Algorithm: APreliminary Study 35
Akan Kumar Das
9. Role of Hybrid Technology for Optimum Energy and Green Environment 38
Shailendra K.Tewari,Vivek Dwivedi
10. Study of Optimal Process Parameters during Pulsed Nd: YAG Laser Cutting of Superalloy 41
Thin Sheet using Taguchi's Matrix Method
Amit Sharma, Vinod Yadava
11. Adetailed study of the progress in research in the area of Laser beam machining 46
Sumit Ganguly, Khem Chand Arora
12. Unconventional Machining of Fiber Reinforced Plastics Composites 51
R. Mishra, P. K. Rakesh, I. Singh
13. Processing of Thermoplastic Composites with Microwave Energy: AReview 55
D. Malik, I. Singh, A. K. Sharma, P. Kumar
14. Pareto Optimization of Wire Electrical Discharge Machining of γ-TiAl Through ANN Model 61
Dr. S. Sarkar, Dr. S. Mitra
15. Investigations on Process Capabilities of Micro Ultrasonic Drilling 66
Vivek Jain, A. K. Sharma, Pradeep Kumar
16. Applications of Microwaves In Manufacturing Technology 71
C.S. Sandhu, Sehijpal Singh
17. Characterization of metallic objects built through Hybrid Layered Manufacturing 74
Deepak Kumar, Suryakumar S., Raghavendrer Nadella, Raveen John, Karunakaran K.P.
18. Dry Sliding Wear Behaviour of Aluminium Alloy Al97.75mg0.89y1.41-ATaguchi Technique 82
Mayur. S. Modi, SamirJariwala
19. Effect of different Machine Parameters on Material Removal Rate (MRR) for Electron Discharge Machining (EDM) 87
Rohit Sharma, Harshit Srivastava
20. Areview of residual stress profile during hard turning 94
J. S. Dureja
21. Tool geometry considerations in finish hard turning 101
J. S. Dureja
22. The Effect of Process Variables on Bead Width and Reinforcement in Submerged Arc Weld Deposits 108
Vinod Kumar
23. Some Investigations on Mechanical Properties of Developed Basic Fluxes For Submerged Arc Welding 114
Vinod Kumar
24. Simulation Studies on Slurry Flow Analysis for Jet Erosion Testing 118
Prabhakar M. Bhovi, Dheeraj Gupta, A. K. Sharma, Sushanta Dutta
25. Study of Thrust Force and Torque in Secondary Processing of Metal Matrix Composites 122
Sarbjit Singh, Inderdeep Singh, Pradeep Kumar
26. Fabrication of FRP using Natural Byproducts- AReview 126
Sameer Sharma, Vikas Dhawan
27. Investigation of Transient Analysis in the Stability of Boring Tool using Impact Dampers-Model Development 130
K. Ramesh, Dr. T. Alwarsamy
28. Analysis Of Stress Distribution And Crack Initiation Under Mode-I and Mixed Mode (Mode-I and Mode-ii) 135
Biaxial Stress Field by Finite Element Method
Vineet Kumar Singh, P.C. Gope
29. Analysis and Design of a Supersonic Wind Tunnel using Centrifugal Compressor and Axial Compressor 143
Dr. T. Rajeshkannah, M. Mareeswaran
30. Method of Transmitted Variation for Feasibility Robust Design 148
Kelkar Satej Sudhakar
31. Modeling and thermal mapping of three cylinder S. I. engine cylinder head by using CAE. 151
S. V. Bhalerao, Dr. A. N. Pawar, R. M. Sherekar, P.N.Shrirao
32. Simulation Based Transient Thermal and Flexible Dynamic Analysis of Brake Disc of Motorcycle 155
Sampada Bagai, Gautam Batra
33. Rice Husk Ash (RHA) and Fly Ash (FA) based Al alloy Metal Matrix Composites (MMC): AReview 161
Harvinder Singh, Ravinder Pal Singh, Bhupinder Singh
34. Tribological Behaviour of Nanostructured Coatings 168
CH. V. S. S. Murali Krishna, Lalit Thakur, Dr. Navneet Arora, Dr. R. Jayaganthan
35. Three Dimensional Finite Element Analysis of Composite Lap Joints under Compression 175
Harpreet Singh, Inderdeep Singh, Pradeep Kumar
36. Identification of Pump Misalignment using Current Signature Analysis 180
Neelam Mehala
37. Design and Fabrication of Supersonic Wind Tunnel using Optimization Technique 184
M. Mareeswaran
38. Experimental Investigations Of Crack Growth Path In Multiple Cracks 187
ArunaThakur, A. Roy Choudhury
39. Computer Aided Design and Analysis of Piston Mechanism of Four Stroke S.I. Engine 191
Er. Jadhav Rajendra B, Dr. G. J. Vikhe Patil
40. Analysis of an External Gate Hopper Feeder 197
Aparna Gupta, Arjun Mehra, Neha Khemka, Pradeep Khanna
41. Design And Modification Of Single Flywheel Thresher Machine 202
Sachin P. Untawale, S. L. Bankar, R. B. Chadge
42. Electro-Magnetic Motion Control System in CCPM Based Helicopter 210
Parwinder Singh, Manjot Singh, C.S.Kalra & U. S. Chawla
43. Finite Element Analysis of Heat Sink of a Tail Lamp using Radioss Linear 215
Gian Bhushan, Pankaj Chandna, Sumit Babbar
44. The Various Required Features Of Design Based System For The Computer Aided Process Planning (CAPP) 219
R.D Gupta, Satish Kumar, Dinesh Kumar
45. Design, Fabrication and Testing of an All Terrain Vehicle 225
Ashwini Sharma, Subarno Ghosh, Vivek Sagar
46. Experimental Investigation of Performance and Emission of Hemp Biodiesel and 235
its Blends with Diesel in a Single Cylinder 4 Stroke Diesel Engine
S.S.Ragit, S.K.Mohapatra, K.Kundu, V.R. Dahake
47. AComplete Approach on Computational Fluid Dynamics 242
Debasish Das, Rahul Makade, Vineet Vashishtha
48. Effect of Addition Of Metal(Alpha-ThiopicolinAnilide) On Photo Degradation of Polyisobutylene Film 251
S.P. Handa, A. Singh, S.L. Vashist , Asha Malik, MadhuVohra
49. ANew Generation Biomass Gasification System-Apractical approach 256
Debasish Das, Rahul Makade
50. Metallographic Investigations on a Reheater Tube of a Subcritical Boiler 260
Mayank Jain
51. Experimental Investigation of Fluid Flow Phenomenon in a Delta Shape Tundish of Billet Caster 264
Shivmohan Meena, Sabin Kumar Mishra, P.K. Jha, Manish Mishra
52. Waste Heat Harnessing in Automobiles for Onboard Auxillary Power Generation usingThermophotovoltaics 268
Sathish Krishna. R, Subakar. S. E
53. Experimentally and Theoretical Investigation of Heat Transfer by Piston of Single Cylinder Petrol Engine 273
Er. Jadhav Rajendra B, Dr. G. J. Vikhe Patil
54. Experimental Determination of Brake Thermal Efficiency and Brake Specific Fuel Consumption of Diesel Engine 279
Fuelled with Bio-Diesel
A. V. Krishna Reddy, M. Shiva Shankar, K. Apparao
55. Open and Closed Loop Pulsating Heat Pipes: AReview 284
M. Khalid Usmani, Mohammad Rafiq B, Dr. Sanjay Kumar
56. Computational Studies of Energy Separation inCo-Annular Axial Flows 289
R. Manimaran
57. Hazards are The Challenges In Surface Mining Areas An Observation 296
Binay Kumar, Vikas Dhawan, R. K. Bansal
58. Fault Diagnosis of Centrifugal Pump using Spectral Analysis 303
Neelam Mehala
59. Biodiesel utilization in Diesel Engines-AReview 308
Rajesh Kumar Saluja, Rajeev Pandey
60. Experimental Investigation on Heat Transfer and Friction Factor Characteristics of a Tube Equipped 315
with Perforated Twisted Tape Inserts
P.K. Chandrashekara, V. N. Kapatkar
61. To Investigate The Effect of Coolant Temperature On Multi Cylinder Si Engine Performance With L.P.G. As AFuel 321
Praveen Sharma, Rajiv Saxena
62. Improvisation of Inlet Manifold to Facilitate Uniform Flow To All Combustion ChambersUsing CFD 328
B. Antony Ashley Raja, Abdul Khadeer
63. Structural Dynamic Vibration Analysis of Piston of Four Stroke S.I. Engine 333
Er. Jadhav Rajendra B, Er. Chaudari S.N., Dr. G. J. VikhePatil
64. Hydraulic Regenerative Braking System 338
Anil Kumar, Vikas Dhawan
65. Performance Evaluation of Lean Combustion Technology In Diesel Engine 345
Puli. Danaiah, Puli. Ravi Kumar
66. An Identification Of Solution And Simulation Of Supersonic Combustion Ramjet Engine 350
Rajneesh
67. Advancements in IC Engine by the Idea of 6-Stroke Engine in the field of Thermal Engineering 353
Gaurav Tiwari, Rohit Bali, Abhijeet Pal, Sandeep Kr. Kesari
68. Automobile Pollution in India: AReview 358
Sumit Tripathi, Amir Shaikh
69. Access to success: Value Engineering 361
Mani Mala
70. Identification of Different Enablers in the Implementation of Total Quality Management 365
Vineet Jain, Rajesh Attri
71. Artificial Intelligence Tools In Financial Prediction: Emperical Study In Indian Share Market 371
Satyajit Dhar, Tuhin Mukherjee , Arnab Kumar Ghoshal
72. Implementation of Maintenance Management For Productivity Improvement 378
Jatinder Chhabra
73. Implementation of Adaptive Control Using Spindle Power 383
Prveen Bidare, Ayush Garg, Lander Unanue, Mihir Shah, Pedro J. Arrazola, Karunakaran, K.P.
74. Introduction to Total Productive Maintenance in Industrial Scenario 389
Narender Sinhmar, Dr. A. K.Gupta
75. Independent Platform Query Analyzer 395
Mrs. Saravjeet Kaur, Er. Rashmeet Singh Bali
76. Implementation of Total Productive Maintenance in Thermal Power Plant: Acase study 400
J. S. Dureja
77. JIT - AManagement Philosophy Not ATechnique 406
Manish Jha, Suman Madan
78. Lateral Transshipment An Automobile Industry Perspective 413
Dharamvir Mangal, Pankaj Chandna, Gian Bhushan
79. Management of Suppliers: Review of Concept 417
Amit Dubey, Pardeep Sharma, Ajay Singh, Gurpreet Singh
80. Modern Productivity Improvement Techniques 423
S. P. Tayal
81. Need for Import Substitution in Indian Mechanical Engineering Industry 428
B.S . Gandhare, M. S. Pawar
82. Gauging E-Commerce Impact on Supply Chain Management 433
Vishal Garg, Geetika Reliya, Srikant Kaushik
83. Optimization of Part Scheduling For Cellular Manufacturing System Using Tabu Search Method 444
Chander Prakash
84. Quality Management In Supply Chain: ACase Study 452
Chander Prakash
85. Ranking of Scheduling Rule Combinations in AFlexible Manufacturing System Using Multi-Attribute Decision Making Method 461
Joseph O A, Sridharan R
86. Review of Commitments and Considerations in the Implementation of Lean manufacturing 468
Prof. Venkatesh S. Dange
87. Review of Indian Instrumentation for Industry 473
B. S. Gandhare
88. Suggested Implementation of the Green Supply Chain Management in Automobile Industry of India: AReview 477
Sunil Luthra, Manju, S anjay Kumar, Abid Haleem
89. The Organizing Production and Its Economic Problem- AOverview 485
Binay Kumar, Vikas Dhawan, Varun Bhatia
90. To Study the Measures Taken by MNC's in Supplier Loop to Make it Sustainable Supply Chain 492
Sudeep Sharma, Pawandeep Singh Dhaliwal
91. ATheoretical Approach of Reverse Engineering 497
Dr. S. P. Untawale, N.Y. Mohite, P. D. Kamble
92. Design of Cellular Manufacturing Systems: AReview 501
Pawan Kumar Arora, Purnima Gupta
93. Parameter Selection in Genetic Algorithm for the Solution of Allocation Problem in a Single Stage Supply Chain 508
Vinay V. Panicker, R. Sridharan, D. Jagan
94. How Entrepreneurial Is Engineering Education System in India? - AReview 515
Dinesh Khanduja, Pardeep Kumar Kamboj
95. Retail logistics 522
Anjali Mahna, Dikshi Vohra, Sandeep Bedi
96. JATROPHA: Healthy-Wealthy Approach to Bio-energy 525
Himanshu Gaur, Ankit Singhvi, Amit Kumar, Khushbu Gaur
97. ACase on Economic Impact of Biodiesel Industry(An Indian Scenario) 533
Himanshu Gaur, Ankit Singhvi, Amit Kumar, Khushbu Gaur
98. Infrastructure Opportunities of Nuclear Powerin Indian Power Sector 541
Yogeshwar S.J
99. Software Quality Factors With New Approach 546
Ravi Jaiswal
100. Need of the Hour: TQM in Education Sector 550
Vishal Garg, Geetika Reliya
101. Trends In Supply Chain Management 560
102. Six Sigma: - How is Six Sigma Different from Other Business Management Programs? 565
Mr. Himanshu Gaur, Mr. Amit Kumar, Mrs. Kavita Panjwani, Mrs. Neha Chopra
103. Kanban- ANew Buzz Word in Just-In-Time 571
104. Software Refrence Modelling of 128 QAM Modulator And Demodulator 576
Shweta Sharma, Ajaya Kumar, Nidhika Birla
105. Futuristic Trends in Logistics Quality 580
Anil Aggarwal
106. Image Enhancement Using Wavelet Transform 586
Amit Kumar, Geeta Kaushik
107. Application of Lubricated Unbounded Magnetic Abrasives in Magnetic Abrasive Machining: AReview 589
Vinal Sharma, Maninderpreet Singh, Sehijpal Singh
108. Sensitivity Analysis of Various Sources of Renewable Energy 592
Debojyoti Majumdar, Ashish Sen, Ayush Agarwal
109. Various Factors Affecting Consumer Behavior for Organic & Genetically Modified Food 595
Mani Mala
110. ACase Study on the Impact of Heavy Metal Pollution in Indian Environment and Health Hazards 599
Sharma V., Sakhuja N.
111. Study of Photodegradation of PIB Film at Various Concentration of Tris (aThiopiconilAnilide) Metal (III) Chelates 606
S .P. Handa, A. Singh, S. L. Vashist, Manjeet Rani
112. Digital Image Recognition with Enhanced Tools Using Matlab 610
Manoram Vats, Inderjeet, Anil Garg, Vikas Sharma
113. Fourier Transformation of Satellite Image 617
Ruchi Kawatra, Apneet Kaur
114. Doping of Polyaniline With Functionalized Mwnts And Their Effects on Electrical Conductivities 621
K.C. Yadav, T.K. Gupta, Chhotey Lal
115. An Insight into Motions Controlled by DTMF Technique 625
GauravY adav, Nidhi Sharma, Priya Sehrawat, Mrinal Verma
116. Impulse Noise Reduction Using Noise Adaptive Fuzzy Switching Median Filter 629
Harish Kumar Bansal, Er.Geeta Kaushik
117. Space-Time Block Coded Ofdm Model for Cci Reduction Using Adaptive Beamforming and Null Deepening 632
Lalitesh Sehgal
118. Model for Cost and Quality of Component Based Software 638
Ravi Jaiswal
119. Evolution of Thermal Load in wire EDM 642
Rajender Kumar
Cutting Forces in Oil Machining EN8 in Dry,

Mist and Wet Lubrication Condition using
Biological Oil as Substitute
Jai Shankar.V.P
Jai Shankar.V.P_ Asst Professor, KMEA Edhathala, India
jvp@fisat.ac.in
Abstract - The paper here tries to study the effects of of magnitude lower than the amount commonly used in
minimum quantity lubrication (Mist) condition on the flooded cooling condition where up to 10 liters of fluid can be
cutting performance as compared to completely dry dispensed per minute. The minimization of cutting fluid also
cutting and wet lubricated cutting using coconut oil as leads to economical benefits by way of saving lubricant costs
lubricant. The role and influence of different factors in and workpiece machine tool cleaning cycle time.
the machining is found and is compared with the standard The paper tries to study the effects of minimum quantity
lubricant and dry cutting. Experiments are done using lubrication condition on the cutting performance as compared
Taguchi’s method and the results are found. The to completely dry cutting and wet lubricated cutting using
experiments were planned on orthogonal array's, made coconut oil and elucidate the usage of Taguchi’s method for
with prefixed cutting parameters and different lubricated the experiments by comparing it with full factorial mode. In
conditions. Analysis of variance (ANOVA) was carried the study, the minimum quantity lubrication is provided with
out to check the validity of the proposed parameters and a spray of air and vegetable oil. The following sections
also their percentage contributions. The experiments are describe the experimental set-up, procedure, data, and
also done with full factorial mode and the variation of the analysis.
result from the Taguchi’s mode is studied.
Keywords: Machining, Dry, Mist, Wet, Taguchi method, II. EXPERIMENTAL SETUP
full factorial method EN8 which is an unalloyed medium carbon steel with good
tensile strength is used as experimental specimen for
I. INTRODUCTION machining. The chemical composition of the specimen is
In the design of technical systems and components, it is of given in table 1. Three experimental conditions were
crucial importance to reduce costs, improve performances and designed which were mist lubrication (minimum quantity),
reliability. The quest for alternate potential resources and wet lubrication (flooded) using coconut oil as lubricant and
economic ways of utilization of the available resources are dry cutting.
becoming more and more popular. Increase in the cost of raw Table 1: Chemical Composition of the Specimen
materials has caused manufacturers to think of alternate ways No Constituents Percentage
of utilizing the available resources. Machining industry is 1 Carbon 0.40%
also facing the same types of challenges. The ways to 2 Silicon 0.25%
improve the economic considerations has led to many 3 Manganese 0.80%
researches in diversified pattern. Among them is the effective
4 Sulphur 0.02%
utilization of lubricant and utilizing it to the minimum
5 Phosphorus 0.02%
possible quantity without affecting the essential
characteristics. A lot of alternative lubricants are tested II.1 MACHINING TEST
worldwide among which the use of biodegradable oils present
a better potential element. Machining process selected was turning. Turning is very
The positive effect of the use of cutting fluids in metal cutting important machining process in which a single point cutting
was first reported in 1894 by F.Taylor, who noticed that by tool removes unwanted material from the surface of a rotating
applying large amounts of water in the cutting area, the cylindrical work piece. The cutting tool is fed linearly in a
cutting speed could be increased up to 33% without reducing direction parallel to the axis of rotation. Turning is carried on
tool life. Since then, cutting fluids have been developed a lathe that provides the power to turn the work piece at a
resulting in an extensive range of products covering most given rotational speed and to feed to the cutting tool at
workpiece materials and operations. specified rate and depth of cut. Therefore three cutting
Minimum quantity lubrication which is also called “mist”, parameters namely cutting speed, feed and depth of cut need
"near dry lubrication” or "microlubrication” refers to the use to be determined in a turning operation. During each test,
of cutting fluids of only a minute amount, typically of a flow cutting forces are measured. The schematic representation
rate of 50 to 500 ml/hour, which is about three to four orders about cutting force is shown in Figure 1.
1
conditions. To determine the best design, it requires the use of

a strategically designed experiment. Taguchi approach to
design of experiments is easy to adopt and apply for users
with limited knowledge of statistics, hence gained wide
popularity in the engineering and scientific community.
The Taguchi design of experiment makes use of Orthogonal
Arrays (OA) to help design the experiment. By combining the
orthogonal Latin squares in a unique manner, Taguchi
prepared a set of common Orthogonal Arrays to be used for a
number of experimental situations.
The orthogonal array for three factors at three levels was used
for the plan of experiments. The array selected was L9, which
has 9 rows corresponding to the number of tests. The level of
variables used in the experiment is given in table 3.
Fig. 1: Schematic Representation about Cutting Force Table 3: Level of Variables
The experimental study was carried out on NAGMATI 175 Cutting Depth
Lubrication
LATHE with different cutting speeds, depth of cut and a Level Velocity of Cut
Type
constant feeds. The Specification of cutting tool insert and (rpm) (mm)
tool holder are shown in table 2. Cutting force was measured 1 Dry 135 0.5
using UILD:15Digital Lathe Tool Dynamometer and the
experimental setup is shown in Figure 2. 2 Mist 215 1
Table 2: Details of Cutting Tool and Tooling System Used for 3 Flooded 325 1.5
Experimentation.
Tool Insert SNMM 12 04 08 In total 9 experiments were designed by Taguchi method,
conducted and responses are shown in the table 4.
Tool Holder PSBNL 25 25 M 12
Table 4: Layout of Experiments using Taguchi Method.
Exp Cutting Depth Feed Cutting

Lubric
erim Velocit of Rate Force
ation
ent y Cut (mm Fy
Type
No (rpm) (mm) /rev) (N)
0.05
1 135 0.5 Dry 78.48
1
0.05
2 215 0.5 Mist 68.67
1
0.05
3 325 0.5 Flooded 98.1
1
0.05
4 215 1 Dry 153.69
1
Fig. 2: Experimental Setup
0.05
5 325 1 Mist 130.8
III. EXPERIMENTAL METHODOLOGY 1
0.05
6 135 1 Flooded 127.53
III.1 TAGUCHI METHOD 1
Since the early 1980's Taguchi methods to quality control 0.05
7 325 1.5 Dry 206.01
have been used to optimize the process of engineering 1
experiments. This approach has a unique and powerful 0.05
8 135 1.5 Mist 153.69
quality improvement discipline that differs from traditional 1
practices. This approach has far exceeded and has developed 0.05
9 215 1.5 Flooded 176.58
into a philosophy in its own right. 1
Taguchi method is a powerful tool for the design of high
quality systems. It provides simple, efficient and systematic The output to be studied was the cutting force. Further
approach to optimize designs for performance, quality and analysis of variance (ANOVA) was carried for finding
cost. Further this method is efficient for designing process the percentage contribution of each factor.
that operates consistently and optimally over a variety of
2
Table 5: Analysis of Variance Table for Taguchi Method 0.05

8 215 1.5 Dry 196.2
1
Sources 0.05
Degrees Mean Percentage 9 325 1.5 Dry 206.01
of Sum of F-
Variatio
of
Squares
Sum of
Ratio
Contributio 1
Freedom Squares n 0.05
n 10 135 0.5 Mist 62.13
Depth
2
14216.81 7108.40 192.98
85.986
1
Of Cut 1 5 8 0.05
Lubricati 11 215 0.5 Mist 68.67
on Type
2 1214.242 607.121 16.482 6.934 1
Speed 2 943.336 471.668 12.805 5.287 0.05
12 325 0.5 Mist 88.29
Error 2 73.665 36.832 1.793 1
0.05
16448.0 13 135 1 Mist 111.18
Total 8 100 1
55 0.05
14 215 1 Mist 120.99
1
III.2 FULL FACTORIAL DESIGN 0.05
15 325 1 Mist 124.26
A full factorial design of experiment measures the response 1
of every possible combination of factors and factor levels. 16 135 1.5 Mist 0.05 153.69
These responses are analyzed to provide information about 1
every main effect and every interaction effect. A full factorial 17 215 1.5 Mist 0.05 160.23
design is practical when fewer than five factors are 1
investigated. Testing all combinations of factor levels 18 325 1.5 Mist 0.05 170.04
becomes too expensive and time-consuming with five or 1
more factors. A complete factorial experiment consists of an 19 135 0.5 Flooded 0.05 85.02
equal number of replicates of all possible combinations of the 1
levels of the factors. There are several reasons for designing 20 215 0.5 Flooded 0.05 91.56
complete factorial experiments, rather than, for example, 1
using a series of experiments investigating one factor at a 21 325 0.5 Flooded 0.05 98.1
time. The first is that factorial experiments are much more 1
efficient for estimating main effects, which are the averaged 22 135 1 Flooded 0.05 127.53
effects of a single factor over all units. The second, and very 1
important reason is that interaction among factors can be 23 215 1 Flooded 0.05 137.34
assessed in a factorial experiment but not from series of one- 1
at-a-time experiments.
24 325 1 Flooded 0.05 140.61
In total 27 experiments were designed and conducted by full
1
factorial design and responses are shown in the table 6. The
25 135 1.5 Flooded 0.05 163.5
table 6 gives various cutting parameters for each experiment.
1
The output to be studied was the cutting force.
26 215 1.5 Flooded 0.05 176.58
Table 6: Full Factorial Design
1
Cuttin
Exp Dept Feed 27 325 1.5 Flooded 0.05 183.12
Cutting Lubric g
erim h of Rate 1
Velocity ation Force
ent Cut (mm
(rpm) Type Fy
No (mm) /rev) To study the effect of mist lubrication a graph was plotted
(N)
according to the experiment conditions shown in table 7 and
0.05
1 135 0.5 Dry 78.48 the graph is shown as figure 3.
1
0.05
2 215 0.5 Dry 94.83
1
0.05
3 325 0.5 Dry 107.91
1
0.05
4 135 1 Dry 130.8
1
0.05
5 215 1 Dry 153.69
1
0.05
6 325 1 Dry 160.23
1
0.05 Fig.3: Variation of Cutting Force Fy in Different Experiment
7 135 1.5 Dry 189.66
1 Condition
3
Table7: Experiment Conditions for the above Graph condition). It is evident from graph that cutting force is found
to be lower in mist lubrication condition when compared to
Experi Feed dry and wet lubrication conditions. Thus it can be concluded
Cutting Depth that mist lubrication can replace dry and wet lubrication
ment Rate
Velocity Of Cut conditions.
Condit (mm/R
(rpm) (mm)
ions ev) 4. Taguchi gives systematic, simple and efficient method for
1 135 0.5 0.051 determining the optimum operating conditions, the studies
with Taguchi’s method can be adopted in place where
2 215 0.5 0.051 experimental determination is frequent and when viewed cost
3 325 0.5 0.051 effectively.
4 135 1 0.051 V. ACKNOWLEDGEMENT
5 215 1 0.051 We would like to thank SNM IMT Engineering College for
6 325 1 0.051 the use of their facilities, especially the Machine Tools lab.
Our sincere thanks to the entire staff of Mechanical
7 135 1.5 0.051 Engineering Department, SNM IMT. The second author
8 215 1.5 0.051 would like to extend his sincere thanks to Prof.C.I.Abdul
9 325 1.5 0.051 Rahman, Director, KMEA Engineering College for his timely
help and support.
Further analysis of variance (ANOVA) was carried out
VI. REFERENCES
separately for finding the percentage contribution of each
factor [1] Bala Murugan Gopalsamy, Biswanath Mondal and
Table 8: Analysis of Variance Table for Full Factorial Design Sukamal Ghosh, “Taguchi method and ANOVA: An
Degree approach for process parameters optimization of hard
Sources Mean Percent
Of
s Of Sum Of
Sum Of F-Ratio Contributi machining while machining hardened steel” Journal of
Variation
Freedo Squares
Squares on Scientific & Industrial Research Vol. 68, August 2009,
m
Depth Of 37775.243 18887.621 1538.4516 85.105889
pp. 686-695
2 [2] S. Thamizhmanii, S. Saparudin, S. Hasan ,“Analyses of
Cut 47 73 13 08
Lubricati
2
3821.7216 1910.8608 155.64516 8.5604085 surface roughness by turning process using Taguchi
on Type 67 33 13 57 method” Journal of Achievements in Materials and
2141.7482 1070.8741 87.225806 4.7730438
Speed 2 Manufacturing Engineering volume 20
67 33 45 2
Depth Of [3] Raviraj Shetty, R. Pai, and S.S.Rao ,“Experimental
Cut * 350.88553 87.721383 7.1451612 0.6803328 Studies on Turning of Discontinuously Reinforced
4
Lubricati 33 33 9 45 Aluminium Composites under Dry, Oil Water Emulsion
on Type and Steam Lubricated Conditions Using Taguchi
Lubricati
on type * 4
91.879733 22.969933 1.8709677 0.0964251 Technique”.G. U. Journal of Science 22(1): 21-32 (2009)
33 33 42 28 [4] G. Petropoulos, I. Xtziantzias, C. Anghel, “A Predictive
Speed
Speed *
77.622533 19.405633 1.5806451 0.0642834
Model of Cutting Force in Turning Using Taguchi and
Depth Of 4 Response Surface Techniques” ,International Conference
33 33 61 18
Cut
98.216266 12.277033 0.7196171
on Experiments Process System Modelling /Simulation
Error 8
67 33 57 Optimization, 1st IC-EpsMsO Athens, 6-9 July, 2005
44357.317 [5] M.Shaw. (1989), “Metal Cutting Principles”, Oxford
Total 26 100
47 University Press. Oxford, United Kingdom.
[6] Schmid Kalpakjiain, Manufacturing Processes for
IV. CONCLUSION Engineering Materials. Fourth Ed, Prentice Hall 2003
Based on the analysis of the experimental result obtained it [7] Ranjit K Roy, “A Primer on the Taguchi Method” ,Van
can be concluded as follows:- Nostrand Reinhold. 1990.
1. The percentage contribution of depth of cut is found to be [8] Ranjit K Roy, “Design of Experiments Using the Taguchi
maximum, without significant variation in Taguchi’s method Approach”: 16 Steps to Product and Process
and full factorial method. Improvement.2001.John Wiley & Sons, Inc., Wiley
2. The significant change in percentage contribution of Eastern Limited, Publishers.2001
lubrication type can be attributed to the factor to factor [9] Richard A. Johnson “Miller and Freunds Probability and
interaction, and can be neglected for normal machining Statistics for Engineers”,Sixth Ed, Prentice Hall of
purposes since the percentage contribution itself is less. India:New Delhi, 2003
3. The experiments done on standard lubricant servocut was [10]D.N.Elhance, Veena Elhance and B.M.Aggarwal,
giving similar machining with only slight value “Fundamentals of Statistics”, XLVIIIth Ed, Kitab
variations when compared to coconut oil (mist lubrication Mahal:New Delhi, 2005
4
[11]JayL .Devore,”Propability and Statistics for Engineering

and the Sciences”, Fifth Ed,Thomson Duxbury,1999
[12]Taguchi Approach to Design of Experiments Khurrum. S.
Bhut
5
Effect of Process Parameters on Abrasive Jet

Machining
Bhaskar Chandra Kandpal
Department of Mechanical Engineering, ITM University, Gurgaon, India
kandpalbhaskar2000@gmail.com
Abstract - As the world is advancing forth technically in the and brittle materials, or on the development of systematic
field of space research, missile and nuclear industry; very
experimental statistical approaches and artificial neural networks
complicated and precise components having some special
requirements are demanded by these industries. The to predict the relationship between the settings of operational
conventional methods, in spite of recent advancements are
variables and the machining rate and accuracy in surface
inadequate to machine such materials from stand point of
accuracy, precision and economic production. The metal like finishing. In recent years abrasive jet machining has been
hastalloy, Nitra alloy, nimonics and many harder to machine
gaining increasing acceptability for deburring applications.. AJM
material are such that they can’t be machined by
conventional methods but require some special techniques. deburring has the advantage over manual deburring method that
Abrasive jet machine (AJM) removes material through the
generates edge radius automatically. This increases the quality of
action of focused beam of abrasive laden gas. Micro –
abrasive particles are propelled by an inert gas of velocity. the deburred components. The process of removal of burr and
When directed at a work piece, the resulting erosion can be
the generation of a convex edge were found to vary as a function
used for cutting, etching, drilling, polishing and cleaning.
In this paper testing and analyze various process of the parameters jet height and impingement angle, with a fixed
parameters of abrasive jet machining is presented
SOD. The influence of other parameters, viz. nozzle pressure,
Keywords –Abrasive jet machining, Erosion rate, Glass
mixing ratio and abrasive size are insignificant. The SOD was
I. INTRODUCTION
found to be the most influential factor on the size of the radius
generated at the edges. The size of the edge radius generated was
Abrasive machining is a machining process where
found to be limited to the burr root thickness.
material is removed from a work piece using a multitude of
small abrasive particles. Common examples include grinding, Abrasive jet finishing combined with grinding gives rise to a
honing, and polishing. Abrasive processes are usually expensive, precision finishing process called the integration manufacturing
but capable of tighter tolerances and better surface finish than technology, in which slurry of abrasive and liquid solvent is
other machining processes chances, delectability, costs and injected to grinding zone between grinding wheel and work
safety aspect etc.) The literature study of Abrasive Jet Machining surface under no radial feed condition. The abrasive particles are
[1-7] reveals that the Machining process was started a few driven and energized by the rotating grinding wheel and liquid
decades ago. Till date there has been a through and detailed hydrodynamic pressure and increased slurry speed between
experiment and theoretical study on the process. Most of the grinding wheel and work surface achieves micro removal
studies argue over the hydrodynamic characteristics of abrasive finishing Abrasive water jet machines are becoming more widely
jets, hence ascertaining the influence of all operational variables used in mechanical machining. These machines offer great
on the process effectiveness including abrasive type, size and advantages in machining complex geometrical parts in almost
concentration, impact speed and angle of impingement. Other any material. This ability to machine hard to machine materials,
papers found new problems concerning carrier gas typologies, combined with advancements in both the hardware and software
nozzle shape, size and wear, jet velocity and pressure, stand off used in water jet machining has caused the technology to spread
distance (SOD) or nozzle tip distance (NTD). These papers and become more widely used in industry. New developments in
express the overall process performance in terms of material high pressure pumps provide more hydraulic power at the cutting
removal rate, geometrical tolerances and surface finishing of head, significantly increasing the cutting performance of the
work pieces, as well as in terms of nozzle wear rate. Finally, machine. Analysis of the economic and technical has been done
there are several significant and important papers which focus on by researchers. Those technology advancements in applying
either leading process mechanisms in machining of both ductile higher power machining and intelligent software control have
6
proven to significantly improve the overall performance of the

abrasive water jet machining operation, thus widening the scope
of possible applications of this innovative and promising
technology. Quality of the surface produced during abrasive
water jet machining of aluminum has been investigated in recent
years. The type of abrasive used was garnet of mesh size 80. The
cutting variables were stand off distance of the nozzle from the
work surface; work feed rate and jet pressure. The evaluating
criteria of the surface produced were width of cut, taper of the
cut slot and work surface roughness. It was found that in order to
minimize the width of cut; the nozzle should be placed close to
the work surface. Increase in jet pressure results in widening of
the cut slot both at the top and at exit of the jet from the work.
However, the width of cut at the bottom (exit) was always found
to be larger than that at the top. It was found that the taper of cut
gradually reduces with increase in standoff distance and was
close to zero at the stand off distance of 4 mm. The jet pressure
does not show significant influence on the taper angle within the
range of work feed and the stand off distance considered. Both
stand off distance and the work feed rate show strong influence Fig 1 Layout of AJM
on the roughness of the machined surface. Increase in jet Table 1

pressure shows positive effect in terms of smoothness of the Abrasive jet machine characteristics
machined surface. With increase in jet pressure, the surface Mechanics of metal removal Brittle fracture by
roughness decreases. This is due to fragmentation of the abrasive impinging abrasive
particles into smaller sizes at a higher pressure and due to the grains at high speed.
fact that smaller particles produce smoother surface. So within
the jet pressure considered, the work surface is smoother near the Carrier gas Air , carbon –dioxide
top surface and gradually it becomes rougher at higher depths.

Abrasives Alumina , SiC
Drilling of glass have been carried out by M. Roopa Rani and
S.Seshan[7]. The Roopa Rani and S.Seshan results are used in
the present work to compare the validation of my experimental
work on abrasive jet machining. Pressure 2-10 atm
Nozzle WC, sapphire,
Critical parameters Abrasive flow rate

and velocity, nozzle
tip distance abrasive
grain size
Material application Hard and brittle

metals ,alloys, and
non metallic
7
TABLE 2
Various Process Parameters of AJM
S. No Process Parameter
1 Carrier gas
2 Nozzle tip distance
3 Type of abrasive
4 Size of abrasive grains
5 Velocity of abrasive jet
6 Mixing ratio
7 Work material
8 Nozzle design
9 Shape of cut
II Experimental Work
Experiments were conducted to confirm the validity of my
results as well as the results found in Roopa Rani and S.Seshan
experimental work. The experimental work was carried on a test
rig which was manufactured in the workshops of ITM
University, Gurgaon, and Haryana, India. The abrasive grits
(alumina) were mixed with air stream ahead of nozzle and the
abrasive flow rate was kept constant throughout the machining
process. The jet nozzle was made of tool steel to carry high wear
resistance. Drilling of glass sheets was conducted by setting the
test rig on the parameters listed in Table3
TABLE 3
Abrasive Jet Machining Experimental Parameters
S.No AJM Parameter Condition

1 Type of abrasive alumina
2 Abrasive size 0.15-1.25 mm
3 Jet pressure 5.5-7.5 k g/cm 2
4 Nozzle tip distance 6-18 mm
Glass was used as a work piece material because of its Fig.2 schematic layout of abrasive jet machine test rig
homogeneous properties. The test specimens were cut into
square and rectangular shape for machining on AJM unit having
thickness 3mm, 4mm, 5mm, 6mm and 8mm. In machine the III RESULTS
initial weights of glass specimens were measured with the help A. Experimental Results
of digital balance. After machining the final weights were
measured with the help of digital balance to calculate the Table 4 shows the relationship between nozzle tip distance
material removal rate. In our machine the movement to and diameter of hole at a set pressure of 5.5 kg/ cm 2
specimens in x-y directions is provided with the help of cross
slide and in z direction with help of worm and worm wheel Table 4
drive. First the abrasive that was alumina in powder form was Relationship between nozzle tip distance and diameter of
fed in the hopper carefully. After that compressor connections hole at a set pressure of 5.5 kg/ cm 2
were checked. The glass specimen was properly clamped on S. No Nozzle tip distance Top surface Bottom
cross slide with the help of various clamps. As the compressor (mm) diameter surface
was switched on, the hopper gate valve was opened so that ( mm) diameter
abrasive grains were mixed with air jet coming from the ( mm)
compressor and focused on the specimen with help of nozzle. 1 6 7.05 4.51
Different readings were taken using different process parameters 2 12 8.72 5.05
on the glass specimens of different thickness and all results were 3 15 11.21 5.33
tabulated. All results were compared with the theoretical results 4 18 11.65 6.65
also to check the validity of our results
8
Table 5 shows the relationship between nozzle tip distance and B. Theoretical Results
diameter of hole at a set pressure6.5 kg/ cm 2 Results of experimental work by Roopa Rani and S.Seshan.
. They have conducted some experiments on AJM test rig.
Table 5 at department of mechanical engineering, Indian institute of
Relationship between nozzle tip distance and diameter of science, Bangalore.
hole at a set pressure 6.5 kg/ cm 2
Table 9 shows the effect of pressure on material removal
S. No Nozzle tip distance Top surface Bottom rate (MRR)
(mm) diameter( surface Table 9
mm) diameter( Effect of pressure on material removal rate (MRR)
mm) S.No Gas pressure Materiasl removal
1 6 7.55 4.55 rate( mg/min)
2 12 9.75 5.65 1 5 18
3 15 11.15 5.91 2 6 21
4 18 11.75 6.05 3 7 23
4 8 26
Table 6 shows the relationship between nozzle tip distance and
diameter of hole at a set pressure 8 kg/ cm 2 Table 10 shows the effect of nozzle tip distance (NTD) on
diameter of hole
Table 6
Relationship between nozzle tip distance and diameter of Table 10
hole at a set pressure8 kg/ cm 2 Effect of NTD on diameter of hole
S. No Nozzle tip distance Top surface Bottom surface S.No Nozzle tip distance Diameter of
(mm) diameter diameter (mm) hole(mm)
( mm) ( mm) 1 0.79 0.46
1 6 7.72 5.05 2 5.00 0.64
2 12 9.95 5.75 3 10.01 1.50
3 15 11.45 5.96 4 14.99 2.01
4 18 11.81 6.75
Table 7 shows the Relationship between pressure and material IV CONCLUSION

removal rate (MRR) at thickness 8 mm and NTD 12 mm
This paper presents various results of experiments have been
Table7 conducted by changing pressure, nozzle tip distance on different
Relationship between pressure and material removal rate thickness of glass plates. The effect of their process parameters
(MRR) at thickness 8 mm and NTD 12 mm on the material removal rate (MRR), top surface diameter and
bottom surface diameter of hole obtained were measured and
S. Pressure Initial Final Time MRR plotted. These were compared with the Roopa Rani and S.Seshan
No (kg/ cm 2) weight weight ( sec) ( mg/min) results [7]. It was observed that as nozzle tip distance increases,
(gm) (gm) the top surface diameter and bottom surface diameter of hole
1 5.5 140.190 140.50 20 120 increases as it is in the general observation in the abrasive jet
2 6.5 141.20 161.13 20 210 machining process. As the pressure increases material removal
3 7.5 137.53 137.37 20 400 rate (MRR) is also increased.
Table 8 shows the Relationship between pressure and material REFERENCES

removal rate (MRR) at thickness 12 mm and NTD 12 mm
Table8 [1] Ghobeity, A.; Spelt, J. K.; Papini Abrasive jet
Relationship between pressure and material removal rate micro machining of planar areas and transitional slopes ,
(MRR) at thickness 12 mm and NTD 12 mm M.Publication: Journal of Micromechanics and
S. Pressure Initial Final Time MRR Microengineering, Volume 18, Issue 5, pp. 055014.
No (kg/ cm 2) weight weight ( sec) (mg/min) Publication Date: 01/ 05/2008
(gm) (gm)
[2] M. Wakuda, Y. Yamauchi and S. Kanzaki
1 5.5 206.6 206.57 20 90 “Effect of work piece properties on machinability in
2 6.5 207.13 207.05 20 213 abrasive jet machining of ceramic materials”, Publication:
Precision Engineering, Volume 26, Issue 2, April 2002,
3 7.5 201.75 201.59 20 480
Pages 193-198
[3] R. Balasubramaniam, J. Krishnan and N.

Ramakrishnan , “An experimental study on the abrasive
jet deburring of cross drilled holes” , Publication: Journal
9
of Materials Processing Technology, Volume 91, Issues 1- [7] M. Roopa Rani & S. Seshan “AJM - Procees
3, 30 June 1999, Pages 178-182 Variables And Current Applications”, Publication-
Journal of Metals Materials& Process,1995 Vol.7 No. 4
PP.279-290
[4] R. Balasubramaniam, J. Krishnan and N.
Ramakrishnan “A study on the shape of the surface
generated by abrasive jet machining”, Publication:
Journal of Materials Processing Technology, Volume [8] A.EI-Domiaty, H.M.Abd EI –Hafez, and M.A. Shaker
121, Issue 1, 14February 2002, Pages 102-106 “Drilling of glass sheets by abrasive jet machining”,
World Academy of Science , Engineering and
Technology 56,2009
[5] M. K. Muju and A. K. Pathak “Abrasive jet
machining of glass at low temperature”, Publication:
Journal of Mechanical Working Technology, Volume 17,
August 1988, Pages 325-332
[6] A. P. Verma and G. K. Lal Publication “An

experimental study of abrasive jet machining”,
International Journal of Machine Tool Design and
Research, Volume 24, Issue 1, 1984, Pages 19-29
10
Experimental Analysis During Drilling of Glass

Fiber Reinforced Plastic (GFRP)
Seema Singh1, K.L. Meena2, Dr. Jaspreet Singh Oberoi3, Charanjit singh4
Lecturer, CCET, Chandigarh
1
seemasinghlal@yahoo.co.in
2
klmeena_2001@yahoo.com
Associate Professor, BBSBEC, Fatehgarh Sahib.
3
jpsoberoi@gmail.com3
Assistant Professor, SUSCET , Mohali.
4
charana_1984@yahoo.co.in4
Abstract-- Glass fiber reinforced plastic (GFRP) composite design flexibility. So that it’s have wide applications. In
materials are a feasible alternative to engineering materials. Automotive sector, composites are widely used in the
It’s have excellent properties such as high strength to weight designs of engine blocks, push rods, frames, piston rods etc.
ratio, high stiffness to weight ratio, higher fatigue limit, better In Electrical sector, used in motor brushes, cable electrical
impact characteristics, corrosion resistance and design contacts etc. In medical sector, used in Prostheses and
flexibility. One of the major machining operations that are manufacturing of wheel chains etc. In sports sector, fiber
carried out on fiber reinforced metal composite materials
reinforced plastics are widely used in tennis racquets, ski
owing to the need for components assembly in mechanical
poles, skis, fishing rods, golf clubs, bicycle frames, motor
structures is, drilling. There are many problems encountered
cycle frames etc. and Textile sector.
when drilling fiber-reinforced composites. These problems
include delaminating of the composite, rapid tool wear; poor
The major machining operations for components assembly
surface roughness and fiber pull out. In present experiment
in mechanical structures is, drilling. It is most commonly
the effect of various machining parameters i.e. cutting speed,
used machining processes in various industries such as
the feed rate, and the drill diameter on the quality of the
drilled holes produced after drilling of fiber reinforced plastic
automotive, aircraft and aerospace, Dies/Molds, Home
sheet. Surface roughness of each hole is measured with help of Appliance, Medical and Electronic equipment industries.
Perthometer. ANOVA Technique has been employed to study The quality of the drilled hole can be critical to the life of
the effect of the interactions between different drilling the joints for which the holes are used. There is a huge
parameters on surface roughness of holes. After experiments effect of the machining parameters and tool conditions on
suggests the optimal conditions for better surface roughness. the damage, finish and mechanical properties of fiber
reinforced composite materials, damaged the surface
Keywords : - ANNOVA, Composite Material, roughness and cutting mechanism in drilling. Aspects of
Deviation, GFRP, and Perthometer. hole such a waviness/roundness of its wall surface, axial
straightness and roundness of the hole cross sections can
I. INTRODUCTION
cause high stresses on the joints, leading to its failure. The
Glass fiber reinforced plastic (GFRP) composite materials
effects of variation of these machining parameters on
have excellent properties such as high strength to weight
drilling were analyzed by ANNOVA method. Surface
ratio, high stiffness to weight ratio, higher fatigue limit,
roughness of each hole is measured with help of
better impact characteristics, corrosion resistance and
Perthometer.
11
II. EXPERIMENTAL SETUP Numerical results in respect for various drilling parameters
Glass fiber reinforced plastics (GFRP) have been fabricated are presented in graphical form. Analyses of Variance
by using hand lay-up techniques. The plan of experiment (ANOVA) for surface roughness are shown in
constitutes 72 experiments. There are three levels for feed

Table – 2: ANOVA TABLE FOR SURFACE
rate, four levels for drill diameters and six levels for spindle ROUGHNESS.
speed. The first column is assigned to drill diameter (D),
Sour Degre Sum Mean Varia Fa=1 Sig
the second column to the spindle speed (N) & third to the
ce e of of Square nce % nifi
feed rate (F) and the remaining to the interactions. The Freed Squar V=S/D ratio can
holes generated at the specimen with various parameters om es (S) OF F=V/ t
(DOF Ve
using Radial Drilling Machine. Surface roughness of the
)
drilled holes is measured with the help of Perthometer..
The surface Texture of the drilled holes will be analyzed A 3 9.085 3.028 7.058 4.11 Yes
using high pixel camera. B 5 20.02 4.004 9.33 3.32 Yes
Table - 1 C 2 14.84 7.42 17.3 4.97 Yes

Spindle speeds Drill Diameters Feed Rates
AB 15 3.02 0.2013 0.469 2.33 No
45 rpm 4 mm 015 mm/rev AC 6 1.12 0.1867 0.435 3.11 No
125rpm 6 mm 0.35 mm/rev BC 10 22.9 2.29 5.34 2.60 Yes
355rpm 8 mm 0.5 mm/rev ABC 30 3.79 0.1263 0.294 2.01 No
Error 72 30.89 0.429

710rpm 10 mm
Total 143 1037
1000rpm
2000rpm
Various Surface Roughness graphs have been plotted to
analyze the variation between Spindle Speed, feed rate,
drill diameter and surface roughness
Fig: 1: Analysing surface roughness by Perthometer
III. RESULTS AND DISCUSSION
12
Fig. 2 (a) - 4mm ϕ Drill and different Feed Rates

Fig 2 (c) –8mm ϕ Drill and different Feed Rates
Fig 2 (b) – 6mm ϕ Drill and different Feed Rates Fig 2 (d) – 10mm ϕ Drill and different Feed Rates
13
Fig 3 (a) – 0.02 mm/rev Feed Rate and different Spindle Speeds,
Fig 3 (c) – 0.08 mm/rev Feed Rate and different Spindle
Speeds
From fig. 2(a), 2(b), 2(c), 2(d), we analyze that, with

increase in feed rate, the roughness value increases.
From fig. 3(a), 3(b), 3(c), we analyze that, with increase in

drill diameter, the surface roughness value increases.
From fig. 3(a), 3 (b), 3(c), we analyze that, for drill

diameters of 4 mm, the surface roughness value is
minimum for spindle speed of about 1000rpm
From fig. 3(a), 3(b), 3(c), we analyze that, for drill diameter
of 6 mm, the surface roughness value is minimum for
spindle speed in between 710-1000 rpm. But spindle speed
is more towards 1000rpm.
Fig 3 (b) – 0.05 mm/rev Feed Rate and different Spindle Speeds
14
From fig. 3(a), 3(b), 3(c), we analyze that for drill diameter  For 10 mm diameter, 500 to 550 rpm gives good
of 8 mm, the surface roughness value is minimum for surface texture.
spindle speed of about 710rpm. REFERENCES
From fig. 3(a), 3(b), 3(c), we analyze that for drill diameter [1] Lorenz G., ―a contribution to the standardization
of 10 mm; the surface roughness value is minimum for of drill performance tests‖, Annuals of C.I.R.P.
spindle speed in between 355 rpm and 710 rpm. (1978),Vol. 25, 39-43
[2] Lenz E. Mayer J.E & Lee D.G., ‖Investigation in
As discussed in previous section, with the increase in drill
drilling‖, Annuals of C.I.R.P (1978),Vol.27,49-53
diameter, the wear increases. So the surface quality of the
[3] Kanal & Kanda,‖Statistical characteristics of drill
drilled holes becomes poor. Hence the result that surface
wear‖, International journal of Productions (1978),
roughness values increases. Increase in feed rate also
58-62
increases the value of surface roughness. There is a
[4] Weinert Klaus, Bruchhaus Thomas, ―Tribological
particular set of spindle speed at which the surface
Investigations into the operational behaviour of
roughness is low.
self piloting drilling tools‖,Wear 225-
IV. CONCLUSIONS 229(1999)925-935

[5] Bhagat Ram B.,‖Casting Fiber-Reinforced Metal
For the case of surface roughness, all the three variables i.e.
Matrix Composites‖, Edition 1999,p.p. 43-82
drill diameter, spindle speed, feed rate, interaction between
[6] Mahfouz Issam Abu,‖Drilling wear detection and
spindle speed and feed rate have significant effect on the
classification using vibration signals and artificial
surface roughness of the drilled holes. From the different
neural network‖, International journal of machine
results obtained we can draw the following conclusion
tool & Manufacture Vol. 43 (2003) 707-720
about drilling of fibre reinforced plastics with different
[7] Pirtini M., Lazoglu I.,‖Forces and Hole Quality in
drilling parameters.
Drilling‖, International journal of Machine Tool &
 High quality surface texture can be achieved at Manufacture Vol. 45 (2005) 1271-1281
lower values of feed rates viz.0.02 mm/rev in this [8] Cantero J.L., Tardio M.M., Canteli J.A., Marcosn
case. M., Miguelez M.H.,‖Dry &j Drilling of alloy Ti -
 Good surface texture can be obtained for lower 4Al—6V‖, International journal of production
values of drill diameters. (1978), Vol. 45 (2005)1246-1255
[9] Nouari M., List G ., Girot F., Gehin D., ― Effect of
 Each drill diameter has a particular spindle speed
at which we can obtain good surface texture. machining parameters and coating on wear
mechanisms in dry drilling of alumnium alloys ―,
 For 4 mm diameter, 1050 to 1100 rpm gives good
surface texture. International journal of machine tools &
manufacture vol.45.(2005)1271-1281
 For 6 mm diameter, a range of 900 to 950 rpm
gives good surface texture.
 For 8mm diameter, a range of 650 to 700 rpm

gives good surface texture.
15
Experimental Investigation on Electrochemical

Deburring (ECD) Process
Dr. S. Mitra1, Dr. S. Sarkar2
1,2
Department of Production Engineering
Jadavpur University
Kolkata – 700032
1
mail.dr.mitra@gmail.com
2
mail.dr.sarkar@gmail.com
Abstract— Deburring is the edge finishing technique required for unexpectedly. The burrs in the drilling process occupy more
manufacturing of precise components. Fitting a deburring than 40% of total machining time and reduce the production
operation with high efficiency and full automation is a very efficiency, increase the cost, and leads to all kinds of
difficult task. Further, removal of internal burrs of various size industrial disaster.
and shape is a very difficult task. For example deburring of
Though there are several conventional procedures to
internal cross holes, which are perpendicular to main holes, is a
challenging problem to the manufacturing engineers. remove burrs of various size, shape and properties [2].
Electrochemical deburring (ECD) is a potential solution to this Manual methods are often employed for deburring. But
problem. Incase of ECD, burr is removed by electrochemical different internal burrs are difficult to be treated manually. For
dissolution, rather than by mechanical force. Due to this non- example, it is difficult to remove burrs from an internal cross
contact nature of the process there is no thermal effect on the job hole, which is perpendicular to a main hole. Electrochemical
surface. Therefore for high efficiency and automation of the deburring (ECD) technique has been found as a potential
deburring, development of electrochemical deburring technology solution for such an internal burr [4-6]. In the present research
is needed. In this study the characteristics of electrochemical an ECD system has been designed and developed for the
deburring is analyzed through mathematical model and main
purpose of controlled deburring operation. The effect of the
factor such as time, initial burr height, electrolytic gap and
voltage have been examined. The scheme of a developed ECD different process parameters i.e. machining voltage, time and
system designed to operate within the parametric limits. inter electrode gap on deburring rate are also highlighted.
Experimental investigation has been carried out to study various
deburring characteristics i.e. deburring rate etc and a
parametric analysis is done to evaluate the effect of different II. FEATURES OF THE ELECTROCHEMICAL DEBURRIN (ECD)
process parameters on the deburring characteristics. Electrochemical deburring is based on the principle of
anodic dissolution process. The machining rate is governed by
Keywords—ECD, Deburring time, burr height, base metal the Faraday's laws of electrolysis. ECD does not apply any
removal inter-electrode gap mechanical force or any thermal effects because of the non
contact nature of the process. The machining rate can be kept
I. INTRODUCTION constant irrespective of the hardness and toughness of the
Burrs are thin ridges, usually triangular in shape, that material and hardness of the machined surface is not changed
develop along the edge of a work piece from machining, after the machining process. This is an attractive feature of
shearing of sheet materials, trimming, forging casting etc. ECD over other deburring process, because there will be no
Burrs can lead to noisy, unsafe operation in assembled heat affected zone or residual stress on the job surface.
machine parts, produce friction and wear in the parts moving
relative to each other, short circuits in electrical components
and may reduce the fatigue life of components. During heat
treatment, an edge crack into the parts can lead to breakdown
with increasing tensile stress. Burr also increases leakage in
hydro-pneumatic system. Furthermore they are usually sharp
and as such they can be a safety hazard to personnel [1]. In the
case of the parts moving relatively to each other, friction and
wear due to burrs not only reduce the edge quality but also
produce noise and vibration. During heat treatment, an edge
crack into the parts can lead to breakdown with increasing
tensile stress. In hydro-pneumatic systems, the leakage may be
caused by a low quality edge. Also both of the sharp edge and
burr are harmful to operators and can cause electrical shorts
16
In electrochemical deburring burrs are removed the burr by For a given work piece material and electrolyte, the voltage
concentrating electrolytic dissolution on the desired spot in and the feeding speed of the electrolyte play important roles in
material. As in the application of electrochemical machining controlling the deburring process. When the machining gap
(ECM), if an electrode with special shape is located close to between the electrode and the work piece becomes smaller
the work piece, and electric current is passed through the gap than the equilibrium gap the rate of dissolution
along with an electrolyte (aqueous solution of NaNO3 etc.)
then anodic dissolution of the burr near to the negative (tool)
electrode takes place. If a greater current density is induced III. DEVELOPMENT OF THE ECD SET-UP
into the gap between the electrode and the work piece, then Fig.2 presents the scheme of the electrochemical deburring
the dissolution rate of the work piece is greater. Deburring system. Work piece and the deburring tool are being securely
proceeds by a dissolution process in the anode, with the held by a three-jaw chuck and a collect chuck respectively
machining rate corresponding to current density. with good accuracy. Both the tool and work holding devices
are insulated from the main body in order to focus an electro
chemical reaction between tool and work piece only. The
deburring tool is specially designed to supply electrolyte to
the burr position through the internal hole as shown in Fig 3
and undesired machining is restrained through partial
insulation of the electrode. For various initial gap distances
between the work piece and the electrode, the inner diameter
of the work piece varies. The electrode is made of copper.
Both the tool and the work piece are placed in machining
chamber to avoid the electrolyte splashing over other
members of the ECD set-up the work holding device is made
of Titanium to avoid anodic attack. The metal in contact has
been chosen in such a way that they do not differ much in
their electrochemical behavior. The slide ways cannot be
The principle of electrochemical deburring using NaNO3 protected permanently, and so they are heavily coated with
electrolyte and Iron as the work piece material is exhibited in grease.
Fig.1. Fe is dissolved as the anode, the work piece, and The electrolyte flow system consists of a filter, pump,
hydrogen gas is generated at the cathode, resulting in Fe(OH)3 electrolyte storage tank, and pressure gauge and flow
being precipitated. Unless the oxide formed between electrode measuring device etc. The function of this system is to ensure
and work piece is removed quickly, it could insulate the work adequate amount of clean electrolyte flow in the
piece so that continuous machining is disturbed. A fast flow of deburring zone. The tank, pipe lines, valves are made of PVC.
electrolyte through the small gap is acquired, controlled by a The pump is corrosion resistant centrifugal type pump.
pump for constant flow-rate. Also, the electrolyte transfers Another important sub-system of this ECD setup is the power
heat and sludge generated during machining away from the supply system. This power supply system is equipped to
working area, the electrolyte being reused after filtering. The supply different types of power like low voltage high current
nature of the electrolyte also affects the quality of deburring. plain DC, pulse DC of different ranges.
17
IV. EXPERIMENTAL INVESTIGATION ON THE DEBURRING A. Investigation on the Effect of Inter-Electrode Gap and
CHARACTERISTICS OF ELECTROCHEMICAL DEBURRING Voltage on Machining Current at Zero Feed Rate
All paragraphs must be indented. All paragraphs must be The variation of machining current with time and initial
justified, i.e. both left-justified and right-justified. inter-electrode gap at various voltages are exhibited through
The experimental scheme in the present set of research is Fig 4 toFig 6. Fig-4 shows the change in current with time at
sequenced in such a manner so as to analyze the effect of the different gaps at a voltage of 20 volts, whereas Fig-5 and Fig
various process parameters i.e. machining voltage, inter- 6 highlights similar variations at voltages 25 volt and 30 volt
electrode gap, and the deburring criteria like removal of the respectively.
burr height, deburring rate, and deburring current at different From Fig-4 it is evident that the machining current is
intervals of time. maximum at the beginning for all the initial inter-electrode
gaps and then decreases asymptotically and becomes more or
Voltage (Volt) 20 25 30 less constant after some time. The trend in the variation of
Inter-electrode gap(mm) 0.4 0.6 0.8 current with respect to machining time is similar in all the
above diagrams. It is also observed that of the fact that the
During deburring, electrolytic current was measured at currents are higher at higher voltages. This can be explained
every 15 seconds of interval from the beginning of every from the Ohm's law, i.e. at higher potential difference the
deburring experiment. Before and after deburring the weight current is higher provided the conductivity of the medium
of each workpiece was measured with the help of a Metler- remains unaltered. Here, as the flow rate and the concentration
Toledo made precision weighing machine. The weight and of tile electrolyte is kept constant for all the experiments the
height of the secondary burrs on the workpiece were measured conductivity of the electrolyte medium also remained
to evaluate the deburring rate and the change in burr height. unchanged, giving rise to higher machining current at higher
voltages.
The variation in the deburring current can be explained
from the fact that with no tool feeding towards the workpiece
i.e. at zero feed rate, the inter electrode gap is maximum at the
beginning of the dcburring process. The gap then increases
with respect to time giving rise to decrease in current due to
the increasing inter-electrode gap resulting into higher
resistance.
4.2 Analysis of the Effect of Inter-Electrode Gap and

Machining Voltage on Deburring Rate in ECD
The variation of the deburring rate with initial inter
electrode gap at 25 and 30 volt is shown in Fig 7 it is observed
from the figures that the deburring rate falls sharply with the
increase in the machining gap at both the voltages and that the
deburring rate is higher at higher voltages the change of burr
18
height with initial inter electrode gap at different voltages as research, will serve as useful experimental unit for carrying
shown in Fig.8 also exhibits similar pattern increasing inter- out intensive study of the parametric effects on the various
electrode gap decreases the current density there by reducing deburring criteria.
the removal rate. Fig.9 exhibits the effect of voltage on Experimental investigations reveal that the process
deburring rate at different initial inter-electrode gap the parameters considered in the present set of research i.e.
variation of peak current with inter-electrode gap is shown in voltage and inter-electrode gap at a constant flow rate and
Fig.10. The peak current is found to decrease with increase in concentration of 20 gm./liter of sodium nitrate salt solution
the gap and increase with voltage due to lower and higher have got significant dominant effects in controlling the
current densities at increasing gap and higher voltages deburring rate. The rate of change of burr height was also
respectively. observed to be affected considerably by both the inter-
electrode gap and machining voltage. The effect of peak
V. CONCLUSIONS current at different voltages and inter-electrode gaps is also
The present research studies make it clear that for analyzed and found to be significant.
effective utilization of the electrochemical deburring process
in modern manufacturing industry for achieving higher ACKNOWLEDGMENT
deburring rate with greater accuracy for the hard to machine Authors would like to thank the All India Council for
conductive materials i.e. stainless steel, die steel, HSS etc. Technical Education (AICTE), Govt. of India for their
there is need for proper design and development of the ECD financial support to this work.
system with the provision of controlling the various process
parameters. REFERENCES
The developed ECD system with its various sub-systems [1] J.A. McGeough, Principles of Electrochemical machining, London:
designed and developed successfully in the present set of Champman and Hall, 1974.
19
[2] In-Hyu Choi and Jeong Du Kim, “Electrochemical deburring system [5] S. Sarkar, S. Mitra and B. Bhattacharyya, “Mathematical Modeling for
using electroplated CBN wheels”, Int J. Mach Tools Controlled Electrochemical Deburring (ECD)”, Journal of Material
Manufacturing, ,vol 38, No. 1, pp. 29-40, 1998. Processing Technology, vol. 147, pp. 241-246, 2004.
[3] Serope Kalpakjian and Steven R. Schmid, Manufacturing Engineering [6] R. Biswas, S. Srakar, S. Mitra & B.Bhattacharyya, “Development of
and Technology, Addison Wesley Longman Pvt. Ltd., 2000. electrochemical deburring technology for enhanced deburring
[4] In -Hyu Choi, Jeong Du Kim, “A study of the characteristic of the characteristics”, in Proceedings of National Conference on Advances in
electrochemical deburring of a governor-shaft cross hole”, Journal of Manufacturing Systems, AMS-2003, 28-29th March’2003, p. 349.
Material processing Technology, vol. 75, pp. 198-203, 1998.
20
CBN Tool Wear Mechanisms in Continuous

Cutting of Hardened Tool Steel
J. S. Dureja
Department of Mechanical Engineering
University College of Engineering, Punjabi University, Patiala (India)
Jsdureja73@yahoo.com
Abstract: Precision hard turning provides an effective alternative tool and die steels, stainless steel, high temperature alloys,
to grinding in some applications. Rapid tool wear, however, sintered carbide material and other hard materials. CBN tools
remains an impediment to the process being economically viable. are broadly classified as either low CBN content (CBN-L) or
The principal aim of this paper is to investigate the operating high CBN content (CBN-H) tools. High CBN content (CBN-H)
wear mechanisms of CBN-L tools during finish hard turning of
grades contain approximately 80–95% CBN with a metallic-
AISI H11 steel under different machining conditions. The
different wear mechanisms observed are abrasion wear, type binder. Low CBN content grades contain 40–70% CBN
formation of transferred layer resulting from tribochemical and of these, majority has ceramic based binder systems such
reactions between constituents of tool and work piece material, as TiC and TiN. Although, these materials are actually softer
BUE, chipping etc. The preliminary investigation of progressive than CBN, the composite tool materials exhibit improved wear
tool wear was carried out by interrupting the experiments at resistance.
regular intervals and examining the tool under optical
microscope however, a detailed characterization of worn out The prominent wear mechanisms that govern CBN tool
inserts was carried out through Energy Dispersive X-Ray wear in hard turning are abrasion [6-8], adhesion resulting
Spectrometry. from tribochemical interactions [8, 9], diffusion [8-10], and
chemical wear [6, 8, 11-14]. The occurrence of each
Keywords: CBN Tool; AISI H11 Steel; EDAX
mechanism depends on mechanical and thermal loading during
machining, CBN content of the tool, type of binder phase,
I. INTRODUCTION composition of the work piece material, and the cutting
conditions. Abrasion is caused by the presence of hard carbide
Traditionally, all hardened parts such as gears, shafts, axles, particles in the work piece material and CBN grains present in
bearing races etc. having hardness in the range of 40-70 HRC the cutting tool [6-8]. As the binder material gets abraded by
are grounded to obtain the required tight dimensional hard carbide particles from the work piece, CBN grains are
tolerances and surface finish. Hard machining was beyond the more easily detached and contribute to further abrasion [6].
application range of conventional carbide cutting tools. Adhesion occurs when material from the work piece or chip
Another major hurdle in the implementation of hard turning melts due to high temperature and prevailing stress conditions
was the requirement of rugged lathe machine with desired at the cutting edge, and adheres to the non-contact surface of
stiffness and high spindle speed. However, with the invention the tool [6, 8, 9, 12-14]. The area and thickness of the
of CNC machine tools having superior design and performance, deposited layer depend on the cutting conditions and tool wear
and development of special cutting tools viz. CBN (cubic rate, as these factors determine the temperature in the cutting
boron nitride) and ceramics, hard machining is extensively and zone. Diffusion is facilitated by the high temperature reached
successfully employed to process complex work pieces in one during the metal cutting process [1, 2, 8-10]. The binder in
step, along with achieving the required size tolerances and PCBN cutting tools is more liable to this form of wear and
surface finish equivalent to that of grinding quality. Hard some of the phases in the tool react sharply with the work
turning differs from conventional turning of softer materials in piece material, resulting in structural changes [9]. Similar to
several ways. Because the material is hard, specific cutting diffusion, high temperature at the cutting edge promotes
forces are larger than the conventional turning which exposes chemical reactions in this region. Many researchers have
the tool to extreme tribological conditions, resulting in high reported the presence of a layer on the surface of the CBN tool,
temperature at the tool-chip interface and tool-work interface outside the contact area of contact between the tool and work
leading to accelerated tool wear [1]. Thus assessment of tool piece, known as the built-up layer [6, 8, 9, 11-14]. It is formed
wear is extremely important, if hard turning is to be a viable due to chemical reactions occurring between the tool and the
alternative to grinding, as the tooling cost involved in hard work piece in the area of contact and is facilitated by high
turning is very expensive as compared to conventional turning temperature. Because of relatively large cutting forces, these
and grinding operations. CBN tools, introduced in 1973 have reaction products move to the surrounding area and get
the maintain hardness even at very high temperatures i.e. about deposited on the non-contact tool surfaces. Luo et al. [6] found
1800 VH at 1000 °C (Tabuchi et al., 1978), have low solubility that the life of PCBN tools increases with increasing cutting
in iron and good fracture toughness compared to ceramics [2- speed until a critical value is reached, beyond which tool life
5]. These are primarily used for finish machining of hardened decreases. It is suggested that the adhered layer protects the
21
tool until a temperature is reached at which the layer becomes insert on tool holder resulted in -6° rake angle, -6° clearance
soft and gets removed, leading to increased tool wear. The angle and 93° approach angle.
parameters such as cutting speed, feed rate and depth of cut Before actual testing, the outermost oxidized layer (1mm
significantly influence the performance of CBN tools [5, 6]. thick layer) present on work piece surface was removed.
Subsequently, longitudinal turning tests were conducted under
Chou et al. [15] in their experimental study revealed that
dry conditions on a CNC lathe (Make: Mori Seiki: MSC-
the size of carbide present in work piece material has
ZL25MC-187, Japan) having specifications: Max. Power = 56
significant effect on CBN tool wear. The wear was observed to
kW (75h.p.), Max. Diameter of work = 300 mm, Max. Length
increase with decreasing CBN grain size. Huang and Liang [16]
= 600 mm and Max. Spindle speed = 3500 rpm. The
during hard turning of AISI-52100 steel with CBN tools
experiments were interrupted at regular intervals to record the
revealed that adhesion is the primary wear mechanism under
tool flank wear. Each single pass consisted of axial cutting
normal cutting conditions, however chemical diffusion
length of 125mm. The flank wear defined as the average
dominates over extended periods of machining time under
width of flank wear land (VBavg.), of worn out inserts was
aggressive cutting conditions. More et al. [17] investigated the
measured with the help of a optical microscope (Make: Lica,
performance of CBN–TiN composite-coated, and PCBN
Germany) having magnification in the range 100X to 1000X.
tipped inserts during hard turning applications. The crater wear
The tool wear was characterized through scanning electron
of the CBN–TiN coated inserts was found to be less than that
microscopy (SEM), equipped with energy dispersive analysis
of the PCBN inserts, attributed to lubricity of TiN capping
(EDAX) through X-ray analysis (Make: Quanta F-200 FEI,
layer. The literature consulted so far reveals only a limited
Netherlands) having a maximum magnification 1000KX,
number of studies pertaining to hard turning of hot tool die
resolution 2 nm and operating voltage in the range 200 V to 30
steel particularly, AISI-H11 steel have been carried out. The
KV. The experiment was terminated when either of the
objective of this work is to investigate different wear
following two conditions was reached:
mechanisms of TiN coated CBN tool prevalent under different
machining conditions. Condition 1: VB ≥ 200μm
Condition 2: Ra ≥ 1.6μm
II. EXPERIMENTAL DETAILS
The limiting value of average flank wear (i.e. 200 μm) was
A. Materials: selected as the tool life criterion according to JIS B4011-1971
standard, whereas the surface roughness (Ra value) should be
The work piece material was AISI H11 die steel in the form of
less than 1.6μm (finishing operation).
round bars having 35 mm diameter and 150 mm length. The
work piece was through hardened at 52 HRC. The chemical C. Plan of Experiments:
composition of work piece material is given in Table 1. This
In order to understand different wear mechanisms of CBN
steel is widely used in the production of forging dies, jigs and
tool and to analyze the effect of cutting speed, feed and work
fixtures, back-up and support tools etc. The cutting inserts
piece hardness on progressive flank wear of the tool, the
were CBN-L (50% CBN) with fine medium grained titanium
experiments were performed at three different levels of these
binder phase, CBN tipped and coated with TiN conforming to
individual parameters as given in Table 2. The values of
ISO specification WNGA080408S01030A. The edge
machining parameters selected are well supported by the work
preparation provided on the insert was 30° X 0.1mm chamfer
of earlier investigators [1, 5-8, 18, 19] as well as are in
with light honing. During the course of each test, a fresh
agreement with the recommendations of the manufacturer of
cutting edge was used.
cutting inserts [20].
TABLE I
CHEMICAL COMPOSITION OF AISI-H11 STEEL (WT. %) III. TOOL WEAR MECHANISMS
C Si Mn Cr Mo V
Fig. 1(a-i) depicts the wear patterns of CBN tool observed
0.33 0.95 0.27 5.32 1.22 0.36 under different machining conditions. At all the cutting speeds,
the abrasive wear marks were observed on the flank land of
inserts as revealed from SEM micrograph Fig. 1 (a-c). The
TABLE II wear pattern observed at lowest cutting speed i.e. 100m/min. is
LEVELS OF MACHINING PARAMETERS abrasive wear, accompanied by adhesion of work material
Cutting speed (V) Feed (f) Depth of cut (a)
(transferred layer) clearly visible in Figs. 1(a) and (b). The
m/min. mm/rev. mm scratch marks result due to rubbing of hard carbide particles of
the work material with the flank face of the inserts [21]. At
100, 140, 180 0.05, 0.1, 0.15 0.05, 0.10, 0.20
low cutting speed of 100m/min., the binder present in cutting
tool gets easily abraded from the substrate due to high cutting
B. Methodology of experiments: force resulting in less softening of the work material due to
The cutting inserts were clamped to a right hand tool holder low cutting temperature. Due to high cutting forces CBN
with ISO designation MWLNR 2525 M08. The clamping of grains are detached from the substrate thereby causing abrasive
22
wear [22, 23]. This phenomenon is also supported by some of At a low feed rate of 0.05 mm/rev. the primary wear
the earlier reported works (Lin et al., 2008; Sales et al., 2008). mechanism is abrasion as revealed from the presence of
As the cutting speed increases from 100m/min. to 140m/min, a abrasion marks in Fig. 1(d) along with the presence of some
transferred/ protective layer (Fig. 1b) resulting from the transferred layer indicating diffusion. As the feed rate
diffusion of the bond material (TiC) of the cutting tool forms increases from 0.05 to 0.10 mm/rev., the transferred layer is
on the tool-chip interface. detached from the tool surface leaving behind shallow pockets
on the tool surface, Fig. 1(e) indicating adhesion wear. On
increasing feed rate from 0.10 to 0.15 mm/rev., the tool-chip
interface temperature rises, which results in oxidation of TiN
binder present in the tool and exposes some more CBN
particles present on the tool flank face. These CBN particles
severely abrade the flank face of the tool, Fig. 1(f). As a result
of this, the tool is subjected to excessive abrasion wear at a
feed rate of 0.15 mm /rev., that causes chattering at the
machined surface.
At low depth of cut of 0.05 mm, the metal becomes too
thin to be sheared so the squeezing action on the work piece by
round portion of the tool cutting edge is intensified. Due to
excessive tool wear, the surface roughness exceeds beyond cut
off value (i.e. 1.6 µm), leading to termination of the test. The
excessive abrasion wear is revealed at low depth of cut from
SEM micrograph shown in Fig. 1(g). With the increase in
depth of cut from 0.05 mm 0.10 mm, the built up edge and
transferred layer are formed on flank face of the tool, Fig. 1(h)
which decreases friction at the tool-chip interface, and hence
decreases the tool wear rate. The SEM micrograph
corresponding to higher depth of cut, Fig. 1(i), also reveals the
presence of built up edge, transferred layer in addition to
abrasive marks, similar to those observed at a depth of cut of
0.10 mm in Fig. 1(h). As a result, the tool wear rate remains
Fig. 1 SEM Micrographs (1st row) varying cutting speed, (2nd row) almost constant with increase in depth of cut from 0.10 mm to
varying feed rate, (3rd row) varying depth of cut 0.20 mm.
IV. CONCLUSIONS
The present investigation has led to following conclusions:
1. Abrasion wear dominates at low cutting speed and low feed

rate.
2. At moderate cutting speed a transferred layer resulting
from tribochemical reactions between constituents of tool
Fig. 2 EDAX pattern of the worn out insert (V=140m/min., f =
and work piece material and BUE (Built up edge) formed,
0.05mm/rev., a = 0.1mm) which decrease the tool wear.
The presence of transferred layer acts as a diffusion barrier and 3. Hard carbide particles from work material at higher feed
prevents further diffusion of tool material, thus decreasing the rate severely abrade the tool flank land resulting in shallow
grooves from CBN grain detachment.
tool wear rate with increase in speed from 100 to 140 m/min.
To confirm the composition of transferred layer, the EDAX 4. At lower depth of cut excessive abrasion wear resulted in
analysis of worn out insert, corresponding to cutting speed of chattering, thereby increasing surface roughness beyond
140 m/min., Fig. 2 was carried out marked by cross hair mark 1.6 µm, however, at moderate and larger depth of cut, built
in SEM image, Fig. 2. It is revealed that besides oxygen, the up edge and transferred layer reduce friction and tool wear.
transferred layer consists of work piece elements like Fe, Mn 5. This experimental investigation helped in recognizing the
and Si. The transferred layer also contains elements like Ti, N main wear mechanisms of coated CBN tool under various
and Al, which are constituents of binder phase present in CBN machining conditions for the tool-work piece material
tool. With the increase in cutting speed from 140 to 180 combination and range of parameters selected which will
m/min., the wear mode changes to abrasion as evident from prove beneficial to manufacturers in proper selection of
Fig. 1(c). It may be attributed to the reduction in cutting forces process parameters.
at high speed due to high temperature generated in the cutting
zone.
23
[12] 12. S. A. Klimenko, Y. A. Mukovoz, V. A. Lyashko, A. N.

REFERENCES Vashchenko, and V. V. Ogorodnik, “On the wear mechanism of cubic
[1] 1. Gerard Poulachon, B.P. Bandyopadhay, I.S. Jawhir, Sebastien boron nitride base cutting tools,” Wear, 1992, Vol.157, pp:1–7.
Pheulpin, Emmanuel Seguin, “Wear behavior of CBN tools while [13] 13. J. Barry, and G. Byrne, “Cutting tool wear in the machining of
turning various hardened steels. Wear, 2004 Vol. 256, pp:302-310. hardened steels Part II: cubic boron nitride cutting tool wear,” Wear,
[2] 2. N Narutaki, Y Yamane, “Tool wear and cutting temperature of 2001, Vol. 247, pp:152–160.
CBN tools in machining of hardened steels”, Ann. CIRP, 1979, Vol. 28 [14] 14. R.M. Hooper, J. I. Shakib, A. Parry and C. A. Brookes,
(1), pp: 23–28. “Mechanical properties, microstructure and wear of DBC50,” Ind.
[3] 3. T. Hodgson, P. Trendler, G. Ravignani, “Turning hardened tool Diamond Rev., 1989, Vol. 4(89), pp:170–173.
steels with cubic boron nitride inserts. Ann. CIRP, Vol.1981, Vol. 30 [15] 15. Y.K., Chou, Chris J Evans., “Tool wear mechanism in continuous
(1), pp: 63–66. cutting of hardened tool steels,” Wear, 1997, Vol. 212, pp:59–65.
[4] 4. W. Konig, R. Komanduri, H. Teonshoff, G. Ackershott, [16] 16. Yong Huang, and Steven Y. Liang, “Modeling of CBN tool flank
“Machining of hard materials,” Ann CIRP 33, Vol. 1984, Vol. 2, pp: wear progression in finish hard turning,” Journal of Manuf Sc and Eng,
417–428. 2004, Vol. 126(1), pp: 98-106.
[5] 5. H.K. Toenshoff, C. Arendt, R Ben Amor, Cutting hardened steel. [17] 17. Abhijeet S. More, Wenping. Jiang, W. D. Brown, Ajay P Malshe,
Ann. CIRP, 2000, Vol. 49 (2), pp: 1–19. “Tool Wear and machining performance of CBN-TiN coated carbide
[6] 6. S. Y. Luo, Y. S. Liao, and Y. Y. Tsai, “Wear characteristics in inserts and PCBN compact inserts in turning AISI 4340 hardened steel,”
turning high hardness alloy steel by ceramic and CBN tools,” J. Mater. J Mater Process Technol, 2006, Vol.180, pp: 253–262.
Process. Technol., 1999, Vol. 88, pp:114–121. [18] C. Lahiff, S. Gordon, and P. Phelan, “PCBN tool wear modes and
[7] 7. M. A. Davies, Y. Chou, and C. J. Evans, “On chip morphology, mechanisms in finish hard turning,” Robot. Comput. Integr. Mfg, 2007,
tool wear and cutting mechanics in finish hard turning,” Ann. CIRP, Vol. 23, pp: 638–644.
1996, Vol. 45, pp:77–82. [19] 19. Y. S. Chou, and M. M. Barash, “Review on hard turning and CBN
[8] 8. Z. N. Farhat, “Wear mechanism of CBN cutting tool during high- cutting tools,” SME Technical paper, MR95-214, 1995.
speed machining of mold steel,” Mater. Sci. Engng, 2003, Vol. A361, [20] Sanvik Coromant. Main Catelogue (2008) Available on:
pp:100–110. www.coromant.sandvik.com/.acess
[9] 9. W. Konig, and Neises, “A Wear mechanisms of ultra hard, non- [21] W. Jiang, A.S. More, W.D. Brown, A.P Malshe, “A CBN-TiN
metallic cutting materials,” Wear, 1993, Vol.162–164, pp. 12–21. composite coating for carbide inserts: coating characterization and its
[10] 10. M. Zimmermann, M. Lahres, D. V. Viens, B. L. Laube, application for finish hard turning,” Journal of Surface Coatings &
“Investigations of the wear of cubic boron nitride cutting tools using Technology, (2006) Vol 201, pp. 2443-2449.
auger electron spectroscopy and X-ray analysis by EPMA,” Wear, 1997, [22] H.M Lin, Y.S. Liao, C.C Wei, “Wear behavior in turning high hardness
Vol. 209, pp: 241–246. alloy steel by CBN tool,” Wear, 2008, Vol. 264, pp: 679–684
[11] 11. Y. K. Chou, C. J. Evans and M. M. Barash, “Experimental [23] W.F. Sales, S. C., Costa, A.E. Diniz, J., Bonney, E.O Ezugwu,
investigation on CBN turning of hardened AISI 52100 steel,” J. Mater. “Performance of coated, cemented carbide, mixed ceramic and PCBN-
Process. Technol., 2002, Vol. 124, pp:274–283. H tools turning W320 steel,” Int J Adv Manuf Technol, 2008, DOI
10:1007/s00170-008-1523-4.
24
Abrasive Flow Machining Performance Measures

on Work-Pieces of Different Geometrical Shapes
& Sizes
Saad Saeed Siddiqui1, M Hameedullah2
Department of Mechanical Engineering, Aligarh Muslim University, Aligarh-202 002, U.P., INDIA
1
sssiddiqui.amu@gmail.com
Abstract- Abrasive flow machining (AFM) is a relatively new AFM is an advanced machining process [1] that is used to
non-traditional micro-machining process developed as a debur, radius, polish, remove recast layer, and to produce
method to debur, radius, polish and remove recast layer of compressive residual stresses. The process is gaining
components in a wide range of applications. Material is widespread attention due to its ability to produce consistent
removed from the work-piece by flowing a semi-solid visco
elastic/plastic abrasive laden medium through or past the work
and predictable results and its wide scope of practical
surface to be finished. Components made up of complex applications; anywhere that the media can be forced to flow
passages having surface/areas inaccessible to traditional represents a practical application of AFM process. In this
methods can be finished to high quality and precision by this process, an abrasive laden pliable semi-solid compound is
process. The present work is an attempt to experimentally forced to flow across the work-piece surface to be machined.
investigate the effect of work-piece profile on the performance Abrasion occurs wherever the medium passes through the
measures in abrasive flow machining. Work-piece surfaces of highly restrictive passage. The key components of AFM
different geometrical shapes & sizes viz. cylindrical, square, process are the machine, tooling, work-piece and abrasive
conical, varying cross-sections, varying lengths have been medium. Process input parameters such as extrusion
micro-machined by AFM technique and the process output
responses have been measured. Material removal, MR and
pressure, number of cycles, abrasive grit composition and
surface roughness, Ra value are taken as performance type, tooling and fixture designs and work-piece geometry
measures indicating the output responses. Experiments are have an impact on AFM performance measures, viz.
performed with significant process parameters, such as material removal (MR) and surface finish (Ra). The process
concentration of abrasive particles, abrasive mesh size, number can debur holes as small as 0.2mm and radius edges from
of cycles and media flow speed kept as constant on brass as 0.025 to 1.5 mm. Tolerances can be held to ±5µm[2].
work material. The results suggest that the material removal is
more in the case of conical profiles followed by cylindrical Rhoades [3-4] experimentally investigated the basic
sections in comparison with square profile sections. Further, principles of AFM process and identified its control
the surface roughness, Ra value is higher in square sections parameters. He observed that when the medium is suddenly
and decreases in cylindrical and conical sections.
forced through restrictive passage, its viscosity temporarily
Keywords– Micromachining, Abrasive Flow Machining, rise.
Performance Measures, Material Removal, Surface Roughness.
Significant material removal is observed only when medium
I. INTRODUCTION is thickened.
The dimensional and alignment accuracy and quality of the Jain and Adsul [5] reported that initial surface roughness
surface finish are taken care of by finishing processes such and hardness of the work-piece affects material removal
as grinding, lapping, honing i.e. by application of traditional during AFM process. Material removal and reduction in
machining processes wherever possible, considering that surface roughness values are reported higher for the case of
these conventional finishing processes are being pushed to softer work-piece material as compared to harder materials.
their limits of performance especially with regards to their
application in work-pieces of complex geometrical shapes Loveless [6] reported that the type of machining operation
and sizes, wherein surface/areas to be finished are used to prepare the specimen prior to AFM is important and
inaccessible to traditional methods. These limitations of affects the improvement achieved during finishing.
traditional machining processes made imperative upon
Davies and Fletcher [7] reported a relationship between the
researchers to develop a finishing process with wider bounds
number of cycles, temperature and pressure drop across the
of application areas, better quality performance, higher
die for the given type of polymer and abrasive
productivity and automatic operation. Abrasive flow
concentration. Increase in temperature results in decrease in
machining (AFM) is one such process.
medium viscosity. They concluded that rise in temperature
25
is due to a combination of internal shearing of the medium abrasive particles, abrasive mesh size, number of cycles and
and finishing action of the abrasive grit. media flow speed kept as constant on brass as work
material. The experiments are performed on the simplified
Singh and Shan [8] applied magnetic field around the work- table top AFM setup developed by the authors. The
piece in AFM and observed that magnetic field significantly machined surface roughness is measured using tally surf
affect the material removal and change in surface roughness. portable tester and for material removal measurement, an
With the application of magnetic field, less number of cycles electronic weight balance having accuracy up to 10ˉ⁴gm has
are required for the higher material removal. been used. The experimental results are analyzed using
multivariable curve-fitting technique.
Perry [9] reported that abrasion is high where medium
velocity is high. An increase in pressure and medium II. EXPERIMENTAL SETUP AND PROCEDURE
viscosity increases material removal rate while surface
finish value (Ra) decreases. Fig.1 shows an assembly drawing of the table-top setup for
an AFM process, designed and fabricated by the authors.
Williams and Rajurkar [10] reported that metal removal and The setup is mounted on the work table with the help of
surface finish in AFM are significantly affected by the steady rests. The configuration is a single cylinder, one-way
medium viscosity. Jain and Jain [11] also reported that AFM setup which comprises of single media cylinder,
reduction in surface roughness (Ra Value) increases with piston, end and mid support plates, work-piece holder with
increase in extrusion pressure and abrasive concentration, clamp and guiding fixtures, and nozzle to match work-piece
but they also observed that reduction in surface roughness profile. The cylindrical work pieces of varying passage
(Ra value) is higher with increase in average grain size. geometries, as given in the table1, are placed in the work
William and Rajurkar [12] also reported that extrusion holder. The setup works as described below.
pressure and grain size main effects are significant. Jain and
Adsul [13] reported that MRR is high in the first few cycles The mechanical motion/rotation of the lead screw results in
due to higher initial coarseness of work-piece surface, and the forward translational motion of the piston inside the
thereafter, it starts slightly decreasing in every cycle. Jain media cylinder. During this movement, the piston
et.al. [14] reported that percentage of abrasives in the pressurizes the media in the cylinder in a forward direction
medium, grain size and viscosity of the base medium are and extrudes it through the work piece surface. As a result,
important parameters that influence stock removal and the abrasive laden media abrades the work-piece placed in
medium velocity. Gorana et.al.[15-16] reported that depth of the work holder. The forward direction of the piston is
penetration of abrasive particle depends on extrusion reversed mechanically after completing the stroke and the
pressure, abrasive medium viscosity, and grain size. Due to media is refilled in the media cylinder from the media
the combined effect of radial force and axial force, the collector during the reverse stroke. This combination of one
material is removed in the form of microchip. forward and reverse stroke completes one cycle of the AFM
process. The work-pieces are machined for a predetermined
It seems that some of the researchers have studied the effects number of cycles (Table1). After the machining is over, the
of process parameters like extrusion pressure, abrasive work-pieces are taken out from the setup and cleaned with
concentration, grain size, number of cycles etc. on the work- acetone before any measurement is taken. The instrument
piece, viz., surface roughness and material removal. Hardly used to measure surface roughness, Ra value of the finished
any information is available in the literature regarding the work-piece, is Tally Surf portable tester. For material
effect of work-piece profile on the performance measures in removal measurement, an electronic weight balance having
abrasive flow machining. The effect of work piece surfaces accuracy up to 10ˉ⁴gm has been used.
of different geometrical shapes & sizes viz. cylindrical,
square, conical, varying cross-sections, varying lengths, on A. Procedure:
the performance measures in abrasive flow machining also
remain unexplored. The experiments were performed and micro-machining by
AFM technique conducted on work-piece surfaces
The present work is an attempt to experimentally investigate comprising of cylindrical, square and conical profiles of
the effect of work-piece profile on the performance varying cross-sections and varying lengths with brass as
measures in abrasive flow machining. Work-piece surfaces work materials. For preparing these specimens, the brass
of different geometrical shapes & sizes viz. cylindrical, section is machined at the predetermined cutting conditions.
square and conical sections of varying cross-sections, The other/inner side of the section is milled to get the
varying lengths have been micro-machined by AFM required passage geometry. From this section, the pieces are
technique and the process output responses have been cut in the desired size and then filed so as to make them of
measured. Material removal, MR and surface roughness, Ra desirable dimensions.
value are taken as performance measures indicating the
output responses. Experiments are performed with The media used for the present experimentation is a mixture
significant process parameters, such as concentration of of 3 of the following readily available and mutually miscible
26
constituents in predetermined amounts, Waxpol Polishing During this set of experiments, abrasive flow machining is
paste, AP-3 Grease & Base Oil. performed on work-piece surfaces comprising of conical
profiles of specified cross section and length at different
The abrasives used in the media are silicon carbide. The levels as shown in the Table 1, while the abrasive
mixture of media is mixed with the abrasive particles of concentration(70%), abrasive mesh size(180), number of
specified mesh size in a definite proportion to achieve the cycles(50), media flow speed(700g/min) are kept constant.
desired percentage concentration of abrasive particles by
weight. Percentage concentration of abrasive by weight is Table 1: Plan of experiments
defined as,
Variables Constant
Percentage concentration of abrasive parameters
Work-Piece Profile: Abrasive concentration: 70%

= × 100 1.Cylindrical Sections Abrasive mesh size: 180
2.Square Sections Number of cycles: 50
Before performing the actual experiments, the medium was 3. Conical Sections Media flow speed: 700g/min
run for 20-25 cycles with the trial work-piece, so as to get Cross-section of each work-piece
uniform mixing. D: 4mm,8mm, 16mm, 32mm,40mm
Size/length of each work-piece,
L: 15mm,25mm, 40mm,55mm,75m
Based on the conclusions from the preliminary experiments,
four important variables are identified- the number of
cycles, abrasive percentage concentration, abrasive mesh
size and media flow speed. The experiments are performed The present experimental setup is an attempt to investigate
according to the plan given in Table 1, which is explained the effect of AFM process output responses/performance
below. Values of variable parameters and of constant measures on work-piece surfaces comprising of cylindrical,
parameters are given in this table. All experiments were square and conical profiles of varying cross-sections and
conducted on work-piece surfaces comprising of cylindrical, lengths. The results reported in section 3 are based on the
square and conical sections of varying cross-sections, average of 10 or more values of responses obtained during
varying lengths with brass as work materials. Material the experimentation.
removal and surface roughness values were output responses
measured as performance indicators in each case.
1) Cylindrical Sections:
During this set of experiments, abrasive flow machining is

performed on work-piece surfaces comprising of cylindrical
levels as shown in the Table 1, while the abrasive
concentration(70%), abrasive mesh size(180), number of
cycles(50), media flow speed(700g/min) are kept constant.
Initial and final output response values of the surface
roughness (Ra) and the weight of the work-piece are
measured to indicate performance measures.
2) Square Sections:
During this set of experiments, abrasive flow machining is

performed on work-piece surfaces comprising of square
levels as shown in the Table 1, while the abrasive
concentration(70%), abrasive mesh size(180), number of
cycles(50), media flow speed(700g/min) are kept constant.
Initial and final output response values of the surface
roughness (Ra) and the weight of the work-piece are
measured to indicate performance measures.
Fig.1 Assembly drawing of the table-top setup for an AFM process
3) Conical Sections:
27
III. RESULTS AND DISCUSSION is higher and the abrasive laden medium moves along the
walls thereby resulting in more material removal. Further, as
During the course of study, work-piece surfaces comprising the work-piece cross section increases, it results in lower
of cylindrical, square and conical profiles of varying cross- material removal. Fig.2 also shows that the trend of material
sections and lengths with brass as work material are finished removal for brass and zinc is similar, except that the total
by AFM process and the significance of work-piece profile material removal is higher in the case of zinc because it
is analyzed by determining the effect of process parameters offers less resistance to abrasion compared to brass.
on material removal and surface roughness.
2) Work-piece surface comprising cylindrical, square &
A. Material Removal conical profiles of varying lengths:
1) Work-piece surface comprising cylindrical, square & Fig.4 & 5 shows the effect of work-piece profile on Material
conical profiles of varying cross sections: removal (MR). The material removal is higher in conical
profiles followed by cylindrical profiles in comparison with
Fig.2 & 3 shows the effect of work-piece profile on Material square sections of varying lengths, which can be explained
removal (MR). The material removal is higher in case of by the fact that Conical Cavities offer higher restrictive
conical profiles followed by cylindrical sections in passage in comparison with Square Contours thereby
comparison with square profile sections of varying cross resulting in more
sections. This can be explained as follows. When abrasive
laden pliable semi-solid compound is forced to flow through
the work-piece surface, abrasion occurs wherever the 60
medium passes through the highly restrictive passage and in
the case of Conical Cavities as workpiece surface, the 50 Cylindric
restriction in the passage MR (gm) × 10ˉ⁴ 40 al Profile
30 Square
20 Profile
40
35 10 Conical
Cylindrical
MR (gm) × 10ˉ⁴
30 0 Profile
Profile
25
20 Square 0 20 40 60 80
15 Profile Length of the work-piece (mm)
10 Fig.4. Effect of work-piece profile of varying lengths on MR
Conical
5
Profile
0
0 20 40 60 60
Cross section of the work-piece (mm) 50 Cylindrical
MR (gm) × 10ˉ⁴
40 Profile
Fig.2. Effect of work-piece profile of varying cross sections on MR
30 Square
Profile
20 Conical
40 10 Profile
35 0
Cylindrical
MR (gm) × 10ˉ⁴
30
25 Profile 15 25 40 55 75
Square Profile Length of the work-piece (mm)
20
15 Fig.5. MR in micromachining different work-piece profiles of varying
Conical Profile lengths
10
5
abrasions on the Conical work-piece surfaces. It can also be
0
observed that as the length of the work-piece increases, MR
4 8 16 32 40 increases (Fig.4) because more surface comes in contact
Cross section of the work-piece (mm) with the abrasive particles.
Fig.3. MR in micromachining different work-piece profiles of varying cross B. Surface roughness

sections
28
The effects of work-piece profile on the surface roughness 2) Work-piece surface comprising cylindrical, square &
(Ra value) during AFM process are analyzed and the conical profiles of varying lengths:
differences between the initial and final Ra values
(abbreviated as ∆Ra) are reported in this section. Fig.8 & 9 shows the effect of work-piece profile on Surface
roughness, Ra value. The change in surface roughness, ∆Ra
1) Work-piece surface comprising cylindrical, square & value is higher in Conical profiles in comparison with
conical profiles of varying cross sections: Square profiles of varying lengths, which can be explained
by the fact that Conical Cavities offer higher restrictive
Fig.6 & 7 shows the effect of work-piece profile on the passage in comparison with Square Cavities thereby
surface roughness, Ra value of the work-pieces. The change resulting in more abrasions on the conical work-piece
in surface roughness, ∆Ra value is higher for conical profile surfaces. It can also be observed that as the length of the
work-pieces work-piece increases, the change in surface roughness, ∆Ra
value also increases because more surface comes in contact
with the abrasive particles.
0.5
0.4 Cylindrical
Profile
∆Ra (µm)
0.3
Square 0.4 Cylindri
0.2 Profile 0.35 cal
0.3 Profile
0.1 Conical
∆Ra (µm)
0.25 Square
Profile 0.2 Profile
0
0.15
0 20 40 60 0.1 Conical
Cross section of the work-piece (mm) Profile
0.05
Fig.6. Effect of work-piece profile of varying cross-sections on ∆Ra 0
0 20 40 60 80
Length of the work-piece (mm)
0.5
Fig.8. Effect of work-piece profile of varying lengths on ∆Ra
0.4 Cylindrical
Profile
∆Ra (µm)
0.3 Square
0.4
0.2 Profile
0.35 Cylindrical
Conical 0.3
0.1 Profile
Profile
∆Ra (µm)
0.25 Square
0 0.2 Profile
0.15 Conical
4 8 16 32 40 0.1
Cross section of the work-piece (mm) Profile
0.05
Fig.7. ∆Ra in micromachining different work-piece profiles of varying 0
cross sections 15 25 40 55 75
Length of the work-piece (mm)
followed by cylindrical profiles in comparison with square
sections. This can be explained as follows. When abrasive Fig.9. ∆Ra in micromachining different work-piece profiles of varying
laden pliable semi-solid compound is forced to flow through lengths
the work-piece surface, abrasion occurs wherever the
medium passes through the highly restrictive passage and
the conical work-piece profiles offer higher restriction in the
passage thereby resulting in more abrasions and better
surface finish thereby reducing the Ra value. For the case
square workpiece profiles, it results in lesser restrictive
passage thereby resulting in fewer abrasions thereby lower
∆Ra value. Fig.6 also shows that as the cross section IV. CONCLUSIONS
increases, the change in surface roughness decreases.
29
The following conclusions have been drawn from the above [10] R.E.Williams, K.P.Rajurkar, Stochastic modeling and analysis of
abrasive flow machining, Transactions of the ASME, Journal of
study: Engineering for Industry 114 (1992) 74-81.
A. Work-piece surface profile significantly affects [11] R.K.Jain, V.K.Jain, Simulation of surface generated in abrasive flow
performance measures, material removal (MR) and surface machining, Robotics and Computer Integrated Manufacturing 15
roughness (Ra value) in abrasive flow machining. (1999) 403-412.
[12] R.E.Williams, K.P.Rajurkar, Monitoring of abrasive flow machining

B. Micro machining internal surfaces of different profiles by process using acoustic emission, S.M. Wu Symposium, vol I, 1994,
abrasive flow machining produced good results for conical pp.35-41.
profiles followed by cylindrical profiles and have higher
material removal and more improvement in surface [13] V.K.Jain, S.G.Adsul (2000) Experimental investigations into abrasive
roughness in comparison with square profiles. flow machining. Int. J Mach Tools Manuf 40:201-211.
[14] V.K.Jain, C. Ranganatha, K.Muralidhar, Evaluation of rheological

C. The change in surface roughness, ∆Ra increases with the properties of medium for AFM process. Min Sci Techno 5: 151-170
increase in length of the work-piece and decreases with the
increase in cross section of the work-piece. [15] V.K.Gorana, V.K.Jain, G.K.Lal, Experimental investigation into
cutting forces and active grain density during abrasive flow
D. As the length of the work-piece increases, material machining.Int J Mach Tools Manu 44:201-211 (2004).
removal increases while the surface roughness value [16] V.K.Gorana, V.K.Jain, G.K.Lal, Forces prediction during material
decreases. deformation in abrasive flow machining. Wear 260: 128-139 (2006).
ACKNOWLEDGMENT
The authors acknowledge the support provided by the

Department of Mechanical Engineering, Aligarh Muslim
University, Aligarh, India for providing the requisite
facilities for conducting research and are grateful to Er.
Azhar Bilgrami Link Locks, Aligarh, India, for his help
during the design stage of the setup.
REFERENCES
[1] V.K.Jain, Advanced Machining Processes, Allied Publishers, Mumbai
[2] L.J.Rhoades, Abrasive flow machining with not so silly putty, Metal
Finishing July (1987)27-29
[3] L.J.Rhoades, Abrasive flow machining, Manufacturing

Engineering,(1988)pp.75-78
[4] L.J.Rhoades, Abrasive flow machining: A case study, J.Material

Processing Technology,28,(1991), pp.107-116
[5] V.K.Jain, S.G.Adsul, Experimental investigations into abrasive flow

machining (AFM), International Journal of Machine Tools and
Manufacture, Volume40, Issue 7, May2002
[6] T.R.Loveless, R.E.Willams, K.P.Rajukar, A study of the effects of

abrasive flow finishing on various machined surfaces, Journal
Material Processing Technology, 47(1994),pp.133-151
[7] P.J.Davies, A.J.Fletcher, The assessment of the rheological

characteristics of various polyborosilixane/grit mixtures as utilized in
the abrasive flow machining, Proceedings of Instt. Mech.
Engrs.209,(1995),409-418
[8] S.Singh, H.S.Shan, Development of magneto abrasive flow machining

process, International Journal of Machine Tool & Manufacture 42,
(2002), 953-959
[9] W.B.Perry, Non-traditional Conference Proceedings, 1989, pp.121-127
30
Analysis of Superfinishing Processes - Review

Paper
SD Singh1, Harichand Tewatia2
1
Astt. Professor, Dept. of Mechanical Engineering, Rawal college of engineering, Faridabad, Haryana
2
Lecturer, Dept. of Mechanical Engineering, Faculty of Engineering JBKP, Faridabad, Haryana
2
harichand88@gmail.com
Abstract - The Surface generated during the process and Sometimes a light pressure is used in the beginning and,
processing cost are the key factors while selecting a when the operation nears completion, the pressure is
finishing process for a particular purpose. Fine finishing increased to about 3 kg/cm2. The low operating pressure
of a product surface can be achieved by any of the does not cause any appreciable temperature rise and has a
following methods, such as grinding, honing and lapping, tendency to improve the geometrical shape of the part.
superfinishing. Superfinishing is a process utilizing either
a bonded abrasive stone for cylindrical surface or a cup
wheel for flat and spherical surfaces. It is, in a way, a fine
honing operation. By this process it is possible to achieve
higher surface finish on components. In addition,
superfinishing removes chatter marks, feed spirals,
grinding commas and other imperfections left by the
previous grinding operation. Rotational speed of the
workpiece, oscillation frequency, amplitude of oscillation
of the stone and working pressure are the factors
governing the superfinishing process. Superfinishing
stones, Superfinishing time, Superfinishing pressure,
Superfinishing frequency, coolant, operators skill are
some of the parameters that affect the surface quality. Fig.1.
This paper reviews the effects of the process parameters
as available in literature. II. SUPERFINISHING EQUIPEMENT
Key words: Fine Finishing, rotary motion, oscillating Superfinishing is done either on a special Superfinishing
motion, Superfinishing frequency, reciprocating motion, machine or with attachments. The Superfinishing stones held
grit size, superfinishing pressure. in adjustable, interchangeable holders, which can
accommodate a wide range of sizes, and pressed against the
I. INTRODUCTION work piece by air pressure. A set of feed rolls provide the
Superfinishing is a special technique for producing high necessary feed movement to the work. The feed rolls are
degree of surface finish using abrasive sticks similar to hones interchangeable to enable processing of a variety of parts
but with a different kinematics for work-tool interaction. The configurations. When stones are positioned against the work,
working motion including the oscillatory motion of the tool they are oscillating by pneumatically actuated free- floating
with short strokes and at high frequency, rotation of the work pistons. The work is gradually fed under a number of stones
piece and feed motion of the tool or the work piece. The of varying grits arranged in a sequence by the feed rolls to
direction of the oscillations is kept parallel to the axis of correct roundness and to refine the surface finish in a single
rotation. Feed motion can be parallel, radial or plunge type. pass.
In Superfinishing, the stone makes contact with the work The Superfinishing attachment is convenient, flexible and
piece over a large area. The stone is given an oscillating economical, when jobs of different sizes are to be
motion in the axial direction and simultaneously the job is superfinished in small quantities. The attachment assembly
given a rotory motion about the axis, as shown in fig 1. A includes a supporting frame, and oscillating head with
feed movement could also be given, if necessary. The contact adjustable stone guide assembly and a stone holder. The
pressure exerted by the stone on the work piece is very low, Superfinishing attachments are mounted on cylindrical
and it normally depends on the material being machined.
31
grinding machines or on lathes, depending on the accuracy 3. Superfinishing Fluids.

requirements of the job.
III.1 SUPERFINISHING STONES
III. KINEMATICS OF SUPERFINISHING. The number of stones fitted to the holder depends upon the
The path of superfinishing grains in straight oscillatory surface to be machined. Often, one stone is sufficient, though
motions is projected on a developed work surface. The instances do arise requiring several stones for either plunge-
superfinishing hone starts from an initial position when a cut or the continuous feed technique. With the former the
large portion of hone length will be in contact with the work length of the stone depends upon the portion to be
piece surface. A part of the hone must protrude beyond this superfinished and necessary oscillating motion. For the
surface. This part ld should not be smaller than the feed per continuous feed method, when the job length is more, it is
revolution, i.e., work piece travel in relation, to the usual to arrange several shorter stones in the holder.
oscillating part of the superfinishing head during one A superfinishing stone is specified by the kind of abrasive,
revolution of the work piece. This condition is recorded as grit size, type of bond and hardness. The main kinds of
ld ≥s. superfinishing stones are of silicon carbide and aluminium
Combining rotary motion and feed motion the path of grain oxide. Aluminium oxide abrasive is generally used on
motion is obtained. With periodic hone oscillations of superfinishing of steel. Silicon carbide is often used on soft
amplitude K and wave length λ, with resulting steels of 30 HRC or lower. But silicon carbide gives the best
(m+e) λ = πD. results on cast iron and non-ferrous metals.
The hardness of the stone depends on the finish required and
Where m = number of full length oscillatory waves, hardness of the material being superfinished. The harder the
e = a number given by 0< e< 1 ~ 0.5. stone the poorer is the finish; the softer the stone, the better
Since ƒ (λ) = n((m+e) λ = πDn. = vw. is the finish. As a general rules, softer materials require hard
The frequency of oscillations, ƒ, will be stones and harder materials soft stones.
ƒ = n((m+e) The grit size of the stone varies from 400 to 1000 mesh. The
These relationships ensure that grains do not move along selection of the grit size depends on the surface roughness on
their previous path. The cutting speed for straight the job before superfinishing. Normally, a bakelite or
superfinishing is given by vitrified bond is used.
v0  vw2  (v0  st ) 2
When v0 = 2πƒKcos2πƒt.
Maximum cutting speed occurs at E where vo max aggress
with the longitudinal feed.
vmax  vw2  (2fK  st ) 2 .
Minimum cutting speed will occur when v0=0, thus,
vmin  vw2  ( st ) 2 .
If oscillatory motion is characterized by the average speed
determined by v0 = 2Kƒ, the average cutting speed is
vav  vw2  (2Kf  st ) 2 .
Fig.2. Relation ship between stone hardness and
 (Dn ) 2  (2Kf  sn ) 2 material hardness
Let Ø be the angle of intersection of grain path with the The available stones are usually not wider than 25 mm. For
direction of generation on work surface with hone at the larger diameters, it is necessary to select two or more stones
central position. This angle is given by depending on the size of the workpiece. Working width b of
the stone is selected from the relationship.
vw v
tan    w . b = 0.6 to 0.75d
st  v0 v0 max Where d = diameter of the workpiece.
Technological Selection of Parameters The length of the stone ‘l’ should not exceed the working
The parameters that affect the Superfinishing process include, width of the stone. The active surface of the stone has the
1. Selection of Superfinishing Stones. reverse shape of the surface to be superfinished.
2. Cutting conditions for superfinishing.
III.2 CUTTING CONDITIONS FOR SUPERFINISHING
32
Rotational speed of the workpiece, oscillation frequency, may be workpiece hardness (material), speed, depth of cut,
amplitude of oscillation of the stone and working pressure is cutting pressure, grit distribution, grit size, grit shape,
the factors governing the superfinishing process. abrasive material, cutting time, cutting fluids & cutting
Generally, cutting speeds between 10 and 40 m/min are frequency etc. Different methodslike data mining techniques,
selected for superfinishing operations. But the permissible non-linear regression analysis and computional neural
rotational speed is related to the speed of oscillation. The network are applied in developing the empirical models. A
ratio of these two speeds defines the crossing angle of the list of investigations made by different authors on factors
cutting grooves. The highest cutting efficiency is obtained affecting surface roughness by different methods is given in
with a cross hatch angle of 300 - 600 the table below.
In practice, to reduce operation time, superfinishing is started Investigators Factors Workpiece
with a high rotational speed and high oscillation frequency, studied Materials
the oscillation frequency being then reduced towards the end SunderamandLambert(1981) Speed, feed, Steel 4140
of the operation to about one-third its value. Oscillation nose radius,
frequencies of up to 200 cycles/min may be used, but the depth of cut
stroke should be as short as possible(1-5 mm). The stroke Miller et al(1983) Speed, feed, Alloy, Cost
length should be chosen in such a way that the sum of stone tool Iron
length and stroke exceeds the length of surface to be condition,
superfinished. cutting fluid
The working pressure depends on the condition of the surface Lambert(1983) Speed, feed, Steel D6AC
to be superfinished, the rotational speed and the nature of the nose radius
flushing liquid. The working pressure may vary from 1 to 3 Boothroyd and Knight(1989) Speed, feed Mild steel
kg/cm2 in actual operation. Lee et al(2000) Speed, feed, steel
depth Of Cut
III.3 SUPERFINISHING FLUIDS
Feng and Wang(2003) Grit size, Forged steel
In order to keep the stone clean and sharp, it is necessary to honing
use a coolant. Ample supply of cutting oil should be ensured pressure,
throughout the operation. Normally, light mineral oil or honing time
kerosene mixed with heavier cutting oil is used. This Leon(2002) Honing Grey cast
proportion of cutting oil depends on the required viscosity. angle, Iron
The recommended coolants for various materials are given in material
the table below. smearing,
groove
Workpiece coolant interrupts,
Steel of 58-62 HRC Kerosene: shell turbo33 cracks,
90:10 Honilo 10 chatter
Steel up to 55 HRC Kerosene: shell turbo33
80:20 Computational neural network modeling possesses a number
Steel soft Kerosene: shell turbo33 of attractive properties for modeling a complex
70:30 manufacturing process, accommodation of multiple non-liner
stainless steel and Kerosene: shell turbo33 variables for unknown interactions. For Superfinishing
soft non-ferrous metals 50:50 process where no satisfactory analytical model exists, low
order empirical polynomial model becomes inappropriate,
IV. MODELING OF SUPERFINISHING PROCESS there neural network model offer good alternative approach.
Superfinishing is a complex, fine finishing process affected Conclusions
by a number of factors. The decisions made by process This paper presents the general analysis of superfinishing
planner are not only base on his/her expertise but also on the process and the modeling used for finishing process for
conventions ( thumb rules). To control and improve the estimating the surface roughness. Also the effects of the
superfinishing process modeling is required. Analytical various technological parameters have been studied which
model for a superfinishing process is difficult. A number of decides the selecting of factors for analysis. The author
researchers focuses on developing an empirical and other desires to construct analytical, computational and other
models for surface roughness predictions in many finishing models to predict the reliability of the superfinishing process
operations. The model considers the technology parameters and to optimize the process parameters.
affecting the process or surface roughness. These parameters
33
V. REFERENCES
[1] Fundamentals of Metal cutting :-.Juneja and Shekon
[2] F.Puente Leon,’evaluation of Honed Cylinder Bores
Annals of CIRP(200) PP253-256
[3] Metal Cutting Theory and Practice :- A Bhattacharya.
jerry Jablonski & powel pawlus, ‘Theoryetical
Constructions Of Surface having Stratified Functional
Properties’ measurement science Review(2001) PP 77-
78
[4] W.S.Lin, B.Y.Lee & C.L.Wu, ‘Modeling of Surface
Roughness And Cutting Force For Turning’ Journals Of
Materials Processing Technology(2001) PP 286-293
[5] X.Feng & X.Wang, Development Of Emprical Models
Of Surface Roughness Predication in Turning’
International Journal Of Advance manufacturinh
Technology(2002) PP 348-356.
34
Optimisation of Abrasive flow Machining using a

Genetic Algorithm: A Preliminary Study
Akan Kumar Das
Mechanical Engineering Department, National Institute of Technology, Silchar
Silchar- 780010, Assam, India
akankumardas@yahoo.co.in
Abstract— The need of automated finishing operations in modern University of Michigan, An Arbor envisaged the concept of
manufacturing industries develops abrasive flow machining these algorithms in the mid sixties. It relies on the concept of
process. The initial investment cost and maintenance cost of this Darwin's principle of survival of the fittest. GA begins with
machining process is quite high. Thus for effective and efficient the random initialization of the population. The transition of
processing of material, process parameters are needed to be
population from one generation to the next takes place via
optimized. In this paper a genetic algorithm is applied to
optimize the process parameters and the obtained results are selection, crossover and mutation. Genetic algorithm has the
found to be better than those reported in the past. following features:
 It operates with a population of possible solutions instead
Keywords— Abrasive Flow Machining processes, process of single individual.
parameters, and genetic algorithm.
 It able to find global optimum solution.
In contrast to single objective optimization, where objective
I. INTRODUCTION function and fitness functions are often identical, both fitness
The need for high accuracy and high efficiency machining assignment and selection must allow for several objectives
of difficult to machine materials making the application of with multi objective optimization problems. Since
abrasive finishing technologies increasingly important. evolutionary algorithm (EA) works with a population of
Abrasive flow machining is a kind of finishing process in solutions, so it can be extended to maintain a diverse set of
which a small quantity of material is removed by flowing solutions. EA can be used to find the multiple Pareto optimal
semisolid abrasive laden putty over the surface to be finished. set of solutions in one single run.
Two vertically opposed cylinders extrude abrasive media back III. OPTIMIZATION MODEL
and forth through passage formed either by workpiece and
tooling, or by workpiece alone. The semisolid abrasive media For process parameter optimization of abrasive flow
is forced through the workpiece or through the restrictive machining processes it is required to consider the types of
passage formed by the workpiece and tooling together. Forced objective and constraint, number of objectives and also the
may be applied hydraulically or mechanically. Velocity of the extent of priority given to the particular objective. Though it is
media is governed by the cross-section area of the a finishing process but the main objective is to maximize the
passageways. Abrasive particles act as cutting tools; hence it material removal rate with considering the surface roughness
is a multi-point cutting process giving very low material as constraint. In machining it is mainly depends on nature of
removal rate. This process is good for operations like material, shape to be produced, and volume of production and
deburring, radiusing, polishing, removing recast layer, the application of the product. To derive the optimization
producing compressive residual stresses, etc. It is employed model for a machining process the prime importance is to
for both metals and non metals. select the decision variables which mainly effecting the
process. The selection of constraint is also important from the
The initial investment and maintenance cost of this machining point of view because it restricts the process within
machining process is very high which leads optimization of some value. Variable bounds are selected as per requirement
process parameters. Already various techniques are used to of the process. It may change with respect to application. The
optimize the process parameters of abrasive flow machining models for the process are selected from [3]. The general
process. In this present work, a single objective version of non formulation for optimization is given as follows:
dominated sorting genetic algorithm-II is applied to optimize
the process parameters. Maximize Material removal rate (MRR)
II. GENETIC ALGORITHM Subject to:
Genetic algorithms are computerized search and R ≤ Rmax
optimization algorithms based on the mechanics of natural
genetic and natural selection. Professor John Holland of the
35
Ximin ≤ xi ≤ Ximax; i = 1,2,…,n The maximum allowable value of surface roughness (R max)
is limited to 0.5μm. The variable bounds for the process
Where, parameters are taken from [13] as follows:
R: surface roughness
xi: variable TABLE I
Ximin and Ximax : minimum and maximum limit of VALUES OF THE VARIABLE BOUNDS USED
variable xi.
Parameters Values
Formulation for optimization model of ultrasonic machining: Media flow speed, v (40cm/min, 85cm/min)
Percentage concentration (33, 45)
of abrasive, c
Maximize MRR ≡ 5.285
Abrasive mesh size, d (100, 240)
Subjected to: Number of cycles, n (20, 120)

1. Surface roughness (R) should be less than its maximum
value(Rmax), i.e., The variations of the material removal rate (objective
function) and the constraint (surface roughness) with each
R≡ ≤Rmax process parameter (decision variable), against constant values
of other process parameters, are studied graphically. The plots
2. Variable bounds of the decision variables are given are shown in Figure 1. From the plot it is observed that the
below: material removal rate increase with the increase in media flow
speed and percentage concentration of abrasives. Whereas, the
surface roughness decreases with increase of the above
; i = 1,2,…,n parameters. Material removal rate decreases with the increase
Where xi indicates the decision variables v, c, d and n ; xil and in abrasive mesh size, but opposite in the case of surface
xiu are the lower and upper limit of the variable xi. roughness. Both material removal rate and surface roughness
decreases with the increase in number of cycles. Therefore,
the optimum values of the above parameters corresponding to
IV. RESULTS AND DISCUSSION the limiting value of surface roughness, will be the optimum
It is difficult to solve these constraint problems by value as they will give the maximum value of material
traditional optimization technique. Though it can be solved by removal rate that can be achieved while satisfying the surface
traditional optimization technique by converting it into roughness constraint.
unconstraint objective optimization problem or some other
ways. Evolutionary algorithm is one of the powerful non-
traditional optimization techniques to solve these types of
optimization problems. In particular genetic algorithm shows
good results for such type of problem. Generally traditional
optimization technique depends on initial solution but genetic
algorithm is independent of initial solution. Thus genetic
algorithm is identified as the most suitable solution technique
to optimize the process parameter for the above mention
processes.
The various set of input parameter are tested and finally the
best set of input parameters is obtained. The input parameters
for the algorithm are the important consideration to get better
results. Input parameters are pop size, generation number, and
simulated binary cross over operator, polynomial mutation
operator and random seed. The input parameters for the
algorithm are mentioned below:
Population size = 60-100; generation number = 200; crossover
probability = 0.9; mutation probability = 0.1; simulated binary
cross over operator = 2 and 10; polynomial mutation operator
= 10 and 50.
36
It is found that obtained results are better than the results of

that literature [1] in terms of objective value and it is shown in
table1. Material removal rate in the present work is found to
be 4.006 mm3/min. Earlier it was found to be 3.553 mm3/min.
So compare to this the present result is better.
TABLE 2
COMPARISON OF RESULTS
Machining parameters and Best optimum Jain et al.[1]

objective value
Media flow speed(cm/min) 85 84.95
Percentage concentration of 45 45.00
abrasive
Abrasive mesh size 100 102.05
No. of cycles 27.377 33.00
Material removal 0.695399 0.669
rate(mm³/min)
V. CONCLUSIONS
The formulated optimization models are multi-variable
non-linearly constraint single objective optimization problems.
The obtained results are quite satisfactory as compared with
the previous results obtained by the various researchers
though some of the parameters reach the boundary value and
it is validated by the graphical analysis. It is found that the
obtained optimization results are better than the results of that
literature. Since the formulation is highly non linear so genetic
algorithm is one of the effective optimization techniques to
solve these types of problem.
REFERENCES
[1] R. K. Jain, and V. K. Jain, “Optimum Selection of Machining
Conditions in Abrasive Flow Machining using Neural Network”,
Journal of Materials Processing Technology, 2000 108, 62-67.
[2] R. K. Jain, V. K. Jain, and P. K. Kalra, “Modelling of Abrasive Flow
Machining Process: A Neural Network Approach”, Wear, 1999a, 231,
242-248.
[3] R. K. Jain, V. K. Jain, and P. M. Dixit, “Modeling of Material Removal
and Surface Roughness in Abrasive Flow Machining Process”,
International Journal of Machine Tools & Manufacture, 1999b, 39,
1903-1923.
[4] V. K. Jain, “Advanced Machining Processses”, Allied Publishing Pvt.
Limited, 2002.
[5] N. K. Jain, and V. K. Jain, “Modeling of Material Removal in
Mechanical Type Advanced Machining Processes: A State-of-Art
Review”, International Journal of Machine Tools & Manufacture, 2001,
41, 1573--1635.
[6] K. Deb, S. Agrawal, A. Pratap, and T Meyarivan, “A Fast Elitist Multi-
Objective Genetic Algorithm: NSGA-II”, IEEE transactions on
evolutionary computation, 2002, 6 (2), 182-197.
[7] K. Deb, “Multi-Objective Optimization using Evolutionary
Algorithms”, John Wiley & Sons Ltd, England, 2001.
Fig. 1 Variation of the material removal rate and surface roughness
constraint of abrasive flow machining (AFM) process with decision variables
(i) media flow speed,(ii) percentage concentration of abrasives, (iii) abrasive
mesh size and (iv) number of cycles.
37
Role of Hybrid Technology for Optimum Energy

and Green Environment
Shailendra K.Tewari1, Vivek Dwivedi2
1
Department of Mechanical Engineering, SPMIT,ALLAHABAD
1
skt55@rediffmail.com
2
Department of Mechanical Engineering, FGIET,RAEBARELI
2
vivekdwivedi9@rediffmail.com
Abstract: Since there are several factors like to early stage of development and not technically
coordinate the energy system towards low carbon mature. They demand continuing research,
emission, carbon free or low carbon energy development, and demonstration efforts. In
technologies, energy production in hug quantity as addition, few renewable energy technologies can
the demand of energy is increasing day by day and
the distribution of energy in optimum ratio, the
compete with conventional fuels on cost, except in
hybrid technology plays an important role. Using some niche markets. But substantial cost reductions
hybrid technology the energy obtained by can be achieved for most renewables, closing gaps
conventional methods as well as the energy obtained and making them more competitive. That will
by un-conventional methods both are used require further technology development and market
simultaneously in optimum ratio to fulfill the demand deployment and boosting production capacities to
of energy efficiently and economically. Now these mass production. Depending on the development of
days optimum use of energy of both types as the total electricity generation, renewable energies
conventional and un-conventional is the single largest will be able to contribute between 33% and 40% to
prospective deliverer of green house gas (GHG)
reduction. In this paper several methods are
total electricity production.
described for future use of hybrid technology to get
the sufficient energy with low carbon emission as per II. HYBRID TECHOLOGY
demand. Hybrid technology is the integration of various
technologies used for power generation.
I. INTRODUCTION These technologies may be conventional or non-
There is a lot of problems for developing countries conventional.
that for requirement of energy they are bound to Few examples of recently used hybrid
purchase fuels at very high cost. They use these technology are:
fuels for marginal profits and produce harmful
emissions in the environment. Use of a hybrid A. New designs of building to use Sunlight: Now
system constructed for required demand of energy these days the engineers and architects are
helps to protect the national economy and provides designing the new house buildings and
environmental sustainability. commercial places as keeping in their mind for
The percentage use of various sources for the total optimum use of sunlight due to which human
energy consumption in the world as [3]. being get
• Improved Visual Environment
Coal 32% • Increased Retail Sales
Oil 38.3% • User Satisfaction
Gas 19.0% • Increased productivity
Uranium 0.13% • Energy saving
Hydro 2.0 % The use of sunlight fulfills other needs of human
Wood 6.6% being as,
Dung 1.0%
Waste 0.5% 1 Much industrial and commercial heat demand
Due to the uses of fuels in large percentage Coal, is in the temperature range up to 250°C, which
Oil, Gas, Uranium, and Hydro are commonly could be supplied by solar thermal. For this,
known as commercial or conventional energy new types of collector specially designed for
sources [4]. medium-temperatures are being developed. So
There are many renewable technologies. Although far, solar thermal has been used mainly for less
often commercially available, most are still at an critical processes, such as washing processes.
38
With growing experience, solar thermal will

spread to all kinds of industrial heat demands. 6CO2+6H2O+LIGHT
2 Most of the solar thermal systems used today C6H6O6 + 6 O2
use water to store heat for a few hours or days.
Larger storage capacities are typically realized In order to resolve energy problems, biomass
through increased tank sizes. The heated water energy can be combined with other renewable to
is used for heating of building during cold form a hybrid energy system
season at night.
3 A solar cell, or photovoltaic cell (PV), is a C. Electricity produced by other non-conventional
device that converts light into electric current system with conventional Electricity: The electric
using the photoelectric effect. energy produced by other non-conventional
4 The solar panels are used on the roof of high recourses (according to their economical
buildings to generate power. availability ) as
1. Wind Energy: Which is caused by the solar
heating of the atmosphere, causing unequal
expansion and therefore unequal densities of
the air of various region.
Five nations Germany, USA, Denmark, Spain
and India account for 80% of the world‟s
installed wind energy capacity
2. Geothermal Energy: Geothermal energy,
which comes from two sources. It includes
primordial thermal energy which was present
when the earth was formed as well as the
thermal energy produced from the decay of
radioisotopes within the earth.
There are about more than 300 known hot
Fig. 1 solar panels used on the roof,[5] springs in India, located in the Himalayan
Mobile Belt, West coast region, Narmada-Sone
river region and in Bihar, Bengal belt region.
3. Ocean Thermal Energy Conversion (OTEC): It
is the conversion of solar energy trapped by
the ocean into usable energy. This kind of
energy is found in tropical oceans where the
water temperature differs from surface to
deeper into the sea(very low efficiency 2%).
The countries like Cuba , USA , and JAPAN
are generating power by OTEC.
Block Diagram of Hybrid System:
Fig-2 solar thermal systems used today,[5]
Therefore need of light, heat and electric current is

fulfilled by using solar system with conventional
lightening system, heating system and electricity.
B. Use of Biomass energy with conventional

systems: Biomass is organic matter from plants ,
animals and micro-organism grown on land and
water and their derivatives. Biomass is considered
as renewable sources of energy because the
organic matter is generated everday.Biomass used
for producing energy are called biomass energy
resources. Biomass is produced in the D. Hybrid system in automobile:
photosynthesis process which converts the solar Example of Hybrid cars
energy into biomass energy . The photosynthesis
can be given by equation as
39
Hybrid cars can be defined as a vehicle that development to further speed up the innovation
includes both a petrol or diesel engine (hereafter process[10].
„engine‟) and a secondary form of propulsion. The
secondary form of propulsion is most often an IV. ENVIRONMENTAL BENEFIT:
electric motor powered by a battery or the engine, The hybrid technology reduces the pollution caused
but may include other secondary power devices by burning coal or other fossil fuels.Application of
such as compressed gases or a flywheel. hybrid technology may play an important role to
Hybrid cars offer better fuel consumption than reduce Global Warming.
equivalent conventional cars because- Global warming (Green house effect) - This is the
1- The energy normally lost as heat during braking observed increase in the average temperature of the
can be captured and reused to assist the engine earth's atmosphere and oceans in recent decades.
2- There is scope to plug hybrid cars into power The increased amounts of carbon dioxide (CO2)
points at night and recharge the battery from mains and other greenhouse gases (CH4, O3) are the
electricity, which is cheaper and has less primary causes. They are released by the burning of
environmental impact than energy from fossil fuels. fossil fuels, land clearing and agriculture, etc. and
The major disadvantage with hybrid cars is they lead to an increase in the greenhouse effect.
require complex systems to integrate the engine
and the secondary propulsion system. This V CONCLUSION
complexity has formed the basis of many hybrid Due to the fast decay of natural resources of
cars. traditional fuels, it is important to aware of about
hybrid technology. Since the efficiency of purely
used non-conventional resources is nearly 40-60%,
therefore these systems are not sufficient to fulfill
the energy demand of world.
REFERENCES:
[1] Andersson, B.A. 1998. “Materials, Availability, and
Waste Streams for Large Scale PV.” In Proceedings of
the BNL/NREL Workshop on PV and the Environment.
Keystone, Colo.
[2] Beurskens, H.J.M. 2000. “Offshore Wind Turbine
Systems in Europe.” Paper presented to the Workshop
Technische Machbarkeit der Windenergienutzung im
Offshore der Nordsee, Kiel, Germany.
[3] Boyle, G., ed. 1996. Renewable Energy: Power for a
Table-1 [7] Sustainable Future. Oxford: Oxford University Press.
[4] EUREC Agency. 1996. The Future for Renewable Energy:
Prospects and Directions. London: James & James.
III ECONOMIC BENEFIT: [5] Henning, H.M. 1999. “Economic Study of Solar Assisted
Cooling Systems.” Bericht TOS1-HMH-9905 E01,
All forms of energy are expensive, but as time Fraunhofer Institute ISE, Freiburg, Germany.
progresses; Hybrid energy generally gets cheaper, [6] Kemp, René (1997) Environmental Policy and Technical
Change. A Comparison of the Technological Impact of
while fossil fuels generally get more expensive. Policy Instruments, Cheltenham: Edward Elgar.
Renewable energy hybrid technologies are [7] Popular Science (July, 1969) "Hybrid Car Ready in 1969"
declining in price for three main reasons. pp. 86– 87. Retrieved December 31, 2008.
[8] BC Climate Exchange (2005) "Hybrid Basics" Hybrid
Experience Report. Retrieved June 19, 2007.
A. Once the renewable infrastructure is built, the [9] Toyota Motor Corporation (2006) "Series Parallel Hybrid
fuel is free forever. Unlike carbon-based fuels, System" Hybrid Synergy Drive. Retrieved June 19, 2007.
the wind and the sun and the earth itself [10] Green Car Congress (September 29, 2006) Plug-ins
Progress. Retrieved April 27, 2007.
provide fuel that is free, in amounts that are
effectively limitless.
B. While fossil fuel technologies are more
mature, renewable energy hybrid technologies
are being rapidly improved. So innovation and
ingenuity give us the ability to constantly
increase the efficiency of renewable energy
and continually reduce its cost.
C. Once the world makes a clear commitment to
shifting toward renewable energy using hybrid
technology, the volume of production will
itself sharply reduce the cost of each windmill
and each solar panel, while adding yet more
incentives for additional research and
40
Study of Optimal Process Parameters during

Pulsed Nd: YAG Laser Cutting of Superalloy
Thin Sheet using Taguchi’s Matrix Method
Amit Sharma1, Vinod Yadava2
1,2
Mechanical Engineering Department, Motilal Nehru National Institute of Technology,
Allahabad- 211004, Uttar Pradesh, India
1
amit80@mnnit.ac.in
2
vinody@mnnit.ac.in
Abstract— This paper presents an investigation on the effect and electric conductor or an electrical insulator, hard or soft. From
the beginning, LBC has always a major research area for
optimization of cutting parameters on the surface roughness (Ra) converging-diverging shape of laser beam profile a kerf taper
during Nd: YAG laser straight cutting of Nickel based superalloy always exist in laser cut sheet materials [2-3]. Surface
thin sheet. The experimental studies were conducted under
roughness is also a widely used index of product quality.
Achieving the desired surface quality is of great importance
varying oxygen pressure, pulse width, pulse frequency, and for the functional behaviour of a part [4]. There are many
cutting speed. The surface roughness was measured using the input parameters affecting the quality of laser cutting such as
laser type and power, type and pressure of assist gas, cutting
Surface Roughness Tester (SURTRONIC- 25 model, Taylor
speed, sheet material composition and its thickness, and mode
Hobson Ltd, UK). The optimum settings of cutting parameters of operation of laser beam (Continuous or Pulsed mode). To
were determined by using Taguchi experimental design method. achieve acceptable level of kerf quality characteristics, it is
necessary to choose optimum combination of input process
Analysis of variance (ANOVA) has been used to determine the
parameters [1, 5].
level of significance of cutting parameters on the surface In most of the experimental investigations of the LBC
roughness. The surface quality of laser cut has been improved 1.4 process, researchers have varied one factor at a time to
analyse the effect of input process parameters on output
times by using Taguchi methodology.
quality characteristics or responses [6-8]. But this technique
. consumes more money and time for large number of
experimental runs. To overcome these problems, design of
Keywords— Laser cutting, Superalloy, Taguchi method, Surface experiments methodology such as response surface
roughness, ANOVA methodology (RSM) and Taguchi methodology (TM) have
incorporated by some researchers during experimental study
I. INTRODUCTION of LBC process.
Superalloys are used for manufacturing of those Almedia et al. [9] applied factorial design approach to
components which are required to retain their shape at determine the effects of pulse energy, overlapping rate and
elevated temperatures. Superalloys are mainly three types: type of assist gas on the surface roughness and dross
iron based, cobalt based and nickel based. The latter being formation during Nd: YAG laser cutting of pure titanium and
best suited for aeroengine applications. Nickel based titanium alloy. Lim et al. [10] have applied Taguchi
superalloy sheets in general and SUPERNI 718 sheet in methodology for deciding the optimal parameter levels during
particular, is used as casing for jet engines, aeroengine turbine study of LBC process performance and they found that the
blades, turbo charger, and pump body parts [1]. The complex quality characteristics had improved considerably. Kumar et al.
profile cutting of nickel-based superalloy sheets is very [11] have been optimized tensile properties of evaporative
difficult using traditional sheet cutting operations due to its pattern casting process using Taguchi methodology. They also
enhanced mechanical properties. Advanced sheet cutting studied the effect of selected process parameters on the tensile
processes (ASCPs) are best suited for cutting advanced properties of Al- 7%Si alloy castings. Dubey and Yadava [12-
difficult to cut sheet materials. Laser beam cutting is one of 13] applied orthogonal array with principle component
the widely used among all ASCPs for cutting complex profiles analysis as well as TM with response surface methodology
in thin sheets of conventional as well as difficult to cut (RSM) to optimize multiple quality characteristics during
materials. The material to be cut can be fragile, brittle, an pulsed Nd: YAG laser cutting thin sheets.
41
In this paper, surface roughness (Ra) has been optimized According to the Taguchi quality design concept, a L9
during pulsed Nd: YAG laser cutting of SUPERNI 718 sheet orthogonal array (OA) was used for experimentation. Taguchi
using Taguchi methodology. The control factors taken are: technique saves considerable time and money but requires
oxygen pressure, pulse width, pulse frequency and cutting rigorous mathematical treatment [15-16]. The selection of OA
speed. Based on the Taguchi quality design concept, an L9 is based on the calculation of the total degree of freedom of all
Orthogonal array has been used for performing the the input parameters, and the number of rows of an OA
experiments and these observation results have been used for elected should be greater than or equal to the total degree of
optimization. Further, analysis of variance (ANOVA) has freedom of a process. Orthogonal arrays are a special matrix
been used to find out the most significant laser cutting in which entries are at various levels of input parameters, and
parameters for optimizing the performance characteristic. each row represents individual treatment condition [17]. The
experimental results are summarized in Table 3.
II. TAGUCHI BASED EXPERIMENTATION
Taguchi methodology (TM) for robust design is a unique III. ANALYSIS AND DISCUSSION OF EXPERIMENTAL
statistical experimental design technique which can be RESULTS
nullified the effect of uncontrollable factors by level In Taguchi methodology, a mean standard deviation (MSD)
combination of controllable factors or process parameters is used to calculate the deviation between the experimental
because most of the failures occur due to uncontrollable value and desired value is also known as loss function. This
factors such as vibrations, temperature and humidity. The loss function is further transformed into a signal-to-noise (S/N)
levels of controllable factors can be specified and controlled ratio. There are different MSDs available for different type of
during experimentation [14]. characteristics; lower is better (LB), nominal is the best (NB)
The experimental study were performed on 200W pulsed and higher is better (HB) [15, 16]. In this study, lower value
Nd: YAG laser beam system (SIL-200 model) supplied by of surface roughness is most desirable for better performance
M/S Suresh Indu Lasers, Pune (India). In this study, four input of the process. Therefore, the LB type MSD is selected for
process parameters have been identified as: assist gas pressure quality characteristic which is computed by the following
(OP), pulse width (PW), pulse frequency (PF), and cutting formula:
speed (CS). The experiments were conducted under different
settings of chosen input process parameters. Oxygen was used 1 n

as assist gas passing through a conical nozzle of diameter 1.0
mm co-axially with the laser beam. The laser beam was
MSD  
n
y
i 1
2
i 

(1)
focused using a lens of focal length 50 mm. SUPERNI where, yi are the observed data (or quality characteristic) of
718(Ni-based superalloy) sheet was used for experimentation the ith trial and n is the number of replications at the same
supplied by Mishra Dhatu Nigam Limited, Hyderabad (India). condition of experiment.
The chemical composition of SUPERNI 718 is given in Table The S/N ratio for the ith performance characteristics in the
1. Nozzle diameter, focal length of lens, nozzle stand of jth experiment can be expressed as:
distance (SOD = 1.0 mm), and sheet material thickness (t =
1.15 mm) were kept constant throughout the experimentation.
Three levels of each input process parameter have been ij   10 log10 ( MSDij ) (2)
selected without considering the interaction effects. On the
basis of pilot experimentation, parameters range has been The observed values of surface roughness from the
decided. The considered process parameters and their levels experimental results are shown in Table 3. S/N ratios for
are listed in Table 2. Surface roughness (Ra value) was surface roughness corresponding to each experimental run
measured using the Surface Roughness Tester (SURTRONIC- have been calculated by using equation (1) and (2) are shown
25 model, Taylor Hobson Ltd, UK). All measurements were in Table 4. The effect of each control factor at each level, on
acquired using 0.8 mm cut-off length. The Ra values taken are S/N ratio for surface roughness is shown in Table 5. The
the mathematical average of three measurements of each cut effect of control factors on S/N ratios is also presented
(Fig. 1). graphically in Fig. 2. Based on the analysis of S/N ratio,
TABLE 1
PERCENTAGE CHEMICAL COMPOSITION OF SUPERNI 718
Elements Fe Cr Nb Mo Ti Al Mn Si Co C S P Ni
Chemical 19.36 18.66 5.24 3.03 1.03 0.51 0.09 0.09 0.05 0.02 0.007 0.005 Balance
Composition
(%)
42
TABLE 4
S/N RATIOS FOR SURFACE ROUGHNESS
Experimental S/N ratio for surface

run roughness (dB)
1 -12.9242
2 -12.3400
3 -11.4760
4 -11.6322
5 -11.8213
6 -12.1276
7 -12.5473
8 -10.4384
9 -11.1933
Fig. 1 Measurement of Surface roughness value
TABLE 5
TABLE 2 RESPONSE TABLE FOR SURFACE ROUGHNESS
CONTROL FACTORS AND THEIR LEVELS FOR EXPERMENTATION
Factors Mean S/N ratio Max-Min
Symbol Factors Unit Level 1 Level 2 Level 3 Level 1 Level 2 Level 3
A Oxygen Kg/cm2 2 3 4 Oxygen -12.25 -11.86 -11.39* 0.85
pressure pressure
B Pulse ms 0.8 0.9 1.0 Pulse width -12.37 -11.53* -11.60 0.83
width
C Pulse Hz 18 23 28 Pulse -11.83 -11.72* -11.95 0.23
frequency frequency
D Cutting mm/min. 25 35 45 Cutting -11.98 -12.34 -11.18* 1.16
speed speed
* Optimum value
the optimal setting of laser cutting parameters for minimum
surface roughness was obtained at level 3 (4 kg/cm2) of
oxygen pressure, level 2 (0.9 ms) of pulse width, level 2 -11.0
(23Hz) of pulse frequency and level 3 (45 mm/min) of cutting -11.2

Oxygen pressure
speed, i.e., A3B2C2D3. The difference between the maximum

Pulse width
Pulse frequency
and minimum value of the signal-to-noise ratios -11.4
Cutting speed
corresponding to each factor in Table 5 shows the level of -11.6

S/N ratio (dB)
significance of the controllable factors over the performance -11.8

characteristic. The most effective controllable factor is the
maximum of these values. -12.0
-12.2
TABLE 3
EXPERIMENTAL OBSERVATIONS USING L9 OA -12.4
1 2 3
Experimental Input Process Surface
Factor level
run Parameter roughness
Level (μm)
A B C D Fig. 2 Response graph for surface roughness
1 1 1 1 1 4.43
A better feel for the relative effect of the different cutting
2 1 2 2 2 4.14
parameters on the performance quality characteristics was
3 1 3 3 3 3.75
obtained by decomposition of variance, which is called
4 2 1 2 3 3.82 analysis of variance (ANOVA) [18]. Statistically, F-ratio
5 2 2 3 1 3.90 provides a decision at some confidence level as to whether
6 2 3 1 2 4.04 these estimates are significantly different. Larger F-value
7 3 1 3 2 4.24 indicates that the variation of the process parameter makes a
8 3 2 1 3 3.33 big change on the performance characteristics. The results of
9 3 3 2 1 3.63 ANOVA for surface roughness are shown in Table 6.
43
TABLE 6
RESULTS OF ANOVA BASED ON S/N RATIOS FOR SURFACE ROUGHNESS
Symbol Factor DOF Sum of squares Mean squares F Contribution

(%)
A Oxygen pressure 2 0.20981 0.10491 12.98 23.30
B Pulse width 2 0.26589 0.13295 16.45 29.50
C Pulse frequency 2 0.01615# 0.00808 Pooled 1.80#
D Cutting speed 2 0.41028 0.20514 25.39 45.50
Error ---- -------- ------- ------- -------

Pooled Error 2 0.01615 0.00808
Total 8 0.90214 100
DOF- degree of freedom; # Pooled factor,
Tabulated F-ratio at 95% confidence level: F0.05, 2, 2 = 19
TABLE 7
RESULTS OF CONFIRMATION EXPERIMENT
Initial cutting parameters Optimum cutting parameters

Prediction Experiment
Level A1B1C1D1 A3B2C2D3 A3B2C2D3
Surface roughness 4.43 ------ 3.17
(μm)
S/N ratio (dB) -12.9242 -10.321 -10.021
Improvement in S/N ratio = 2.9032 dB
The percentage contribution of each factor for minimum improvement in the S/N ratio of surface roughness from the
surface roughness can be observed from Table 6 and it has starting cutting parameters to the level of optimal cutting
been also observed from the table that the cutting speed is the parameters is 2.9032 dB. The surface roughness is decreased
most significant factor for minimum surface roughness among by 1.4 times. The experimental results confirmed the validity
all the process parameters. of the used Taguchi method for enhancing the cutting
performance.
IV. CONFIRMATION EXPERIMENT
The confirmation is performed by conducting a test using a V. CONCLUSIONS
combination of the factors and levels previously evaluated. In This paper has presented an investigation on the
this study, after determining the optimum condition and optimization and the effect of cutting parameters on the
predicting the response under these conditions, a new surface roughness in laser cutting operations. The level of
experiment was designed and conducted with the optimum importance of the cutting parameters is determined by using
levels of input process parameters. The final step is to predict ANOVA. Based on ANOVA method, the cutting speed has
and verify the improvement of the performance characteristic. been found as most significant parameter for controlling the
The predicted S/N ratio ηp using the optimal levels of the laser surface quality whereas oxygen pressure, pulse width and
cutting parameters can be calculated as: pulse frequency were less effective factors. An optimum
cutting parameter combination for minimum surface
roughness has been obtained by using the analysis of signal-
 p   m    i   m 
p 
(3) to-noise (S/N) ratio and the confirmation test indicates that the
i 1  
performance characteristic can be improved by using the

where  m is the total mean of S/N ratio,  i is the mean of proposed statistical technique.
S/N ratio at the optimal level and p is the number of input ACKNOWLEDGMENT
parameters. Financial assistance for this work has been granted by the
The results of confirmation experiment using optimal Department of Science and Technology (DST), Government
cutting parameters are shown in Table 7 which shows the of India through the project no. SR/S3/MERC-0076/2006
entitled “Experimental and Numerical Study of Nd-YAG
44
Laser Beam Cutting of Advanced Engineering Materials”.

[10] S.H. Lim, C.M. Lee, and W. J. Chung, “A study on optimal cutting
REFERENCES condition of a high speed feeding type laser Cutting machine by using
[1] A. Sharma, V. Yadava, and R. Rao, “Optimization of Kerf Quality Taguchi method”, International Journal of Precision Engineering and
Characteristics during Nd: YAG Laser Cutting of Nickel Based Manufacturing, vol. 7(1), pp.18-23, 2006.
Superalloy Sheet for Straight and Curved Cut Profiles”, Optics and Lasers [11] S. Kumar, P. Kumar, and H.S. Shan, “Optimization of tensile properties
in Engineering, vol. 48, pp. 915-925, 2010. of evaporative pattern casting process through Taguchi’s method”,
[2] G. Chryssolouris, Laser Machining- Theory and Practice (Mechanical Journal of Materials Processing Technology, vol. 204 (1-3), pp. 59-69,
Engineering Series, NewYark, Springer, 1991,. 2008.
[3] W. M. Steen, Laser material processing, NewYark Springer- Verlag, 1991. [12] A.K. Dubey, and V. Yadava, “Multi-objective optimization of Nd: YAG
[4] P.G. Benardos, and G.C. Vosniakos, “Predicting Surface Roughness in laser cutting of nickel-based superalloy sheet using orthogonal array
Machining: A Review”, International Journal of Machine Tools and with principal component analysis”, Optics and Lasers in Engineering,
Manufacture, vol. 43, pp. 833-844, 2003. vol. 46, pp. 124-132, 2008.
[5] R. Rao, and V. Yadava, “Multi-objective optimization of Nd:YAG laser [13] A.K. Dubey, and V. Yadava,”Multi-objective optimization of laser beam
cutting of thin superalloy sheet using grey relational analysis with entropy cutting process”, Optics and Laser Technology vol. 40, pp. 562-570,
measurement”, Optics and Laser Technology, vol. 41(8), pp. 922-930, 2008.
2009. [14] G. Thawari, J.K. Sarin Sundar, G Sundararajan, and S.V. Joshi,
[6] K.A. Ghany,and M. Newishy, “Cutting of 1.2 mm thick austenitic “Influence of Process Parameters during Pulsed Nd: YAG Laser Cutting
stainless steel sheet using pulsed and CW Nd: YAG laser”, Journal of of Nickel-base Superalloys”, Journal of Materials Processing
Materials Processing Technology, vol. 168, pp. 438-47, 2005. Technology, vol. 170, pp. 222-239, 2005.
[7] S. L. Chen, “The effects of high-pressure assistant-gas flow on high power [15] P. J. Ross, Taguchi Techniques for Quality Engineering, , India, Tata
CO2 laser cutting” Journal of Materials Processing Technology, vol. 88, McGraw Hill,1996.
pp. 57-66, 1999. [16] R. K. Roy, A Primer on the Taguchi Method, NewYork, Van Nostrand
[8] C. Karatas, , O. Keles, I. Uslan, and Y. Usta, “Laser cutting of steel sheets: Reinhold, 1990.
influence of workpiece thickness and beam waist position on kerf size [17] A.K. Dubey, and V. Yadava, “Simultaneous Optimization of Multiple
and stria formation” Journal of Materials Processing Technology, vol. Quality Characteristics in Laser Beam Cutting Using Taguchi Method”,
172, pp. 22-29, 2006. International Journal of Precision Engineering and Manufacturing, vol.
[9] I. A. Almeida, W. Rossi de, M.S.F. Lima, J.R. Berretta, G.E.C. Nogueira, 8(4), pp. 10-15, 2007.
N. U. Wetter, and N. D. Vieira Jr, “Optimization of Titanium Cutting by [18] M. S. Phadke, Quality engineering using robust design, NJ, Prentice-Hall,
Factorial Analysis of the Pulsed Nd: YAG Laser Parameters”, Journal of Englewood Cliffs, 1989.
Materials Processing Technology, vol. 179, pp. 105-110, 2006.
45
A Detailed Study of the Progress in Research in the

Area of Laser Beam Machining
Sumit Ganguly1, Khem Chand Arora2
1,2
Department of Mechanical Engineering,
Lingayas University, Faridabad,
Nachauli, Jasana, Old Faridabad Road, Faridabad – 121002
Haryana, India
1
sumitgang@rediffmail.com
2
khemchand.arora@rediffmail.com
Abstract - Laser beam machining (LBM) is an advanced Nd:YAG orneodymium doped yttrium-aluminium-
machining process which is of non-contact type and uses garnet), liquid (dye) or gas (e.g. CO2, He,Ne) [1].
thermal energy very extensively. In LBM the material is The schematic of LBM is shown in Fig. 1. LBM
removed by melting, vaporization and chemical degradation. can be applied to a wide range of materials such
LBM can be applied for over a very wide range of materials.
When a high energy density laser beam is focused on work
as, metals and non-metals, soft and difficult-to-
surface the thermal energy is absorbed which heats and machine (DTM) materials. Among various kind of
transforms the work volume into a molten, vaporized or lasers now used in modern industries, CO2 and
chemically changed state that can easily be removed by flow of Nd:YAG are the most mature ones. Although CO2
high pressure assist gas jet (which accelerates the transformed lasers have wide application in commercial sheet
material and ejects it from machining zone). It is suitable for metal cutting operations, the benefits offered by
geometrically complex profile cutting and making miniature Nd:YAG lasers make it an interesting field of
holes in sheet metal. Among various type of lasers used for investigation.
machining in industries, CO2 and Nd:YAG lasers are most
established. This paper studies the research work carried out
so far in the area of LBM of different materials and shapes. It
talks about the experimental and theoretical studies of LBM
to improve the performance of a process. Several modeling
techniques like experimental or empirical models, analytical
models and AI models have been discussed. Several
optimization techniques that has been developed till date for
the determination of optimum laser beam cutting condition
have also been critically examined. The last part of this
paper highlights the development that has taken place in the
area of LBM. It also outlines the current trend and need for
future research.
Keywords— LBM, Nd: YAG lasers, modeling techniques,

current trend, future research.
I. INTRODUCTION
Laser (light amplification by stimulated emission
of radiation) is a coherent and amplified beam of
electro-magnetic radiation. The key element in
making a practical laser is the light amplification
achieved by stimulated emission due to the
incident photons of high energy. A laser comprises
three principal components, namely, the lasing
medium, means of exciting the lasing medium into
its amplifying state (lasing energy source), and
optical delivery/feed back system. Additional
provisions of cooling the mirrors, guiding the
beam and manipulating the target are also Fig.1 Schematic representation of Nd:YAG laser beam
important. The laser medium may be a solid (e.g. machining system (Kuar et al., 2006).
46
II. LBM APPLICATIONS

LBM has wide applications in the field of
automobile sectors, aircraft industry, electronic
industry, civil structures, nuclear sector and house
appliances. Stainless steel, a distinguishable
engineering material used in automobiles and
house appliances, is ideally suitable for laser beam
cutting [2,3]. Advanced high strength steels
(AHSS)machined by laser beam have applications
in car industry and boiler works [4]. Titanium
alloy sheets used in aerospace industry to make
forward compression section in jet engines are cut
Fig. 2. Laser beam cutting
by lasers [5-7]. Aluminium alloys used in
aeronautics are one of the most promising for laser
machining implantation [8]. Also, aluminium
alloy samples of slot antenna array can be directly
fabricated on laser cutting system [9]. Cutting of
complex geometry in metallic coronary stents for
medical application is done by pulsed Nd:YAG
laser beam cutting [10,11]. LBM is the most
suitable and widely used process to machinenickel
base superalloys, an important aerospace material
[12-16]. Besides metals and alloys LBM is also
used in different industrial applications to machine
ceramic work materials successfully.
Commercial piezoceramic discs are laser cut to
provide complex shapes in RAIN-BOW actuators
[17]. Cutting of commercially available ceramic
tiles using diamond-saw, hydrodynamic or USM
are time consuming and expensive in processing
of particular shape. LBM can cut intricate shapes
and thick sections in these tiles [18-20].
Fig.3. Three-dimensional laser machining: (a) laser turning

(helix removal); (b) laser turning (ring removal); and (c) laser
milling [1].
III. MAJOR AREAS OF LBM RESEARCH

The research work carried out in the area of LBM
can be divided in three parts namely experimental
studies, modelling studies and optimization
studies.
A. Experimental studies:
Experimental studies on LBM by researchers show
the effect of process input parameters such as laser
power, type and pressure of assist gas, cutting
material thickness and its composition, cutting
speed and mode of operation (continuous or pulsed
mode) on process performance. The quality
characteristics (or process performance) of interest
47
in LBM are MRR, machined geometry (kerf time the DOE based studies show the interaction
width, hole diameter, taper), surface quality effect among various process parameters by
(surface roughness, surface morphology), simultaneously varying more than one process
metallurgical characteristics (recast layer, heat parameters. The most of the results obtained in this
affected zone, dross inclusion) and mechanical section show quite different trend of parameter
properties (hardness, strength, etc.). effect when varied simultaneously in comparison
to that of one parameter variation at a time. The
FD method has all possible parameter
B. Modeling and optimization studies: combinations but the large number of runs is a
Modeling in LBM helps us to get a better cumbersome job. The RSM is mainly the model
understanding of this complex process. Modeling formulation procedure and investigate how
studies are the scientific ways to study the system important factors affect the response of an
behaviors. A mathematical model of a system is experiment. The TM is more of a factor-screening
the relationship between input and output procedure to determine the significance of each
parameters in terms of mathematical equations. On factor.
the basis of their origin, models can be divided in Analytical models are the best tools for
three categories e.g. experimental or empirical preliminary
models, analytical models, and artificial study of the process performance of a complex
intelligence (AI) based models. process like LBM. In most of the LBM studies
Complexity in machining dynamics has forced the exact solution based and numerical solution
researchers to find optimal or near optimal based analytical models have been developed.
machining conditions with discrete and continuous The literature available does not show the
parameters spaces with multi-model, differentiable LBM study based on stochastic solution. Most
or non-differentiable objective function or of the exact solution based models discussed
responses finding optimal solutions by a suitable above have better predicted on geometrical
optimization technique based on objective function characteristics and MRR but the prediction of
formulated from model is a critical and difficult HAZ was far away from real solution. The
task and hence, a large number of techniques has numerical solution based studies have
been developed by researchers to solve these type concentrated on thermal models but assumptions
of parameter optimization problems. are taken in liberal way for developing the models.
Some researchers have approached in better
The literature related to modeling and optimization way for predicting the performance behaviour in
of LBM is mainly using statistical design of case of CW-LBM but in case of pulsed-LBM no
experiments (DOE) such as Taguchi method and right approach has been adopted.
response surface method. Several analytical
methods based on different solution The work presented here is an overview of
methodologies, such as exact solution and recent developments of LBM and future
numerical solution, have also been examined research directions. From above discussion it can
related to LBM. Few researchers concentrated on be concluded that:
modeling and optimization of laser beam cutting 1) LBM is a powerful machining method for
through AI based techniques such as artificial cuttingcomplex profiles and drilling holes in wide
neural network (ANN) and fuzzy logic (FL). range of workpiece materials. However, the main
disadvantage of this process is low energy
efficiency from production rate point of view and
IV. CONCLUSIONS converging diverging shape of beam profile from
The experimental modeling based studies used in quality and accuracy point of view.
LBM process have similar goals but with different 2) Apart from cutting and drilling, LBM is also
approaches. For developing the model the suitable forprecise machining of micro-parts. The
experimental input/output results have been used micro-holes of very small diameters (up to 5 mm)
to show the relationship between process with high aspect ratio (more than 20) can be
parameters and quality characteristics by fitting a drilled accurately using nanosecond frequency
first or second-order regression model using least tripled lasers. Cutting of thin foils (up to
square fit. Only difference lies in performing the 4 mm) has been done successfully with micro-
experiments. The different DOE techniques range kerf width.
applied for experimentation have their own
advantages and disadvantages. Unlike, 3) The performance of LBM mainly depends on
experimental study of one factor variation at a laserparameters (e.g. laser power, wavelength,
48
mode of operation), material parameters (e.g. performance characteristics differently. In the

type, thickness)and process parameters (e.g. feed same way, during theoretical study authors have
rate, focal planeposition, frequency, energy, pulse taken a number of hypothetical assumptions to
duration, assist gas type and pressure). The simplify the problems of LBM which otherwise
important performance char-acteristics of interest could be incorporated in their models to enhance
for LBM study are HAZ, kerf orhole taper, the reliability and applicability of the model. Thus,
surface roughness, recast layer, dross adherence it is desirable to develop the models with no or
and formation of micro-cracks. very few assumptions to get the real solution of the
4) The laser beam cutting process is characterized LBM problems quantitatively.
by large number of process parameters that
determines efficiency, economy and quality of REFERENCES
whole process and hence, researchers have tried to
optimize the processthrough experiment based, [1] J.D. Majumdar, I. Manna, Laser processing of
materials, Sadhana28 (3-4) (2003) 495-562.
analytical, and AI based modelling and
optimization techniques for finding optimal and [2] K.A. Ghany, M. Newishy, Cutting of 1.2mm thick
austenitic stainless steel sheet using pulsed and CW
near optimal process parameters but modelling Nd:YAG laser, Journal ofMaterial Processing
and optimization of laser beam cutting with multi- Technology 168 (2005) 438-447.
objective, and with hybrid approach are non- [3] B.S. Yilbas, R. Devies, Z. Yilbas, Study into
existent in the literature. penetration speed during CO2 laser cutting of
stainless steel, Optics and Lasers in Engineering 17
(1992) 69-82.
V. FUTURE DIRECTIONS OF LBM [4] A. Lamikiz, L.N.L. Lacalle, J.A. Sanchez, D. Pozo,
RESEARCH J.M. Etayo,J.M. Lopez, CO2 laser cutting of advanced
high strength steels(AHSS), Applied Surface Science
The major research areas in LBM are discussed in 242 (2005) 362-368.
previous sections. Researchers have contributed in [5] L. Shanjin, W. Yang, An investigation of pulsed laser
different directions but due to complex nature of cutting oftitanium alloy sheet, Optics and Lasers in
the process a lot of works are still required to be Engineering 44 (2006) 1067-1077.
done. Most of the published works are related to [6] [A. Almeida, W. Rossi, M.S.F. Lima, J.R. Berretta,
laser cutting followed by drilling and G.E.C.Nogueira, N.U. Wetter, N.D. Vieira Jr.,
micromachining but 3-D LBM like turning and Optimization of titaniumcutting by factorial analysis
of the pulsed Nd:YAG laser parameters, Journal of
milling are still awaiting for industrial use. The Materials Processing Technology 179(1-3)
control of two or more laser beams at different (2006)105-110.
angles simultaneously is not an easy task [7] B.T. Rao, R. Kaul, P. Tiwari, A.K. Nath, Inert gas
during 3-D machining. cutting of titanium sheet with pulsed mode CO 2
cutting, Optics and Lasers in Engineering 43 (2005)
Thickness of material is another constraint during 1330-1348.
LBM which can be reduced by improving the
[8] D. Araujo, F.J. Carpio, D. Mendez, A.J. Garcia, M.P.
beam quality. At present, the use of LBM is Villar, R.Garcia, D. Jimenez, L. Rubio,
limited up to complex profile cutting in sheet Microstructural study of CO2 laser machined heat
metals but due to emergence of advanced affected zone of 2024 aluminium alloy, Applied
engineering materials, need is to develop it for Surface Science 208-209 (2003) 210-217.
cutting of difficult-to-cut materials. So, these [9] X. Wang, R. Kang, W. Xu, D. Guo, Direct laser
developments in LBM can be an area of future fabrication of aluminium-alloy slot antenna array, in:
1st International Symposium on Systems and Control
research.Most of the experimental works presented in Aerospace and Astronautics (ISSCAA), 19-21
in LBM are aimed to study the effect of parameter January 2006, 5pp.
variations on quality characteristics. Only few
[10] A. Raval, A. Choubey, C. Engineer, D. Kothwala,
researchers have used the scientific methods Development and assessment of 316LVM
under the umbrella of DOE for the study of LBM cardiovascular stents, Materials Science and
process. Unplanned experimental study includes a Engineering A 386 (2004) 331-343.
lot of undesired factors which affect the [11] Y.P. Kathuria, Laser microprocessing of metallic stent
performance variations and finally leads to for medical therapy, Journal of Materials Processing
unreliable results. Further, researchers have Technology 170 (2005) 545-550.
excluded many important factors such as beam [12] S. Bandyopadhyay, J.K.S. Sundar, G. Sundarrajan,
spot diameter, thermal conductivity and S.V. Joshi, Geometrical features and metallurgical
characteristics of Nd:YAG laser drilled holes in thick
reflectivity of workpiece material and the IN718 and Ti-6Al-4V sheets, Journal of Materials
interaction effects among various factors during Processing Technology 127 (2002) 83-95.
study which otherwise would affect the [13] A. Corcoran, L. Sexton, B. Seaman, P. Ryan, G.
49
Byrne, The laser drilling of multi-layer aerospace

material systems, Journal ofMaterials Processing
Technology 123 (2002) 100-106.
[14] D.K.Y. Low, L. Li, P.J. Byrd, Spatter prevention
during the laser drilling of selected aerospace
materials, Journal of Materials Processing
Technology 139 (2003) 71-76.
[15] G. Thawari, J.K.S. Sundar, G. Sundararajan, S.V.
Joshi, Influence of process parameters during pulsed
Nd:YAG laser cutting of nickel-base superalloys,
Journal of Materials Processing Technology 170
(2005)229-239.
[16] H.K. Sezer, L. Li, M. Schmidt, A.J. Pinkerton, B.
Anderson, P.Williams, Effect of beam angle on HAZ,
recast and oxide layer characteristics in laser drilling
of TBC nickel superalloys, International Journal of
Machine Tools and Manufacture 46 (15) (2006)
[17] J. Juuti, E. Heinonen, V.-P. Moilanen, S. Leppavuori,
Displacement, stiffness and load behaviour of laser-cut
RAINBO Wactuators, Journal of the European Ceramic
Society24 (2004) 1901-1904.
[18] I. Black, S.A.J. Livingstone, K.L. Chua, A laser beam
machining (LBM) database for the cutting of ceramic tile,
Journal of Materials Processing Technology 84 (1998) 47-55.
[19] I. Black, K.L. Chua, Laser cutting of thick ceramic

tile, Optics andLaser Technology 29 (4) (1997) 193-
205.
[20] J.P. Cosp, A.J.R. Valle, J.G. Fortea, P.J.S. Soto, Laser cutting
of high-vitrified ceramic materials: development of a method
using a Nd:YAG laser to avoid catastrophic breakdown,
Materials Letters 55 (2002)274-280.
50
Unconventional Machining of Fiber Reinforced

Plastics Composites
R. Mishra1, P. K. Rakesh2, I. Singh3
1,2,3
Department of Mechanical and Industrial Engineering,
Indian Institute of Technology, Roorkee-247667, India
2
pawankumarrakesh@gmail.com
Abstract: - Composite materials development was driven by the automobile, electronics and computer (printed circuit boards),
needs of space, defense, and aircraft industries where medical (surgical implants), optics, miniature manufacturing
performance rather than cost was the prime consideration. In the and others has created the need for small and micro-size holes
beginning, conventional machining techniques were adopted to with high aspect ratio in extremely hard and brittle materials
machine fiber reinforced plastics (FRPs) to get a desired shape.
This was followed by significant advancements in tool materials
[5-7]. The complexity and degree of precision required for
and tooling design. A high degree of automation for the mass components in these industries need such holes to be straight,
manufacturing of composite parts will be required to bring the accurate and exactly positioned. Due to these limitations of
high performance of FRPs products. Advancements in the conventional machining processes, alternative techniques that
nontraditional machining processes offer an opportunity to utilize non-conventional energy sources for material removal
process these materials economically, thus realizing the full such as electrical discharge machining (EDM), laser cutting,
potential of the composite materials. The purpose of the present ultrasonic machining, water jet machining (WJM),
study is to present an overview of non-conventional machining of electrochemical machining (ECM) and abrasive water jet
FRPs with special emphasis on hole making as secondary machining (AWJM) has drawn much interest and the
processing, in terms of drilling is imperative to facilitate the
assembly operations of the parts to get the final product.
feasibility of the processes has been studied [8-10]. The non-
conventional process provides a single tool that is suitable for
Keywords- FRPs, Hole making, EDM machining a wide range of composite materials. It is a non-
contact type machining operations, without touching the
I. INTRODUCTION cutting tool on the workpiece, inertia-less and faster cutting
process, no cutting forces involved, and offers some
The use of composite materials becomes prominent in advantages like narrow kerf width, negligible heat affected
today’s modern technological applications. Fiber reinforced zone, reduced waste materials and flexibility to machining
plastics (FRPs) composites are increasingly in demand for process in different ways [11]. The purpose of this study is to
domestic appliances, sports goods, automotive, offshore provide an overview of hole making processes by non-
structures, and the aircraft industries. These have unique conventional machining of FRP composites and new
characteristics such as high strength to weight ratio, good developments taking place in view of the fast emerging
corrosion resistance, good electrical resistance, high fatigue miniature manufacturing technology.
endurance limit, and are extremely cost effective in certain
manufacturing methods. Machining of glass fibre reinforced II. ABRASIVE WATER JET MACHINING
polymer (GFRP) composites requires better understanding of
cutting processes regarding accuracy and efficiency. Drilling Abrasive water jet machining (AWJM) process is one of
of FRP composites causes more wear of the drill compared to the non-traditional machining processes that have been used
drilling on conventional materials mainly due to heterogeneity extensively in various industry related applications. High
of the FRPs which leads the drill bit to experience variable pressure water jet cutting with fine abrasives is well-suited for
forces resulting in damage of work material such as machining inhomogeneous materials which are hard and
delamination, fibre pull out and poor hole quality [1-4]. To abrasive, such as most polymer matrix composite materials as
overcome the rapid tool wear experienced in conventional shown in fig.1. This technology is less sensitive to material
machining of some composites containing hard, abrasive, or properties as it does not cause chatter, has no thermal effects,
refractive constituents, alternate material removal process impose minimal stresses on the workpiece, and has high
have been adopted [12]. It is difficult to machine macro and machining versatility and high flexibility. The major problems
micro-holes in very hard and brittle materials by using arises during the AWJ machining are high noise, low material
traditional machining methods. Recent progress made in the removal rate, inability to machine blind holes, damage to
field of aviation (cooling holes in jet turbine blades), space, machine elements due to the action of the abrasives, etc.
51
hydraulic pressure and abrasive mass flow rate may results

in a better machining performance.
III. ULTRASONIC MACHINING
Ultrasonic-assisted drilling involves the use of a rotary

tool where an axial vibratory motion at high frequency is
superimposed. A special adaptor is required to transmit the
vibration from a piezoelectric transducer to the tool.
Ultrasonic vibration can reduce friction, break chips, and
reduce tool wear. It is a particularly useful technique when
the matrix or the reinforcing fibers are hard, and brittle
materials. The use of a core drill permits cutting fluids to
be passed through its centre. Ultrasonic machining though
Fig.1. AWJ cutting on glass/epoxy laminate [6]
a slow operation can result in high finish and accuracy of
intricate parts. Kim and Lee [7] studied ultrasonic cutting
Ramulu and Arola [2] investigated the water jet (WJ)
of CFRP composites and concluded that at less than the
and AWJ cutting of unidirectional graphite/epoxy
critical cutting speed, ultrasonic vibration cutting produces
composite. It was concluded that principal material
a better surface than conventional cutting for machining
removal mechanism present in WJ machining of
CFRP. Diamond tool was found to produce a better surface
unidirectional graphite/epoxy composite is material failure
finish while machining CFRP by both conventional and
associated with micro bending induced fracture and out-of-
ultrasonic machining. The surface quality is not related to
plane shear. In AWJ, the material removal mechanism
the depth of cut but is closely related to the cutting speed
included shearing, micro machining, and erosion.
and feed rate. Takeyama and Kato [8] experimentally
Furthermore, AWJ was found to be more feasible because
demonstrated the application of ultrasonic vibration for
of its material-removal mechanism, higher removal rates,
burrless drilling on aluminium and glass fiber reinforced
and superior surface finish. Lemma et al. [3] studied the
plastics using radial peripheral lip drill. Takeyama and
cutting of fiber reinforced composites by using abrasive
Iijima [9] studied the application of ultrasonic machining of
water jet with cutting head oscillation. The results showed
glass fiber reinforced plastics. It was concluded that by
improvements in surface quality by using oscillation
applying ultrasonic machining, average cutting force and
cutting of GFRP composites. Azmir et al. [4] studied the
roughness of machined surface are dramatically reduced,
effect of abrasive water jet machining parameters on
and also burr and subsurface damage can be appreciably
aramid fibre reinforced plastics composite. The traverse
improved.
rate was found to be the most significant machining
parameter on both surface roughness and taper ratio during
IV. ELECTROCHEMICAL MACHINING
AWJ cutting of kevlar/phenolics composite while abrasive
mass flow rate was not found to be significant. Increasing Electrochemical machining (ECM) is a non-traditional
hydraulic pressure leads to lower surface roughness and machining operation especially suitable for drilling macro
taper ratio. Azmir and Ahsan [5] investigated the influence and micro-holes with exceptionally smooth surface. ECM
of AWJ machining process parameters on surface utilizes an electrolytic cell formed by a cathode tool and an
roughness of glass fibre reinforced epoxy composites. The anode workpiece with a suitable electrolyte flowing
type of abrasives materials are the most significant control between them. The anode workpiece is dissolved according
factor on surface roughness during AWJ machining. to Faraday’s law when a sufficient voltage is applied across
Hydraulic pressure and traverse rate are equally significant, the gap between the anode and the cathode in which
while standoff distance, abrasive mass flow rate and cutting electrolyte is filled as shown in fig.2. Jain et al. [10] studied
orientation are insignificant in influencing surface finish. electrochemical spark machining of kevlar fiber reinforced
Azmir and Ahsan [6] studied the surface roughness (Ra) epoxy and glass fiber reinforced epoxy plastics. They
and kerf taper ratio (TR) characteristics of an abrasive water established the feasibility for specific machining operations
jet machined surfaces of glass/epoxy composite laminate. and the optimization of process conditions. Sen and Shan
On the basis of experimental results, and the effect of [11] presented an overview of electrochemical hole drilling
machining parameters on surface roughness and kerf taper processes, their critical features, range of their applications,
ratio, it was concluded that the hydraulic pressure and type and experimental and analytical investigations of the
of abrasive materials (i.e. garnet and aluminium oxide) are processes. The ECM drilling was better suited for drilling
the most significant control factors in influencing Ra and cross-holes, and for simultaneous drilling of multiple holes
TR, respectively. Due to hardness of aluminium oxide type of different shapes as compared to other non-traditional
of abrasive materials, it performs better than garnet in hole drilling processes.
terms of both machining characteristics. Increasing the
52
energy can prevent delamination defects around holes in

composites on both the top and the bottom surfaces.
Increasing the discharge energy leads to high temperature
thereby increasing surface roughness, and creating a larger
recast layer and more delamination on the cutting edge.
The EDM experimental setup is shown in fig.3.
VI. LASER DRILLING
Laser drilling is a non-contact, non-traditional drilling

process. Some of its advantages over mechanical drilling
include the absence of tool wear, tool breakage and cutting-
Fig. 2. Electrochemical machining setup [11]
force-induced problems. Yung et al. [13] characterized the
heat-affected zone (HAZ) of UV-YAG (ultraviolet- yttrium
V. ELECTRICAL DISCHARGE MACHINING aluminium garnet) laser-drilled GFRP composite. The
structure of the HAZ was influenced strongly by the
Electrical discharge machining (EDM) can be used to average laser power and the pulse repetition rate. Low
generate complex shapes with high precision. The power and low pulse repetition rate resulted in clear hole
workpiece material has to be conductive, and it will be able wall, while high laser power and high repetition rate
to be machined using EDM. Metal matrix composites are resulted in epoxy resin vaporization and glass fibers
most suitable for EDM, especially where complicated melting. An evaluation parameter, defined as the quotient
shapes and high accuracy are required. Some ceramic of the total area of HAZ to the profile length, was
matrix composites that are electrically conductive can be suggested as a better parameter for quantifying the size of
shaped by EDM. Guu et al. [12] studied the effect of HAZ in the machining of fiber reinforced composites with
electrical discharge machining on the characteristics of lasers. Young [14] studied the impact of Nd-YAG
carbon fiber reinforced plastics composites. The
experimental investigation established that smaller pulse
Fig.3. EDM experimental set up [15]
53
(Neodymium-doped: yttrium aluminium garnet) laser REFERENCES

drilling on the fatigue characteristics of APC-2A/AS4
thermoplastic composite material. The APC-2A/AS4 test [1] R. Komanduri, “Machining of fiber-reinforced composites”,
Mach Sci Technol, vol.1, pp. 113-152, 1997.
specimens were arranged in an eight ply quasi-isotropic [2] M. Ramulu and D. Arola, “Water jet and abrasive water jet
lay-up of 1mm thickness. The damage to the matrix around cutting of unidirectional graphite/epoxy composite”,
the holes of the APC-2A/AS4 material was observed to be Composites, vol. 24, pp. 299-308, 1992.
less than that previously observed on carbon fiber epoxy [3] E. Lemma, L. Chen, E. Siores, and J. Wang, “Study of cutting
fiber-reinforced composites by using abrasive water-jet with
material drilled in the identical manner. Static tests cutting head oscillation”, Compos Struct, vol.57, pp. 297-303,
indicated 29% reduction in tensile strength and 10% 2002.
reduction in stiffness for the laser perforated specimens [4] M. A. Azmir, A. K. Ahsan, and A. Rahmah, “Effect of
compared to the non-perforated specimens. abrasive water jet machining parameters on aramid fibre
reinforced plastics composite”, Int J Mater Form, vol.2, pp.
37-44, 2009.
VII. CONCLUSIONS [5] M. A. Azmir and A.K. Ahsan, “Investigation on glass/epoxy
composite surfaces machined by abrasive water jet
Composites are still considered as high-tech materials machining”, J Mater Process Technol, vol.198, pp.122-128,
2008.
and are often ignored by default in the selection criteria of [6] M. A. Azmir and A.K. Ahsan, “A study of abrasive water jet
materials for new products. Even though it is clear that the machining process on glass/epoxy composite laminate”, J
machining of composites differs significantly in many Mater Process Technol, vol.209, pp.6168-6173, 2009.
aspects from the machining of conventional metals, the [7] J. Kim and E. Lee, “A study of ultrasonic vibration cutting of
carbon fibre reinforced plastics”, Int J Adv Manuf Technol,
intuition still is to use conventional machining technology vol.12, pp.78-86, 1996.
by adopting the existing machine tools. For drilling cross- [8] H. Takeyama and S. Kato, “Burrless drilling by means of
holes, and for simultaneous drilling of multiple holes of ultrasonic vibration”, CIRP Annals, vol.40, pp.83-86, 1991.
different shapes electrochemical hole drilling processes is a [9] H. Takeyama and N. Iijima, “Machinability of glass fiber
reinforced plastics and application of ultrasonic machining”,
better choice in comparison to all other non-traditional hole CIRP Annals. Vol.37, pp.93-96, 1988.
drilling processes. The notable features of ECM drilling [10] V. K. Jain, S. Tandon, and P. Kumar, “Experimental
processes have been the absence of residual stresses and investigations into electrochemical spark machining of
excellent surface finish which make these processes more composites”, J Engineering Industry, vol.112, pp.194-197,
1990.
attractive for drilling of holes for components exposed to [11] M. Sen and H.S. Shan, “A review of electrochemical macro to
high temperature. Appropriate means of handling and micro-hole drilling processes”, Int J Mach Tools Manufact,
disposal of electrolytes, optimum selection of process vol.45, pp.137–152, 2005.
parameters, systematic analytical and theoretical modeling [12] Y. H. Guu, H. Hocheng, N. H. Tai, and S. Y. Liu, “Effect of
electrical discharge machining on the characteristics of carbon
and analysis, control on geometry of the drilled hole, and fiber reinforced carbon composites”, J Mater Sci, vol.36,pp.
development of process control strategies are the main 2037-2043, 2001.
issues which need continued developments and further [13] K.C. Yung, S.M. Mei, and T.M. Yue, “A study of the heat-
investigations for the commercial success of these affected zone in the UVYAG laser drilling of GFRP materials’,
J Mater Process Technol, vol.122, pp.278-285, 2002.
processes in industry. The extra demands on materials and [14] T. M. Young “Impact of Nd-YAG laser drilling on the fatigue
processes will guarantee composite's use for a long time to characteristics of apc-2a/as4 thermoplastic composite
come. The need to improve performance, reduce material”, J Thermoplastic Composite Materials, vol.21,
manufacturing costs, and improve quality will move the pp.543-555, 2008.
[15] Y. F. Chen, H. M. Chow, Y. C. Lin, and C. T. Lin, “Surface
manufacturing of composites to more non-conventional modification using semi-sintered electrodes on electrical
methods. discharge machining” Int J Adv Manuf Technol, vol.36,
pp.490–500, 2008.
54
Processing of Thermoplastic Composites with

Microwave Energy: A Review
D. Malik, I. Singh*, A. K. Sharma, P. Kumar
Indian Institute of Technology, Roorkee, India
*E mail: inderfme@iitr.ernet.in
Abstract— Joining composite materials is an issue as traditional method often involves moulding two or more parts and joining
joining technologies are not directly transferable to composite them together [3].
structures. Microwaves have been used for many years in Well-established joining technologies for metallic structures
industrial heating applications because of their ability to heat [4], [5] are not directly applicable to composites [6], [7]. For
materials volumetrically. The dielectric properties of a material example, typical problems encountered when using mechanical
determine its ability to absorb microwave radiation. Microwave fasteners in composite structures include:
processing of materials is a relatively new technology advancement
alternative that provides new approaches for enhancing material
 Stress concentrations created by the presence of holes
properties as well as economic advantages through energy savings and cut-outs which is worsened by the lack of plasticity
and accelerated product development. The two mechanisms of limiting stress redistribution [6].
orientation polarisation and interfacial space charge polarisation,  Delamination originating from the localised wears
together with DC conductivity, form the basis of high frequency occurring during drilling [8].
heating. Clearly, advantages in utilising microwave technologies for  Differential thermal expansion of fasteners relative to
processing materials include penetrating radiation, controlled composite.
electric field distribution and selective and volumetric heating. This
 Additional weight of fastening system.
paper presents a state-of-the-art review of microwave technologies,
processing methods and industrial applications, using variable  Extensive time and labour requirements of hole
frequency microwave (VFM) facilities. VFM facility offers high drilling.
energy coupling efficiency. Dielectric properties and joining of Thermosetting (TS) adhesive bonding is inherently preferable
engineering thermoplastic materials, which include ultra high to mechanical fastening because of the continuous connection
molecular weight polyethylene (UHMW PE), polycarbonate (PC), avoiding large stress concentrations induced at each discrete
acrylonitrile-butadiene-styrene (ABS) and polystyrene (PS) fastener hole [5]. However, there are a wide range of
polymers under room temperature conditions using microwave contaminants present on substrate surfaces, including silicon
energy have been explored.
from release agents and bagging materials, fluorocarbon
released from sprays and films, machining oils, fingerprints and
Keywords— Microwave, Variable frequency microwave (VFM)
components of the composite itself which have migrated to the
facility, curing, Joining, PMCs.
surface (calcium stearate, water and plasticizers etc.) [9]. These
INTRODUCTION need to be eliminated prior to bonding by using a surface
preparation treatment which may also serve to improve wetting
An ideal structure would be designed without joints, since of low energy surfaces, chemically modify the surface
joints are potential sources of weakness and additional weight. (introduction of polar groups or coupling agents) and increase
In practice however, upper limit to component size is generally the surface roughness (improving mechanical interlocking and
determined by the manufacturing processes. Further increasing bonding surface area). Extensive surface preparation
requirements for inspection, accessibility, repair and and long curing times make adhesive bonding labour intensive
transportation or assembly mean that load bearing joints will be [10], [11]. Typical surface treatments used for adhesive bonding
part of an engineering structure [1]. This is particularly so in the are generally hard to control in an industrial environment [8]
manufacturing of thermoplastic composites (TPC) for which and affect directly the strength and durability of bonded joints
high melt resin viscosity and constraints imposed by the [12], [13]. Sensitivity to storage is another restrictive aspect of
continuous reinforcement limit the production to relatively surface treatments [14].
simple geometry components which must be joined together to Other researchers have proposed interesting overviews of
produce large, complex structures [2]. The extensive experience joining technologies for polymer composites [7], [15], [16]. In
available from the thermoplastic polymer (TP) industry showed the present overview, recent advancement in joining of polymer
that to make large or complex parts, the most cost-effective composites with microwave energy is presented.
55
MICROWAVE FUNDAMENTALS The electric field reversal of the microwave radiations causes
the reversal of the dielectric polarization. The atomic and
The word microwave is not new to every walk of life as there electronic polarization and depolarization occurs at a faster rate
are more than 60 million microwave ovens in households all than electric field reversal of a microwave and therefore do not
over the world [17].On account of its great success in contribute to the dielectric heating effect. (The resonant
processing food, people believe that the microwave technology frequency of the electronic and atomic polarization is in the
can also be wisely employed to process materials, e.g. cross-link ultraviolet/visible and infrared frequency, respectively.) The
polymers or sinter ceramics. Microwave processing of materials time scale of orientation disorientation of permanent dipoles in a
is a relatively new technology that provides new approaches to molecule is similar to the time scale of electric field reversal in
improve the physical properties of materials; alternatives for the microwave region, therefore the dipoles rotate to align
processing materials that are hard to process; a reduction in the themselves in phase with the reversing electric field. The
environmental impact of materials processing; economic resulting polarization lags behind the changes of the electric
advantages through energy savings, space, and time; and an field and causes dielectric heating of the material. The extent of
opportunity to produce new materials and microstructures that this dipolar polarization depends on the power of the field,
cannot be achieved by other methods. Microwave characteristics strength of the dipole moment, and the mobility of the dipole.
that are not available in conventional processing of materials The interfacial polarization contributes to dielectric heating
consist of penetrating radiation, controllable electric field when conducting particles are suspended in a non-conducting
distribution; rapid heating, selective heating of materials and medium in an inhomogeneous material. Thus both conduction
self-limiting reactions. Single or in combination, these and dielectric polarization are vehicles of microwave heating in
characteristics lead to benefits and opportunities that are not the matter.
available in conventional processing methods. Microwaves propagate through empty space at the velocity of
The mechanisms that govern the energy distribution process light. Frequencies reserved for industrial applications consist of
during microwave processing of materials include dipole 915 MHz, 2.45 GHz, 5.8 GHz and 24.124 GHz. Amongst those
friction, current loss and ion jump relaxation [18]–[21]. This bands, 2.45 GHz is the most commonly used in industrial
results in a relatively uniform heat distribution throughout the applications. Industrial microwaves are generated by a variety of
entire exposure to microwave irradiation, immediately in front devices such as magnetrons, power grid tubes, klystrons,
of rectangular or circular waveguides. The fast heating rate klystrodes, crossed-field amplifier, travelling wave tubes, and
encountered using microwave energy can thus lead to reduced gyrotrons [17]. At the customary domestic microwave frequency
processing time and consequent energy efficiency. of 2.45 GHz, the magnetrons are the workhorse. Material
The microwave region of the electromagnetic spectrum processing falls into this category [17]. The material properties
corresponds to a wavelength of 1 mm to 1 m (frequencies of 300 of greatest importance in microwave processing of a dielectric
GHz to 300 MHz respectively). Domestic and industrial are the complex relative permittivity and loss
microwave oven operate at a wavelength of 2.45 GHz tangent, tan [18], [19], [23]–[25]. The real part of the
corresponding to a wavelength of 12.2 cm and energy of 1.02 permittivity, , sometimes called the dielectric constant, mostly
10-5 eV. A material can be heated by applying energy to it in the determines how much of the incident energy is rejected at the
form of microwaves which are high frequency electromagnetic air-sample interface, and how much enters the sample. The most
waves. The electric field component of microwaves exerts a important property in microwave processing is the loss tangent,
force on the charged particles found in the compound. If the tan or dielectric loss, which predicts the ability of the material
charged particles are bound in the compound, restricted in their to convert the incoming energy into heat.
movements, they merely reorient themselves in the phase with
the electric field. This is termed as dielectric polarization. MICROWAVE PROCESSING: CURING AND JOINING
Dielectric polarization can be made up of four components
based on the different types of the charged particles in matter: Microwave curing of fiber reinforced thermosetting and
electrons, nuclei, permanent dipoles and charges at interfaces thermoplastic composites result in advantage through energy
[22]. savings and accelerated product development. Microwave
(1) curing leads to improvement in microstructure of the composite.
Where, = total dielectric polarization, = electronic Microwave joining of polymer matrix composites (PMCs) is an
polarization due to polarization of electrons surrounding the emerging field to get joining at faster rate with microstructure
nuclei, = atomic polarization due to polarization of permanent improvement. Long exposure to microwave radiations may lead
dipoles in the material, = dipolar polarization due to to drop in mechanical characteristics of PMCs. Selective heating
polarization of permanent dipoles in the material; and = with microwaves results in development of new materials. A
interfacial polarization due to polarization of charges at brief literature about curing and joining of PMCs is presented in
interfaces. the following paragraphs.
56
D.A. Papargyris et al [26] investigated microwave heating coupling agent, the contents of 0.5 wt% being recommended for
assisted resin transfer moulding technique. Through the use of the optimum mechanical properties. Beyond these
microwave heating, a 50% cure cycle time reduction was recommended contents, the mechanical properties greatly
achieved. The mechanical and physical properties of the reduced, except for the flexural modulus. The comparative
produced carbon fibre/epoxy composites were compared to results indicated that the composites by the microwave cure
those manufactured by conventional resin transfer moulding. consumed shorter cure time and had higher ultimate strengths
Mechanical testing showed similar values of flexural moduli and (especially impact strength), and strain at break than those by
flexural strength for the two types of composites after the conventional thermal cure. The composites with higher
normalization of the corresponding data to a common fibre tensile and flexural moduli could be obtained by the
volume fraction. A 9% increase of the interlaminar shear conventional thermal cure.
strength (ILSS) was observed for the microwave cured Prasad K.D.V. Yarlagadda and Tan Chuan Chai [29]
composites. This enhancement in ILSS is attributed to a investigated welding of engineering thermoplastics using
lowering of resin viscosity in the initial stage of the curing focused microwave energy. Basically, the thermoplastics joining
process, which was also confirmed via scanning electron process is carried out in two separate stages, the first stage
microscopy by means of improved fibre wetting and less fibre consisting of directly inducing microwave energy to the
pullout. specimen joint interface, whilst the second state comprise of
R. Benitez et al [27] investigated vapor grown carbon applying primers in the form of epoxy-based resin to promote
nanofiber reinforced polyethylene composites exposed to the joining of the materials by means of microwave energy. The
microwave radiation in a conventional resonance cavity dielectric properties of engineering thermoplastic materials,
microwave oven to explore the possibility of using microwave which include ultra high molecular weight polyethylene
energy to assist the processing of carbon nanofiber reinforced (UHMW PE), polycarbonate (PC) and acrylonitrile-butadiene-
thermoplastic composites and determine the effect of microwave styrene (ABS) polymers under room temperature conditions
radiation exposure on material properties. Average temperatures have been explored. Tensile tests were conducted to determine
of up to 40 C above ambient were measured after 5 min of the bond strength achieved at the specimen joint interface. In
microwave exposure. The effect of high power microwave addition, microscopic examinations of the fractured joints were
radiation on the physical integrity of the composites via performed in order to analyze the overall bond quality. Finally, a
dynamic mechanical analysis, tensile tests, and dielectric comparison was drawn between the heating times required, the
analysis has been investigated. Storage modulus increased as the bond strength and quality of joint achieved at the interface. The
nanofiber content was increased. The storage modulus nearly dielectric properties of a material determine its ability to absorb
doubled at 20 wt% nanofiber concentrations; it increased in microwave radiation. The primers introduced during welding
value from 1100MPa for the pure material to 2000MPa for the contributed insignificantly to the overall bond strength achieved.
20 wt% nanofiber-reinforced composite at 0.1 Hz. Loss modulus The main aim behind using primers is to bring the material
of pure high density polyethylene was measured at 110MPa rapidly to the melting point so that welding can take place
while the 20 wt% nanofiber-reinforced composite measured at easily. The data collected for the three engineering
180MPa. A drop of 50% in failure strain has been observed for thermoplastic materials basically comprised two main
composites with 15 and 20 wt% nanofiber concentrations after categories, namely the narrow and the broad band frequency
exposure to microwave radiation. At 1 Hz, the unexposed measurement. For the broad band, the range is set at 0.5–20
material has a modulus of 1253MPa and the value dropped to GHz, whilst the narrow band range is 2.4–2.5 GHz. The aim of
1129MPa for the material that was exposed to 5 min of measuring the dielectric properties at different band frequencies
microwave radiation. is to investigate the relationships and provide a correlation
T. Chaowasakoo and N. Sombatsompop [28] investigated between these two parameters (i.e. frequency vs dielectric
conventional thermal and microwave curing methods to cure fly properties) with respect to microwave energy joining.
ash/epoxy composites, and the mechanical and morphological The dielectric constant (ɛ‫ ) ׳‬for both the narrow and broad
properties of the composites. The conventional thermal curing band measurement is relatively similar. In case of dielectric loss
was performed at 70 for 80 min while microwave curing was factor (ɛ‫)׳׳‬, there was a great difference. In broad-band
carried out at 240 W for 18 min in order to achieve the optimum measurement, since the frequency increases, smaller size dipoles
cure of the composites, determined using Differential Scanning coupled more readily with the electric field, resulting in higher
Calorimeter. The results suggested that the tensile and flexural values of the loss factor and vice-versa in case of narrow band.
moduli of the composites increased with increasing fly ash Finally, for the three specimens examined, a trend is established
content while the effect became opposite for tensile, flexural and such that ABS has the highest overall dielectric properties,
impact strengths, and tensile strain at break. Improved followed by the PC and PE, respectively. From this it could be
mechanical properties of the composite could be obtained by roughly deduced that the ABS specimen has a better
addition of N-2(aminoethyl)-3-aminopropyltrimethoxysilane suceptibility for microwave power compared to the PC and PE.
57
Schematic of microwave welding process is shown in figure 1.

H.S. Ku et al. [30] presented a state of the art review of
microwave technologies, processing methods and industrial
applications, using variable frequency microwave (VFM)
facility. It offers selective volumetric heating at high energy
coupling efficiency. This is accomplished using a preselected
bandwidth sweeping around a central frequency employing
frequency agile sources such as travelling wave tubes as the
microwave power amplifier. While using VFM processing, a
particular frequency is applied for less than 1 ms. Experiment
was conducted using carbon reinforced polystyrene (PS/CF
(33%)). During experiment the variables used were frequency,
time and power. Experimental investigation showed that as
processing time increases the tensile strength of the bond
decreases. Also the strength of the bond obtained was less than
the strength of parent metal. It was investigated that up to
certain limits, a better strength of the joined material could be Fig. 2 Cavity size of VW1500 [30].
achieved by reducing the time of its exposure to microwave
energy. On the other hand joining of material with fixed
frequency did not given satisfactory results as the carbon fibre
arced in a short period of 7 s when exposed to a power level of
640 W. In addition quality of bond was poor. It has been
concluded that blind application of microwave energy in
material processing leads to disappointment. The apparatus used
for microwave generation are shown in figure 2 and figure 3.
Characterization of LRA at 50 W is shown in figure 4. The
strength required to break the parent material was 1108 N and
after joining its variation with time is shown in figure 5.
Fig. 3 Cavity size of Microcure 2100 [30].
Fig. 1 Schematic drawing for the microwave welding process [29].

Fig. 4 Percentage of rejection against frequency [30].
58
processing frequency can be varied and tuned to the optimum

conditions.
SUMMARY AND FUTURE DEVELOPMENT
It is important to note that not one joining technology can be

applicable to all situations [8]. All joining methods present
advantages and drawbacks, and they may be more or less
suitable to a particular application depending on its specific
requirements. It was shown that microwave joining method
present a huge potential for volume intensive applications in
which short processing cycles are necessary. Microwave joining
offers alternatives for processing materials that are hard to
process; a reduction in the environmental impact of materials
processing; economic advantages through energy savings, space,
Fig. 5 Bond strength of PS/CF (33%) with no primer using for LRA variable
microwave frequency [30]. and time; and an opportunity to produce new materials and
microstructures that cannot be achieved by other methods. It is
VFM APPLICATIONS IN AUTOMOTIVE INDUSTRIES evident that there are a lot of factors that have to be considered
before employing microwave irradiation, whether it is of fixed
There is an increasing need for new polymeric materials and or variable frequency, for processing materials. Not all materials
processes, which are cost-effective and environmental friendly. are suitable for microwave processing and one has to match the
In the automotive industry, more and more metallic parts are special characteristics of the process. Blind applications of
being replaced by lightweight polymer composites in order to microwave energy in material processing will usually lead to
reduce vehicle weight. Assembly of such parts is achieved using disappointment.
different joining processes. Microwave technology can play a Limited data is available in literature for microwave joining
significant role as a competitive alternative to current processing of polymer matrix composites. Fixed frequency facility is
methods and traditional practices. inexpensive and easily available, its parameter optimization,
High performance polymer composites reinforced with methods to increase coupling of microwave with material and
carbon, glass or aramid fibres are being extensively used in the characterization of large family of polymer based composites
automotive and aerospace industries, but their widespread under fixed frequency has not been studied and present an
applications have been restricted due to the associated high exciting opportunity for scientists and engineers.
processing costs. Processing of relatively thick cross section
parts using conventional processing requires complex curing REFERENCES
techniques with slow thermal rates and isothermal holds in order
to avoid overheating due to cure reaction exotherms and poor [1] F. L. Matthews, Joining Fibre-Reinforced Plastics, Amsterdam:Elsevier,
1987.
thermal conductivity of the materials. Tunable single-mode [2] M. Hou, L. Ye, Y. W. Mai, An Experimental Study of Resistance Welding
resonant cavity applicators with feedback control to allow the of Carbon Fibre Fabric Reinforced Polyetherimide (CF Fabric/PEI)
resonant frequency to be changed as material properties vary Composite Material, Journal of Application of Composite Materials, vol.
during processing have been developed since the late 1980s. 6, pp. 35-49, 1999.
[3] R. A. Grimm, Welding Processes for Plastics, Journal of Advanced
These allow more efficient coupling with composites. Feedback Material Process, vol. 147, pp. 27-30, 1995.
thermal control, which is critical in processing, is usually [4] J. R. Vinson, Adhesive Bonding of Polymer Composites, Journal of
accomplished using infrared thermography. Heat generated Polymer Engineering Science, vol. 29, pp. 1325-1331, 1989.
within adhesives during microwave irradiation is due to resistive [5] J. R. Vinson, Mechanical Fastening of Polymer Composites, Journal of
Polymer Engineering Science, vol. 29, pp. 1332-1339,1989.
heating from conductive currents and/or dielectric loss heating [6] A. Brent Strong, High Performance and Engineering Thermoplastic
from dipole polarisation relaxation. The dielectric loss Composites, Technomic Pub., 1993.
measurements of a given adhesive over the range of [7] M. M. Schwartz, Joining of Composite Materials, International Journal of
temperatures and frequencies of interest can provide the ASM, pp. 35-88, 1994.
[8] S. M. Todd, Joining Thermoplastic Composites; Proceedings of the 22nd
necessary feedback control for frequency selection during VFM International SAMPE Technical Conference, vol. 22, pp. 383-392, 1990
heating. In general, the loss tangent of an adhesive shifts to a [9] J. R. J. Wingfield, Treatment of Composite Surfaces for Adhesive
higher value as its temperature increases, and as the processing Bonding, International Journal of Adhes Adhesives, vol. 3, pp. 151-156,
frequency becomes higher. For this reason, there are definite 1993.
[10] E. M. Silverman, R. A. Griese, Joining Methods for Graphite/PEEK
advantages in using VFM irradiation method since the Thermoplastic Composites, Journal of SAMPE, vol. 5, pp. 34-38, 1989.
59
[11] A. Beevers, Welding: The Way Ahead for Thermoplastics? Engineering,

ACE, vol. 231,pp. 11-12, 1991.
[12] J. D. Venables, Adhesion and Durability of Metal-Polymer Bonds,
Journal of Material Science, vol. 19, pp. 2431-2453, 1984.
[13] C. Ingram, K. Ramani, Effect of Sodium Hydroxide Anodization on the
Durability of Poly(etherketonetherketoneketone) Adhesive Bonding of
Titanium, International Journal of Adhes Adhesives, vol. 17, pp.39-45,
1997.
[14] P. Davies, C. Courty, N. Xanthopoulos, H. J. Mathieu, Surface
Treatments for Adhesive Bonding of Carbon Fibre-Poly(etherether
ketone) Composites, Journal of Material Science, vol. 10, pp. 335-338,
1991.
[15] L. J. Hart-Smith, Design of Adhesively Bonded Joints. In: Mathhews FL,
editor. Joining fibre reinforced plastics. Amsterdam: Elsevier, 1987; 271-
311.
[16] V. K. Stokes, Joining Methods for Plastics and Plastic Composites: An
Overview, Journal of Polymer Engineering Science, vol. 29, pp. 1310-
1324, 1989.
[17] National Research Centre (NRC) , Microwave Processing of Materials,
National Materials Advisory Board, Commission on Engineering and
Technical Systems, National Academy Press, Washington, DC, pp. 1-7,
11, 12, 100, 105, 1994.
[18] R. C. Metaxas, R. J. Meredith, Industrial Microwave Heating, Peter
Peregrinus, London, pp. 5, 6, 28-31, 43, 278, 1983.
[19] E. Siores, Microwave Technology for Welding and Joining, Journal of
Material World, vol. 10, pp. 526, 1994.
[20] H. S. Ku, E. Siores, J. A. R. Ball, Welding of Thermoplastic Composites
Using Microwave Energy, Proceedings of the CIPR International
Symposium, Hong Kong, vol. 2, pp. 612-619, August 21-22,1997.
[21] H. S. Ku, E. Siores, J. A. R. Ball, Variable Microwave Processing of
Thermoplastic Composites, Journal of Plastics Rubber Composites, 2000.
[22] D. M. P. Mingos, D. R. Baghurst, Chem. Soc. Rev., vol. 20, pp. 1,1991.
[23] H. S. Ku, E. Siores, J. A. R. Ball, Weldability and Heat Affected Zone
(HAZ) Evaluation of for High Energy Rate Joining of Thermoplastic
Composites Using Microwave Energy, Proceedings of the 11 th
International Conference on Composite Materials, Gold Coast, Australia,
vol. 6, pp. 55-64, 1997.
[24] H. S. Ku, E. Siores, J. A. R. Ball, B. Horsfiled; An Important Step in
Microwave Processing of Materials: Permittivity Measurements of
Thermoplastic Composites at Elevated Temperatures; Proceedings of
Pacific Conference on Manufacturing, Brisbane, Australia, pp. 68-73,
August 18-21, 1998.
[25] H. S. Ku, E. Siores, J. A. R. Ball, B. Horsfiled, Microwave Processing
and Permittivity Measurement of Thermoplastic Composites at Elevated
Temperatures, Journal of Materials Processing Technology, vol. 90, pp.
419-424, 1999.
[26] D. A. Papargyris, R. J. Day, A. Nesbitt, D. Bakavos, Comparison of the
mechanical and physical properties of a carbon fibre epoxy composite
manufactured by resin transfer moulding using conventional and
microwave heating, Composites Science and Technology, vol. 68, pp.
1854–1861, 2008.
[27] R. Benitez, A. Fuentes, K. Lozano, Effects of microwave assisted heating
of carbon nanofiber reinforced high density polyethylene, Journal of
Materials Processing Technology, vol. 190, pp. 324–331, 2007.
[28] T. Chaowasakoo, N. Sombatsompop, Mechanical and morphological
properties of fly ash/epoxy composites using conventional thermal and
microwave curing methods, Composites Science and Technology, vol. 67,
pp. 2282–2291, 2007.
[29] P. K. D. V. Yarlagadda, T. C. Chai, An Investigation into Welding of
Engineering Thermoplastics Using Focused Microwave Energy, Journal
of Materials Processing Technology, vol. 74, pp. 199–212, 1998.
[30] H. S. Ku, F. Siu, E. Siores, J. A. R. Ball, A. S. Blicblau, Application of
Fixed and Variable Frequency Microwave (VFM) Facilities in Polymeric
Material Processing and Joining, Journal of Material Processing
Technology, vol. 113, pp. 184-188, 2001.
60
Pareto Optimization of Wire Electrical Discharge

Machining of γ-TiAl Through ANN Model
Dr. S. Sarkar1, Dr. S. Mitra2
1,2
Department of Production Engineering
Jadavpur University
Kolkata-700032, India
1
mail.dr.sarkar@gmail.com
2
mail.dr.mitra@gmail.com
Abstract— In the present research paper single pass cutting useful materials in industry. Therefore it is imperative to
operation of γ-titanium aluminide alloy has been considered develop a suitable machining strategy for optimum and
where cutting speed, surface finish and dimensional tolerances effective machining of γ titanium aluminide alloy.
are of primary importance. This paper will provide a solution of
optimization problem for the selection of the best control setting II. EXPERIMENTAL DESIGN
on a wire cut electrical discharge machine. An advanced artificial
neural network is developed to model the machining process. The Based on some literature survey [1-5] and preliminary
three most important parameters i.e. cutting speed, surface investigations, the following six parameters i.e. pulse on time
roughness and dimensional deviation have been considered as (TON), pulse off time (TOFF), peak current ( IP), servo reference
measure of process performance. The model is capable to predict voltage(SV), wire tension (WT) and dielectric flow rate
the response parameters as function of six different control (discharge pressure) (FR) were chosen as input.
parameters. Experimental results demonstrate that the proposed
ANN model is suitable and the optimization strategy satisfies the TABLE I
real requirement in practice.
FACTORS AND THEIR LEVELS FOR
EXPERIMENTATION
Keywords— Wire EDM, ANN, γ titanium aluminide, Pareto
Optimization, cutting speed, surface roughness. Levels
Parameters
I. INTRODUCTION Level 1 Level 2 Level 3
Wire-EDM is an advanced thermoelectric machining TON ( s) 0.8 1.1 1.6
process which is used to cut through complicated contours TOFF ( s) 14 20 30
especially in hard to machine materials. Though several
IP (amp) 120 170 220
researchers [1-3] have attempted to obtain the optimal solution
for this process, but selection of cutting parameters for WT (gm) 900 1140 1380
obtaining higher accuracy and cutting efficiency is not fully SV (volt) 2 6 10
solved and in most of the research work only machining speed FR (kg/cm2) 7 8.5 10
and surface finish have been considered. Though research
work has been done keeping in view of the accuracy aspects
[4] but wire offset parameter has so far never been explored in Table 1 shows different levels of these control parameters
any process modeling and optimization. But the knowledge of considered for single pass cutting operation. The range of
wire offset value is very much essential for achieving close control factors are kept as wide as possible to obtain large
dimensional control in practical machining. variation in response parameters. Beyond these ranges of
In the present research, wire electrical discharge machining control factors the machining process is not feasible due to
of γ titanium aluminide alloy (Ti-44.5 Al-2 Cr-2 Nb-0.3B various reasons i.e. insufficient pulse energy, instability, wire
(at %)) has been considered. They are attracting considerable breakage etc. There are other factors, which can be expected
interest due to their high temperature strength retention, low to have an effect on the measure of performance. In order to
density (3.76 gm/cm3), good creep and oxidation resistance minimize their effects these other parameters are held constant
[5]. This alloy is of great interest in aerospace and automobile i.e. product size and shape (rectangular), temperature of the
industries. But it is found that it is extremely difficult to dielectric (280C), conductivity of the dielectric (20 mho),
machine by conventional method due to its excellent strength work piece thickness (15mm), pulse Peak voltage setting
property. No comprehensive research work has been reported (75V), wire feed setting (6m/min), servo feed setting, wire
so far in the field of wire electrical discharge machining of type (0.25 mm dia brass) and angle of cut (vertical).
this alloy. No technology tables or charts are available for
wire electrical discharge machining of such important and
61
Minimum
corner
Radius (rc)
Profile traced TABLE II
Wire
by the wire EXPERIMENT RESULT USED FOR TRAINING
(programmed
diameter (d) path with
zero offset) Machining Average Wire
Overcut (δ) Exp
Actual Job Speed Ra Offset
No
Dimensional Profile (mm/min) (micron) (mm)
deviation
(D) / Wire 1 2.67 2.77 0.142
offset (δ)
2 2.15 2.78 0.148
3 1.38 2.78 0.150
Start Point 4 2.24 2.85 0.147
5 2.12 2.81 0.147
Fig. 1: details of the profile produced by the wire in
6 2.08 2.97 0.151
WEDM.
7 1.84 2.33 0.151
In the present study the cutting performance of WEDM is 8 1.69 2.48 0.146
measured by three important response parameters i.e. cutting 9 0.98 2.30 0.141
speed (mm/min), surface roughness (Ra micron) and 10 2.1 2.82 0.151
dimensional deviation (D in mm). During WEDM profile
11 1.56 2.64 0.148
traced by the wire and the job profile are not same. The
perpendicular distance between the actual profile and the 12 1.78 2.78 0.146
profile traced by the wire is equal to half of the width of the 13 2.58 2.87 0.148
cut as seen from Fig. 1. Thus the actual job produced by 14 2.56 2.92 0.156
WEDM is either undersized or oversized depending upon
15 2.25 3.03 0.150
weather the job is punch or die. This deviation in dimension is
equal to the half the width of the cut. Thus from Fig. 1 it 16 1.69 2.39 0.148
follows: 17 1.14 2.30 0.140
18 1.07 2.42 0.140
Dimensional deviation (D) = 0.5× dia of the wire(d) +
overcut (δ) -------- (1)
The effective way to eliminate dimensional deviation is to TABLE III

shift the wire during cutting by an amount which is equal to EXPERIMENT RESULT USED FOR CROSS
dimensional deviation. This amount and direction of shift of VALIDATION
the wire can be controlled through part programming. This
shift of wire through part programming is commonly termed
as wire compensation or wire offset [6]. Hence incase of Exp Machining Average Wire
No Speed Ra Offset
rough cutting, to eliminate dimensional deviation or
(mm/min) (micron) (mm)
dimensional inaccuracy this wire offset (δ) must be equal to
1 2.24 3.16 0.151
dimensional deviation. The orientation of this wire offset (i.e.
left or right with respect to the programmed path) depends 2 1.14 2.55 0.139
upon the direction (CW or CCW) of cutting and type of job 3 2.10 2.31 0.145
(i.e. die or punch). 4 2.90 2.84 0.152
It may be noted that though the magnitude of dimensional 5 2.87 2.72 0.150
deviation and wire offset are equal but their usage are kept
6 1.65 2.62 0.150
different. The term dimensional deviation has been used as
response parameter during rough cutting experiment in
WEDM with zero wire offset. But, wire offset is a control
setting in WEDM part programming to eliminate or minimize
dimensional inaccuracy during actual machining. experimental run, the specified input parameter combination
The design of experimental plan consists of 18 was set and the workpiece was machined. The cutting speed
experimental runs (L18, Table 1). Another 6 experiments were was then recorded. Surface roughness was measured by
carried out to obtain the validation data set required modeling SURFCOM 120A surface texture measuring instrument. The
based on early stopping method of training (Table 2). The dimensional deviation values were calculated by measuring
experiments were performed on ELECTRA, SUPERCUT 734, the job dimension. The job dimensions were measured by
series 2000 CNC Wirecut-EDM machine. For each digital micrometer having least count 0.001mm.
62
III. ARTIFICIAL NEURAL NETWORK MODELLING FOR WEDM verification experimental result prediction error has been
Neural network is highly flexible modelling tool with an shown in Table 4. It is observed that ANN model prediction is
ability to learn the mapping between input and output. For this quite close to the experimental observation. In the table
case, a two-layer network, with tan-sigmoid transfer function prediction error has been defined as follows.
in the hidden layer and a linear transfer function in the output Prediction error (%)=│(Exp result - Predicted result)/Exp
layer were considered. This is a useful structure for function result│Х100 --------- (2)
approximation (or regression) problems. One of the problems
that occur during neural network training is called overfitting. TABLE IV
To guard the network from overfitting cascade-forward back- PREDICTION ERROR OF THE ANN MODEL
propagation neural network based on early stopping in
combination with Bayesian regularization has been Prediction error (%)
implemented. Levenberg-Marquardt algorithm was used for Exp
Machining Average Wire
training. The value of training parameters (i.e. µ and its step No
Speed Ra offset
size) was adjusted in order to reduce the speed of convergence. (mm/min) (micron) (mm)
The algorithm works best when the network inputs and targets 1 8.48 4.43 0.00
are scaled so that they fall approximately in the range [-1, 1]. 2 8.77 5.10 3.60
Hence inputs and targets were scaled accordingly before
training. As an initial guess, 4 neurons are used in the hidden
layer. As there are 6 inputs and 3 outputs, the number of V. STRATEGY FOR PARAMETRIC OPTIMIZATION
neurons in the input and output layer has to be set to 6 and 3 THROUGH ANN MODEL
respectively. Experimental result shown in Table 2 and 3 has
been used as training and validation data set respectively.
The ANN model was used to predict the response
After carrying out training it was observed that the final
parameters i.e. cutting speed, surface finish and dimensional
trained network uses approximately 18 parameters (i.e.
deviation for all possible combinations of level of the input
weights and biases) out of 61 initial total weights and biases in
factors. Then the optimal combinations were searched out
6-30-3 network. A plot of the training and validation errors is
from all these combinations. For better optimization all the
shown in Fig. 2. The training stopped after 10 iterations
input parameters have been divided in to 5 levels within their
because the validation error increased.
working range as illustrated in Table 5. This helps in
generating more number of predictions (5 6=15,625). The
ANN model was used to predict the cutting speed, surface
finish and dimensional deviation for all possible combination
level of factors i.e. 15,625 combinations. From all these
predictions it was observed that within the given parametric
range cutting speed is varying between 0.95 mm/min to 2.83
mm/min, surface roughness is varying between 2.37 m to
3.02 m and the dimensional deviation value is varying
between 0.137 mm to 0.157 mm.
TABLE V
FACTORS AND THEIR LEVELS USED TO PREDICT
Fig. 2: Variation training and validation mean squared error PROCESS PERFORMANCE AND OPTIMIZATION
with progress of training
Level Level Level Level Level
Parameters
1 2 3 4 5
IV. MODEL VERIFICATION TON ( s) 0.8 1 1.2 1.4 1.6
Analysis of the network response was performed. A linear TOFF ( s) 14 16 19 24 30
regression between the network output and the corresponding IP (amp) 120 140 160 180 220
targets was carried out. For 3 response parameters 3
WT (gm) 900 1020 1140 1260 1500
regressions werer performed. All outputs track the target quite
well and correlation coefficients (R-value) are 0.912, 0.907 SV (volt) 2 4 6 8 10
and 0.902 for cutting speed, surface roughness and FR
(kg/cm2) 7 7.75 8.5 9.25 10
dimensional deviation respectively. All of them are very close
to 1, which indicates that the model is quite suitable for this This is a class of optimization problem which deals with
process. simultaneous optimization of multiple objective functions.
Further the model is tested against another two Here the prime objective is to maximize both Vc and
experimental data that are taken arbitrarily. On the basis of minimize Ra. These type of multiple objective optimization
63
problem can be solved by two approaches i.e. either by Here, rc is the minimum corner radius (or dimensional
formulating the problem as constrained optimization deviation value) and β is the maximum allowable corner
algorithm or by searching the Pareto-optimal solutions. In the radius value. The value of β should be within the range of
present research study only constrained optimization approach predicted dimensional deviation (D) values (i.e. within 0.137
has been considered. Because of complexity involved in mm to 0.157 mm) and the symbol of α and its range remaining
multi-objective optimization algorithm, it is easier to consider same as mentioned before. The program based on multi-
only one objective and formulate the other objectives as constrained optimization was used. For example, if the
constraints. For the production purpose, the best combination required surface roughness value and the corner radius is less
of parameter level should produce the maximum cutting speed, than or equal to 2.5 µm and 0.145 mm respectively, the best
while maintaining the required surface roughness within parametric combination which will yield the maximum cutting
desired limit. Here the cutting speed has been considered as speed would be as follows:
objective function and surface roughness has been considered Ton = 0.8µs Toff = 14µs Ip = 120 amp
as constraints. This requirement may be modeled as WT= 1020gm SV = 2Volt FR=7kg/cm2.
constrained optimization problem as follows: This control setting will yield the maximum possible
Maximize cutting speed cutting speed i.e. 1.99 mm/min while maintaining the corner
Vc = f (Ton, Toff, Ip, WT, SV, FR) ------- (3) radius and surface finish within the required limit.
Subject to Ra ≤ α
0.8 ≤ Ton ≤ 1.6 (µs) 14 ≤ Toff ≤30 (µs)
120 ≤ Ip ≤ 220(amp) 2 ≤ SV ≤10(Volt) VI. CONCLUSIONS
900≤ WT≤ 1500 (gm) 7 ≤ FR ≤10 (Kg/cm2) In the present research, wire electrical discharge machining
of γ titanium aluminide alloy has been carried out and an
Where α is maximum allowable Ra value. The value of α advanced ANN model has been proposed to determine the
should be within the range of predicted Ra values i.e. within optimal combination of control parameters. A cascade-
2.37 µm to 3.02 µm. forward back-propagation neural network based on early
A program has been developed to solve the optimization stopping in combination with Bayesian regularization has
problem. For example if the required surface roughness of the been implemented to construct the WEDM process model. For
work piece is less than or equal to 2.7 µm, the best parametric better dimensional control, dimensional deviation along with
combination would be as follows: surface finish and cutting speed has been considered as the
Ton = 1µs Toff = 30µs Ip = 220 amp measures of process performance. The ANN model was used
WT= 1260gm SV = 4Volt FR=10 kg/cm2. to predict the process performance for all possible
This will yield the highest possible cutting speed Vc = 2.36 combinations (15,625). The process was modeled as a
mm/min, maintaining the specified surface finish requirement. constraint optimization problem. A program was developed
The dimensional deviation value for this parameter setting that will enable one in selecting the optimum parametric
will be 0.148mm. To achieve geometrical precision, the value combination which will result in maximum productivity
of wire offset has to be set at 0.148mm in the part (cutting speed) while maintaining the required surface finish
programming. It may be noted that any other parameter setting criterion within limit. Beside this, the program is also capable
other than this optimum parameter setting either results in of optimizing the machining process (under multi-constraint
lower cutting speed or fails to achieve the stipulated surface conditions) while maintaining the surface roughness as well as
finish requirement and geometrical accuracy. internal corner radius within specified limit. Research finding
In production environment it is sometime desirable to and the developed machining strategy will be very useful in
achieve certain minimum corner radius along with the surface modern manufacturing industries for effective machining of γ
finish requirement. This minimum corner radius is equal to titanium aluminide alloy.
wire offset or dimensional deviation value as seen from Fig.1.
Under such circumstances, an optimum parametric ACKNOWLEDGEMENT
combination should produce the maximum cutting speed, Authors acknowledge the assistance provided by the U.G.C,
while maintaining the internal corner radius and also the New Delhi under CAS Ph-III Programme.
surface finish within requirements. This may be considered as
multi-constrained optimization problem. The model is same as
the earlier one except an additional constraint for corner REFERENCES
radius, i.e. [1] D. Scott, S. Boyina, and K. P. Rajurkar, ―Analysis and optimization of
Maximize cutting speed parameter combinations in wire electrical discharge machining‖, Int. J.
Prod. Res. vol. 29, pp. 2189-2207, 1991.
Vc = f (Ton, Toff, Ip, WT, SV, FR) ------ (4) [2] Y. S. Tarng, S. C. Ma, and L. K. Chung, ―Determination of optimal
Subject to Ra ≤ α cutting parameters in wire electrical discharge machining‖, Int. J.
rc ≤ β Mach. Tools Manufact. vol. 35, pp. 1693-1701, 1995.
0.8 ≤ Ton ≤ 1.6 (µs) 14 ≤ Toff ≤30 (µs) [3] T. A. Spedding, and Z. Q. Wang, ―Study on modeling of wire EDM
process‖, J. of Mater. Proc. Tech. vol.69, pp.18-28, 1997.
120≤ Ip ≤ 220(amp) 2 ≤ SV ≤10(Volt) [4] A. B. Puri, and B. Bhattacharyya, ―An analysis and optimization of the
900≤ WT≤ 1500 (gm) 7 ≤ FR ≤10 (Kg/cm2) geometrical inaccuracy due to wire lag phenomenon in WEDM‖, Int. J.
of Mach. Tools and Manufact. vol. 43/2, pp. 151-159, 2003.
64
[5] A. R. C. Sharman, D. K. Aspinwall, R. C. Dewes, D. Clifton, and P. [6] S. Sarkar, K. Ghosh, S. Mitra and B. Bhattacharyya, ―An integrated
Bowen, ―The effects of machined workpiece surface integrity on the approach to optimization of WEDM combining single pass and multi-
fatigue life of γ-titanium aluminide‖, Int. J. of Mach. Tools and pass cutting operation, Materials and Manufacturing Processes‖,
Manufact. vol. 41, pp. 1681-1685, 2001. Materials and Manufacturing Processes, vol. 25, pp. 799–807, 2010.
65
Investigations on Process Capabilities of

Micro Ultrasonic Drilling
Vivek Jain1, A. K. Sharma2, Pradeep Kumar3
1,2,3
Mechanical and Industrial Engineering Department;
Indian Institute of Technology Roorkee, Roorkee, Uttarakhand – 247667, India
1
vjain_76@yahoo.com
2
akshafme@iitr.ernet.in
3
kumarfme@iitr.ernet.in
Abstract---- Drilling in hard and brittle materials aggregates (traditional and advanced), single
appears difficult, especially when it is in micro level crystals and amorphous glasses. Minerals are
because of overheat and macro fracture due to frequently used as raw materials in the production
stresses associated with ordinary rotational drilling. of a large range of products such as abrasives,
Extremely small diameter holes in hard materials
gemstones, metals and alloys, single crystals
necessitate the use of ultrasonic drilling methods. In
this paper an attempt has been made to drill various synthetically produced on a commercial scale, etc.
hard and brittle materials such as– Glass and Silicon Traditional ceramics and glasses are extensively
using an ultrasonic method. The feasibility of drilling used to manufacture many products currently used
a comparatively ductile material like Titanium is also in daily life. Advanced ceramics have been widely
discussed. Experiments were conducted using a adopted as functional as well as structural
circular hollow tool and SiC particles with mean engineering materials [1]. Functional ceramics and
grain size of 24µm. The machine surfaces were single crystals are extensively used in the
characterised by scanning electron microscopy. In the production of electric, electronic, magnetic and
case of titanium the rate of material removal
optical components for high performance systems
decreases and tool wear increases with the depth of
drilling. The micrographs showed that brittle micro such as transducers, resonators, actuators and
cracking was the primary mechanism involved with sensors.
material removal. The rate of material removal and Compared to isotropic etching processes, micro
the tool wear were discussed as a function of stiffness, USM is free from undercutting effects and not
hardness and fracture toughness of workpiece limited by crystallographic structure of material as
materials. in the case of wet anisotropic etching [2]. Its
geometrical definition is higher than abrasive
Keywords: Micro USM, Drilling, Abrasives, blasting and no mask is required. For amorphous
Characterisation, Surface topography glass or ceramics, vertical wall can be generated by
micro USM more easily than that by laser ablation
I. INTRODUCTION
[7]. Thus, precision machining technologies have
been developed for the manufacture of cost-
Ultrasonic machining (USM) offers a solution to
effective and quality-assured precision parts
the expanding need for machining brittle materials
produced by brittle and hard solids.
such as semiconductors, optical glasses, and
In the present paper, preliminary aspects of micro
ceramics, and for increasingly complex operations
ultrasonic drilling of brittle and hard solids are
to provide intricate shapes and workpiece profiles.
investigated. The first part of this paper is devoted
This form of machining is non-thermal, non-
to recall the principle of operation and the main
chemical, and creates no change in the
features of this process. Ultrasonic machining
metallurgical, chemical or physical properties of
experiments were then carried out to machine glass,
the workpiece. As a consequence, ultrasonic
silicon and titanium. The cutting rates and the
machining offers virtually stress free machined
machined surface topographies were measured
surfaces. It is therefore extensively used in
under a fixed operating condition. Results are
manufacturing hard and brittle materials that are
discussed in relation to workpiece mechanical
difficult to cut by other conventional methods.
properties and analytical models of material
Micro ultrasonic drilling (micro USD) has a set of
removal and tool wear.
process parameters similar to macro USD but
II. AN OVERVIEW OF STATIONARY
requires a micro-sized tool, smaller amplitude and
ULTRASONIC DRILLING
micro-sized abrasive particles.
Brittle and hard solids can be classified in four
groups: minerals, polycrystalline ceramic
66
Traditional ultrasonic drilling accomplishes the  Mechanical abrasion by the abrasive

removal of material by the abrading action of a particles against the work piece surface;
grit-loaded slurry, circulating between the  Cavitation effects in liquid agitated by
workpiece and a tool. The tool is vibrated at small ultrasonic vibration; and
amplitude and high frequency, typically 10–20 µm  Chemical actions associated with the
at 20–50 kHz [3]. Figure 1 illustrates the schematic liquid being employed.
of a basic set-up of a micro USD which includes
the horn-tool assembly, the generator, and the
slurry supply unit.
Fig. 1 Schematic Egashira and

of micro USD Mizutani (2002) showed that direct
hammering of the abrasive particles on the
The sonotrode or horn-tool assembly consists of a workpiece by the tool, resulting in material removal
transducer, a booster and a horn. The electronic and particle crushing, may contributes up to 80 %
generator powers the transducer, creating impulses of the stock removal in brittle solids such as glass
that occur at a range of 19.5 to 20.5 kHz, and [9]. Cavitation effects from the abrasive slurry and
automatically adjusts the output frequency to match chemical action associated with the fluid employed
the resonant frequency of the tool, which varies have been reported as minor material removal
according to the horn shape and material [4]. The mechanisms. Material removal rate, surface finish
transducer converts the electrical pulses into and machining accuracy of the process are
vertical stroke. This vertical stroke is transferred to influenced by various operational parameters such
the booster, which may amplify or suppress the as amplitude and frequency of ultrasonic
stroke amount. The modified stroke is then oscillations, static load applied on the horn, tool
conveyed to the horn-tool assembly [5]. The design, hardness and size of abrasive particles [10,
amplitude along the face of the tool typically falls 11]. A fishbone diagram as illustrated in Fig. 2
in a 10 to 20 μm range. The vibration amplitude is compiles these parameters in micro USD.
usually equal to the diameter of the abrasive grit
used. The slurry system supplies a slurry of water I. EXPERIMENTAL PROCEDURE
and abrasive grit, usually silicon/boron carbide, to
the cutting area. In addition to providing abrasive A 4 mm thick plate of each glass, and Ti were
particles to the cut, the slurry also cools the horn employed as workpiece materials for the ultrasonic
and flushes away the debris from the machining drilling trials. Silicon with 500 µm thickness was
zone and refills the gap with fresh slurry. The also used for conducting the experiments. Table 1
operator controls provide inputs for manual or shows structural and mechanical properties of the
automatic sequencing of operations. Controls workpiece materials. The values of hardness (H)
include variable static load, frequency and and the fracture toughness (K1C) of silicon, Ti and
amplitude variation, table position, speed control of glass were collected from literatures. The USM
the ram movement, cycle timing, and flush experiments were carried out in a stationary Sonic-
timing.Based on the review of literatures on macro Mill machine (AP-500) with a power output of 500
USM research, the contributing mechanisms can be W. For optimum efficiency, the power supply is
summarized into four categories as follows [6–8]: equipped with automatic frequency control and
 Micro chipping by impact of the free automatic load compensation providing constant
moving abrasive particles; output amplitude at desired setting to meet the
67
different energy requirement encountered during

the operation cycle [8].
Fig. 2 Fishbone diagram for micro USD
An electrostrictive PZT transducer converts the II. RESULTS AND DISCUSSION

electric oscillations into mechanical vibrations in
the frequency range of 20 kHz. A 20% power Figure 3 illustrates the variation of the cutting rate
rating was used during the experiments. The static (CR) as a function of the cutting depth (p) for the
load applied on the horn was constant throughout three workpiece materials investigated. Two
the experiments. The abrasive slurry was made different behaviours have been observed in the CR
with silicon carbide (SiC) with mean grain size of Profile. In the case of titanium, CR decreases with
24 μm (350 mesh) and water in the ratio 1:3 by p drastically upto a hole depth of ~250 μm.
weight. The E, H and K1C values for standard SiC However, in case of glass and silicon, CR decreases
varies around 440 GPa, 25 GPa and 4.5 MPa.m1/2, with p at a significantly high rate upto 1000 μm and
respectively. A stainless steel feature having a 200 μm respectively. Afterwards, it remained
circular cross section with 450µm diameter and 10 almost constant and seemed to be independent of p
mm in length was used the as cutting tool. The throughout the machining process. Decrease of CR
material removal rate or the cutting rate (CR) was with increasing p, is usually explained by the
determined by measuring the time spent to machine insufficiency in recycling abrasive particles at the
a given depth (p) in several stages of machining. machining interface because of accumulation of the
The value of p was set between 4 mm and 500 μm debris. The recycling capacity affects the
depending on the availability and machinability of hammering and impact actions of the abrasive
the workpiece. particles in the working gap. In addition, the
problem with slurry turbulence probably increases
Table 1 with p causing a decrease in the CR.
Mechanical properties of workpiece material [13, 14] The decrease on CR with p was not observed for all
the materials investigated; thus, it is reasonable to
Material Density E H KIC suggest that such behaviour is much more
(gm/cm3) (GPa) (GPa) (MPam1/2) influenced by the inherent properties of the
Glass 2.5 69 6.865 0.7-0.8 workpiece material than to any operating
(borosilicate) parameter. Considering the properties listed in
Silicon 2.33 150 11.9 0.83-0.95 Table 1, it is noticed that the main difference
Titanium 4.50 116 0.97 44-66 between the two groups of materials is in its
hardness. It is observed that the hardness of
titanium is significantly less (~ (1/7) of glass, and
Measurements of tool wear ratio as a function of
~ (1/12) of silicon) than the materials discussed
drilling depth were performed on the said materials.
here. Therefore, it behaves more like a ductile
The tool wear ratio can be defined as the length of
material and after cutting through a certain value of
tool wear to the depth of the hole. Scanning
workpiece thickness in which the basically the
electron microscopy (SEM) was employed to
impurity and oxide layer is removed, the cutting
characterize the micromechanisms related to
performance decreases sharply.
material removal under ultrasonic abrasion
condition.
68
0.2
(a) 2
0.15
CR (mm/sec)
Tool wear ratio

1.5
0.1
1
0.05
0.5
0
0.5 1 1.5 2 2.5 3 3.5 4 0
Glass Si Ti
p (µm)
Glass
Serie…
Fig. 4 Tool wear ratio of different materials

0.08 (b)
0.07 Fig. 5 and 6 illustrates typical SEM micrographs of
0.06 ultrasonically machined surfaces. From the SEM
micrographs, it can be observed that there is
CR (µm/sec)
0.05
absolutely no plastic deformation and brittle
0.04 microcracking is the dominant material removal
0.03 mechanism connected with the ultrasonic abrasion
0.02 of hard and brittle material. The irregularities
0.01 showed on the sidewall surface of the drilled hole
are because of the relatively higher size of the
0
abrasive particles with respect to the machining
100 200 250 300 400 500 dimension and straying abrasive particles getting
p (µm) deflected by the impact of the tool edges rather
Silicon Titanium than the bottom of tool end. This results in higher
Fig. 3 Variation of cutting rate as a function of cutting depth roughness in the proximity to the hole entry. The
ripples on the surface showing the fatigue fracture
Further, the abrasive particles loose its cutting on the surface and result in pits larger than the
power because the impact energy of the abrasive particle size involved. The resulting irregularities
particles is being absorbed by the relatively ductile can be minimized by precisely controlling various
material (Ti) itself. It must be noted that the process parameters. The roughnesses due to stray
titanium used has approximately fifty times higher cutting action of the abrasives are observed to be
toughness than the other two materials (Table–1) similar in both glass as well as silicon (Fig. 6).
which help it to absorb more energy. Further, the
impinged particles might also get embedded into
the soft ductile phase causing a rapid slowdown in
the CR. This phenomenon is more significant in
micro USD as in macro USD the behaviour is not
so drastic. Such critical hardness for the workpiece
material determining the CR with respect to p
behaviour is probably connected with both
mechanical properties and shape of abrasive
particles.
Figure 4 shows the percentage tool wear while
machining different work materials, and it was
found that it is maximum in case of titanium. The
reason was again in the intrinsic properties of the
material. As abrasive particles don’t cut the
workpiece after a certain value of workpiece
thickness, they start accumulating at a depth. Thus
the abrasive grain causes the local deformation at
the tool working area, followed by the crack Figure 5 SEM micrographs of ultrasonically machined surfaces
generation and material removal from the tool, of glass with SiC grits of 24 μm.
leading to the tool wear. Tool wear can also be
affected by toughness of the material.
69
CIRP Annals - Manufacturing Technology, Volume 55,

Issue 1, 2006, Pages 201-204.
12. J. J. Boy & E. Andrey & A. Boulouize & Chantal Khan-
Malek, Developments in microultrasonic machining
(MUSM) at FEMTO-ST, Int J. Adv Manuf Technol (2010)
47:37–45, DOI 10.1007/s00170-009-2168-7.
13. http://en.wikipedia.org/wiki/Titanium.
14. http://www.memsnet.org/material/siliconsibulk
Figure 6 SEM micrographs of ultrasonically machined surfaces
of silicon with SiC grits of 24 μm
III. CONCLUSION
Preliminary USM experiments carried in different

brittle and hard materials revealed the influence of
structural and mechanical properties of workpiece
materials on the rate of material removal and the
topography of machined surfaces. The rate of
material removal abruptly decreases with the
machining depth for workpiece materials in which
hardness is at the lowest order of magnitude than
the hardness of abrasive grits. Under these
circumstances, abrasive grits lose their cutting
power more quickly because of absorption of
impact energy. It was also observed that brittle
microcracking was the dominant mechanism of
material removal.
REFERENCES
1. T.B. Thoe, D.K. Aspinwall and M.L.H. Wise, Review on
ultrasonic machining, Int. J. Mach. Tools Manufac. Vol.
38, No. 4, pp. 239-255, (1998).
2. E.Gentili, L.Tabaglio, F. Aggogeri, Review on
Micromachining Techniques, AMST’05, 7th Iinternational
Conference on Advance Manufacturing Systems and
Technology proceedings, Springer Wien New York,
(2005).
3. Sun, X.Q., Masuzawa, T., and Fujino, M., Micro
Ultrasonic machining and Self-Aligned Multilayer
Machining/Assembly Technologies for 3D micromachines,
Proceedings of Ninth Annual International Workshop on
Micro ElectroMachanical Systems (MEMS'96), pp. 312-
317,(1996).
4. Instruction manual for stationary SONIC-MILL 500W
Model 2002 (U.S.A).
5. F. Benedict Gary, Book on Non Traditional Manufacturing
Processes, Marcel Dekker, Inc, New York, 1987, pp. 67–
86 [Chapter 6].
6. Egashira, K., Masuzawa, T., Fujino, M. and Sun, X. Q,
Application of USM to Micromachining by On-the-
machine Tool Fabrication, International Journal of
Electrical Machining, No. 2, pp. 31-36, (1997).
7. M. Komaraiah and P. Narasimha Reddy, A study on the
influence of work piece properties in ultrasonic machining,
International Journal of Machine Tools and Manufacture,
Volume 33, Issue 3, June 1993, Pages 495-505.
8. Rupinder Singh, J.S. Khamba, Ultrasonic machining of
titanium and its alloys: A review, Journal of Materials
Processing Technology 173 (2006) 125–135.
9. K.Egashira, K.Mizutani, Ultrasonic Vibration Drilling of
Microholes in Glass, CIRP Annals - Manufacturing
Technology Volume 51, Issue 1, (2002), Pages 339-342,
doi:10.1016/S0007-8506(07)61531-5.
10. Z.Yu, K. P. Rajurkar, A. Tandon, Study of 3D Micro
Ultrasonic Machining, ASME Journal of Manufacturing
Science and Engineering, Vol. 126, pp. 727-732, (2004).
11. Z. Yu, X. Hu and K. P. Rajurkar, Influence of Debris
Accumulation on Material Removal and Surface
Roughness in Micro Ultrasonic Machining of Silicon,
70
Applications of Microwaves in Manufacturing

Technology
C.S. Sandhu1, Sehijpal Singh2
SUS College of Engg and Tech Tangori, Mohali (Pb)
Guru Nanak Dev Engg.College, Ludhiana (Pb)
2
sehijpalsingh@yahoo.co.in
Abstract - Heating of materials is one of the critical Recently, researchers have shown that metals can be
processes as regards to quality of the products. The heated and sintered by microwaves also. Although it is true
micro-structural changes play vital role in modifying the that bulk metals reflect microwaves, metals powders are
properties of materials during service life of the capable of absorbing microwaves at room temperature and
components. Heating time, method of heating and many being sintered [2]. The main difference between microwave
other parameters need to be controlled to get a good and conventional sintering is the direction of the heat
product. In this paper the scope of microwave heating in transfer.
manufacturing applications has been presented. The In the case of conventional infrared or resistance
major advantage of microwave heating is the time of heating, thermal energy flows from outside to the inner core
processing and quality of the product. The fundamental of the specimen by conduction mechanism. However with
points in heating/ processing of material by the use of microwave heating, the electromagnetic waves energy is
microwave heating have been taken up to explore its converted to thermal energy within the core of the specimen,
application in manufacturing industry. which flows outwards towards its surface. This makes the
processing of the specimen by microwave highly efficient
I. INTRODUCTION and less prone to thermal stresses.
The use of microwaves in ceramic processing is a Materials are typically classified as being opaque,
relatively recent development. They can be applied transparent or absorbers based on their interaction with
effectively and efficiently to heat and sinter ceramic objects. microwaves. An example of an absorber is metal powder, as
The most recent development in microwave applications is in mentioned previously. However, bulk metals are considered
sintering of metal powders, a surprising application, in view to be opaque and thus, reflectors of microwave energy. It is
of the fact that bulk metals reflect microwaves. However, interesting to note that the interaction of ceramics with
reflection by a metal occurs only if it is in a solid, nonporous microwaves is different when compared to metal powders.
form and is exposed to microwaves at room temperature. Ceramics are not capable of absorbing microwaves at room
Metal in the form of powder will absorb microwaves at room temperature and thus, need to be heated to a higher
temperature and will be heated very effectively and rapidly. temperature such that they can couple with microwaves
This technology can be used to sinter various powder metal directly. A process known as hybrid microwave sintering is
components, and has produced useful products ranging from utilized to render successful sintering of the ceramic body. To
small cylinders, rods, gears and automotive components in achieve this, a combination of high susceptibility (e.g.,
30-90 min. silicon carbide) materials that can interact with microwaves
During the last ten years, several investigations have at room temperature are placed along with the low
shown that microwave heating can be successfully used in susceptibility (e.g., ceramic) materials in the same thermal
the processing of polymer, ceramic, glass and metal materials chamber of the microwave furnace [3]. Once the microwave
[1]. Microwave sintering has many advantages, including is turned on, the high susceptibility materials absorb the
rapid volumetric heating that may produce smaller grain size microwaves first (since they are capable of absorbing them at
(up to nanometer scale) which in turn contributes to superior room temperature). This will transfer the heat to the low
mechanical properties. Microwave sintering is successfully susceptibility materials (in this case, any ceramic material)
used to make ceramic and porcelain used to metal (PFM) until the low susceptibility materials can directly couple with
dental restorations. A wide spread use of microwave energy the microwaves. At this point, the ceramic materials will be
in selected cases may laid to increase production rate and directly sintered using microwave energy.
saving in energy consumption. Some of the potential benefits from incorporating
microwave sintering technologies in the orthopedic implant
71
industry include time and energy savings, besides providing the electromagnetic radiation are all important in the heating
improved microstructures and superior mechanical and sintering of powder metals. This research is just at the
properties. Researchers have shown that microwave heating early stages, and it will be a long time before the exact
rates in excess of 1,000°C can be achieved very rapidly. In mechanisms are elucidated.
addition, researchers have shown that microwave sintered
metal parts produce microstructures that are somewhat III. OPERATING PRINCIPLE OF MICROWAVE OVEN
different when compared to their conventionally sintered A microwave oven uses microwaves to heat
counterparts. For instance, microwave sintered metal parts workpiece. Microwaves are radio waves. In the case of
have been shown to possess round-edged porosities, thus microwave ovens, the commonly used radio wave frequency
providing scope for improved ductility and toughness. These is roughly 2,500 megahertz (2.5 gigahertz). When they are
properties may have direct implications for orthopaedic absorbed they are converted directly into atomic motion and
implants; for instance, for designing femoral stems with motion is converted into heat. Microwaves in this frequency
improved ductility. However, since microwave sintering of range have another interesting property: they are not
materials (especially metals) has been a relatively recent absorbed by most plastics, glass or ceramics. And metal
development, the physics behind their mechanisms are yet to reflects microwaves, which is why metals cause spark in a
be fully understood. Future research devoted to microwave oven.
understanding these mechanisms will provide us with useful The most prominent characteristic of microwave
information that might help to progress the field. heating is volumetric heating, which is quite different from
Furthermore, newer techniques (e.g., spark plasma sintering) conventional heating where the heat must diffuse in from the
may provide additional avenues of research that have not surface of the material. Volumetric heating means that
been fully explored. materials can absorb microwave energy directly and
internally and convert it to heat. It is this characteristic that
II. MICROWAVE HEATING OF METALS leads to advantages using microwaves to process materials.
Microwave heating and sintering is fundamentally different Heating mechanism is shown in figure----
from the conventional sintering, which involves Susceptor
radiant/resistance heating followed by transfer of thermal Body
energy via conduction to the inside of the body being
processed. Microwave heating is a volumetric heating
involving conversion of electromagnetic energy into thermal
energy, which is instantaneous, rapid and highly efficient.
The microwave part of the electromagnetic spectrum
corresponds to frequencies between 300 MHz and 300 GHz.
However, most research and industrial activities involve
microwaves only at 2.45 GHz and 915 MHz frequencies [4].
Based on their microwave interaction, most materials can be
classified into one of three categories - opaque, transparent
and absorbers. Bulk metals are opaque to microwave and are
good reflectors - this property is used in radar detection.
However, powdered metals are very good absorbers of
microwaves and heat up effectively, with heating rates as
high as 100°C min-1. Most other materials are either
Figure 1. Schematic of heating mechanism
transparent or absorb microwaves to varying degrees at
ambient temperature. The degree of microwave absorption
Unlike other heating mechanisms, in microwave heating, the
and consequently of heating changes dramatically with
heat flows from inner sides towards the outer sides. Firstly,
temperature [5].
the microwaves produced from a source enter into the body
So far, there has been little effort devoted to understanding
of the susceptor and converted into heat waves. And results
the mechanisms and the science behind microwave sintering
into the heating of the inner core of the material first. Then
of metals. However, it is obvious that the microwave-metal
due to heat transfer mechanism, heat waves flow from inner
interactions are more complex than those working actively in
to the outsides i.e. from body at higher temperature to the
the field had expected. There are many factors that contribute
body at lower temperature.
significantly to the total microwave heating of powdered
metals. The sample size and shape, the distribution of the IV. TECHNOLOGY OF MICROWAVE HEATING
microwave energy inside the cavity, and the magnetic field of
72
A typical microwave sintering apparatus operates at microwave sintering over conventional furnace sintering and
a 2.45 GHz frequency with power output in the range of 1-6 mechanical alloying, is that time taken to perform the
kW. The sintering chamber consists of ceramic insulation operation is very less and also it is safe and also electrical
housing (batch system) or an alumina tube insulated with energy in microwave is much less than conventional heating.
ceramic insulation from outside, figure. The primary function Heating rate is 60 times approximately. The microwave
of the insulation is to preserve the heat generated in the furnace is easily available in modern heat treatment
workpiece. The temperatures are monitored by optical laboratories.
pyrometers, IR sensors and/or sheathed thermocouples placed
close to the surface of the sample. V. CONCLUSIONS
The use of microwave energy in manufacturing has
major potential and has real advantages over conventional
heating. The method needs to be explored for use in heat
treatment, sintering, casting and many other manufacturing
activities. The edge of this technology over others is
summarized in the following points:
1. Time and energy saving
2. Rapid heating rates
3. Considerably reduced processing time and
temperature
4. Fine microstructures and hence improved
mechanical properties and better product
performance
5. Lower environmental impact.
Figure 2. Schematic of Microwave Sintering Furnace
VI. REFERENCES
1. Thermal containment box, 2.Stainless steel [1] Rustum, P., Lim (2002), “Analysis of Microwave
microwave cavity, 3. Ceramic samples, 4. Sintering for Tungsten Carbide and Cobalt for producing
Thermocouple, 5. Power input control and drill bit”, Vol.3, No.2.
adjustment knob, 6.Digital temperature indicator [2] Agrawal, D.K., Roy, R., Cheng, J.P., and
Gedevanishvili, S. (1999), “Full Sintering of Powdered
Microwave sintering can be used to make magnetic Metals using Microwaves,” Nature, v.399, n.17, 1999,
abrasives, which are of highly uniform structure and of high pp. 668-670.
quality. Magnetic abrasives can also be made by [3] Anzai, M., Yoshida, T. and Nakagawa, T. (1996), “Solid
conventional heating and mechanical alloying etc. state reaction Between SiC and Iron”, Material
techniques. But the properties required in abrasives can not Chemistry and Physics. Vol. 74, No. 3, pp 258-264.
be obtained upto level. But in microwave sintering, energy is [4] Cheng, J., Agrawal, D., Komarneni, S., Mathis, M., Roy,
transferred by electromagnetic waves in the form of radiation R. (2004). “Microwave processing of WC-Co
energy and sinter the workpiece materials. composites and ferroic titanates,” Mat. Res. Innova.,
Firstly, two or more than two metals in the powdered Vol. 1, pp 44-52.
form in which one should be abrasive material and one [5] Lindberg. R. A., (1997), “Processes and Materials of
magnetic material are placed in microwave heating furnace. Manufacture”, Prentice-Hall of India, New Delhi. Pp
By passing of electromagnetic microwaves through the 468-476
powdered metals heat is transferred to the metal powders by
radiation energy. Due to this, the temperature of the metal
powder is so much increased, which results into change of
microstructure of metals upto nanometeric scale. Due to this
high heat, both mortar powders are completely diffused to
each other at molecular level. This results into the formation
of a solid alloyed piece, which can be than further crushed by
some mechanical means to obtain powdered form abrasive
grains.
The distribution of initial parent material in the final
material is uniform. This is the main benefit of using
73
Characterization of Metallic Objects Built

Through Hybrid Layered Manufacturing
Deepak kumar1, Suryakumar S.2, Raghavendrer Nadella3, Raveen John4, Karunakaran K.P.5
1,2,3,4,5
Department of Mechanical Engineering, Indian Institute of Technology Bombay,
Powai, Mumbai 400076
1
deep.mech18@gmail.com
2
suryas@iitb.ac.in
3
raghavender.nadella@gmail.com
4
raven_hs@yahoo.com
5
karuna@iitb.ac.in
Abstract: Hybrid Layered Manufacturing (HLM) is a part of automation, is attained in RP by compromising on quality.
Rapid Manufacturing Process for metallic objects. Unlike Rapid prototypes are inferior in geometric quality
Subtractive process where object is carved out of a billet, (accuracy and surface finish) and material quality (variety
where as in HLM the material is added through Gas Metal and homogeneity) to machined parts.
Arc Welding (GMAW) process followed by Face milling
Subtractive processes can produce good quality parts but
process. This method provides combination of the best
features of two economical processes and it makes the process are slow; although the material removal by itself is fast,
cost effective and saves considerable amount of material as human efforts required for cutter path generation is the
well. The characterization of metallic objects made through bottleneck. On the other hand, additive processes are fast
HLM which is presented in this paper. The properties of the but produce poor quality parts. Hybrid processes
HLM objects are closer to casting. HLM is free from bulky judiciously combine the advantages of both these
cross section and it is prone for filling and solidification approaches while carefully filtering out their limitations.
defects such as hot spots, cold shut etc which usually occurs in The additive process focuses on speed while ensuring the
casting. We can also say characteristic of HLM falls between desired material integrity. The resulting object is only near-
casting and forging processes. The properties can be
net as no attention to the geometric quality is paid at the
improved by hot iso-static pressing (HIP) or simply heat
treatment. Tensile strength of the interior matrix displays time of building it in layers. The inherently fast CNC
negligible variation in horizontal plane, however in vertical machining, the subtractive process that follows, ensures the
direction it is found to be slightly lower but that could be desired geometric quality. In HLM, the near-net shape is
improved by increasing weld deposition current. This study obtained with total automation. However, the subsequent
focuses mainly on Porosity, hardness and tensile strength two stages of stress relieving/ heat treatment and finish-
characteristic of the metallic objects and it also shows how machining have fair amount of human intervention. In
this properties depend on torch direction welding direction other words, HLM does not strive to achieve total
and vertical direction. automation but aims at optimal/ economical level of
automation. Table 1 show the Comparison of CNC, RP and
I. INTRODUCTION
HLM approaches and figure 1 shows how HLM combines
the benefits of RP and CNC.
CNC machining, the subtractive manufacturing method, is
the most accurate process capable of producing objects out
II. CHARACTERIZATION OF HLM
of any material. However, it requires human intervention
for producing the cutter path and it is difficult or Unlike the subtractive process where the object is carved
impossible to realize certain features through machining. out of a billet, in HLM, the material is added where
Furthermore, a variety of tools are required and a large required. While the characteristics of a billet are closer to
portion of the raw material goes waste as chips in CNC that of a forging, the properties of the HLM object are
machining. The difficulty in developing foolproof CAPP closer to a casting. In fact, some researchers refer to this
systems for subtractive manufacturing led to the additive method as micro-casting. As castings have bulky
development of additive or generative manufacturing cross-sections and occur in closed volume, they are prone
methods popularly known as Rapid Prototyping. for filling and solidification defects such as hot spots, cold
Essentially RP is a CNC machine with an embedded CAPP shut etc. As HLM is free from these defects, its properties
system for generative manufacturing. Compression of are likely to be better than that of a casting. In other words,
product development cycle, feasibility of small lot it will be in between casting and forging. The properties of
production and better quality of design through more the HLM matrix can be further improved through an
design iterations are the significant benefits of RP. The appropriate thermal and/or mechanical treatment such a
success in the CAPP system, and hence the total Hot Iso-static Processing (HIP) or simply a heat treatment.
74
The following properties of the matrix built using HLM are 4. There specimens were prepared in all the three
analyzed: directions viz., build direction, torch direction and step
i. Porosity over direction. Four specimens are prepared for each
ii. Hardness of X and Y directions and two are prepared for the Z
iii. Tensile strength. direction. XY specimen were size of 150mm x 120mm
These analyses were done for a copper coated Mild Steel x 30mm and Z specimen were size 20mm x 15mm x
filler wire, ER70S-6, of diameter 0.8mm. 120mm. 10 specimens were tested in EZ50 universal
testing machine manufactured by Lloyd Instruments.
A. Porosity: Results obtained are shown in Table 2 and 3. Figure 6
One of the major problems with powder-bed technologies is a sample stress-strain diagram.
is the porosity. Therefore, they are hardly suitable for
components as the pores act as stress concentration points.
As HLM involves melting and solidification, its matrix will
be free from porosity. This was ascertained by studying the
microstructure at different places using a Zeiss Stemi 2000-
C Stereo Microscope. The microstructure of the matrix,
shown in Figure 3 was found to be uniform and dense, i.e.,
it was free from porosity and voids. Therefore, HLM can
be used even for making forging dies.
B. Hardness:
The life of a die or mould is largely dependent on its

surface hardness. Hardness measurement is also used as a
non-destructive method of assessing the tensile strength of
components due to its direct correlation. As the object is
built in layers in HLM, the lower the layer, the more are the
thermal cycles it undergoes. Figure 2 shows the variation of
the hardness along the build direction. The variation in
hardness can be attributed to the number of thermal cycles
a given layer undergoes. For further investigation we had
taken 3 more specimens with varying number of layers.
Figure 5 plots the hardness of a layer against the number of
thermal cycles it is subjected to in the form of subsequent
weld-deposition. It was observed that hardness of the
material is the highest in the top most layers. The following
are the significant inferences based on the above
experiments:
 The maximum hardness is dictated by the carbon

equivalent.
 The hardness variation exists only in the final layers. It

falls rapidly within a thickness of few layers, about 5
layers in this case. In other words, the interior matrix
has negligible hardness variation.
 The hardness of the core is independent of the number

of thermal cycles, irrespective of whether all the layers
are deposited continuously or with breaks in between.
C. Tensile strength:
 The tensile strength of the HLM matrix was analyzed

using ASTM A370 standard. This standard is
exclusively meant for fully-welded objects and hence
is applicable to HLM. The geometry of the tensile
specimen specified in this standard is shown in figure
75
TABLE 2 VARIATION OF TENSILE STRENGTHS AMONG DIRECTIONS AND W.R.T. TO A BILLET
Tensile strengths of the Tensile strengths of the

% reduction of HLM matrix w.r.t billet
Direction HLM matrix (MPa) billet (MPa)
Yield Ultimate Yield Ultimate Yield Ultimate
XY plane 424 559 01 02
420 550
Z direction 336 487 20 11
% variation between
20 13 Not applicable
XY and Z directions
TABLE 1 COMPARISON OF CNC, RP AND HLM APPROACHES
Feature CNC machining RP technologies HLM
Level of automation Low Full Moderate
Cycle time Very high Low Moderate
Accuracy High Low High
Functionally gradient objects Not possible Possible Possible
Life of component manufactured Very long Short Moderate
Materials possible Any Limited Limited
Skilled manpower for NC Required Not-required Not-required

programming
Complex shapes Not-possible Possible Possible
Figure 1 Hybrid Layered Manufacturing combining the benefits of RP and CNC machining
76
Figure 2 Specimen for testing the hardness variation
Figure 3 Hardness variation along Z direction
Figure 4 Dimensions of ASTM A370 test specimen
77
Figure 5 Hardness vs. thermal cycles for various heights
Table 3 Tensile strength of the HLM object in different directions

Tensile Properties (MPa)
Direction Specimen
Yield Strength Ultimate Strength
1 431 553
2 487 (highest) 642 (highest)

Torch direction
3 352 506
4 396 528
5 411 551
6 379 538
Welding direction
7 465 604
8 468 548
9 335 (lowest) 486 (lowest)

Vertical direction
10 338 489
Average 406 544
78
Load (N)
Metal s, T ensi le Setup Tensile Strength
Gauge Length: 32.0 mm
Area: About 6.50 mm x 5.00 mm

Upper Yield
15000 surya-1
Proof Strength Non-Proportional Elongation
Linear Portion End
Fracture
10000
5000
Linear Portion Start
Preload
000
Proof Strength Total Elongation
0.0 5.0 10.0 15.0

Machine Extens ion (m m )
Figure 6 Sample (specimen-1) stress-strain diagrams obtained from the tensile tests
III. ADVANCE WORK IV. CONCLUSION AND FUTURE SCOPE

Above we had discussed about Characterization of HLM provides combine feature of RP and CNC. This
HLM. For further improvement we had perform paper mainly focused on characterization of metallic
some test on P20 material. For that we made 4 objects in HLM. The new technique i.e. Unclamping
specimens by HLM in different conditions. Table 4 and Pressing helped to reduce Residual stresses in a
shows which specimen is pressed and which significant manner. In future we are going to perform
unclamped during weld deposition. 10000N force same tests over a wide range of metals like Al, Ti,
was applied during pressing of each layer made by and steel. If we get significant amount of reduction in
weld deposition after face milling. The results residual stress for other metals than this method can
obtained are very promising as we are able to reduce be apply for Industrial and Aerospace application.
the surface residual stress from 497.5MPa to 355.4
MPa which provide significant reduction in porosity
and surface cracking. This test was done over X ray
Diffraction Residual stress technique. The results are
shown in form of graph in figure no. 7- figure no. 10.
Table 4
Specimen Clamped or Pressed or not
No. unclamped pressed
1 Clamped Pressed
2 Clamped Not pressed
3 Unclamped Not pressed
4 Unclamped Pressed
79
Figure 7 – Specimen1
Figure 8 – Specimen 2
80
REFERENCES validation”, International Journal of Fatigue, Vol. 30(1),

pp 188-197.
[1] Karunakaran, K.P., Suryakumar, S. and Bernard, A. [7] Nakagawa, T. (2000): “Advances in prototype and low
(2006): “Rapid Manufacturing of Metallic Objects”, volume sheet forming and tooling”, Journal of Materials
uRapid 2006, November 27-28, Frankfurt. Processing Technology, Vol. 98(2), pp 244-250.
[8] Liou, F. et al. (2007): “Applications of a hybrid
[2] Senthilkumaran, K., Pandey, P.M. and Rao, P.V.M. manufacturing process for fabrication of metallic
(2009): “Influence of building strategies on the accuracy structures”, Rapid Prototyping Journal, Vol. 13(4), pp
of parts in selective laser sintering”, Materials & Design, 236-244.
Vol. 30(8), pp 2946-2954. [9] Song, Y. and Park, S. (2006): “Experimental
investigations into rapid prototyping of composites by
novel hybrid deposition process”, Journal of Materials
[3] Aiyiti, W., Zhao, W., Lu, B. and Tang, Y. (2006):
Processing Technology, Vol. 171(1), pp 35-40.
“Investigation of the overlapping parameters of MPAW-
[10] Karunakaran, K.P., Shanmuganathan, P.V., Jadhav, S.J.,
based rapid prototyping”, Rapid Prototyping Journal,
Bhadauria, P. and Pandey, A. (2000): “Rapid prototyping
Vol. 12(3), pp 165-172.
of metallic parts and moulds”, Journal of Materials
[4] Schmidt, J., Dorner, H. and Tenckhoff, E. (1990):
Processing Technology, Vol. 105(3), pp 371-381.
“Manufacture of complex parts by shape welding,”
[11] Akula, S. and Karunakaran, K. (2006): “Hybrid adaptive
Journal of Nuclear Materials, Vol. 171(1), pp 120-127.
layer manufacturing: An Intelligent art of direct metal
[5] Karunakaran, K.P. et al. (2005): “Segmented object
rapid tooling process”, Robotics and Computer-Integrated
manufacturing”, IIE - Transactions, Vol. 37(4), pp 291.
Manufacturing, Vol. 22(2), pp 113-123.
[6] Warren, A., Guo, Y. and Chen, S. (2008): “Massive
parallel laser shock peening: Simulation, analysis, and
81
Dry Sliding Wear Behaviour of

Aluminium Alloy Al97.75mg0.89y1.41-A
Taguchi Technique
Mayur. S. Modi1, Samir Jariwala2
1, 2
Lecturer Valia Institute of Technology, Bharuch
1
maymodi@gmail.com
2
samirjariwala83@gmail.com
Abstract:-An attempt has been made to study the measured with great accuracy 0.0001 gm by before
influence of wear parameters like sliding speed in weight and after weight of pin material. These
rpm (125,375,500), time in second (300,600,900), correlations were obtained by regressions
and radial contacting area at (MINITAB 14). Finally, conformation tests were
diameter(100,120,140) on the sliding wear of the done to make a comparison between the
Aluminum alloys Al97.75Mg0.89Y1.41 up to 1 kg loads. experimental results foreseen from the mentioned
A plan of experiments, based on the techniques of correlations.
Taguchi, was performed to acquire data in
controlled way. An orthogonal array and the Keywords: Aluminum alloys Al97.75Mg0.89Y1.41;
analysis of variance were employed to investigate Wear; Taguchi’s techniques; orthogonal arrays;
the wear behavior. Dry sliding wear test were Regression Analysis; Analysis of variance.
performed on lathe machine with lathe tool
dynamometer attachments. The wear tests were
accomplished by the efficient use of experimental
1.0 INTRODUCTION
runs to the combinations of variables studied. This
technique is a powerful tool for acquiring the data
in a controlled way and to analyze the influence of
Aluminum alloys has been showing a
process variable over some specific variable, which
successful trend in replacing cast iron and copper
is unknown function of these process variables.
alloys in various technological applications due to The most important stage in the plan of
their superior mechanical and tribological experiments is selection of factors. Taguchi
properties and better castability. Aluminum alloys
technique creates a standard orthogonal array to
Al97.75Mg0.89Y1.41 has been utilized in high-tech
accommodate the effect of several factors on the
structural and functional applications including
target value and defines the plan of experiments.
aerospace, defense automotive and thermal
The experimental results are analyzed using
management areas, as well as in sports and analysis of means and variance to study the
recreation. The major advantages of this alloy over influence of factors. [9]
other alloys are its greater strength, good stiffness,
reduced density, good corrosion resistance. In this study, Aluminum Alloy
Aluminum is the material of choice in many Al97.75Mg0.89Y1.41 pin and EN 31 material disc is
applications, especially those where weight and been introduced with the experimental work with
thermal conductivity are important. [4] different parameters. [5-6]
1.1 TAGUCHI TECHNIQUE
1.2 EXPERIMENTAL DETAILS
Taguchi technique is a powerful tool for the 1.2.1Specimen fabrication and Testing
design of high quality system. The Taguchi
Material
approach to experimentation provides an orderly
way to collect, analyze, and interpret data to satisfy The dimensions of Aluminum Alloy
the objectives of the study. By using these Al97.75Mg0.89Y1.41 pin material was 80 mm in length
methods, in the design of experiments, one can and 10 mm in diameter which fabricated at Radhe
obtain the maximum amount of information for the Engineering pvt. Ltd at Mehsana GIDC.
amount of experimentation used. Taguchi
TABLE 1
parameter design can optimize the performance
characteristics through the setting of design THE CHEMICAL COMPOSITION LISTED.
parameters and reduce the sensitivity of the system
performance to the source of variation. This is
82
FIG.1
Material AL-Alloy Material EN-31 EXPERIMENTAL SET UP OF PIN-ON-DISC
Si 0.7 C 1
The whole experiments were performed on
the lathe machine. The En-31 disc was directly
Mn 0.45 S 0.029 attached on the spindle of the lathe machine with
the help of three jaw chuck. And the Aluminum
Cu 0.004 Ph 0.04 Alloy Al97.75Mg0.89Y1.41 pin was directly attached
on the tool post of the lathe machine with the help
Al 97.75 Si 0.34 of lathe tool dynamometer, the pin dimensions was
same as per the specification of lathe tool
dynamometer tool size so pin attachment was
Mg 0.89 Mn 0.55
possible on the lathe tool dynamometer. So, with
help of lathe machine varied the spindle rotation in
Sn 0.001 Cr 1.1 terms of rpm, load were measured with the help of
lathe tool dynamometer, and physical contact of
Pb 0.001 Ni 0.2 pin-on-disc was possible and also time constraint is
also possible for us. That’s why selecting this way
Fe 0.16 Moly 0.06 to perform an experimental work.
Zinc 0.003
Ti 0.012
The dimensions of EN 31 disc materials was

158.8 mm External diameter and 25.4 mm Internal
diameter measured by Vernier calliper which is
fabricated at perfect Engineering works located at
Mehsana GIDC. The roughness values at the
contacting surface was Ra = 8.9 µm.
1.3 TEST SET UP AND EXPERIMENTAL FIG.3
PROCEDURE
SINGLE PAN ELECTRONIC WEIGHING
A pin-on-disc test was used to evaluate the MACHINE
dry sliding wear characteristics of the Aluminum
The initial weight of specimen was measured in a
Alloy Al97.75Mg0.89Y1.41. The disc used is En-31
single pan electronic weighing machine with least
steel hardened to 229 BHN, 158.8 mm external
count of 0.0001gm. During the test the pin was
diameter and 15 mm thick, with surface roughness
pressed against the counterpart rotating against the
of 8.9 µm Ra. The test were conducted by selecting
steel disc by applying load. After running through a
test duration, constant load and velocity and
fixed sliding distance, the specimen were removed,
performed in track on 100 mm, 120 mm and 140
cleaned with acetone, dried and weighed to
mm diameter. The contacting surface of the pin is
determine the weight loss due to wear. The
approximately 10 mm2. The surface of both the
difference in the weight measured before and after
samples and disc are cleaned with a soft paper
test gives the sliding wear of Aluminum Alloy
soaked in acetone before the test. The test set up
Al97.75Mg0.89Y1.41 specimen and then the volume
used for the experimentation is as shown in the
loss was calculated. The sliding wear of Aluminum
Figure 1. [4-11]
Alloy Al97.75Mg0.89Y1.41 ware studied as a function
of the time (sec), rotation (rpm), and radial
contacting distance (mm) at a constant load (kg).
TABLE 2
PROCESS PARAMETERS WITH THEIR
VALUES AT THREE LEVELS. [5-6]
Level
83
1 2 3 7 125 100 900 0.02
Sliding Speed (rpm) 125 375 500 8 125 120 900 0.031
Radial distance (Dia. 9 125 140 900 0.04

100 120 140
mm)
10 375 100 300 0.007
Time(sec) 300 600 900
11 375 120 300 0.013

The wear test is carried out with variable
sliding speed, radial distance and time. The levels 12 375 140 300 0.021
of these process variables are as shown in the
Table 2. The experimentations were conducted as 13 375 100 600 0.012
per standard L27 orthogonal array, so as to
investigate which parameter significantly affects
the dry sliding wear for the selected combinations 14 375 120 600 0.022
of sliding speed, radial distance and time.
15 375 140 600 0.029
3.0 DESIGN OF EXPERIMENTS
16 375 100 900 0.023
The Experiments were conducted as per the
standard orthogonal array. The selection of the 17 375 120 900 0.034
Orthogonal array was based on the condition that
the degree of freedom for the orthogonal array 18 375 140 900 0.042
should be greater than or equal to sum of those
wear parameters.
19 500 100 300 0.01
In the present investigation an L27
orthogonal array was chosen, this has 27 rows and 20 500 120 300 0.017
3 columns as shown in the Table 3 Results of dry
sliding wear tests as per Orthogonal Array of L27
(33).[5-6] 21 500 140 300 0.023
22 500 100 600 0.035

TABLE 3
ORTHOGONAL ARRAY OF TAGUCHI FOR 23 500 120 600 0.023
WEAR.
24 500 140 600 0.028
Sliding Radial Time Wear 25 500 100 900 0.033

Sr. No speed distance(
(rpm) Dia. mm) (sec) (gm)
26 500 120 900 0.041
27 500 140 900 0.046

1 125 100 300 0.005
4.0 RESULT AND DISCUSSION
2 125 120 300 0.007
3 125 140 300 0.009 Result of the wear test of Aluminum alloys
Al97.75Mg0.89Y1.41 are presented with chart
4 125 100 600 0.013 diagrams. It could be noticed that for the different
radial distance the mass loss of the Aluminum
alloys Al97.75Mg0.89Y1.41 material increasing with
5 125 120 600 0.021 increasing sliding speed and contacting time. In
this work considering three different radial
6 125 140 600 0.027
84
distances with varying parameter such as sliding

speed and time each case the whole result as under.
FIG. 6
SLIDING SPEED (RPM) VS WEAR (MG)
AT RADIAL DISTANCE 140 MM
FIG. 4
SLIDING SPEED (RPM) VS WEAR (MG) 5.0 ANALYSIS OF VARIANCE

The use of ANOVA is to analyze the
influence of wear parameters like (i) sliding speed-
S (ii) Radial contacting distance-R (iii) Time-T, on
the tribological performance character - wear. This
analysis was carried out for a level of significance
of 5% (i.e., the level of confidence 95%). Table 5
shows the results of ANOVA analysis. The last
column of the table 4 shown indicates the
percentage contribution (p) of each factor on the
total variation indicating their degree of influence
on the result. [6]
TABLE 4
ANOVA RESULTS
Source of P
SS DOF Variance Test F
FIG. 5 variance (%)
SLIDING SPEED (RPM) VS WEAR (MG) S 0.000637 2 0.000319 17.12 17.80

R 0.000393 2 0.000197 10.564 10.97
T 0.002179 2 0.001089 58.563 60.85
Error 0.000372 20 0.0000186 1 10.38
Total 0.003581 26 0.0016236 87.247 100
SS = Sum of squares. DOF = Degree of freedom.

P= Percentage contribution
One can observe from the ANOVA table
that the Sliding speed (p=17.80%), Radial
contacting distance (p=10.97%), Time (60.85%)
85
have great influence on the wear. The error 1) Taguchi’s robust design method can be used to
associated in the ANOVA table was approximately analyze the wear problem of the Aluminum
about 10.38 %. alloys Al97.75Mg0.89Y1.41 as described in this
paper.
5.1 REGRESSION ANALYSIS
2) Sliding speed (p=17.80%), Radial contacting
In order to establish the correlation between distance (p=10.97%), Time (60.85%) have great
the wear parameters (i) sliding speed -S (ii) radial influence on the wear. The error associated in
contacting distance -R (iii) time-T, the wear rate the ANOVA table was approximately about
linear regression model was used. 10.38 %.
The equation obtained were as follows
3) The conformation tests showed that error
W  [0.0364  0.000030(S )  0.000231( R)  0.000037(T )]
associated with wear of the composite varies
from 1.34% to 10.67%.
(1)
5.2 CONFIRMATION TEST 7.0 REFERENCES
1. A.S. Basavarajappa and G.
The table 5 shows the results obtained where Chandramohan, International Symposium
comparison was carried out between the foreseen of Research Students on Materials Science
Values from the model developed in the present and Engineering December 20-22, 2004,
work (Equation 1), with the values obtained Chennai, India
experimentally. From the analysis of the referred
2. Anil K. Chaturvedi, K. Chandra, P. S.
table we can observe that the calculated error is
varies from 1.34 % to 10.67% for wear. Therefore Mishra, Journal of Tribology Copyright ©
the regression equation derived above correlate the 2009 by ASME OCTOBER 2009, Vol.
131 / 041601-1
evaluation of the wear of the Aluminum Alloy with
the reasonable degree of approximation. 3. Ana, R.G. Li a, Y. Lua, C.M. Chena, Y.
Xua, X. Chena, L.M. Wang b,
doi:10.1016/j.wear.2007.08.021
TABLE: 5
4. M.K. Surappa, Aluminium matrix
CONFIRMATION WEAR TESTS AND THEIR composites: Challenges and opportunities,
COMPARISON WITH REGRESSION MODEL. Sādhanā, 28, 1-2, 2003, 319–334
5. S. Basavarajappa1, K.V. Arun, J. Paulo
Davim, Journal of Minerals & Materials
Sr. S Reg. % Characterization & Engineering, Vol. 8,
R T Exp. No.5, pp 379-391, 2009
No Equ. E
6. S.Basavarajappa1,G.Chandramohan,R.Su
10. bramanian,A.Chandra, Materials Science-
1 125 100 600 0.012 0.014 Poland, Vol. 24, No. 2/1, 2006
67
7. S.K. BASU, S.N. SENGUPTA, B.B.
3.5 AHUJA, Fundamentals of tribology,
2 190 120 420 0.012 0.013 prentice- Hall of India private limited,
0
New Delhi,2005
1.3 8. Wafaa M. Salih, Sanaa M. Salih and
3 785 140 540 0.039 0.040
4 Myada M. Salih, American Journal of
Applied Sciences 6 (5):1028-1030,
6.0 CONCLUSION 2009
9. Roy Ranjit K. Aprimer on Taguchi
method. Van Nostrad Reinhold, New
From the analysis of the results of wear of York. 1990.
the metal matrix composites, the following can be
concluded from the present study.
86
Effect of different Machine Parameters on

Material Removal Rate (MRR) for Electron
Discharge Machining (EDM)
Rohit Sharma1, Harshit Srivastava1
1
M.E. Research Scholar, Department of Production Engineering, PEC University of Technology, Chandigarh
1
vasudeva_rohit@yahoo.co.in
2
er.harshit@gmail.com
Abstract -- In this paper the effect of different machine input produce plastics moldings, die castings, forging dies,
parameters like gap voltage, discharge current and pulse on-off
timings on Material Removal Rate (MRR) for Electron
etc.[1] Its working is based on removing material from
Discharge Machining (EDM) are discussed. The data is a part by means of a series of repeated electrical
generated by using different tool namely of copper, brass and discharges (created by electric pulse generators at short
graphite electrode.
It has been observed that MRR increases with increase in intervals ) between a tool, called electrode, and the part
discharge current for all the three electrodes up to some limit. being machined in the presence of a dielectric fluid. At
An increase in current beyond certain limit for a given electrode
area and material has adverse effect on MRR. All the three present, EDM is a widespread technique used in
materials have different reasons for this cause as one or the industry for high precision machining of all types of
other reason dominates this effect. Similarly, an increase in gap conductive materials such as metals, metallic alloys,
voltage causes an increase in MRR for given parameters. The
other parameters too have their effect on MRR. At high graphite, or even some ceramic materials. At present,
discharge current and gap voltage machining is unstable which EDM is a widespread technique used in industry for
results in low MRR. Higher gap voltage causes higher ignition
delay, consequently low spark energy hence, low MRR. MRR high precision machining of all types of conductive
increases with increase in discharge duration and beyond materials such as metals, metallic alloys, graphite, or
certain pulse on- time it started decreasing. At high discharge even some ceramic materials. [2, 9] Many EDM
duration the melted particles smeared over EDM surface and
interfere with discharging process, leading to a reduction of machines have adopted the pulse generating circuit
MRR. using low power for ignition and high power for
Keywords: Electron Discharge Machining (EDM), Material
Removal Rate (MRR), gap voltage, discharge current and
machining. However, it is not suitable for finishing
pulse on-off timings. process since the energy generated by the high-voltage
I. INTRODUCTION sub-circuit is too high to obtain a desired fine surface,
no matter how short the pulse-on time is assigned
In this paper we have discussed the various parameters
[3].As newer and more exotic materials are developed,
which have influence on MRR for EDM process. The and more complex shapes are presented, conventional
data taken from experiments have been shown in table machining operations will continue to reach their
and the comparison graphs have been generated
limitations and the increased use of EDM in
accordingly. The effect of these parameters hence can manufacturing will continue to grow at an accelerated
be compared for MRR and their relative causes have rate [4, 5].
been explained. The three types of electrodes are
chosen for a comprehensive study. In this paper the effect of Effect of different Machine
Parameters on Material Removal Rate (MRR) for
II. LITERATURE REVIEW
Electron Discharge Machining (EDM) is illustrated.
Electric discharge machining (EDM), an important The various parameters considered are gap voltage,
‘non-traditional manufacturing method’, developed in discharge current and pulse on-off timings. Their effect
the late 1940s, has been accepted worldwide as a on is been experimentally noted by the use of copper,
standard process in the manufacture of forming tools to brass and graphite electrode.
87
III. EXPERIMENTATION process. These studies have been undertaken to

investigate the effects of current like gap voltage,
A number of experiments were conducted to study the discharge current and pulse on-off timings on MRR.[7]
effects of various machining parameters on EDM
The results obtained are as follows:-
For Copper Electrode For Brass Electrode
Table 1: Effect of Parameters on Metal Removal Rate Table 2: Effect of Parameters on Metal Removal Rate
Gap Gap MRR Pulse Pulse Time in Gap Gap MRR Pulse Pulse Time in
current voltage mm3/min. On Off min. current voltage mm3/min. On Off min.
4 40 2.6 2 2 44:98 4 30 5.04 2 2 23:36
6 40 8.8 3 3 13:36 6 35 11.2 3 3 10:52
8 40 14.5 4 4 8:14 8 38 13.9 4 4 8:48
10 50 16.7 5 5 7:03 10 40 12.9 5 5 9:15
12 50 21.4 6 6 5:51 12 45 11.5 6 6 10:20
14 50 26.5 4 4 4:45 14 45 10.7 7 7 11:03
For Graphite Electrode Table 4: Pulse On/ Pulse Off Settings
Table 3: Effect of Parameters on Metal Removal Rate Setting Time On Setting Time Off
Gap Gap MRR Pulse Pulse Time in (s) (s)

current Voltage mm3/min. On Off min.
2 10 2 5
4 30 3.44 2 2 34:18
3 20 3 10
6 30 10.5 3 3 11:18
4 50 4 20
8 34 16.4 4 4 7:17
5 100 5 30
10 40 18.2 5 5 6:47
6 200 6 40
12 45 14.5 6 6 8:13
7 400 7 75
14 45 9.5 7 7 12:40
88
IV. GRAPHICAL REPRESETATION OF RESULTS
Copper Electrode Copper Electrode

30
30
MRR (mm3/ min.)
25
MRR (mm 3/ min.)

25
20
20 15
15 10
10 5
5 0
0 1 2 3 4 5 6
GAP Current
0 5 10 15 Gap current
GAP Current MRR mm3/min.
Fig.1 MRR VS GAP CURRENT Fig.2 MRR VS Gap Current
Metal Removal Rate increases with Gap Current .
Copper Electrode Copper Electrode
30
30
25 25
20 20
MRR
15
MRR
15
10 10
5
5
0
0 0 100 200 300 400 500
0 20 40 60
GAP Voltage Tim e on (μs)
Fig.3 Gap Voltage VS MRR Fig. 4 MRR VS Discharge Duration Metal
Removal Rate increases with increases in Gap Voltage. as well as increases with increases in Discharge Duration.
89
Brass Electrode
16
14
12
10
MRR
8
6
4
2
0
0 100 200 300 400 500
Tim e on (μs)
Fig.5 Gap Voltage vs MRR Fig.6 MRR VS Discharge Duration
Metal Removal Rate increases with increases in Gap Voltage and Metal Removal Rate increases with increases in
Discharge Duration up to 50 s then decreases onwards.
Brass Electrode
16
14
12
10
MRR
8
6
4
2
0
0 5 10 15
GAP Current
Fig. 7 MRR VS Gap Current Fig. 8 MRR VS Gap Current
Metal Removal Rate increases with Gap Current up to 8 Amp. then decreases onwards and Gap Voltage increases
with increases in Gap Current.
Fig. 9 Effect of Gap Voltage on MRR Fig. 10 Effect of Discharge Duration on MRR
90
MRR increases up to 100 s and then decreases onwards and Metal Removal Rate increases with
increases in Gap Voltage.
Fig. 12 Effect of Gap Current on MRR

Fig. 11 Effect of Gap Current on MRR
MRR increases up to 10 Amp. And then decreases onwards.
Fig. 13 Effect of Gap Current on MRR for three electrodes
Copper electrode shows increase in metal removal rate with Gap Current.
V. DISCUSSION OF EXPERIMENTAL copper. This is due to the fact that pulse energy
RESULTS increases as the current increase. MRR did not show
linearity with pulse energy due to the possible losses
Different electrode materials are used during the of thermal energy directly by conduction to the
investigation i.e. Copper, Graphite and brass. It was surrounding material and dielectric fluid. An increase
observed that MRR increased with increase in in current beyond certain limit for a given electrode
discharge current for all the three electrodes (Fig. 13) area and material has adverse effect on MRR.
up to some limit and remains increases in case of Moreover, this leads arcing. In these experiments,
91
maximum current limit was 14 A. Electrical as an instantaneous disc heat source at low discharge
conductivity and thermal conductivity of En-31 durations, the incident thermal energy did not
material decreased with dispersoid loading. At low penetrate deep into the work material, which
current of 8 A, the material removal rates for En-31 is produced shallow craters, therefore, low MRR. When
higher for graphite. It was observed that at higher pulse duration was increased up to 100 s, the
levels of current wear rate of the graphite increases amount of energy incident on work material
and causes some machining problems which further increased generating deeper craters but with reduced
reduce MRR. Copper and Brass shows good diameters. This is because increasing pulse duration
responses toward high values of discharge current leads to small growth in diameters of plasma channel,
while machining En-31.At high discharge current but the incident energy density remains high enough
thermal conductivity and electrical conductivity of to produce deeper craters. For En-31 steel MRR had
copper increases and thus gives higher metal removal a maximum value at 400 s (pulse on- time) with
rate. Work piece particles, which came out of the copper electrode.
craters, got accumulated at the rims of respective
craters. Higher amount of heat is generated at higher By increasing the pulse duration from 100 s to 400
currents and long discharge durations. Energy s, substantial energy was lost and energy left was
disperses analysis revealed noticeable amounts of not sufficient to penetrate deeper, hence fall in MRR
Copper deposit on the work piece surface. An observed in brass and graphite (106). At 400 s pulse
increase in gap voltage caused an increase in MRR on- time, MRR was lowest because the work particles
for given parameters. This is due to the fact that pulse which came out during EDM process after erosion
energy increases with gap voltage. The optimal did not get effective expulsion due to lack of
conditions obtained for base material, En-31 steel are turbulence. Therefore, these particles remained in the
as below. crater and hindered the pace of erosion. This caused
high ignition delay. At high discharge duration the
At 50 V (Gap voltage) MRR (mm3 /min) = 26.5 melted particles smeared over EDM surface and
(copper electrode) interfere with discharging process, leading to a
reduction of MRR and deterioration of the surface
At 38V (gap voltage) MRR (mm3/min) = 13.9 (brass
quality.
electrode)
VI. CONCLUSION AND FUTURE SCOPE
At 40V (gap voltage) MRR (mm3/min) = 18.2
(graphite electrode) It is observed that MRR increases with increase in
discharge current for all the three electrodes up to
At high discharge current and gap voltage, machining
certain limit and further increases in case of copper.
was unstable which resulted in low MRR. As the
Moreover it is observed that at high discharge current
spark gap between tool and work piece decreases,
and gap voltage, machining is unstable which results
small particle of metal removed from the work piece
in low MRR. Higher gap voltage causes higher
get entrapped in the gap causing frequency of short
ignition delay, consequently low spark energy hence,
circuit increases, causing fall in MRR. Higher gap
low MRR. Furthermore it is observed that MRR
voltage causes higher ignition delay, consequently
increases with increase in discharge duration and
low spark energy hence, low MRR. This can be
beyond certain pulse on- time it starts decreasing for
alleviated by slowing down the rate of the electric
Copper electrode. Same trend has been reported in
flow so that chips are not removed quickly and there
Brass and Graphite.
by initiating the spark)
Further analysis can be made for the study of
MRR increase with increase in discharge duration
microstructure of the machined surface and of the
and beyond certain pulse on- time it started
heat affected zone for the EDM process. . The stress
decreasing for Copper electrode. Same trend has been
concentration, fatigue load and structure behavior of
reported in Brass and Graphite. It is presumed that
the investigated material has to be carried out. The
spark energy released into the inter electrode gap acts
92
same investigation may be carried out for other [5] Effects of process parameters on material removal rate in
WEDM, H. Singh, R. Garg, Journal of Achievements in Materials
materials of industrial application. Further, the scope
and Manufacturing Engineering, Volume 32 Issue 1 January 2009,
of investigation may be increased by incorporating 70-74
various other parameters like changing of dielectric
fluid, adding powder of Graphite and Boric acid [6] F. Han, J. Jiang, D. Yu, Influence of machining parameters on
surface roughness in finish cut of WEDM, The International
powder and also changing flushing conditions.
Journal of Advanced Manufacturing Technology 34/5-6 (2007)
538-546.
REFERENCES
[7] Technological Manual of Electronica Sprincut Wire-cut
[1] Parametric Approach Model For Determining Electrical Electrical Discharge Machine.
Discharge Machining (Edm) Conditions: Effect Of Cutting
Parameters On The Surface Integrity, W. Tebni, M. Boujelbene, E. [8] Electrical Discharge Machining, Fundamental Manufacturing
Bayraktar, S. Ben Salem, The Arabian Journal for Science and Processes Video Series Study Guide, Society of manufacturing
Engineering, Volume 34, Number 1C,(June 2009),101-114 Engineers(SME)
[2] Analysis of the Influence of EDM Parameters on Surface [9] Current research trends in variants of Electrical Discharge
Quality, Material Removal Rate and Electrode Wear of Tungsten Machining: A review, Anand Pandey, Shankar Singh, International
Carbide, S.H.Tomadi, M.A.Hassan, Z. Hamedon, IAENG Journal of Engineering Science and Technology Vol. 2(6), 2010,
1R.Daud, 1A.G.Khalid, Proceedings of the International Multi- 2172-2191
Conference of Engineers and Computer Scientists 2009 Vol II,
IMECS 2009 , Hong Kong (March 18 – 20, 2009) [10] Analysis of the influence of EDM parameters on surface
quality, MRR and EW of WC–Co, I. Puertas, C.J. Luis and L.
[3] A study to achieve a fine surface finish in Wire-EDM, Y.S. Álvarez, International Journal of Machine Tools and Manufacture,
Liao, J.T. Huang, Y.H. Chen, , Journal of Materials Processing, 20 June 2004.
Technology 149 (2004) 165-171.
[4] Study on modeling of wire EDM process T.A. Spedding, Z.Q.

Wang, , Journal of Materials Processing Technology, 69 (1997) 8-
28.
93
A Review of Residual Stress Profile During Hard

Turning
J. S. Dureja
Jsdureja73@gmail.com
Abstract: Hard turning changes surface condition of the parameters on the surface properties is crucial [4]. The
machined parts in two different ways. First one is the formation problem of evaluating the best turning parameters has not
of white layer and the second one refers to formation of been completely solved and often a conflict occurs in
undesirable residual stress profiles at and just below the work selecting the favorable residual stresses and thermally
piece surface. Residual stresses in the surface layer of machined
parts are induced due to removal of machining load causing
undamaged layer [5].
plastic deformation. Further, cooling of tool surface layer
A clear understanding of aspects such as surface topography
subsequent to intense localized heating caused by metal cutting
operation also produces residual stresses. The distribution of (surface roughness), residual stress, microstructure, micro-
residual stresses depend on the machining load, distribution of hardness, and surface chemistry is need of the hour to fully
mechanical stresses and temperature during chip formation, exploit the potentials of hard turning versus grinding. Residual
plastic flow and phase transformation. These residual stresses stresses are important to understand because when combined
induced may be compressive or tensile. Residual stresses strongly with applied stresses these can be helpful in preventing
affect the fatigue life and tribological performance of machine structural failure [6]. A reliable simulation tool for calculation
components. Therefore, a thorough understanding of these of residual stresses generated in hard turning allows
effects is necessary in order to maximize component life and production engineers to plan appropriate cutting parameters
performance. This paper attempts to review the literature
in advance [7]. The objective of this paper is to survey the
concerning residual stresses, factors influencing residual stress
profile, and measurement of residual stresses. In addition an recent research progress relating to residual stress issues
attempt has been made to summarize the important during hard turning. Comparative analysis of important
mathematical modeling techniques to model the residual stress techniques for residual stress measurement has also been
profile in hard turning. made. Further various tools for modeling residual stress
profile have been outlined.
Keywords: Tensile Residual stress, Compressive Residual stress,
II. RESIDUAL SRESSES
I. INTRODUCTION The residual stresses are the results of three effects:
mechanical, thermal and metallurgical, and are influenced by
Surface quality means surface integrity, which has two tool properties (composition, surface coating, edge geometry
important parts. The first is surface texture, which governs and tool wear), machining conditions and by the tool work
principally the surface roughness. The second is surface material interactions [8]. Two types of residual stresses are
metallurgy, which is a study of residual stresses, and surface induced during machining: tensile residual stresses and
work hardening [1, 21, 4]. Finish hard turning is now being compressive residual stresses. Out of these, compressive
adopted in all the metal cutting areas like machining of stresses give favorable surface properties. Operations such as
automobile parts, dies, moulds, bearings, nuclear, biomedical turning, milling and grinding produce undesirable surface
and machine tool and other industrial applications due to tensile stresses or residual stress despite the fact that most of
inherent advantages associated with the process: no coolant the heat produced during metal cutting is carried away by
contamination because of dry cutting; significant reduction in flowing chips. The second major absorber of this heat is the
set-up time and machining costs; higher metal removal rates; work material as the heat generated by friction between tool
multiple operations in a single set-up; and cutting of complex flank face and work piece enters the work piece. The negative
contours without requiring special tooling, high flexibility and effects of residual stresses are primarily due to elevated
more important ability to achieve surface finish equivalent to temperatures in the cutting zone. Residual stress pattern
that of grinding quality[2, 3]. In spite all the merits, there is a induced by hard turning is critical for component life and
serious problem with during hard turning i.e. a hard turned corrosion resistance. The effects of residual stress could be
surface may result in an entirely different surface structure both positive and detrimental on the deformation behavior,
compared to the bulk material. Hard turning alters the surface fatigue life, dynamic strength, chemical resistance and
profile by setting up residual stresses which significantly magnetic properties of machined components. The slope and
affects the performance of machined parts in service. To depth of a compressive residual stress profile are key factors
obtain good quality machined components free from all flaws, for rolling contact fatigue damage, crack propagation, and
a comprehensive understanding of the influence of the cutting
94
stress corrosion of materials [9]. Unlike tensile residual conditions during cutting, causing expansion of surface layer
stresses, reasonable levels of compressive stresses are thereby inducing compressive residual stresses. Thereafter, on
desirable. Based on residual stresses caused by mechanical cooling of work piece, the contractions in the surface layer
loading, the hard turned surfaces exhibit increased fatigue life produce tensile residual stress. The thermal effect decreases
compared to ground surfaces. However, these tensile residual towards work piece core [4]. Noyan and Cohen [14] in their
stresses transform into compressive just a few microns below study revealed that during plastic deformation, the residual
the surface [10-12]. The compressive residual stresses on the stress are set up because of permanent displacement of the
surface of a part have beneficial effect on the fatigue life, crystal structure, whereas the residual stresses caused by
whereas tensile residual stress reduces the materials thermal gradients are typically a result of a change in volume
performance. A residual stress profile is shown in Fig. 1 [13]. of the material.
Residual stresses induced by machining operations are
generally due to combination of mechanical and thermal
effects. On the one hand, the action of the cutting tool in
shearing the work piece will induce compressive stresses due
to the resistance offered by the work material.
A. Factors contributing to Residual stresses:
In addition to tool wear, tool edge geometry has a profound

effect on the residual stress profiles. Various authors have
investigated the effect of edge preparation in combination
with cutting speed on the residual stresses induced during
machining of different grades of hardened tool steels,
Kishawy and Elbestawi [15] . Ramesh et al. [16] studied the
effect of different edge geometries on the profile of residual
Fig. 1 Typical residual stress profile in hard turning [13] stresses during machining of AISI 4340 and AISI 52100 steels.
The study indicated that the tools having large edge generate
With increase in tool wear, the frictional energy between the more compressive residual stresses below the surface. Thiele
tool flank and work piece increases thereby increasing the et al. [17] observed that tool edge geometry has a large impact
depth of compressive stresses induced by mechanical loading. on surface residual stresses. In general, compressive surface
Thus, increased tool wear lead to greater tensile stresses near residual stresses are generated in the axial and circumferential
the surface, and larger compressive stresses towards the core directions by large edge hone tools during longitudinal turning
generating steep stress gradients. The stress gradient changes operations. Residual stresses generated by large edge hone
from small to significant with increase in tool flank wear. The tools are typically more compressive than the stresses
mechanism of the residual stress during turning is explained in produced by small edge hone tools. Elbestawi et al. [18]
Fig. 2 (a & b). investigated the effect of edge preparation and feed on tool
life and work piece residual stresses. It is observed that
chamfered edges produce less compressive residual stresses
on the surface. As one moves away from the machined surface,
compressive residual stresses penetrate deeper into the work
piece. Hua et al. [6] observed that large hone edge / chamfer
and hone edge tools produce more compressive and deeper
residual stress than single chamfer or a small hone edge. A
large hone radius tool produces more compressive residual
stress and at larger depth than small hone radius tool.
Furthermore, chamfer tool increase compressive residual
stress but its effect is lower than increasing the hone radius.
(a) (b) Intensity of residual stress is comparatively smaller with new
Fig. 2 Mechanisms of Residual Stresses [13]
cutting tools in contrast to worn out tools, because less
mechanical energy is expended in shearing the work piece
Fig. 2(a) depicts setting up of mechanically induced residual (lower cutting forces and friction area) when tool are new and
stresses as a result of plastic deformation of surface layer and sharp edged, in addition the magnitude and penetration depth
elastic deformation in the underlying surface layer. These of these stresses are much higher during turning with worn
stresses are set up in an effort to acquire force equilibrium and inserts compared to new cutting tools. These stress acquire
geometric compatibility after the machining, the elastic intermediate values during grinding, stress but the depth affect
dilation places the surface layer in residual compressive stress. was smaller as compared to single point cutting [19]. In
Fig. 2(b) demonstrates the mechanism of thermally induced general, residual stresses become more compressive with an
residual stress resulting from excessive high temperature increase in work piece hardness. The effect of work piece
95
hardness is detrimental on compressive residual stress, with compressive stresses as well as a deeper affected zone below
increase in hardness of work piece there is a tendency of the surface. With increased rake angles, the maximum stress
shifting of maximum of these stresses towards core [20]. position is moved further into the material. The depth of
Thiele and Melkote investigated the subsurface residual compressive stress penetration below the surface increases
stresses in orthogonal machining of through hardened AISI constantly with higher feed rates. It is due to the fact that a
52100 steel with different tool edge preparations and with two higher feed rate generates higher cutting forces and therefore
work piece hardness levels keeping the cutting parameters more plastic deformation [28]. The effect of tool edge
fixed. The study revealed that while machining 57HRC work geometry on work material subsurface deformation and
piece hone edge tools produces more compressive residual through-thickness residual stresses for machining of AISI
stresses than the chamfered tools. Similar results were 52100 steel with PCBN tools is evaluated. Results indicated
revealed during machining specimens at 41HRC. Furthermore, that the thickness of residual stress in large edge honed tools
it was observed that more compressive residual stress is deeper than in small edge honed tool. Hard turning
(increasing from 700MPa to 1150Mpa) induce in the experiments on hardened M50 steel (HRc 61) are conducted
subsurface when a harder material (increasing from HRC 41 using different tools and varying the depth of cut. They found
to HRC 57) is used, moreover, the maximum compressive that M50 consistently showed compressive residual stress on
hoop residual stress increase with increase in work piece the machined surface. The amount of residual stress varied
hardness keeping same cutting conditions [21]. from -600 to -1300 MPa. The effective rake angle and nose
Koenig and Klinger (1990) reported that an increase in feed radius of the tool affect the amount of residual stress
rate increases the compressive residual stresses and the depth generated. Higher negative rake angle and smaller nose radius
of affected zone. The increase in feed rate and work piece create a more compressive residual stress profile. The
hardness increase the maximum compressive residual stress experimental data showed that depth of cut does not affect the
and its depth. Dale et al and Thiele et al. [22, 23] indicated amount of residual stress generated in hard turning.
that residual stress profile is significantly influenced by feed, Batalha et al.[29] during machining of DIN 100 CrMn6
cutting speed, tool wear progression, work piece materials, steel hardened to 62 HRC with CBN inserts, reveal that the
coolant, tool edge geometry and orientation such as rake penetration cutting force is the most important factor in the
angle/ clearance angle and tool cutting. It is essential to know residual stress generation and it is influenced by both feed rate
how residual stress affects mechanical properties. This is as well as depth of cut. The feed rate and depth of cut are the
because structural failure can be caused by the combined most significant factors on the circumferential residual
effect of residual and applied stresses [24 10]. In orthogonal stresses introduced in the machined surface. The residual
cutting variables like length of the shear plane, tool flank wear, stresses are more compressive as larger the feed rate and
shape of the cutting edge, and the depth of cut uniquely smaller with the cutting depths parameters. Dale and Guo [27]
determine the pattern of residual stress on a machined surface investigated that during hard turning, increase of feed rate
[25, 26]. Certain studies have shown that residual stress from 0.08 to 0.02 mm/rev decrease surface residual stress
profile rather than surface residual stress has significant from approximately 620 to 90MPa and the depth of maximum
influence on rolling contact fatigue (RCF) with deep
compressive residual stresses being more beneficial to RCF subsurface. Similar trend is also observed in increasing the
life than shallower compressive residual stress of greater feed from 0.1 to 0.5 mm/rev. Thus it is concluded that a
magnitude. This suggests that residual stress profile has more decrease in feed rate may provide a more compressive surface
influence on fatigue damage than surface residual stress alone. residual stress, while the larger feed creates a „deeper‟
But, which residual stress profile pattern will improve RCF is maximum compressive residual stress in the subsurface.
still not clearly established [5, 13, 27]. Fredrik et al. during the Favorable surface integrity for improving fatigue life can be
turning of case hardened DIN 18MnCr5 and low carbon steel produced using small feeds and sharp cutting tools. Meng et al.
with CBN-L inserts, measured residual stresses in tangential during their investigation of residual stress distribution in hard
(cutting speed) and axial direction (feed rate) using X-ray turning of bearing steel with CBN tools having different nose
diffraction method. It was revealed that higher cutting speed radius, indicated that the compressive residual stress induced
and larger nose radius produce more tensile stress. Lower feed at the machined surface at 0.1mm depth of cut is larger than
rate has a positive effect whereas greater feed rate has a that at the depth of cut of 0.2 mm. It was further revealed that
negative effect on the stresses. The effect of depth of cut and the magnitude of compressive residual stresses decrease with
tool rake angle on residual stresses is negligible. The most decreasing the nose radius from 0.8 to mm. Moreover, the
significant interaction is observed between nose radius and stress pattern on the machined surface shifts from compressive
rake angle, therefore requires special investigation. Further it stress to tensile stress as the nose radius increases. in the
is revealed from the literature that hard turning has a cutting condition of this study. [30]. Author conducted the
study on the influence of rake angle, cutting speed and cutting
this depth the stress level is due to heat treatment and/or other depth on residual stresses in hard turning. Results show that a
process parameters prior to cutting [4]. By controlling the feed greater negative rake angle gives higher compressive stresses
and rake angle, it is possible to generate tailor-made stresses as well as a deeper affected zone below surface. The
in the product. A greater negative rake angle gives higher compressive stresses increase with the increased feed rate [31].
96
Matsumoto et al. investigated the effect of processes Slitting In this technique incremental cuts are made into the
parameters on the depth of residual stress. It was revealed that Technique component. The cutting action releases residual
the residual stresses during hard turning and super-finishing [37] stress, which deforms the component, and allows to
are more compressive and penetrate deeper in the machined measure the strains after each incremental cut by
means of strain gauges glued to the surface of the
surface as compared to grinding. Depth of cut and feed-rate
component. This is low cost technique suitable for
did not significantly affect the subsurface residual stresses and wide range of materials, but measures the
the size of a primary cutting zone seemed to be of secondary component normal to the face of the cut.
importance. On the other hand, the size of plastic deformation Deep Hole It involves drilling a reference hole through the
zone that developed near the tool edge seemed to play a major Drilling specimen. The drilled diameter is accurately
role. In order to increase the plastic deformation zone, several Technique measured along its depth. A trepanning technique is
tool geometries were investigated. It was found that residual [34-36] then used to remove the column containing the
stress profile with the hone edge and the double chamfer centre reference hole causing the RS to relax. The
geometries produced greater subsurface penetration and change in the reference hole diameter and column
dimension are used to calculate residual stresses.
maximum compressive stress. Hua et al. [6]. during hard
Measures all the way through very thick parts,
turning of bearing steel with geometrically defined cutting Biaxial measurement of residual stress. Semi
edges/ CBN tools, revealed that larger work piece hardness, destructive, measurement limited to few locations,
hone radius and feed rate facilitate deeper and more Max. penetration= 100mm –Fe, 100mm-Al.
compressive residual stress in the machined subsurface and
also increase the temperature and cutting forces at the cutting
edge significantly. Choi and Liu [32] investigated the effect of B. Measurement of Residual Stress
CBN particle size on surface integrity of machined surfaces The methods used to evaluate residual stresses comprise of
revealed that specimen machined by a tool with small CBN both destructive and non-destructive techniques. The first
particle coating showed more compressive residual stresses series of methods are based on destruction of the state of
than other specimens in both directions, thereby giving longer equilibrium of the residual stress on sectioning the mechanical
rolling contact fatigue life. component, machining or layer removal. Most commonly
used techniques under this category are: Deep hole-drilling
TABLE I method, incremental center hole drilling method, compliance
RESIDUAL STRESS MEASUREMENT TECHNIQUES method, ring core technique, bending deflection method,
sectioning or slitting method etc. The second series comprise
Technique Principle and Characteristics
of methods which are based on the relationship between the
X-Ray When a beam of monochromatic x-rays falls on a physical and crystallographic parameters and the residual
Diffraction polycrystalline material, diffraction occurs from stress. The most developed methods are: X-ray and neutron
[23, 33-37] those crystallites, which are oriented to satisfy the diffraction method, ultrasonic techniques, magnetic methods,
Bragg's law. Deformation in the material and Positron Annihilation Spectroscopy and Synchrotron
causes a shift in the Bragg angle. The strain diffraction [23, 33-37]. Tabe 1 gives a comparative analysis of
calculated from this shift is termed the lattice strain various residual stress measurement techniques.
is used for RS measurement. His is a non-
destructive, versatile and fast method that requires
electroplating having max. penetration up to 20m- C. Modelling of Residual stresses in hard turning:
Fe, 50m-Al.
Various researchers have tried to model residual stress profile
Neutron This is a non destructive technique similar to X-ray using different tools. Finite element modeling is the most
Diffraction diffraction, but in contrast to X-ray, neutrons are widely used for this purpose due to the advancement in
[33, 34, 35] typically about a thousand times more penetrating. computing techniques. Boisse et al. [38] used FEM–ANN
This technique has excellent penetration & hybrid technique to generate model for predicting subsurface
resolution, suitable for thick section components, residual stresses and the desired cutting conditions. The
but is bit costlier, moreover micro-structural
changes can make measurements difficult.
steepest descent optimization method (simple
Synchrotro The penetration and flux available from backpropagation) along with Bayesian regularization was
n synchrotron X-ray allows measurement of lattice applied in training neural networks. The training of the three
Diffraction plane spacing, d, with high spatial resolution, depth layer back propagation algorithm was carried out on the data
[34-36] profiling and biaxial measurements. This again generated through numerical simulations while the validation
costly but very well suited to the measurement of was done by conducting confirmation experiments and by
strain in the near-surface region and in most cases comparing with related published literature. It was found that
2D strain maps are produced. Max. penetration= the developed ANN model predicted the residual stress
100mm for Al and 20mm fro Fe. profiles with reasonable accuracy with error between 4 and
10%. Xue et al. [31] used orthogonal array L9 (34) to model
residual stress in hardened bearing steel during hard dry
turning. A finite element model of the orthogonal cutting
97
process was built using ABAQUS/Explicit. The Johnson- artificial neural network (ANN) approach was used to predict
Cook constitutive equation is used to describe the thermal residual stress in hard turning. It can be used both for forward
plastic behavior of AISI H13. The constants for the Johnson- and inverse predictions. The training of the three-layer back
Cook equation were acquired from high strain rate propagation algorithm is carried out on the data generated
compression tests performed at elevated temperatures. The through numerical simulations while the validation is done
tool material was modeled as elastic only. The analysis also using both data from experiments published in literature and
employed Arbitrary Lagrangian and Eulerian (ALE) carried out for this study. It is found that the developed ANN
formulation. Residual stresses generated with a chamfer edge model predicted the residual stress profiles with reasonable
are less compressive on the surface when compared to those accuracy. The trained ANN model gave satisfactory results
generated by the hone edge. It may be due to temperature with the error ranging between 4 and 10% [42 62]. Hardness-
profile beneath the machine surface during cutting. However based flow stress model is employed in the FEM simulation of
away from the machined surface, the residual stress hard turning of bearing steel AISI 52100. The results reveal
magnitude is more compressive and the penetration depth is that more compressive residual stress in both the axial and
deeper with chamfer edge. With chamfer cutting edge, circumferential directions of the machined surface can be
increasing the feed transformed the surface residual stresses obtained by choosing a higher feed rate. Further using the
from compressive to tensile [39]. Hua et al. [6] based on FEM same cutting parameters, larger compressive residual stresses
prediction and experimental residual stress measurement in are generated if the material is heat treated to higher work
PCBN hard turning of AISI 52100, revealed that an optimal piece hardness. Also large hone radius tool produces more
combination of a large-hone edge plus a chamfer at an compressive residual stress and deeper beneficial length than
aggressive feed rate favors an increase in compressive residual small hone radius tool. Chamfer tool helps to increase
stresses in both axial and circumferential directions. A compressive residual stress but its effect is less than that of
coupled thermal-mechanical hybrid modeling approach increasing the hone radius. Therefore, it is recommended that
without explicit chip formation was used which simulates the chamfer plus hone radius be used to obtain best residual stress
process-induced unique hook shape residual stress profiles in profile [6]. Zhang et al. [43] applied Taguchi method, to
hard turning. Results indicated that the material ploughed evaluate optimal levels of turning parameters for radial and
below the cutting edge experiences high transient stresses, for circumferential compressive residual stress using the
large strains and strain-rates at high temperatures with severe smaller-is-better principle for Kij. Results indicated that
gradients. Therefore, the thin ploughed layer is the most cutting speed has the primary effect on the residual stresses
important contributing factor to residual stress. To model for both radial and circumferential directions followed by
residual stresses in material subjected to large strains, high depth of cut, and finally feed rate. The Taguchi method was
strain rates, high temperatures, Bauschinger effect, and validated to be a systematic and efficient methodology for
complex loading at micro scale, a powerful dislocation based hard turning parameter optimization in the study.
internal state variable (ISV) plasticity model is used. Both
from simulated and experimental studies, results indicated that
the ploughed depth is the most important factor influencing III. CONCLUSIONS
residual stress profile in hard turning. Friction coefficient only A. The residual stresses are the results of three effects:
affects the magnitude of surface residual stress but not the mechanical, thermal and metallurgical, and are influenced
basic shape of residual stress profiles [40]. Liang and Su [22] by tool properties, tool wear, machining conditions and
presented a predictive model for residual stresses in by the tool work material interactions.
orthogonal cutting considering two sources of mechanical B. Mechanically induced residual stresses are the result of
stress; one is due to contact between the tool edge and the plastic deformation of surface layer and elastic
work piece, and the other from the stresses in the shear zone. deformation in the underlying surface layer, whereas,
Using the stress fields captured from the forces, contact zones, thermally induced residual stress result from excessive
and thermal predictions, the residual stresses are computed high temperature conditions during cutting, causing
from a rolling/sliding contact algorithm. The model evaluates expansion of surface layer thereby inducing compressive
and optize the effect of cutting conditions and material residual stresses
properties on cutting forces, cutting temperatures, and C. The compressive residual stresses on the surface of a part
machining induced residual stresses. A finite-difference- have beneficial effect on the fatigue life, whereas tensile
based technique is utilized in the solutions of heat balance residual stress reduces the materials performance.
equations for determining the thermal fields of the tool, chip D. Hard turned surfaces exhibit better fatigue life compared
and workpiece. Thermal field of workpiece is used in the to ground surfaces.
thermo-mechanical model of the residual stresses. Umbrello et E. Deep compressive residual stresses are much more
al. [41] computed stresses resulting from thermal and beneficial to rolling components‟ fatigue life than
mechanical loading using an analytical Elasto-plastic model shallower stresses of greater magnitude.
and a relaxation procedure. Due to its analytical nature the F. With increase in tool wear, the frictional energy between
model allows the prediction of residual stresses quite fast and the tool flank and work piece increases thereby increasing
with acceptable accuracy. A predictive model based on the
98
the depth of compressive stresses induced by mechanical [12] Tonshoff, H.K., et al. “Potential and Limitation of Hard Turning, 1st
Int. Machining and Grinding Conference, “ 1995, Sept. 12-14,
loading. Dearborn, Michigan, SME Technical Paper MR95-215
G. Large edge hone tools generate more compressive and [13] Markus M.W. Knufermann, Machining surfaces of optical quality by
deeper surface residual stresses in axial and hard turning, PhD Thesis, Cranfield University 2003.
circumferential directions, as compared to small edge [14] I.C. Noyan, J.B. Cohen, “Residual Stress: Measurement by Diffraction
and Interpretation,” 1987, Springer-Verlag, New York.
hone tools. [15] 15. H.A. Kishawy, M.A. Elbestawi, Effects of process parameters on
H. A new cutting tool generates a compressive residual material side flow during hard turning,” Int. J. Mach. Tools Mf., 1999,
stress at the surface, whereas a worn tool tends to Vol. 39(7), pp: 1017–1030.
generate a tensile residual stress at the surface. [16] A Ramesh, JD Thiele, SN Melkote, “Surface integrity in AISI 4340
and AISI 52100 finish hard turned steels: a comparative study,”
I. The increase in feed rate and work piece hardness Proceedings of the ASME IMECE,MED 10, 1999, pp: 831-837.
increase the maximum compressive residual stress and its [17] JD. Thiele, SN Melkote, RA Peascoe, TR Watkins, “Effect of cutting
depth. edge geometry and workpiece hardness on surface residual stresses in
J. This suggests that residual stress profile has more finish hard turning of AISI 52100 steel, Transactions of the ASME
2000, Vol.122, pp: 642-649.
influence on fatigue damage than surface residual stress [18] M. A. Elbestawi, L. Chen, T.I. El-Wardany, M.Nasr, “Effects of Edge
alone. Preparation and Feed when Hard Turning a Hot Work Die Steel with
K. The increase in the rake angle or the chamfer angle as Polycrystalline Cubic Boron Nitride Tools,” Annals of the CIRP, 2006,
well as the hone cutting edge radius allows an increase in Vol. 55(1), pp: 89-92.
[19] 19. Alexandre M. Abrao, David K. Aspinwall, “The surface integrity
the compressive residual stress in the subsurface. of turned and ground hardened bearing steel,” Wear, 1996, Vol. 196,
L. The decrease in feed may provide a more compressive pp: 179-284.
surface residual stress. With decreasing feed the [20] J. Kundrak, P.H. Osanna , A. Afjehi-Sadat , V. Bana, Surface quality of
maximum compressive residual stress becomes shallower hard truned bore holes,” XVIII IMEKO WORLD CONGRESS,
Metrology for a Sustainable Development, September, Rio de Janeiro,
in the subsurface. Brazil 2006, pp:17 – 22.
M. The depth of does not have any impact on residual [21] J.D. Thiele, S.N. Melkote, “The effect of tool edge geometry on
stresses. workpiece sub-surface deformation and through-thickness residual
stresses for hard turning of AISI 52100 steel,” Trans. NAMRI/SME 27,
1999, pp: 135–140.
REFERENCES [22] S.Y. Liang, J-C.Su, “Residual Stress Modeling in Orthogonal
Machining,” Annals of the CIRP, 2007, Vol. 56(1), pp: 65-68.
[1] A. M. Alaskari, S. E. Oraby, “Surface Topography Assessment [23] Osman Anderoglu, “Residual stress measurement using X-ray
Techniques based on an In-process Monitoring Approach of Tool Wear Diffraction,” Master Thesis, Texas A & M University, 2004.
and Cutting Force Signature”, Proceedings of World Academy of [24] P. J. Withers and H. K. D. H. Bhadeshia, “Overview Residual stress
Science Engineering and Technology , January 2009, Vol. 37, pp: 290- Part 2-Nature and origins,” Materials Science and Technology, 2001,
300. Vol. 17, pp: 366-375.
[2] D.A. Lucca, E. Brinksmeier, G.Goch, “Progress in Assessing Surface [25] P. Dahlman, F.Gunnberg, M. Jacobson, “The influence of rake angle,
andSubsurface Integrity,” Annals of the CIRP, 1998, Vol. 47(2), pp: cutting feed and cutting depth on residual stresses in hard turning,”
669–693. Journal of Materials Processing Technology , 2004, Vol. 147, pp:181–
[3] R.A. Waikar, Y.B. Guo, “A comprehensive characterization of 3D 184.
surface topography induced by hard turning versus grinding,” Journal [26] A. Ramesh, Prediction of Process-Induced Micro-structural Changes
of Materials Processing Technology, 2008, Vol. 197, pp: 189–199. and Residual Stresses in Orthogonal Hard Machining, Ph.D. Thesis,
[4] Fredrik Gunnberg, Marcel Escursell, Michael Jacobson, “The influence Georgia Institute of Technology, 2002.
of cutting parameters on residual stresses and surface topography [27] Dale W. Schwach, Y.B. Guo, “Feasibility of producing optimal surface
during hard turning of 18MnCr5 case carburised steel,” Journal of integrity by process design in hard turning,” Materials Science and
Materials Processing Technology, 2006, Vol. 174,pp: 82–90. Engineering, 2005, Vol. A 395, pp: 116–123.
[5] Ty. G. Dawson, “Machining hardened steel with polycrystalline boron [28] Patrik Dahlman, Fredrik Gunnberg, “Michael Jacobson, The influence
cutting tool,” PhD Thesis Georgia Institute of Technology, 2002. of rake angle, cutting feed and cutting depth on residual stresses in hard
[6] J. Hua, D. Umbrello, R. Shivpuri, “Investigation of cutting conditions turning, Journal of Materials Processing Technology, 2004 Vol.147,
and cutting edge preparations for enhanced compressive subsurface pp:181–184
residual stress in the hard turning of bearing steel,” Journal of [29] G.F. Batalha, S. Delijaicov, J.B. Aguiar , E.C. Bordinassi , M.
Materials Processing Technology,2006, Vol. 171 (2), pp:180–187. Stipkovic Filho, “Residual stresses modeling in hard turning and its
[7] D. Ulutan, B. Erdem Alaca, I. Lazoglu, “Analytical modelling of correlation with the cutting forces,” Journal of Achievements in
residual stresses in machining,” Journal of Materials Processing Materials and Manufacturing Engineering 2007, Vol.24(1), pp:350-356.
Technology, 2007, Vol.183, pp: 77–87. [30] Meng Liu, Jun-ichiro Takagi, Akira Tsukuda, “Effect of tool nose
[8] J. Rech, and A. Moisan, “Surface integrity in finish hard turning of radius and tool wear on residual stress distribution in hard turning of
case-hardened steels,” International Journal of Machine Tools and bearing steel,” Journal of Materials Processing Technology, 2004,Vol.
Manufacture, 2003, Vol. 43, pp.543–550. 150, pp:234–241
[9] Y. B. Guo, Mark E. Barkey, “FE-simulation of the effects of [31] Dilbag Singh, P. Venkateswara Rao, “A surface roughness prediction
machining-induced residual stress profile on rolling contact of hard model for hard turning process,” International Journal of Advance
machined components, “International Journal of Mechanical Sciences, Manufacturing Technology , 2007, 32, pp:1115–1124.
2004, Vol.46(3), pp: 371-388. [32] Youngsik Choi, C.Richard Liu, “Performance of nano /micro CBN
[10] E. Brinksmeier, J.T. Cammelt, W. König, P. Leskovar, J. Peters, and particle coated tools in super-finish hard machining,” International
H.K. Tönshoff, “Residual stresses-measurement and causes in Journal of Machine Tools & Manufacture, Article in press, 2009.
machining processes,” 1982, Annals of CIRP, Vol. 31, No. 2, pp :491– [33] Lu, J (Ed), Handbook of Measurement of Residual Stresses, Society of
510. Experimental Mechanics, Inc., The Fairmont Press, Lilburn 1996.
[11] W Konig, A Neises. “Wear mechanisms of ultra hard, non-metallic [34] P. J. Withers, H. K. D. H. Bhadeshia, “Overview Residual stress Part
cutting materials,” Wear, 1993, 162-164(1), pp:12–21. 1- Measurement techniques, Materials Science and Technology, 2001,
Vol. 17, pp: 355-365.
99
[35] Anna M. Pardowska, John W.H. Price, “Trevor R. Finlayson, Efficient

use of available techniques to measure residual stresses in welded
components,” International Workshop on Thermal Forming and
Welding Distortion, 2008, Bremen April 22-23 pp: 1-12.
[36] O.R Clayton, “Residual Stress Measurements, ASM Handbook-
Mechanical Testing and Evaluation,” ASM International, 2008, Ohio,
Vol. 8, pp: 898-899.
[37] Cheng. Weili, Finnie. Iain, “Residual Stress Measurement and the
Slitting Method, Springer-Verlag, 2007, XIV
[38] D. Umbrello , G. Ambrogio, L. Filice , R. Shivpuri, “An ANN
approach for predicting subsurface residual stresses and the desired
cutting conditions during hard turning,” Journal of Materials
Processing Technology 2007, Vol.189,pp: 143–152.
[39] L. Chen, T.I. El-Wardany, M.Nasr, M.A.Elbestawi, “Effects of Edge
Preparation and Feed when Hard Turning a Hot Work Die Steel with
Polycrystalline Cubic Boron Nitride Tools,” Annals of the CIRP 2006,
Vol.55(1), pp: 89-92.
[40] Y.B. Guo, S. Anurag, I.S. Jawahir, “A novel hybrid predictive model
and validation of unique hook-shaped residual stress profiles in hard
turning, “Annals of CIRP - Manufacturing Technology 2009, Vo. 58(1),
pp: 81-84.
[41] D. Ulutan, B. Erdem Alaca, I. Lazoglu, “Analytical modelling of
residual stresses in machining, Journal of Materials Processing
Technology,” 2007, 183, pp: 77–87.
[42] D. Umbrello, G. Ambrogio, L. Filice, R. Shivpuri, “An ANN approach
for predicting subsurface residual stresses and the desired cutting
conditions during hard turning, Journal of Materials Processing
Technology,” 2007,189, pp:143–152.
Zhang, JingYing, Process Optimization for Machining of Hardened
Steels, Ph.D. Thesis, Georgia Institute of Technology, 2005.
100
Tool Geometry Considerations in Finish Hard

Turning
J. S. Dureja
Abstract: The effect of cutting tool geometry has long been an issue carefully selected for a given application because it affects the
in understanding mechanics of turning. Tool geometry has surface integrity of the machined work piece (white layer,
significant influence on chip formation, heat generation, tool wear, residual stresses etc.), heat generation and flow of work
surface finish and surface integrity during turning. Cutting tool material past tool face [5]. A chamfered edge provides
inserts today are provided with added features to make these an
integrated system comprising a substrate, top form geometry or
excessive negative angle to the cutting action and results in
chip breaker, specific edge preparation, surface coatings, high heat generation. The wear rate of PCBN tools is
appropriate size, style, and nose radius. Each of these elements enhanced due to extreme temperature conditions encountered
makes a significant contribution to overall performance of the during high speed cutting [6]. The tool geometry is also
cutting tool and their values must be carefully selected to achieve important to understand the chip formation mechanism and
optimum performance of the tool during metal cutting operation. accurately predict machining performances, such as cutting
Properly designed/selected edge geometry controls cutting forces forces, cutting temperatures, tool wear, surface finish and the
which in turn can reduce heat, deformation and friction to enhance machined surface integrity. Fig.1, below demonstrates that
tool life and improve dimensional control and surface finish. Hard tool edge geometry influences surface integrity, cutting forces,
turning with CBN cutting tools requires prudent design of tool
geometry because it affects the surface integrity of the machined
tool wear, heat generation and chip formation etc [7-9]. Fig. 2
work piece i.e. white layer formation, residual stresses etc. CBN demonstrates the constituents of tool edge geometry that can
tools have lower toughness than other common tool materials and be varied to achieve favorable tool and machining
thus are more prone to chipping. Therefore, providing a nose performance. In the light of facts stated above, there is an
radius and proper edge preparation of the tool are essential to utmost need to review the tool geometry implications on hard
increase the strength of cutting edge and attaining favorable turning performance. Therefore, this paper provides a review
surface characteristics on the finished metal components. This of research progresses on tool geometry considerations i.e.
paper presents a survey on variation in tool geometry i.e. tool nose influence of edge geometry, groove on the rake face, tool nose
radius, rake angle, groove on the rake face, variable edge geometry, radius and rake angle, on the overall performance of hard
wiper geometry and curvilinear edge tools and their effect on tool
wear, surface roughness and surface integrity of the machined
turning process.
surface. In the end an introduction to future cutting inserts is also Influence of Tool Geometry
given.
Keywords: Tool chamfer, honed edge, nose radius, residual stress. Surface finish
Tool wear
I. INTRODUCTION
Residual stresses
In the hard-turning process, tool geometry and cutting White/Dark layer
conditions determine the time and cost of production which Chip formation mechanism
ultimately affect the quality of the final product. In order to
attain sufficiently high production rates at minimum cost,
Heat Generation
optimization of cutting tool geometry is necessary [1, 2]. The Cutting forces
design of cutting edge geometry and its influence on Micro hardness variation
machining performance have been an important area of

research topic in metal cutting for a long time. Edge
Fig. 1 Influence of tool geometry on performance parameters in turning
preparation has a critical effect on the tool life. A tool with
poor edge preparation may chip and fail quickly [3].
Manufacturers are striving for more and more productivity
and cost effectiveness in their machining processes through Rake Angle Nose Radius
higher metal removal rate and low tool wear/longer tool life.
All this can only be achieved by having major improvements Constituents of
in the design of cutting tools: new substrates, new coatings,
Side Cutting Edge Approach Angle
Angle
Tool Geometry
cutting tool geometry and materials etc. The micro-geometry
(cutting edge etc.), of the tool has a major influence on their Wiper/chamfer/Honed
Groove on Rake face
performance and reliability [4]. Edge preparation must be Edge
101
takes place on the nose radius of the tool. Therefore, tools for
Fig. 2 Constituents of Tool geometry hard turning are prepared with chamfered or honed edges to
provide a stronger edge geometry that is less prone to
premature fracture [18]. Cutting with chamfered or honed
II. INFLUENCE OF CURVILINEAR EDGE AND WIPER GEOMETRY edge equates to a large negative effective rake angle, while
neutral or positive rake angles are typical in conventional
The design of cutting edge geometry and its influence on machining. The large negative rake angle yields increased
machining performance have been a topic of research in metal cutting forces compared to machining with positive rake tools
cutting for a long time. Emerging machining techniques such and also induces larger compressive loads on the machined
as hard turning and micromechanical machining, where the surface. Dawson [19] during finish turning of AISI 52100
uncut chip thickness and the tool edge dimension are in the bearing steel (hardness of 60HRC) with PCBN inserts having
same order of magnitude, require cutting edges which can chamfered geometry (0˚-30˚) and honed edge, at very small
withstand high mechanical and thermal stresses, hence wear feed rate and depth of cut observed that cutting is confined to
resistance, for a prolonged machining time. The a small area in the front tip of the cutting edge, or in the area
chamfered/honed tool is recommended to prevent the chipping of chamfer zone. Cutting forces during hard turning increase
of the cutting edge and to impart strength to the cutting edge with the increase of the chamfer angle. The passive force is
[10]. However, Wiper geometry tools perform better than the greater than the primary cutting forces in cutting direction and
conventional tools for improved surface finish [11, 12]. Tools increase more rapidly with the increase in chamfer angle.
with chamfered edge are used for machining hard materials Zhou et al. [20] proposed that in finish hard turning there is an
due to their high edge strength. Chamfering of the tool edge optimum value of chamfer angle where the tool life is
provides reinforcement to otherwise brittle cutting edge maximum. Results indicated that tool life reaches to its
thereby increasing its strength and reduces the tool wear [13]. maximum at 15º chamfer angle and after that it reduces
Thiele, and Melkote reported that residual stresses generated drastically. The tool life was measured up to the value of 0.2
by large edge hone tools are typically more compressive than mm flank wear, in order to avoid excessive white layer
stresses produced by small edge hone tools and they also leave induced on the workpiece surface due to the higher
white-layers. The tool edge geometry also play an important temperature under the large flank wear. As per Finite element
role in thermoplastic deformation of the work piece [14]. In (FE) analysis the cutting edge with 15° chamfer angle
PCBN cutting tools, several types of edge preparation can be reported smallest value of flank wear as compared to other
made for hard turning operations, including sharp edge, cutting tools
chamfers, hones, and chamfers plus edge hones. However, in The benefits of honed/chamfered edge tools have been
most cases, chamfer with edge hones is the most preferred established when turning commercially available Inconel-718
edge preparation in hard turning [15]. The cutting tool edge with PCBN tools. The different cutting edge geometries were
geometry, which comprise of chamfer angle, chamfer width used during turning. Cutting edge preparations employed
and edge hone has a significant influence on tool life and to a include large chamfer (100µm×30º), small chamfer
large extent controls the surface finish and surface integrity of (100µm×20º) and large chamfer plus honed edge
the machined part. Tool wear, on both flank and rake faces (100µm×30º), in order to eliminate the edge-related problems
alters the edge geometry. The feeds and depths of cut used in during machining such as edge chipping, cracks and breakage.
finish hard turning are relatively small (about 0.2 mm), and It was observed that the cutting force component is
generally of the same magnitude as that of tool edge geometry. significantly higher (2-3 times) in magnitude than the other
As a result, cutting is confined only to a small area on the nose force components. The cutting forces reduce considerably at
radius and edge. Relatively harder work piece material in hard 475m/min cutting speed, whereas the magnitude of forces is
turning demand for a negative rake angle and strong edge higher at 125m/min cutting speed. This can be attributed to
geometry with a chamfer and hone, in order to withstand the the increased thermal softening of the work material at higher
high cutting forces, stress and higher temperatures cutting speed [21]. In hard turning with chamfered/honed
encountered during machining [6, 16]. Matsumoto et al. [17] tools the overall magnitude of radial force is not affected
investigated the effect of turning parameters on residual stress because it acts more or less parallel to the chamfered cross-
in finish turning with focus on the depth of residual stress. The section on the cutting edge. As the tool wear progresses it
material used was case carburized steel with hardness in the affects the rake angle negatively and thus increases cutting
range of 58–62 HRC. It was revealed that the residual stresses force, even by increasing the cutting speed the force
after hard turning and superfinishing are more compressive component does not reduce. Increasing tool tip radius causes
and penetrate deeper inside machined surface than that after main cutting force to increase [22].
grinding and superfinishing. In order to increase the plastic The geometry of the cutting edge and its preparation can
deformation zone, several tool geometries were investigated. play a significant role on the insert performance, directly
It was also confirmed that the hone edge and the double affecting tool life, surface finish and surface integrity. Turning
chamfer geometries offer greater subsurface penetration, and tests were performed on nickel-based alloy, INCONEL-
produce larger values of maximum compressive stress [17]. 718TM, with Al2O3-based, Al2O3-based + SiC and PCBN
In hard turning, as the material is harder, specific cutting inserts having modified edges. The round edge inserts were
forces are larger than in conventional turning, thus cutting
102
best in terms of tool wear and surface roughness. The round produced the longest tool life. Wiper coated carbide tool
ceramic inserts produced compressive layer on the machined achieved very fine surface finish, much better than the
surface, which is beneficial for fatigue resistance. Notching theoretical values and within the strict range of finish
was common phenomenon observed on all the inserts. It was machining criteria [30].
possible to produce surface roughness Ra below .5µm when
turning INCONELTM-718 at 500 m/min. Such result strongly III. INFLUENCE OF VARIABLE MICRO GEOMETRY OF TOOLS
encourages the use of the modified edges for work materials A uniform edge micro-geometry along the corner radius of
where better fatigue resistance is required [23]. The influence the insert presents low edge radius to uncut chip thickness at
of hone radius and chamfer angle is such that when value of the minor cutting edge. This cause more ploughing than
both the variables increase, burnishing at the cutting edge shearing at the minor cutting edge, resulting in excessive heat
becomes a dominant factor in the chip formation. The build-up and rapid tool wear. A variable edge micro-geometry
burnishing process is prone to produce material side flow along the corner radius of the insert has the potential to reduce
leading to the deterioration of the final surface quality. It was this heat built-up at the cutting edge enabling hard turning at
also observed that hone radius put more influences on the higher cutting speeds and feeds with less tool wear [31, 32].
cutting edge temperature than chamfer. When hone radius While uniform edge preparation strengthens tool cutting edge,
increases from 20 to 100 µm (at chamfer angle of 20º), the it makes cutting less efficient especially when the ratio of
maximum edge temperature increases to more than 90 ºC. uncut chip thickness to tool radius decreases. This is
Therefore, using chamfer plus hone for cutting edge especially true when friction factor increases with decreasing
preparation is better from the tool wear point of view, if uncut chip thickness to edge radius ratio. The work material is
required residual stress level can be reached [24]. Chamfer trapped near end of the uncut chip geometry along the corner
tool helps to increase compressive residual stress but its effect radius. Inefficient cutting results in increased strains in the
is less than that of increasing the hone radius. It is workpiece, which in turn increases mechanical and thermal
recommended that chamfer plus hone radius be used to obtain loads and results in high temperatures [33]. In variable edge
best residual stress profile. The best approach is to use large design, the key parameter is the ratio of uncut chip thickness
hone radius cutting tools [25]. While machining with the to edge radius. If this ratio is known, for a particular cutting
chamfered tools, the Ra .2µm is attained only for feed rates condition a variable cutting edge can be designed. Variable
smaller than 0.06 mm /rev. Increase in productivity together edge preparation is not limited to honed micro-geometry
with good finish can be achieved with these tools, if only the inserts. Chamfered and waterfall type micro-geometry inserts
last pass of the cutting is made at these conditions. The cutting can also have variable edge preparation. The purpose of
forces developed in hard metal turning with CVD diamond continuously changing the chamfer angle along the corner
tools increase with the bluntness of the cutting edge in the radius is to alter the locations of high temperature zones and
following order: sharp < chamfer < hone [26]. Chamfered reduce the possibility of a crater wear formation. Results
tools are usually used in rough and interrupted turning. The indicate that more efficient cutting has been performed due to
stable trapped material (dead metal zone—DMZ or cap) in variable edge micro-geometry design that resulted in lower
front of the chamfered cutting edge increases the strength of radial forces but slightly higher tangential forces. Finite
the tool tip; however, it also increases cutting forces [27]. element simulations are also utilized to predict tool wear and
Honed tools are employed in finish turning operations since result reveals that variable micro-geometry edge design has
the application of hone to the tool tip increases the impact the lowest wear rate under the same cutting conditions [34].
resistance. Waterfall hone edge geometry combines the
appropriate characteristics of chamfered and honed tools such IV. INFLUENCE OF NOSE RADIUS
as increased tool tip strength and increased rake angle. Its
oval-like geometry eases the flow of work material in front of Among various machining parameters, tool nose radius has
the tool [28]. a significant contribution to the cutting dynamics and the
Ozel et al. [29]. during the finish hard turning of AISI H13 stability of a machining process. Nose radius is a major factor
steel observed the effects of cutting edge preparation, that affects surface finish of the machined surface. A larger
workpiece surface hardness and cutting conditions on the nose radius produces a smoother surface at lower feed rates
surface roughness and cutting forces. Results reveal that the and a higher cutting speed. Large nose radius tools have,
effect of cutting edge geometry on the surface roughness is along the whole cutting period, slightly better surface finish
remarkably significant. Especially, honed edge geometry and than small nose radius tools [35, 36]. The edge of a real tool
lower workpiece surface hardness resulted in better surface always has a finite sharpness. Commercially available cutting
roughness. Cutting edge geometry, workpiece hardness and tools usually have a tool edge radius varying from 5 to
cutting speed are found to be affecting force components. The 250mm. In general, a coated tool has a larger tool edge radius
lower workpiece surface hardness and small edge radius than does an uncoated tool. Much experimental evidence
resulted in lower tangential and radial forces. Hard turning of shows that tool edge geometry plays a critical role in precision
martensitic stainless steel was performed using wiper coated machining, where the feed rate is small and on the same order
carbide tool at various cutting speeds and feeds. The set of magnitude as tool edge dimension [2, 32]. Nose radius is a
parameters combination of low cutting speed and low feed major factor that affects surface roughness. A larger nose
103
radius produces a smoother surface at lower feed rates and a during high speed cutting is a problem in the modern era of
higher cutting speed. However, a larger nose radius reduces automation. For easy disposal, the volume of long chips
damping at higher cutting speeds, thereby contributing to a relative to the volume of the same material in bulk should be
rougher surface. Further during cutting with a tool that has a as low as possible. It is reported that well broken chips have
large nose radius, a large part of the chip will have a chip volume ratio of between 3 and 10, where as entirely unbroken
thickness less than the minimum chip thickness value. In chips have volume ratio of 50. Long chips curl around the tool
addition, increasing the nose radius has a direct effect on and can pose serious hazards to the workpiece surface, the
cutting forces, leading to a significant increase in the operator and the machine-tool operations. The situation
ploughing effect in the cutting zone. Increasing the ploughing becomes more critical under the during automated machine
effect leads to more material side flow on the machined loading, unloading and in process inspection of the machined
surface. In general, increasing the nose radius increases the parts [44, 45].
level of tool flank wear. Cutting with a large nose radius To overcome these difficulties, a number of researchers
results in a higher value of cutting forces due to the thrust have investigated effective control of chip flow and chip
force component. On the other hand, cutting with a small nose breaking. Putting an obstacle across the chip flow direction,
radius prolongs tool life, which can be explained by the commonly known as chip breaker or chip former, one can
reduction in the ploughing force [37]. The significance of the control chip curl. Broadly speaking there are two types of chip
effect of the edge radius increases at smaller uncut chip breakers: (1) obstruction type (2) Groove type. Obstruction
thickness. [38]. During turning result indicates that the tool- type is further divided into two categories (a) step type chip
chip frictional shear stress around the edge is an important breaker (b) ram type chip breaker [46]. The effect of
parameter, influencing the optimum edge radius for each increasing feed was an increase in length of contact between
application. Further the chip thickness and tool-chip contact chip and tool, which resulted in extension of heated area
length decreases with the increase of the cutting edge radius. further from the edge to the rake face accompanied by an
The average shear strain in the primary shear zone and the increase in the maximum temperature. The artificial reduction
corresponding strain rate are very significantly affected with of chip tool contact length substantially reduces the power
nose radius increase [39]. Liu et al. [40] investigated the consumed by the cut and as a result, heat generated is reduced
effects of tool nose radius and tool wear on residual stress [47]. Restricted contact tools (RCT) are also called artificially
distribution in hard turning of bearing steel (JIS SUJ2). Three controlled contact tools. Their land length is less than the
types of CBN tools with different nose radius (0.4, 0.8 and 1.2 natural tool-chip contact length for a given set of cutting
mm) were used and results revel that the increase of the tool conditions [48]. As per Fig.6 the area of contact between chip
nose radius leads to an increase of the thrust force greatly. The and tool is less with restricted contact tools (RCT) as
ratio of the thrust force to cutting force and the ratio of the compared to conventional tools thus restricted contact tools
thrust force to feed force increase with the increase of the tool offer several advantages for machining processes, such as
nose radius. There exists a tendency that the residual stresses substantial reduction in power consumption, lower tool-chip
induced at the machined surface shift from compressive stress interface temperatures and improved surface integrity of the
to tensile stress as the nose radius increases in the cutting machined parts [47].
condition of this study. The effect of the nose radius on the
residual stress distribution decreases greatly with the increase
of the tool wear [40]. Chou and Song [42] in their study
revealed that increasing edge radius to a point that the edge
roundness is larger than the uncut chip thickness actually
decreases the effective rake angle towards the negative value.
Hence a large edge radius has a similar effect to a negative
rake angle i.e. to generate compressive residual stress beneath
the machined surface.
V. INFLUENCE OF GROOVES ON TOOLS Fig. 3 Tool tip contact area of Conventional and RCT tool while turning
Chip control plays a vital role in machining. With the use of Results achieved during turning tests conducted under a wide
grooved/restricted contact tools, effective chip control can be range of cutting conditions with commercially available
achieved in terms of desirable chip breakability, reduction in grooved tools, are quite satisfactory. Many groove-type chip
power consumption, operators safety and good surface finish breaker tools, which have a primary rake land between the
[43]. Chip-form/chip-breakability and tool-wear/tool-life are cutting edge and chip-groove, have been widely applied in
two of the major machining performance measures that have modern automatic machining operations [49]. These tools are
been the subject of extensive study over several decades. also referred to as restricted contact grooved tools. The
Understanding the chip-flow and curl mechanisms is very restricted contact effect in machining with grooved tools
essential for predictive assessment of the chip breaking forms a basis for chip to back-flow into the chip-groove and
process. The disposal of long continuous chips produced hence it provides favorable conditions for the chip to be
104
broken. Jawahir et al. [50] in their investigation, of the effects higher surface roughness compared to small edge hone
of chip-flow on tool-wear revealed that if the chip back-flow tools. However, feed dominates surface roughness.
angle is less than the tool secondary rake angle, the generated 2. The chamfer angle has a great influence on the cutting
chip will be in contact with the primary rake face only; force and tool stress. All cutting force components
otherwise, the chip will be in contact with both the primary increase with an increase in the chamfer angle, especially
and secondary rake faces, which adds to the complexity in the the level of passive force. Further an increase of chamfer
machining processes. It was also revealed that the nature of angle will increase tool life up to certain value, after that
chip-curl and breaking contributes to the decrease in tool-life the tool life decreases.
and reduction in cutting forces [50]. Grezsik and 3. Curvilinear edges (chamfer+ honed) protect the cutting
Kwiatkowska [51] revealed that Chip breaking increases edge from chipping, improve its impact resistance, and
steadily at higher feed rates and saving in cutting power increase surface area for heat to transfer from the cutting
consumption can be achieved by controlling the contact length zone. 3. Chamfer tool helps to increase compressive
at higher feed and depth of cut. Jawahir [52]. Observed that, residual stress but its effect is less than that of increasing
to obtain an optimum tool performance for providing good the hone radius. Therefore, it is recommended that
chip-breakability and tool life, contact length should be in the chamfer plus hone radius be used to obtain best residual
range of 55-65% of the natural contact length. The associated stress profile. If required residual stress profile can be
benefits resulting from the effects of restricted tool contact are assured, use of medium hone radius plus chamfer in
a tendency towards minimum power consumption, lower cutting edge preparation is a good option to keep tool
cutting forces and reduced cutting temperature. temperature and cutting force low. As the effect of
chamfer is equivalent to the increasing hone radius,
VI. INFLUENCE OF RAKE ANGLE medium hone radius (0.02–0.05 mm) plus chamfer angle
For single point cutting tool most important angle is back rake of 20º is recommended.
angle. The back rake angle affects the ability of the tool to 4. During finish hard turning increase in the rake angle or
shear the work material and form the chip. It can be positive the chamfer angle as well as the hone cutting edge radius
or negative. Positive rake angles reduce the cutting forces enable to increase in the compressive residual stress in the
resulting in smaller deflections of the work piece, tool holder, subsurface. Further the increased radius of a cutting tool
and machine. If the back rake angle is too large, the strength will produce larger compressive residual stress beneath
of the tool is reduced as well as its capacity to conduct heat. In the machined surface.
machining hard work materials, the back rake angle must be 5. Variable edge preparation inserts perform better than
small, even negative for carbide, PCBN and diamond tools. uniform edge preparation. Tool wear is decreased with
The higher the hardness, the smaller the back rake angle shall the use of a variable micro-geometry inserts.
be used [57]. The magnitude of rake angle has significant 6. Edge radius must be selected according to cutting
effects on the performance of the cutting tool and the surface conditions. In finish hard turning white layer depth
integrity generated during machining [58]. Jacobson [59] decreases with increasing nose radius.
conducted hard turning experiments on hardened M50 steel 7. The nose radius of tool affects the roughness of machined
hardened to 61HRC using different tools and variable depth of surface, residual stresses of machined surfaces, chip
cut. M50 consistently showed compressive residual stress at morphology and forces arise during cutting. Large tool
the surface. The amount of residual stress varied from -600 to nose radii seem to have only the advantage of finer
-1300 MPa. The effective rake angle and nose radius of the surface finish.
tool affect the amount of residual stresses. Higher negative 8. Increasing the nose radius has a direct effect on cutting
rake angle and smaller nose radius create a more compressive forces, leading to a significant increase in the ploughing
residual stress profile. The experimental results reveal that effect in the cutting zone.
depth of cut does not affect the amount of residual stress 9. The tool chip breaker geometry causes influence on
generated in hard turning. Patrik [60] during analysis of specific cutting energy behavior. Even small
residual stresses observed that greater negative rake angle modifications on cutting edge geometry affect the cutting
gives higher compressive stresses as well as a deeper affected force levels and specific cutting energy values.
zone below the surface. The level of compressive stress below
the surface increases constantly with higher feed rates. Further REFERENCES
variation in cutting depths did not affect residual stress. Thus
by controlling the feed and rake angle, it is possible to [1] [1] J.D. Thiele, S.N. Melkote, Ra Peascoe, T.R. Watkins, ―Effect of
cutting edge geometry and workpiece hardness on surface residual
generate tailor-made stresses in the product. stress in finish hard turning of AISI52100 steel‖, Transactions of the
ASME, 2000, Vol.122, pp:642-649.
VII. CONCLUSIONS [2] [2] N. Fang, G. Fang, ―Theoretical and experimental investigations of
finish machining with a rounded edge tool‖, Journal of Materials
Processing Technology, 2000, Vol.191,pp:331-334.
1. Large edge hone tools produce statistically higher forces [3] [3] J. D. Thiele, S.N. Melkote, ―Effect of Cutting Edge Geometry and
in the axial (feed) and radial (thrust) directions than small Workpiece Hardness on Surface Generation in the Finish Hard Turning
edge hone tools. Further large edge hone tools produce of AISI 52100 Steel‖, Journal of Materials Processing Technology,
1999, Vol.94, pp:216-226.
105
[4] [4] Rech Joel, ―Cutting edge preparation and surface issues‖, HSS [24] [24]Hua Jiang, Rajiv Shivpuri, Xiaomin Cheng, Bedekar Vikram, Y.
forum International conference -smart solutions for metal cutting , Matsumoto, F. Hashimoto, Thomas R. Watkins, ―Effect of feed rate,
Aachen, 2-3 Feburary, 2005, pp:1-12. work piece hardness and cutting edge on subsurface residual stress in
[5] [5] G. Poulachon, A. Moison, I.S. Jawahir, ―On modeling the influence the hard turning of bearing steel using chamfer + honed cutting edge
of thermo-mechanical behavior in chip formation during hard turning geometry‖, Materials Science and Engineering, 2005, Vol.A 394,
of 100Cr6 bearing steel’, Annals of the CIRP, 2001, Vol.50(1), pp:31– pp:238–248.
36. [25] [25] Hua Jiang, D. Umbrello, Rajiv Shivpuri, ―Investigation of cutting
[6] [6] Tae-Hong Lee, ―An experimental and theoretical investigation for conditions and cutting edge preparations for enhanced compressive
the machining of hardened alloy steel‖, PhD Thesis, 2007 University of subsurface residual stress in the hard turning of bearing steel‖, Journal
South Vales Australia. of Materials Processing Technology, 2006 Vol.171,pp:180–187.
[7] [7] A. Altin, H. Gokkaya, M. Nalbant, ―The effect of cutting speed and [26] [26] F.A. Almeida, F.J. Oliveira, M. Sousa , A.J.S. Fernandes, J.
cutting tool geometry on machinability properties of nickel-base Sacramento, R.F. Silva, ―Machining hard metal with CVD diamond
Inconel 718 superalloys‖, Materials and Design, 2007, Vol.28(4), direct coated ceramic tools: effect of tool edge geometry‖, Diamond &
pp:1334-1338. Related Materials, 2005, Vol.14, pp:651–656.
[8] [8] J. I Hughes, A. R. Sharman, C. Ridgwayk, ―The effect of cutting [27] [27] H. Ren, Y. Altintas, ―Mechanics of machining with chamfered
tool material and edge geometry on tool life and workpiece surface tools‖, ASME Journal of Manufacturing Science and Engineering,
integrity’, Proceedings of the Institution of Mechanical Engineers. Part 2000, Vol.122, pp: 650–659.
B. Journal of Engineering Manufacture, 2006, Vol.220, No.2, pp: 93- [28] [28] J. Manjunathaiah, W.J. Endres, ―A new model and analysis of
107. orthogonal machining with an edge-radiused tool‖, ASME Journal of
[9] [9] Li. Zhou, ―Machining chip-breaking prediction with grooved Manufacturing Science and Engineering, 2000, Vol.122, pp: 384–390.
inserts in steel turning‖, Ph.D, Thesis, 2001. [29] [29] Ozel Tugrul, Hsu Tsu-Kong, Zeren Erol, ―Effects of cutting edge
[10] [10] Yigit. Karpat, Tugrul Ozel, ―Mechanics of high speed cutting with geometry, workpiece hardness, feed rate and cutting speed on surface
curvilinear edge tools‖, International Journal of Machine Tools & roughness and forces in finish turning of hardened AISI H13 steel‖,
Manufacture, 2008, Vol.48, pp:195-208. International Journal of Advance Manufacturing Technology, 2005,
[11] [11] J. Paulo Davim, L. Figueira, Comparative evaluation of Vol.25, pp:262–269.
conventional and wiper ceramic tools on cutting forces, surface [30] [30] M.Y. Noordin, D. Kurniawan, S. Sharif, ―Hard turning of
roughness, and tool wear in hard turning AISI D2 steel‖, Proceedings stainless steel using wiper coated carbide tool‖, International Journal
of the Institution of Mechanical Engineers. Part B. Journal of of Precision Technology, 2007,Vol.1(1), pp:75-84.
Engineering Manufacture, 2007Vol. 221(4), pp:625-633. [31] [31] Y. Karpat, T. Ozel, ―Process simulations for 3D turning using
[12] [12] W. Grzesik, T. Wanat, ―Surface finish generated in hard turning of uniform and variable micro-geometry PCBN tools‖, International
quenched alloy steel parts using conventional and wiper ceramic Journal of Machining and Machinability of Materials, 2008,Vol. 3(3),
inserts‖, International Journal of Machine Tools and Manufacture, pp:250-262.
2006, Vol. 46(15), pp:1988-1995. [32] [32] W. Shaffer, ―Getting a better edge‖, Cutting Tool Engineering,
[13] [13] M. Hirao, J. Tlusty, R. Sowerby, G. Chandra, ―Chip formation 2000,Vol.52(3), pp:44-48.
with chamfered tools, Journal of Engineering for Industry Trans. of [33] [33] F. Klocke, H. Kratz, ―Advanced Tool Edge Geometry for High
ASME, 1982, Vol. 104, pp:339–342. Precision Hard Turning‖, Annals of the CIRP, 2005,Vol.54(1), pp:47-
[14] [14] JD. Thiele, S.N. Melkote, The effect of tool edge geometry on 50.
work piece sub-surface deformation and through thickness residual [34] [34] T. Ozel, Y. Karpat, A. Srivastava, ―Hard turning with variable
stress for hard turning of AISI52100 steel, Trans. NAMRI/SME., 1999, micro-geometry PCBN tools‖, Annals of CIRP-Manufacturing
Vol.27, pp:135-140. Technology, 2008, Vol.57, pp:73–76. DOI:10.1016/j.cirp.2008.03.063
[15] [15] D. Jeffrey, N.M. Shreyes, ―Effect of cutting edge geometry and [35] [35] Y. Beauchamp, M. Thomas, A. Youssef, M. Jacques,
work piece hardness on surface residual stresses in finish hard turning ―Investigation of cutting parameter effects on surface roughness in
of AISI52100 steel, Manufacturing Science and Engineering ASME lathe boring operation by use of a full factorial design.‖ Computers and
Trans., 1999, Vol. MED10, pp:805–979. Industrial Engineering,‖ 1996, Vol. 31(3-4), pp:645–651.
[16] [16] Cora. Lahiffa, Seamus Gordonb, Pat. Phelan, ―PCBN tool wear [36] [36] H.A. Kishawy, M.A. Elbestawi, ―Effect of process parameters on
modes and mechanisms in finish hard turning, Robotics and Computer- chip morphology when machining hardened steel‖, Manufacturing
Integrated Manufacturing, 2007, Vol.23, pp:638-644. Science and Engineering ASME, 1997, Vol.6-2, pp: 13–20.
[17] [17] Y. Matsumoto, F. Hashimoto, G. Lahoti, ―Surface integrity [37] [37] T. Ravindra, ―Comparison between multiple regression models to
generated by precision hard turning, Annals of the CIRP, 1999, Vol. 48, study effect of turning parameters on the surface roughness, 2008,
pp:59–62. Proceedings of the IAJC-IJME International Conference.
[18] [18] Abdullah Kurt, Ulvi Seker, ―The effect of chamfer angle of [38] [38] Roy J. Schimmel, J. Manjunathaiah, William J. Endres,) ―Edge
polycrystalline cubic boron nitride cutting tool on the cutting forces radius variability and force measurement considerations‖, Journal of
and the tool stresses in finishing hard turning of AISI 52100 steel, Manufacturing Science and Engineering, 2000, Vol.122, pp: 590-593.
Materials and Design, 2005, Vol.26, pp: 351–356. [39] [39] N. Fang, ―Slip-line modeling of machining with a rounded-edge
[19] [19] G. Dawson, ―Machining hardened steel with polycrystalline cubic tool-part I: new model and theory‖, Journal of the mechanics and
boron nitride cutting tools,‖ Ph.D. Thesis, 2002, Georgia Institute of physics of solids, 2003, Vol.51, pp:715-742.
Technology. [40] [40] Liu. Meng, Takagi. Jun-ichiro, Tsukuda Akira, ―Effect of tool
[20] [20] J.M. Zhou, H. Walter, M. Andersson, J.E. Stahl, ―Effect of nose radius and tool wear on residual stress distribution in hard turning
chamfer angle on wear of PCBN cutting tool‖, International Journal of of bearing steel‖, Journal of Materials Processing Technology,
Machine Tools & Manufacture,2003, Vol.43, pp:301–305. 2004,Vol.150, pp:234–241.
[21] [21] R.S. Pawade Joshi, S. Suhas, P.K. Brahmankar, M. Rahman, ―An [41] [41] Y. K. Chou, Hui Song, ―Tool nose radius effects on finish hard
investigation of cutting forces and surface damage in high-speed turning’, Journal of Materials Processing Technology,‖ 2004, Vol. 148,
turning of Inconel-718‖, Journal of Materials Processing Technology, pp: 259-268.
2007, Vol.192-193, pp.139–146. [42] [42] H. Sasahara, T. Obikawa, T. Shirakashi, ―Prediction model of
[22] [22] Muammer Nalbant, Abdullah Altın, Hasan Gokkaya, ―The effect surface residual stress within a machined surface by combining two
of cutting speed and cutting tool geometry on machinability properties orthogonal plane models‖, International Journal of Machine Tools &
of nickel-base Inconel-718 super alloys‖, Materials and Design, 2007, Manufacture, 2004,Vol.44, pp:815–822.
Vol.28, pp:1334-1338. [43] [43] I. S. Jawahir, ―A survey and future predictions for the use of chip
[23] [23] R.T. Coelho, L.R. Silva, A. Jr. Braghini, A.A. Bezerra, Some breaking in unmanned systems‖, The international Journal of
effects of cutting edge preparation and geometric modifications when Advanced Manufacturing Technology, 1998,Vol.3(4), pp:87-104.
turning INCONEL-718TM at high cutting speeds‖, Journal of [44] [44] B.L. Juneja, G.S. Sekhon, ―Fundamentals of metal cutting and
Materials Processing Technology, 2004, Vol.148, pp:147–153. machine tools‖, 1987 Wiley Eastern, New Delhi, India.
106
[45] [45] Kim Hong-Gyoo, Sim Jae-Hyung, Kweon Hyeog-Jun,

―Performance evaluation of chip breaker utilizing neural network‖,
Journal of Materials Processing Technology, 2009, Vol.209(2),
pp:647-656. [54] [54] M.l. Sadik, B.O. Lindstrom, 1995 ―The Effect of Restricted
[46] [46] K. Nakayama, ―A study on chip breaker‖, Bull. JSME, 1962, Contact Length on Tool Performance‖, Journal of Materials
Vol.5(17) pp:142-150. Processing Technology, Vol. 48, pp: 275-282.
[47] [47] I. S. Jawahir, ―The tool restricted contact effect as a major [55] [55] L. Deshayes, ―Analysis of an equivalent tool face for the cutting
influencing factor in chip breaking: an experimental analysis‖, Annals speed range prediction of complex grooved tools‖, Journal of
of CIRP,1988,Vol.37,pp:121126. Materials Processing Technology, 2007,Vol.190, pp:251–262.
[48] [48] B. T. Chao, K. J. Trigger, ―Controlled contact cutting tools’, [56] [56] N.R. Dhar, S. Paul, , A.B. Chattopadhyay, ―The influence of
ASME Journal of Engineering for Industry, 1959, Vol.81, pp:139–151. cryogenic cooling on tool wear, dimensional accuracy and surface
[49] [49] N. Fang, I. S. Jawahir, ―Analytical Prediction of the Chip Back- finish in turning AISI 1040 and E4340C steels‖, Wear, 2001,Vol. 249,
Flow Angle in Machining With Restricted Contact Grooved Tools‖, pp:932-942.
Journal of Manufacturing Science and Engineering, 2003,Vol.125, [57] [57] E. M. Trent, P. K. Wright, Metal Cutting, 4th Edn, 2000,
pp:210-219. Butterworth Heinemann, Oxford.
[50] [50] I.S. Jawahir, R. Ghosh, X.D. Fang, P.X. Li, ―An investigation of [58] [58] A. J. Shih, 1996 ―Finite element analysis of the rake angle effects
the effects of chip-flow on tool-wear in machining with complex in orthogonal metal cutting‖, International Journal of Mechanical
grooved tools‖, 1995,Vol.184, pp:145–54. Science, Vol.38(1), pp:1-17.
[51] [51] W. Grezsik, E. Kwiatkowska, ―An energy approach to chip– [59] [59] M. Jacobson, ―Surface Integrity of Hard-Turned M50 Steel‖,
breaking when machining with grooved tool inserts‖, International Proceedings of the
Journal of Machine Tools & Manufacture, 1997, Vol.37(5), pp:569- [60] Institution of Mechanical Engineers, Part B: Journal of Engineering
577. Manufacture, 2002, Vol.216(1), pp: 47-54.
[52] [52] I.S. Jawahir, ―On the controllability of chip breaking cycles and [61] [60] Dahlman Patrik, Gunnberg Fredrik, Jacobson Michael, ―The
modes in metal cutting‖, Annals of CIRP, 1990, Vol.39(1), pp:47-51. influence of rake angle, cutting feed and cutting depth on residual
[53] [53] P.C. Wanigarathne, Dillon Kardekar, A.D. Poulachon I.S. Jawahir, stresses in hard turning‖, Journal of Materials Processing Technology,
―Progressive tool-wear in machining with coated grooved tools and its 2004, Vol.147, pp:181–184.
correlation with cutting temperature‖, Wear, 2005,Vol.259, pp:1215-
1224.
107
The Effect of Process Variables on Bead Width

and Reinforcement in Submerged Arc Weld
Deposits
Vinod Kumar
vk_verma5@rediffmail.com
Abstract: Submerged arc welding (SAW) is the variables must be selected before a weld can be
characterized by its high reliability, deep penetration, specified for a given welding situation, especially where
smooth finish and high productivity, especially for automated welding equipment is used. According to Parmar
welding of pipes and boiler joints. The present work has [1], in order to automate a welding process it is essential to
been designed to consume developed fluxes prepared establish the relationship between process parameters and
from waste flux dust. In this work mathematical models weld bead geometry to predict and control weld bead
have been developed for bead geometry using developed quality.
fluxes. The bead width and reinforcement affect the The work of various authors concerning weld bead
number of passes required to fill a joint and flux shape has been summarized by Shinoda and Doherty [2].
constitutes approximately half of the welding cost in McGlone [3] and McGlone and Chadwick [4] carried out
SAW. Therefore both of these are important further studies on the work of Shinoda and Doherty to
considerations in submerged arc welding process. The review on submerged arc welding, the variables included in
results of bead on plates weld measurements are these studies were being welding current, welding voltage,
presented to determine the effect of process variables on welding speed, joint preparation angle and electrode
bead width and reinforcement. The ANOVA technique diameter. Chandel et al. [5] extended the study to include
has been adopted to check the level and degree of the the effects of electrode polarity and electrode extension on
direct or interactive effect of process variables on bead weld penetration, total fusion area and electrode melting
width and reinforcement. Response surface rate. It was found in the study of Baach [6] that the bead
methodology has been applied to derive mathematical width affects the load carrying capacity of the weldment
models that correspond to the welding phenomena, and the number of passes required to fill a joint and is
which consumes developed flux. Main and interaction therefore an important geometrical feature of the
effects of the process variables on bead width and submerged arc welding.
reinforcement are presented in graphical form. By Mohan & Pandey [7] studied the effect of welding
selecting appropriate process parameter values it is current in submerged arc welding. Too low or high current
possible to predict as well as control the bead width and causes the arc instability. Researchers McGlone [8] and
reinforcement. Gupta et al [9] observed that bead width increases with an
increase in current until it reaches critical value and then
Keywords: Bead geometry; RSM; Design of Experiment; decreases with an increase in welding current. Yang [10]
submerged arc welding observed that the bead width was not affected significantly
by the types of the power source, constant voltage or
I.INTRODUCTION constant current, when an acidic flux was used. Pandey [11]
observed that welding current increases with increase in
The primary function of the flux in SAW is to protect the welding wire feed rate and it interacts with open circuit
weld pool from atmospheric contamination. It facilitates in voltage and nozzle to plate distance. Ghosh and Khanna
a slower cooling rate resulting in the desired mechanical [12] analyzed the effect of electrode polarity and welding
properties as well as metallurgical characteristics of the current on mechanical properties of SAW. Gupta [13] and
weldment. Extensive studies have been carried out to Mohan [14] conducted study to analyze the effect of
determine the effect of the various process variables on the welding parameters on flux consumption. According
weld bead geometry. This is necessary, since in practice all
108
to Vihsvanath [15] agglomerated fluxes have low flux

consumption as compared to fused fluxes.
Bead Width (W) =+18.28 +1.23 x A+ 0.29 x B1.06 x
In submerged arc welding approximately 15% of the C0.10 x D + 0.20 x A20.54 x B20.29 x C20.90 x D2+
flux gets converted into very fine particles termed as flux 0.34 x A x B  0.60 x A x C + 0.19 x A x D + 0.29 xB x C-
dust before and after welding, due to transportation and 0.097 x B x D + 0.052 x C x D ……….(1)
handling. If welding is performed without removing these
very fine particles from the flux, the gases generated during
welding are not able to escape, thus it may result into Reinforcement (R) = + 2.94-0.91x A+ 0.19 x B-0.24 x C-
surface pitting (pocking) and even porosity. On the other 0.52x D + 0.40 x A20.15 x B2+0.22 x C2 + 0.85 x D2
hand, if these fine particles are removed by sieving, the cost 0.42xAxB + 0.041xAxC + 0.41x Ax D + 0.034x B x C +
of welding will be increased significantly. And if this flux
4.071E003 x B x D + 0.012x C x D ……….(2)
dust is dumped / thrown, will create the pollution.
Therefore to reduce the cost of welding and pollution,
Vinod et al. [16] developed agglomerated fluxes by TABLE I
utilizing wasted flux dust. In the present study an attempt PROCESS CONTROL VARIABLES AND THEIR LIMITS
has been made to investigate the effect of using developed Parameters Notations Limits
fluxes on bead geometry i.e. bead width and reinforcement
through experiments based on design matrix -1 0 +1
Voltage A 32 35 38
II. EXPERIMENTATION (volts)
Current B 375 425 475
(amperes)
RSM is a collection of statistical and mathematical methods Welding Speed C 24 27 30
that are useful for modeling and analyzing engineering (m/hr)
problems [17]. Based on Box Behnken design of response Basicity Index D 0.6 0.9 1.2
surface methodology, experiments have been conducted
with three different levels of process parameters to obtain
bead-on- plate weldment on mild steel plates (200 x 75x 12
IV. RESULTS AND DISCUSSION
mm3). Based on the effect on weld bead geometry, ease of
control and capability of being maintained at the desired The analysis of variance (ANOVA) was applied to study
level, four independently controllable process parameters the effect of input parameters on the bead width and
were identified namely, the open circuit voltage (A), current reinforcement. It reveals that the quadratic model is the best
(B), welding speed (C) and basicity index (D). The upper suggested model. So, for further analysis this model was
and lower limits were coded as +1 and −1, respectively. used.
The selected process parameters and their upper and lower
limits together with notations and units are given in Table I. A. The effect of Process variables on bead width: Fig.1
The experiments were conducted using Ador submerged shows effect of process parameters on bead width. It is
arc-welding equipment, Tornado 800 with 4 mm electrode apparent that bead width increases with increase in open
wire. circuit voltage. Bead width (W) increases from 17.24 to
19.70 mm with the increase in open circuit voltage from 32
III. MATHEMATICAL MODEL OF THE BEAD to 38 volts. It can be attributed to the increase in arc length
WIDTH AND REINFORCEMENT with the increase in open circuit voltage, which in turn
results in spreading of the arc cone at its base which results
The necessary data required for developing the response in more melting of work piece instead of penetrating the
models have been collected by designing the experiments plate. In fact excessive increase in voltage can result in
based on Box-Behnken Design (BBD) using state ease 6.0 nearly flat bead. Bead width initially increases with
version of design of experiment. Two transverse specimens increase in current, then reaches peak value and then
were cut from each welded plate. These specimens were decreases with increase in welding current from 375 to 475
prepared by the usual metallurgical polishing methods and amperes. This effect is due to increase in heat input and the
etched with 2% nital. The profiles of the beads were traced weight of the weld metal deposited [16].
by using optical profile projector. The bead width and flux
consumption results for the 29 experiments are given in
Table II. The response equations for bead width (W) and
reinforcement (R) so obtained are given below:
109
TABLE II
DESIGN VALUES AND OBSERVED VALUES OF BEAD WIDTH AND REINFORCEMENT
Expt.
Run Process Parameters Response factors
No.
A Voltage B C D W R
(volts) Current Welding Basicity Bead Reinforcement
(amperes) Speed Index Width (mm)
(m/hr) (mm)
1 1 -1 0 1 17.76 3.201
2 -1 0 0 0 17.24 4.043
3 0 0 0 1 17.81 3.345
4 0 -1 1 1 15.192 2.955
5 -1 0 0 -1 16.79 6.025
6 0 -1 0 0 17.48 2.382
7 0 0 0 1 17.2 3.245
8 0 1 -1 1 17.215 3.55
9 0 0 0 1 17.54 2.94
10 -1 0 -1 1 16.345 4.58
11 0 0 0 1 16.792 3.59
12 1 0 0 0 19.475 2.544
13 0 0 1 -1 15.812 4.392
14 0 0 1 0 16.99 3.01
15 0 1 0 -1 17.515 4.191
16 1 1 0 1 18.855 2.899
17 1 0 0 -1 18.985 3.22
18 0 1 0 0 17.865 3.135
19 0 1 1 1 16.2 3.165
20 -1 1 0 1 15.295 4.875
21 1 0 1 1 16.873 3.192
22 0 0 -1 0 19.355 3.45
23 -1 0 0 1 15.18 4.045
24 1 0 -1 1 20.44 3.565
25 -1 -1 0 1 15.56 3.49
26 0 0 -1 -1 17.905 4.906
27 0 0 0 1 17.042 3.205
28 0 -1 -1 1 17.365 3.475
29 0 -1 0 -1 16.63 4.005
These factors contribute to an increase in weld pool size decrease in metal deposited rate and heat input with the
and consequently increase the bead width. It is apparent that increase in welding speed. The bead width increases from
weld bead width decreases steadily with the increase in 17.44 to 18.04 mm with change in current from 375 to 475
welding speed. The bead width decreases from 19.04 to amperes. The combined effect of these factors results in
16.92 with increase in welding speed from 24 to 30 m/hr. decrease in bead width with the increase in welding speed.
This negative effect of speed on W is due to the fact that The effect of basicity index on bead width is not significant.
when speed increases, the thermal energy transmitted to the
base plate from the arc or line power per unit length of the B. The effect of Process variables on reinforcement: From
weld bead decreases and less filler metal is deposited per Fig. 2 it is observed that the reinforcement (R) decreases
unit length of weld bead, resulting in thinner and narrower with the increase in open circuit voltage and welding speed
weld bead. Hence, at lower travel speeds, the weld bead is and increases with the increase in welding current.
larger in mass, whereas at higher travel speeds, it is lesser Reinforcement decreases with increase in basicity index. It
in mass. If speed decreases, the bead becomes wider, flatter is seen from this graph that reinforcement decreases from
and smoother [18]. It can be explained on the basis of 4.24 to 2.42 mm with change of voltage from 32 to 38
110
volts, and decreases from 3.39 to 2.92 mm when welding the weld pool causes a higher reinforcement. Its value
speed increases from 24 to 30 m/hr. When current changes increases from 4.29 to 3.26 mm with increase in basicity
from 375 to 475 amperes, it changes from 2.59 to 2.97 mm. index from 0.6 to 1.2.because low basicity index fluxes
As current increases the temperature and hence the heat have high viscosity which the tendency of heat
content of the droplets increases, which results in more heat concentration in the narrow zone. This is consistent with the
being transferred to the base material. Increase in current study of Gupta [13].
also increases momentum of the droplets, which on striking
Fig.1 Effect of process variables on Bead Width Fig.2 Effect of process variables on Reinforcement
C. Response surface graphs: trend of bead width with the increase in open circuit
voltage.
Fig. 3 and 4 gives the 3-D surface graphs for the bead width
and reinforcement. It is apparent from Fig.3 that the It is observed in Fig.4 that reinforcement decreases with
increase in voltage increases W for all values of speed. The the increase in voltage, when the current changes from 375
bead width increases from 17.40 to 21.07 mm and from to 475 amperes. These interaction effects can be explained
16.49 to 17.75 mm with the increase in voltage from 32 to on the basis of effect of voltage, current and basicity index
38 volts, at the welding speed 24 and 30 m/hr respectively. on reinforcement. Voltage has positive effect on
It shows that the increasing trend of bead width with the reinforcement whereas current has negative effect on
increase in open circuit voltage decreases with the increase reinforcement. The negative effect is dominant while
in welding speed. It is due to the fact that open circuit considering the interaction of voltage and current.
voltage has a positive effect whereas welding speed has Reinforcement decreases with increase in voltage from 32
negative effect on bead width. Therefore the combined to 38 volts for all values of current.
effect of these parameters causes the decrease in increasing
Fig. 3 3-D surface graphs for the bead width Fig.4 3-D surface graphs for the reinforcement
111
V. CONFIRMATION TEST
So the response equations for the bead width and flux
In order to confirm the accuracy of the developed model, consumption evolved through RSM can be successfully
confirmation experiments were performed (Table III). The used to predict the bead geometry for any combination of
predicted and the associated experiment values were process parameters within the range of the experiments
compared and the percentage error was calculated. The conducted.
percentage error was found to be within permissible limits.
TABLEII
COMPARISON OF ACTUAL AND PREDICTED VALUES OF WELD BEAD PARAMETERS
Process variables in coded form Predicted values of Actual values of bead % Error
bead width & width & reinforcement
reinforcement
A B C D W R W R W R
1 -1 0 -1 1 17.38 3.24 17.88 3.3 2.87 1.85
2 1 1 0 1 18.89 3.27 18.87 3.19 -.001 -2.44
3 0 -1 0 0 17.45 4.66 17.57 4.62 0.006 -3
4 0 1 0 0 18.03 2.79 18.12 2.82 0.005 1.07
[2]. T.Shinoda, and J. Doherty, “The relationship between arc welding

VI. CONCLUSIONS parameters and weld bead geometry--A literature survey”, The Welding
Institute Report 74/1978/PE. 1978.
In this paper, RSM has been used to determine the bead
width and reinforcement for various input parameters [3]. J.C. McGlone, “The submerged arc butt welding of mild steel, Part 1:
The prediction of weld bead geometry from the procedure parameters,”
namely the voltage, welding current, welding speed and The Welding Institute Report80/1978/PE, 1978.
basicity index. A RSM model can successfully relate the
above process parameters with the response factors i.e. bead [4]. J.C.McGlone and D.B. Chadwick, “The submerged arc butt welding of
width and flux consumption. mild steel, Part 2: The prediction of weld bead geometry from the
procedure parameters,” The Welding Institute Report80/1978/PE,
December, 1978.
The present work has shown that the bead width in
submerged arc welding is affected by voltage, welding [5]. R.S. Chandel, S.R Bala and, L. Malik ,“Effect of submerged arc
current, welding speed. Out of the four process variables process variables on penetration and its prediction,” Weld. Met. Fab.
August 1987.
considered, open circuit voltage had a significant positive
effect on bead width and negative effect on reinforcement. [6]. H. Baach, “Submerged arc wielding: Combined increased deposition
Welding speed had an appreciable negative effect on most rates with improved mechanical properties,” National Conference on
of the important bead parameters Bead width and welding, Indian Institute of welding, Trichi, 1981.
reinforcement increases with increase in current. The [7]. S. Pandey,“Welding current and welding rates in submerged arc
interaction of voltage and current had a significant effect wielding: An approach,” Australian Welding Journal, vol.2, 2004, pp.34-
on reinforcement. 42.
[8]. J.C.McGlone,“Weld bead geometry prediction-A review”, Metal

Thus it is seen that within the present experimental Construction, vol. 14(7), 1982. pp. 378-384.
domain, using the developed flux prepared from waste flux
dust had no adverse effect on bead width and [9]. S. R. Gupta and N. Arora, “Influence of Flux Basicity on Weld
reinforcement. Detailed experimentation on the effect of Bead Geometry and HAZ in Submerged Arc Welding,” Indian Welding
Journal, July 1991 pp. 127-133.
developed flux on mechanical properties and metallurgical
characteristics of the weldment is to be rigorously done. If [10]. L. J. Yang, R.S. Chandel and M.J. Bibby, “The effects of process
the outcome becomes positive, then developed flux variables on the bead width of submerged-arc weld deposits,” Journal of
prepared this way can be recommended to be used as an Materials Processing Technology. vol. 29(1), 1992, pp.133-134.
alternative to fresh flux in practical situations to yield
[11]. S. Pandey, and N.Mohan, “Investigation into flux consumption”,
“waste to wealth”. International conference on CAD, CAM, Robotics and Autonomous
Factories, Indian Institute of Technology, Delhi, 2003.
REFERENCES [12]. P.K. Ghosh and A. Khanna, “ The influence of electrode polarity
and welding current on mechanical properties of submerged arc
wielding,” Indian Welding Journal, vol.24(3), 1991, pp.145-150.
[1]. R.S.Parmer, “Welding Processes and Technology,” Khanna
Publishers, New Delhi, 1992. [13]. S.R. Gupta and P.C. Gupta, “Investigation into flux consumption in
submerged arc wielding”, Indian Welding Journal, vol. 21(3), 1988,
pp.365-369.
112
[18]. D.L. Olson, R. Dixon and A.L. Liby, “Welding Theory and Practice”,
[14]. N. Mohan and S. Pandey, “Welding current in submerged arc North-Holland Publication, 1990.
wielding,” Indian Welding Journal, vol. 36(1), 2003, pp. 18-22.
[15]. P.S. Vishvanath, “Submerged arc welding fluxes,” Indian Welding

Journal, vol.15, no.1, 1982, pp. 1-11.
[16]. Vinod, K., Mohan, N., and Khamba, J.K. “Development of cost
effective agglomerated fluxes from waste flux dust for submerged arc
welding”, Proceedings of World Congress on Engineering, Imperial
college, London, 1-3 July 2009, 561-565.
[17]. R. Myers, and, D. Montgomery, “Response surface methodology”,

John Wiley & Sons, New York, 2004.
113
Some Investigations on Mechanical Properties of

Developed Basic Fluxes for Submerged Arc
Welding
Vinod Kumar
vk_verma5@rediffmail.com
Abstract: A granular flux which is used in submerged arc termed as flux dust due to transportation and handling. At the
welding plays an important role in deciding the weld metal same time dumping of this flux dust will create pollution. In
quality and it may cost up to half of the total welding consumable the present study an attempt has been made to investigate the
cost. A significant percentage of the flux gets converted into very influence of the developed basic flux prepared by utilizing
fine particles termed as flux dust, due to transportation and wasted flux dust on the tensile properties and toughness of the
handling. Welding defects like porosity occur if welding is
performed without removing these very fine particles from the
welded joints. The chemical composition and mechanical
flux and if these fine particles are removed by sieving, the cost of properties viz. tensile strength and toughness of the all weld
welding will be increased significantly. The present study has metal using basic developed flux as well as parent fluxes of the
been conducted to investigate the viability of developing an basic same type were compared. The radiographic examinations of
agglomerated flux by utilizing wasted flux dust of the parent all the welded joints were conducted to check weld metal
commercial basic flux. The chemical composition and mechanical integrity. Therefore the developed flux prepared from the
properties of the all weld metal prepared by using developed waste flux dust can be used without any compromise in
basic flux were found to be in the same range as that of the weld mechanical properties and quality of the welded joint. It will
metal prepared from parent commercial acidic flux. The reduce the cost of welding and pollution.
radiographic examination of the welded joint made by developing
flux was also found to be sound. Therefore the welding cost and
pollution can be reduced, without any compromise in weld II. EXPERIMENTATION
quality, by utilizing the developed flux prepared from waste flux In the present study one agglomerated cost effective basic flux
dust of the parent flux. was developed by using the flux dust of parent flux with
addition of potassium silicate as binder and aluminum powder
Keywords: Submerged arc welding; Tensile Properties; as deoxidizer. The solution of potassium silicate binder (90 ml
Toughness in 550 grams of flux dust) was added to the dry mixed powder
I. INTRODUCTION of the flux dust and aluminum powder (4% of the weight of the
Flux plays an important role in deciding the weld metal flux dust) and it was wet mixed for 10 minutes and then passed
quality [1]. It may cost 50% of the total welding cost in through a 10 mesh screen to form small pallets. Potassium
submerged arc welding. It influences the weld metal silicate was added as binder because of better arc stability [10].
physically, chemically and metallurgically. Physically, it The pallets of the flux were dried in air for 24 hours and then
influences the bead geometry and shape relationships, which in baked in the muffle furnace between 650-7000C for nearly 3
turn affects the load carrying capacity of the weldment [2]. hours. After cooling these pallets were crushed and
Chemically it affects the chemistry of weld metal, which in subsequently sieved through 14, 20 and 48 mesh screens and
turn influences the mechanical properties of the weld metal [3]. the final granular size of developed flux was almost equal to
Metallurgically, it influences the microstructure and hence that of parent flux. After sieving, fluxes were kept in air tight
again affects the mechanical properties of the weld metal [4]. bags and baked again at 3000C before welding.
It has been reported that agglomerated fluxes produce weld A constant voltage D.C submerged arc welding power
deposits of better ductility and impact strength as compared source was used for preparing the joints of mild steel plates of
with fused fluxes [5]. Alloy transfer efficiency is also better in the dimensions 300 x 125 x 25 mm using 4 mm diameter wire
case of agglomerated fluxes. These fluxes are hygroscopic in electrode of grade C (AWS-5.17-80 EH-14). Direct current
nature, therefore baking is essential for good weld metal
electrode positive polarity (DCEP) was used throughout the
integrity [6].
experimentation. The plates were cleaned mechanically and
Prashad and Dwivedi [7] investigated the influence of chemically to remove the rust, oil and grease from the fusion
submerged arc welding process parameters on microstructure, faces before welding. The surfaces of the backing plates were
hardness and toughness of HSLA steel weld joints. Datta and also made free from rust and scale. The backing plates of 12
Bandyopadhyay [8] has recycled slag generated during mm thick were tack welded to the base plates. The plates were
conventional submerged arc welding (SAW) by mixing preset so that they remain approximately flat after the welding
varying percentages of crushed slag with fresh flux to use in
operation has been completed. The inter-pass temperature was
subsequent runs. In the work of Datta [9] application of the
Taguchi method in combination with grey relational analysis maintained in the range 200-2250C. The chemical composition
has been applied for solving multiple criteria (objective) of mild steel base plate and wire are shown in Table I.The
optimization problem in submerged arc welding (SAW). No welding conditions, as shown in Table II, were kept constant
work so far has been performed to develop the flux by using throughout the experimentation. Welding conditions were
waste flux dust. Approximately 10-15% of the flux used in selected by conducting trials on the machines for the bead
submerged arc welding gets converted into very fine particles
appearance, detachability of slag and arc stability.
Table II
Chemical Composition of Base Plate and Electrode Wire
Element
C Mn Si S P Ni Cr
(%)
114
Base
0.21 0.2 0.26 0.028 0.025 0.12 0.43
Plate
Electrode
0.069 1.86 0.1 0.028 0.023 Nil Nil
Wire
Mn Si Ni Cr Mo V (1)
C equivalent  C      
6 24 40 5 4 4
Four layer high weld pads were made for the basic developed
agglomerated flux and parent flux as per AWS A5.23-90 Where C, Mn, Si, Ni, Mo and V represent the metallic
standard with the same welding conditions. The chemical content, expressed as percentage
compositions of all weld metal were evaluated by using
spectrometer. The two butt weld joints were made with mild
Tensile strength of the welds depends upon carbon
steel as base plate and backing strip. The welded assembly was
equivalent. It has been reported by Lancaster [12] that carbon
subjected to radiographic examination to ascertain weld
equivalent higher than 0.45 had susceptibility to cold cracking
integrity prior to mechanical testing. The backing plate was
after welding. The carbon equivalent of the welds for the flux
removed by machining before conducting radiographic
in this article is lowers than 0.45.
examination. Three all weld metal tensile test pieces were cut
from each welded plate and machined. The tensile tests were
Additional potassium silicate binder, which was added for
carried out on a universal testing machine. Scanning electron
microscopy of the fractured surfaces of tensile test specimens agglomeration of the flux dust, contains silicon di-oxide. The
were carried out at 20kV and 1500 X on microscope. silicon di-oxide dissociate into oxygen and silicon due to heat
during welding. It causes the additional amount of oxygen and
Charpy V notch impact test was carried out to evaluate the silicon content in the weld pool [13]. The additional amount
toughness of the welded joints at 00C. The zero degree of oxygen results in oxidation of manganese and hence the
centigrade temperature was attained by keeping impact test less manganese content in the weld metal laid by using the
specimens under ice cubes. Charpy impact tests were
developed flux as compared to the weld metal laid by using by
performed on standard notched specimens obtained from the
welded joint. The notch was positioned in the centre of the using the parent flux. The additional amount of silicon results
weld and was cut in the face of the test specimen perpendicular in increase of silicon content and hence the higher silicon
to the surface of the plates. Five all weld metal impact test content in the weld metal laid by using the developed flux as
samples were cut from each welded joint of plates. These compared to the weld metal laid by using the parent flux.
samples were then fine polished by the surface grinder. Among
the five values of the impact strength the lowest and the The radiographs of the welded joint which were
highest values were discarded and average of the three values prepared using developed fluxes were found to acceptable as
was taken for the evaluations of impact strength of the groove
per 9.252 of AWS D.1.15-88 radiographic standard of dynamic
welds. The charpy impact tests results obtained from the weld
metal showed rather good repeatability. The same procedure loading. The average values of tensile properties, yield
was applied to the developed flux and commercially available strength, ultimate strength, elongation percentage, area
parent flux to investigate the compatibility of the developed reduction percentage and average impact strength of the
flux with the commercial flux. developed flux as well as parent flux are shown in TableIV
and Table V respectively. The tensile strength and average
III. RESULTS AND DISCUSSION impact strength of all weld metal obtained by using the
developed and parent flux are reported to be in the same range.
The flux behavior of the basic developed fluxes was found to
However, the tensile strength and impact strength of all weld
be satisfactory. The bead surface appearance was observed to
be excellent and free from any visual defects and is laid by using the parent flux are slightly higher than the tensile
comparable with the parent flux. strength and impact strength of all weld laid by using the
developed flux. It is attributed to slightly higher carbon
As shown in Table III the compositions of all weld metal equivalent of all weld metal laid by using parent flux than that
of the developed and parent flux are found to be in the same of carbon equivalent of all weld metal using the developed
range. However, manganese content of the weld metal laid by flux.
using the developed flux is slightly lower than the weld metal
laid by using the parent flux. The silicon content of the weld
metal laid by using the developed flux is higher than the weld
metal laid by using the parent flux. The carbon equivalent was
be computed from the following equation [11]
Table III
Chemical Composition of all Weld Metal Laid by Developed and Parent Fluxes
Carbon
Element
C Mn Si S P Ni Cr Equivalent
(%)
Developed
Flux
0.05 1.35 0.47 0.013 0.018 0.037 0.0345 0.30157
Parent
Flux
0.041 1.5 0.43 0.018 0.016 Nil 0.09 0.3269
115
Table IV
Tensile Strength of all Weld Metals Laid by using Developed and Parent Fluxes
Area
Yield Tensile Carbon
Elongation Reduction
Flux Strength Strength Equivalent
(%) (%)
(N/mm2) (N/mm2
Developed
Flux
495 584 22 66 0.30157
Parent Flux 481 586 28 68

0.3269
Table V
Impact Strength of all Weld Metals Laid by using Developed and Parent Fluxes
Impact strength / Toughness (joules)
Flux
Observations
1 2 3 4 5 Average
Developed
170 146 182 138 153 153.66
Flux
Parent Flux 138 155 158 148 159 156.33
Fig.2 and Fig.3 show the scanning electron micrographs of the micrographs of both the specimens show the ductile mode of
fractured tensile test specimens of the weld laid out at same fracture.
parameters using developed as well as parent basic flux. The
Fig. 2 SEM Image of Tensile Test Fractured Fig. 3 SEM Image of Tensile Test Fractured
Surface by Parent Flux Surface by Developed Flux
IV. CONCLUSIONS visual defects and is comparable with that of parent

commercial flux. The welded joint prepared by using the
The flux behavior of the developed flux was found to be developed flux was found to be radiographically sound. The
satisfactory. The weld bead surface appearance obtained by the chemical composition of all weld metal laid by using
developed flux was observed to be excellent and free from any
116
slightly higher than the tensile strength and impact strength of

all weld laid by using the developed flux. Therefore the flux
dust can be reused after developing as agglomerated basic flux
developed flux is comparable with all weld metal laid by using without compromising with the quality. Thus the present study
the respective parent basic flux. The tensile strength and utilizes the concept of waste to wealth.
impact strength of all weld laid by using the parent flux are
[8]. S. Datta, A.Bandhopadhayay and P.K. Pal, “Slag recycling in submerged

arc welding and its influence on weld quality leading to parametric
optimization,” International journal of advanced Manufacturing Technology,
REFERENCES 2008, Vol. 39, pp.229-238.
[1]. Louise Davis, “An introduction to welding fluxes for mild and alloy steels, [10]. S. Datta, A.Bandhopadhayay and P.K. Pal, “Application of Taguchi
Cambridge,”1981, The British Welding institute. philosophy for parametric optimization of bead geometry and HAZ width in
submerged arc welding using a mixture of fresh flux and fused flux, ”
[2]. P.Yang, “The effects of process variables on the weld deposit area of International journal of advanced Manufacturing Technology, 2008, Vol. 36,
submerged arc weld”, 1993, Welding journal, Vol.72, pp.11s-18s. pp.689-698.
[3]. M.I.E Davis, “How submerged arc flux composition influences element [11]. N.Mohan and S.Pandey,“Investigation into flux consumption”,
transfer”, 1980, Welding journal, Vol.52, pp.1s-20s. International conference on CAD, CAM, Robotics and Autonomous Factories,
2003, IIT, Delhi, India”.
[4]. J.E Indacochea and D.L.Olsen, “Relationship of weld metal microstructure
and penetration to weld metal oxygen control,” 1983, Material for energy [12].Mercado Ana Ma, Hirata, Victor and Lopez, Munoz, “Influence of the
systems, Vol.5, pp.139-145. chemical composition of flux on the microstructure and tensile properties of
submerged-arc welds,” 2005, Journal of Materials Processing Technology,
Vol. 169, pp.346–351.
[5]. P.S.Vishvanath, “Submerged arc welding fluxes,”1982, Indian welding
journal, Vol.15, pp.1-11.
[12]. J.F.Lancaster,” Metallurgy of Welding, London, Alden Press Ltd., 1980,
[6]. N.Mohan and S.Pandey, “Welding current in submerged arc welding,” pp. 25–50.
2003, Indian Welding journal, Vol. 36, pp.18-22.
[13]. T.Lau G.C.Weatherly and A.Maclean, “Gas/ metal/slag reactions in
[7]. K.Parshad and D.K.Dwivedi, “Some investigations on microstructure and submerged arc welding using Cao-Al2O3 based fluxes”, 1980,Welding
mechanical properties of Submerged arc welded HSLA steel joints”, journal, Vol. 69, pp.31s -39s
International journal of advanced Manufacturing Technology, 2006, Vol. 36,
pp. 475-483.
117
Simulation Studies on Slurry Flow Analysis for

Jet Erosion Testing
Prabhakar M.Bhovi1, Dheeraj Gupta2, A.K.Sharma3, Sushanta Dutta4
Department of Mechanical and Industrial Engineering
Indian Institute of Technology Roorkee, Roorkee – 247 667, India.
1
pra22pme@iitr.ernet.in,
2
dkg09dme@iitr.ernet.in,
3
akshafme@iitr.ernet.in,
4
duttafme@iitr.ernet.in
Abstract-- Slurry flow pattern plays an important role in the high wear properties. It has been seen that cladding of
slurry jet erosive wear testing. It is difficult to know the actual hardfacing materials is also one of the methods of surface
flow pattern in the laboratory for characterization of slurry treatment available which alter the surface properties of a
jet erosion behavior. However, slurry flow through pipe and material in order to increase the erosion resistance of that
nozzle can be simulated in order to assess the characteristics component [2].
of a slurry jet that impinges onto the candidate coated
surfaces. In the present work, the slurry flow analysis has It is very difficult to get actual slurry jet erosive
been carried out with the help of a commercially available
phenomenon in laboratory experiments. Several researcher
computational fluid dynamics solver (Fluent 3.6.26). The flow
pattern of 10% wt concentration of silica-water slurry passing developed test rig for evaluating the performance of surface
through a uniform cross section pipe of length 600mm having modified samples. The measure limitations of their test rig
diameter 25.6 mm was studied. Results show there is no are circulating the same slurry for the said duration of
transition in velocity component, and pressure was uniform experiments owing to which deterioration of erodent
throughout the length of the pipe which is attributed to the particles loose their geometry, shape and hardness etc.
characteristic of laminar flow. In the later stage, the discharge Despite of these facts results cannot correlate with actual
of same concentration slurry goes in to the nozzle section. In conditions. In the present work it is attempted to show the
the nozzle, a sudden transition of velocity and pressure does flow characteristics of slurry through simulation process
occur in terms of conversion of the pressure head into velocity
using software tools inside the nozzle and to achieve the
head. The highly turbulent zone of slurry has been seen inside
the nozzle. The velocity observed at the outlet of the nozzle is actual working conditions in the laboratory experiments.
130 m/sec.
II. Slurry Flow Pattern
Key words: Flow Simulation, Silica slurry, Flow analysis,
Slurry flow through pipe and nozzle can be simulated in
Nozzle. order to assess the wear characteristics of coated surfaces
while subjected to slurry type of erosion. The flow pattern
I. Introduction studied for different boundary conditions to analyze
impinging velocity while coming out from nozzle.
Erosive wear is a complex phenomenon that depends on
(i) eroding particles, their size, shape, hardness and A. Theoretical Aspects:
concentration (ii) substrates, chemistry, surface hardness
and surface morphology and (iii) operating conditions, Fluid flow process play a vital role in a great variety of
velocity and impingement angle [1]. When slurry practical situations such as power production, chemical and
containing abrasive hard particles impinges on to the metallurgical industries, aircraft and rockets, design of
surface, loss of material from the surface will occur leading turbine machinery and pollution of the natural environment.
to loss of part dimensions. This results in lower system
performance. This cannot be avoided completely, but can The investigation of fluid flow process can be done by
be reduced to an economically acceptable level. Most of two main methods namely, experimental and theoretical.
investigators have reported that in spite of replacing the Experimental investigation offers the most reliable
component or design changes in the components, (turbine information about a physical process. However, there are
impeller, runner, vane, gas turbine engine compressor serious difficulties of measurements in many situations and
blading, marine propeller etc) providing coating/cladding the measuring instruments are not free from errors. Often
on the substrate [1].The enhancement of surface properties such measurement itself interferes significantly with the
of material through surface modification technology can process being measured, thus making total experimental
resist erosion on parts significantly. Surface modifications knowledge of the process impossible to obtain [3].
are required to improve wear resistance properties. Wear is Theoretical investigation works out the consequences of a
surface phenomenon rather to replace the material with mathematical model of the process which often consists of
118
a set of partial equations for the physical quantities of A. Selection of the turbulence model:
interest. The advantage of theoretical investigation over a
corresponding experimental investigation is its low cost, There are various turbulence model are available like
remarkable speed, detailed and complete information of the standard k-ε model, RNG k-ε model, standard k-ω model
process under different conditions. and SST k-ω model. But no single model is universally
acceptable as being superior for all types of problems. The
A numerical method adopted to approximate the choice of turbulence model depends on many factors such
governing equations, along with the relevant boundary as physics encompassed in the flow, the established
conditions, by a system of linear algebraic equations is practice for a specific class of problem, the level of
known as a discretization method. Thus, a problem accuracy required, the available computational resources
involving calculus is transformed into an algebraic problem and the time available for simulation.
which can be solved on a computer using a solution
methodology. A discretization technique and a solution The silica diameter of particles is 400 microns slurry of
methodology constitute the numerical methodology to concentration (10 %) by weight enters at the solid mass
solve a fluid flow problem. flow rate 1 kg/s with 13 m/s normal velocity. The outlet is
assumed to be an outflow boundary. Turbulent, isothermal,
B. Boundary conditions: and steady state conditions were considered to solve the
flow field.
The mathematical formulation of the problem is
incomplete without prescribing boundary conditions, which 1) Material properties: The properties of the fluid and
correspond to the specific physical model. The solid, mixture of both forms of slurry flowing through pipe
specification of mathematically correct boundary and the nozzle are as shown in Table 2.
conditions that ensure the uniqueness of the solution, while
being compatible with the physics at the boundaries, is not Table2. List of material properties used for flow simulation.
always straightforward. Before arriving at the boundary
conditions at various boundaries, we have to first identify Material Properties
the solution/computational domain of the problem. The Water(fluid) ρ=998.2 kg/m³
physical domain and computational domain usually differ. Sand (inert-particle) ρ =1602 kg/m³
However, the computational domain largely depends on the
geometry of the physical domain.
The boundary conditions defined at various boundaries 2)Injections of inert particle (sand): The injection of the
of the computational domains for the flow through pipe and material can be made to set injection property and select
nozzle. In the existing model the set boundary conditions are inert-particle, sand as an inert particle which has density of
given in Table 1. 1602kg/m3 .We have selected in the material property list
as inert particle and enter inert particle as sand.
Table1. Boundary conditions used for the flow field
analysis. 3) Boundary conditions: The boundary conditions defined
at various boundaries of the computational domains for the
Boundary Condition flow through pipe and nozzle.
Inlet Velocity (13 m/sec), 4) Solution controls: The various controls are set to obtain
mass flow rate (1 kg/sec), solution of the problem. The pressure-velocity coupling is
size of the sand particle (400 µm) simple, discretization has set to standard pressure and
and concentration by weight (10 %) momentum of second order upwind.
Cylindrical pipe Wall
5) Initialization: An initial guess is to be made for a flow
and nozzle
parameter for starting the solving of equations. The
Outlet Outflow accuracy of the results obtained finally depends to a great
extent on the convergence criterion set. The convergence
criterion set is of order of 0.001 for flow.
III. Formulation of the Problem
6) Iterations: The accuracy of the results that will be
The problem to be considered for flow of slurry through obtained depends on the number of iterations permitted to
cylindrical pipe and nozzle. To study flow analysis and continue. The iterations must be allowed to continue till the
available velocity at outlet of nozzle with the help of Fluent set convergence criterion is achieved. The results which are
software. Slurry flow was considered confined in the pipe obtained in this pattern are discussed.
and nozzle from inlet to outlet.
119
IV. Part of Geometry Model for Test Rig

Geometry modeling of a fluid system is very often
complicated due to the time dependency, nature of the fluid
flow and the complex supplementary conditions that
govern these systems. A geometrical model is generally
amenable to simulations.
The numerical solution is carried out using FLUENT

and GAMBIT software. GAMBIT is used for generating
geometry and required mesh for simulation using
FLUENT. The geometry and dimensions of the model is Fig.3. Residual convergence of flow.
shown in fig.1.
The flow field has been simulated by using FLUENT
6.3.26 .When high pressure slurry is passing through the
inlet of pipe, the flow field is uniform for the length of pipe
and the flow is laminar. When the flow field enters inside
the part of nozzle, the sudden transition in the turbulence
intensity can be seen in fig.4. The sudden transition is
attributed to the transition from quasi turbulent to fully
turbulent flow.
Fig.1. Geometry of the model.
Further the developed geometry has been meshed by

taking hexcooper of interval count 100 as shown in Fig.2.
Fig.4. Turbulent intensity contour.
When the high pressure flow is passing through the

uniform cross section of pipe, the pressure of flow stream is
Fig.2. Geometry of the model after meshing uniformly varying as can seen in fig.5. When the flow
stream reaches to zone 2, which is the part of nozzle, the
The resolution of the grid has great quantative impact pressure head is continually converted into velocity head
over the results obtained. There exists a level of refining of and at the just before the outlet of nozzle and it reaches
a computational domain beyond which there is no static pressure to -8e06Pa.
significant quantitative changes in the results achieved.
V. Results and Discussion

The accuracy of the results obtained finally depends to a
great extent on the convergence criterion set. The
convergence criterion set is of order of 0.001 for flow.
Fig.5. Static pressure contour
120
The velocity profile inside the assembly is shown in which causes extraction of kinetic energy from the mean
Fig. 6. The velocity distribution of in the zone 1 shows no flow.
fluctuation in velocity and it uniform throughout the length
of pipe which attributed to the laminar flow characteristic.
When flow reaches to zone 2 the pressure head is converted
into velocity head and sudden transition in the velocity of
flow stream can be seen in Fig. 6. The velocity observed at
the just outlet of nozzle is ~ 130 m/sec.
Fig.8.Turbulent kinetic energy contour.
V. CONCLUSIONS
In the present work, it is attempted to simulate the

actual conditions of flow patterns of a jet slurry used to
study the erosion behavior of a hardfacing coating or
cladding. The actual flow field inside the developed setup
before the fabrication has been carried out through Fluent
Fig.6. Velocity magnitude contour.
software. The result shows that the laminar flow slurry is
uniform across the section of the pipe. The sudden
transition is observed in nozzle assembly where the
velocity at the outlet of the nozzle is 130 m/sec. The
turbulent intensity is maximum at outlet of the nozzle and
also turbulent kinetic energy is observed maximum at outlet
of the nozzle due to extraction of energy from the mean
flow by the flow turbulence.
REFERENCES
[1] W. Gwiden, Stachowiak and Andrew W.Batchlor,

“Engineering Tribology”, Elsevier Inc., (2006) pp 501-551.
[2] J. H. Bulloch, J. L. Henderson,” Some Considerations of Wear

and Hardfacing Materials”, International Journal for Pres. Ves. &
Piping, vol. 46, (1991), pp 251-267.
Fig.7. Profile of velocity magnitude with respect to position
[3] M.M.Zdravkovich, Flow around circular cylinders, Oxford
Figure 7 shows the variation in the velocity with respect University Press, Newyork (1997).
to the characteristic length of the pipe and nozzle. It has
been seen that at the inlet of the pipe, velocity of the slurry [4] Jiyuan Tu, Guan Heng Yeoh, Chaoqun Liu, Computational
is 13 m/sec. During continuos flow of slurry inside the Fluid Dynamics- A Practical Approach. An imprint of Elsevier,
pipe, the velocity has been decreased to 9.65 m/sec which (2008).
is due to the fact of partial friction losses occurred inside
the pipe and the flow shows the characteristic of laminar. [5] R.J.K. Wood, T.F. Jones “Investigations of sand–water
induced erosive wear of AISI 304L stainless steel pipes by pilot-
The sudden transition in velocity has been observed when
scale and laboratory-scale testing” Wear vol. 255, (2003), pp 206–
slurry is entered in the nozzle and where continuous 218.
increase in the velocity occurred which reaches to a 130
m/sec at the outlet of the nozzle nevertheless the flow [6] R.Dasgupta,B.K.Prasad,A.K.Jha,O.P.Modi,S. Das “Effects of
characteristic is highly turbulent. sand concentration and slurry erosion of steels” Materials
Transactions, JIM, vol.39, No 12,(1998) , pp 1185-1190.
Figure 8 shows inlet of turbulent kinetic energy of
slurry flow varies through pipe and nozzle from 0.2369 [7] Frishman, M.Hussainov, A.Kartushinsky, A.Mulgi,
to75.71782 m²/s². The turbulent kinetic energy is the “Numerical simulation of a two-phase turbulent pipe-jet flow
measure of the velocity fluctuations on the mean flow. loaded with polydispersed solid admixture”, International journal
for multiphase flow, vol. 23, No. 4,( 1997), pp. 765-796.
From the figure it is observed that the velocity fluctuation
is maximum at the nozzle tip as the sand particles impinges
on the slanted wall of the nozzle at very high velocity
121
Study of Thrust Force and Torque in Secondary

Processing of Metal Matrix Composites
Sarbjit Singh1, Inderdeep Singh, Pradeep Kumar
Department of Mechanical and Industrial Engineering
Indian Institute of Technology, Roorkee. (U.K)
1
sarb1234@yahoo.com
Abstract— Thrust force and torque is the major concern wear rate when using conventional high speed steel tools.
among the researchers in machining of metal matrix Consequently, the development of effective machining
composites. High value of thrust forces and torque is because of method, which leads to a reduction in the overall cost of
reinforcement present in the metal matrix composites. The MMC components, is one of the major challenges yet to be
working parameter that effect the thrust force and torque are solved. Efforts have been made to develop near net shape
cutting speed, feed rate, geometry of the tool and the tool manufacturing for these products, but certain amount of
material. In the literature the range of cutting speed taken by finishing needs to be done to complete the assembly process.
the researchers is very large. They investigate it from 1.8m/min-
894m/min depending upon the type of work piece material,
However, for joining and assembling, secondary machining
percentage of reinforcement, type and material of tool used. The processes such as drilling are required. Drilling is often the
variation of the feed rate is much more consistent and it has last manufacturing processes to be performed on a part before
been varied from 0.05-0.63 mm/min, high value of feed rate is assembly.
rarely reported in the literature. Diameter of holes varies from
4mm-10mm by using high speed steel, High cobalt HSS, II. LITERATURE REVIEW
Titanium nitride, tungsten carbide, carbide tipped HSS, solid J Monaghan et al. (Fig. 1) found that because of the hard
carbide, poly crystalline diamond (PCD), CVD and they have ceramic reinforcing component in metal matrix composites
the general opinion that the uncoated HSS drills are not suitable
these materials are difficult to machine and attempt to do so
for drilling in MMC because of rapid wear and poor surface
finish and high value of thrust forces. High cobalt HSS and leads to high drilling thrust force and torque. The thrust force
Titanium nitride shows some improvement, but the best results and torque, and therefore the power required are related to
are obtained by solid carbide and PCD drills. the magnitude of the drill wear. The thrust force on the HSS
drills decreases with increasing the feed rate at each cutting
Keywords— MMC, Thrust force, Torque, Drilling, PCD. speed. The lowest forces were recorded for the test
performed using PCD drills, followed by the carbide and
I. INTRODUCTION HSS tools. The order of these result indicate clearly that tool
Ongoing material research over the past several decades has hardness has a major influence on the efficiency of drilling
produced advanced materials with properties superior to process when machining MMC material. The drill torque
conventional materials. One of these advanced materials is result also shows the similar trends [1].
metal matrix composite (MMC). MMCs consist of a metal Edith Morin et al. found that when drilling with unworn
matrix, generally an alloy, and a reinforcement material, drills both torque and thrust varied with feed rate raised to the
usually an inter-metallic component such as an oxide, carbide power of 0.81. When flank wear was significant the torque
or a nitride. These composites possess attributes that make varies linearly but no empirical relation with physically
them attractive for use, the attributes including a combination meaningful parameter was found to fit the thrust data. Speed
of the following properties, a high strength to weight ratio, a has no significant effect on wear or on drilling forces. A linear
high elastic modulus, high toughness and impact strength, low relationship between both thrust and torque against flank wear
sensitivity to temperature change or thermal shocks, high was observed such that, either thrust or torque may be
surface durability and low sensitivity to the surface flaws measured to give an indication of wear of the drills. The linear
among other materials. As a result, many of the current and relation between torque and wear of the drill implies a linear
foreseeable applications for MMCs are in aerospace and variation of specific cutting energy with flank wear. Drilling
automobile components, where the service environments are forces are controlled by the matrix material not by the
demanding and dynamic loading is common. Nowadays, not particles [2].
only high technology application but also consumer products M Ramulu et al. proposed that the PCD drills produced lowest
such as shipboard antennae, bicycle frames, and tennis drilling forces in comparison with the drilling forces generated
racquets are made with MMCs. Machining is one of the by carbide tipped drills (Fig. 2). Drilling forces depend on the
highest cost–centres associated with the fabrication of hardness of the reinforcement. As the volume fraction of the
composites from MMCs. This is because the high hardness reinforcement increases significantly, regardless of the tool
and abrasive ceramic reinforcing material leads to high tool
122
Fig. 1 Variation of thrust force and torque with feed rate [1]
Fig. 2 Drilling forces induced (a) Thrust force (10 vol.% (Al2O3) p/6061) by carbide tipped; (b) thrust force (10 vol.% (Al2O3) p/6061) by PCD drills; (c)
torque (10 vol.% (Al2O3) p/6061) by carbide tipped; (d) torque (10 vol.% (Al2O3) p/6061) by PCD drills [4]
material and work material, both thrust force and torque were regardless of the tool material. The addition of 3% graphite
highly dependent on feed rate while cutting speed was found reduces the thrust forces significantly. This is attributed to the
to have insignificant influence on the degree of drilling forces solid lubricating property of the graphite particles. The
[4]. J. Paulo Davim and C.A. Conceicao Antonio used graphite particle reduces the interfacial friction between the
experimental and numerical technique to optimize the process tool and work piece and lower the shear flow stress. The
and found that when drilling PMMC discs, the feed force addition of graphite reduces the thrust forces by 30% when
increases with the flank wear of the drills [3]. drilling with coated carbide tools and 20% when drilling with
S. Basavarajappa et al. during working on hybrid carbide cutting tools. The hardness value of Al2219/15SiCp-
composites found that the thrust forces are high when 3Gr composite is less when compared to Al2219/15%SiCp
machining Al2219/15SiCp composites compared to composite. Low value of hardness and strength are favourable
Al2219/15SiCp-3Gr composites for all cutting conditions for for improved machine ability, except in ductile material,
both the carbide and coated carbide tool (Fig. 3). These high which may generate a built up edge, burr and poor finish. Also
thrust forces are attributed to the hard ceramic reinforcement, lower the ductility, the lower the energy required to shear the
123
Fig. 3 Variation of thrust force for various speeds and feeds when machining Al2219/15SiCp and Al2219/15SiCp-3Gr
using carbide and coated carbide drills [5]
Fig. 4 Response plots of the ANOVA analysis: (a) variation of thrust force vs. spindle speed and
(b) Variation of thrust force vs. feed rate [7]
material and the easier the chip will break and reduces the A. Noorul et al. presents a new approach for the
shear forces [5]. S. Basavarajappa et al. used Taguchi optimization of the drilling parameters for drilling of Al/SiC
technique to find the effect of process variables on thrust force metal matrix composites with multiple response based on
and found that feed rate is the main factor, which is orthogonal array with grey relational analysis. Found that the
influencing the thrust force in the composites. The cutting point angle cutting speed and feed rate are prominent factors
speed and its interaction with feed rate are minimum and can which effect the drilling of Al/SiC metal matrix composites.
be neglected. The incorporation of 3% graphite in Al/SiCp The statistical significance of Point angle is 43.21%, followed
composite will reduce up to 25% of the thrust force for the by cutting speed (28.64%) and feed (26.21%) [6]. S. Barnes et
range of parameters studied [7]. al. studied the effect of heat treatment on the performance of
Aluminium /SiC MMC and found that the forces increased
124
with the hardness of the work piece material. Between the first graphite particle in MMC the thrust forces significantly
and the 40th hole, all materials exhibited an increase in the reduced. It is because of self lubricating property of the
thrust force although the increase was more significant in the graphite particle which decreases the interfacial friction
case of the aged materials (Fig. 5). This was due to the between tool and work material. From the experimental
increasing wear and the associated modification of the drill analysis it was concluded by the researcher that the feed is
geometry. A more gradual increase was then observed as the major governing parameter in prediction of the thrust force
modified geometry of the worn drill became established. After and torque. Speed and its interaction with feed do not have
100 holes the thrust force increased significantly in all cases any significant effect on the thrust force and torque and can be
with the largest increases being associated with the work piece neglected. The drill point geometry has highest impact on
materials which generated the most wear on the drills [8]. thrust force and torque.
REFERENCES
[1] J Monaghan, and P O Reilly, ―The Drilling of an Al/SiC metal matrix
composites,‖ J of material process and technology, vol. 33, pp. 469-
480, 1992.
[2] Edith Morin, Jacques Masounave, and E E Laufer, ―Effect of drill wear
on cutting forces in the drilling of metal matrix composites,‖ Wear, vol.
184, pp. 11-16, 1995.
[3] J Paulo Davim, and C.A. Conceicao Antonio, ―Optimal drilling of
particulate metal matrix composites based on experimental and
numerical procedures,‖ I J of Machine Tool and Manufacture, vol. 41,
pp. 21-31, 2001.
[4] M Ramulu, P. N. Rao, and H Kao, ―Drilling of (Al2O3) p/6061 metal
matrix composites,‖ J of material process technology, vol. 124, pp.
244-254, 2002.
[5] S Basavarajappa, G. Chandramohan, J. Paulo Davim, M. Prabu, K
Mukund, M Ashwin, and M Prasanna Kumar, ―Drilling of hybrid
aluminium matrix composites,‖ I J Advance Manufacturing
Fig. 5 Variation of thrust force with number of holes [8] Technology vol. 35, pp. 1244-1250, 2008.
[6] A Noorul Haq, P. Marimuthu, and R Jeyapaul, ―Multi response
III. DISCUSSION ON THRUST FORCE AND TORQUE optimization of machining parameters of drilling Al/SiC metal matrix
composites using grey relational analysis in the Taguchi method,‖ I J
From the available literature related to thrust force and Advance Manufacturing Technology, vol. 37, pp. 250-255, 2008.
torque when drilling MMC, It was observed that the PCD [7] S Basavarajappa, G Chandramohan, and J. Paulo Davim, ―Some
drills exhibit lowest thrust force and torque followed by studies on drilling of hybrid metal matrix composites based on Taguchi
techniques,‖ Journal of Material Process Technology, vol. 196, pp.
carbide and HSS. It means than the thrust forces are dependent 332-338, 2008.
on the tool hardness. Some researcher calibrates the tool wear [8] Stuart Barnes, and Ian R. Pashby, ―Through-Tool Coolant Drilling of
rate with the generated thrust force and torque. Thrust forces Aluminium/SiC Metal Matix Composites,‖ Trasaction of ASME, vol.
are also dependent on the volume fraction of the reinforced 122, pp. 384-388, 2000.
material. With the increase in the volume fraction of the
reinforcement the thrust forces increases. With the addition of
125
Fabrication of FRP using Natural Byproducts-

A Review
Sameer Sharma1, Vikas Dhawan2
1 ,2
Mechanical Engineering Department Ganpati Institute of Technology & Management, Kurukshetra University
1
sameersharma88@hotmail.com
2
vikasdhawan251999@gmail.com
Abstract– The Fibre Reinforcement plastic (FRP) fabricated from used in the automotive and construction industries and these
Natural fibre and other natural byproducts like Natural rubber, markets are rapidly expanding. The use of thermoplastic
Coconut fibre etc. has been used as reinforcement. Therefore the polymers with particular fillers or short fibre reinforcements has
tensile strength and other mechanical properties of different FRP grown rapidly because of their good process ability to be
manufactured by using these material are studied and it has been recycled.
found that the interfacial shear strength between Natural fibres and Many composites used today are at the leading edge of
a thermoplastic matrix has been improved by chemical material technology, with performance and cost appropriate to
modification of the fibre surface. An Alkaline treatment is used to
ultra-demanding applications such as spacecraft, Automobile,
enhance both the matrix fibre wetting and chemical surface
modification in order to improve the interactions at the fibre- Electronic gadgets etc. But heterogeneous materials combining
matrix interphase. Other Natural fibres like (Sisal, Kenaf, jute and the best aspects of dissimilar constituents have been used by
coir ) etc. are also reinforced to manufacture FRP and it has been nature for millions of years. Ancient society, imitating nature,
found that Mechanical properties increase with increasing fibre used this approach as well.
weight fraction. In many cases the properties of Natural fibres have
been found more favorable as compared to other composites II. LITERATURE REVIEW
manufactured from different materials. Increase in the A.Valadez-Gonzalez [1] et. al studied and concluded that
concentration of fibres results in reduction of tensile strength and the interfacial shear strength between natural fibres and
tear strength but increases modulus of the FRP.
thermoplastic matrices have been improved by morphological
Keywords: Fibre reinforcement plastic; Natural fibres; Tensile modifications of the fibre surface. The level of fibre matrix
Strength adhesion is further enhanced by the presence of a silane-
coupling agent. The alkaline treatment has two effects on the
I. INTRODUCTION fibre. It increases the surface roughness that results in better
Most of the products we see every day are made up of mechanical interlocking and it increments the amount of
composite materials. Composites are here, there and everywhere. cellulose exposed on the fibre surface. Thus it increases the
One cannot think of life without composites. In ancient times number of possible reaction sites. The fibre preimpregnation
people used to form a composite from mud and straw to form allows a better fibre wetting which in a normal fibre-polymer
mud walls. The straw acted as fibre and mud as matrix, the straw mixing procedure would not be possible because of the high
improved the strength of the wall and here lies the concept of polymer viscosity. Thus, the preimpregnation enhances the
composites. mechanical interlocking between fibre and matrix.
Fibre reinforcement plastic are Composite materials created Paul Wambua et. al. [2] uses natural fibres reinforced
by the combination of two or more materials on a macroscopic polypropylene composites and processed by compression
scale to form a new and useful material with enhanced properties moulding using a film stacking method. The mechanical
that are superior to those of the individual constituents alone. In properties of the different natural fibre composites were tested
practice, most composites consist of a Bulk material (the and compared. A further comparison was made with the
'matrix'), and a reinforcement of some kind, added primarily to corresponding properties of glass mat reinforced polypropylene
increase the strength and stiffness of the matrix. This composites and found that mechanical properties of sisal, hemp,
reinforcement is usually in fibre form. coir, kenaf and jute reinforced polypropylene composites have
Due to advantages such as low density, renewability, been investigated. The tensile strength and modulus increases
biodegradability, and neutral CO2 balance, the cellulosic fibres with increasing fibre.
are used as reinforcement in polymer composites or FRP .These Sabu Thomas et. al. [3] used natural rubber and reinforced
days thermoplastic materials reinforced with natural fibres are with untreated sisal and oil palm fibres. The effects of
concentration and modification of fibre surface have been
126
studied and found increasing the concentration of fibres resulted Alfa fibres, extracted from the stem of Alfa plant by the soda
in reduction of tensile strength and tear strength, but increased process. The used matrix is based on unsaturated polyester resin.
modulus of the composites. Also, concluded that composites Experiments show that the specific tensile properties of these
containing bonding agents and alkali treated fibres showed better fibres are very interesting and are close to those obtained on
tensile properties than untreated composites. some man-made fibres.
Wolfgang Gindl et. al. [4] showed that composite of Angelo G. Facca et. al. (2006) [11] modeled the tensile
cellulose acetate butyrate reinforced with cellulose sheets strength of short natural fibre reinforced thermoplastics using a
synthesized by Gluconacetobacter xylinus were produced by modified rule of mixtures strength equation and also observed
solvent evaporation casting and observed that increase of elastic that as fibre loading increases, the available fibre stress transfer
modulus can be explained by reorientation of the initially area is decreased and at high volume fractions this decrease in
random oriented cellulose fibrils due to staining. stress transfer area increases the brittleness of the short fibre
M.Brahmakumar et. al. [5] used coconut fibre as composite and decreases the tensile strength of the material.
reinforcement in low-density polyethylene. The effect of natural K.Murali Mohan Rao et. al. [12] carried out to investigate
waxy surface layer of the fibre on interfacial bonding and the tensile, flexural and dielectric properties of composites made
composite properties has been studied by single fibre pullout test by reinforcing vakka as a new natural fibre into a polyester resin
and evaluating the tensile properties of oriented discontinuous matrix. The fibres extracted by retting manual processes have
fibre pullout stress and concluded that the natural waxy surface been used to fabricate the composites. These composites are
layer of coconut fibre provided a strong interfacial bonding tested for tensile, flexural and dielectric properties and compared
between the fibre and the polyethylene matrix. Removal of the with those of established composites like sisal, bamboo and
waxy layer resulted in a weak interfacial bonding so as to banana made under the same laboratory conditions and found
increase the critical fibre length by 100%, decrease the that it results in an excellent quality, quantity and lengthy fibre
composite tensile strength by 40% and modulus by 60%. useful for fabrication of large composite components. The lower
N. Srinivasababu et. al [6] studied that a new natural fibre density of vakka fibre is also an interesting parameter in
namely okra for the preparation of okra fibre reinforced designing lightweight materials compared to other fibres
polyester composites. Chemically treated showed the highest considered in the present study and also concluded that the mean
tensile strength and modulus as compare to other natural fibre tensile modulus of vakka fibre composite is higher than those of
used in manufacturing fibre reinforcement plastic and also banana and sisal fibre composites and comparable to that of
concluded that okra FRP composites is useful for the preparation bamboo composite at highest volume fraction of fibre.
of doors for house hold purposes with light weight. D. Bachtiar [18] carried out the study on the effect of
R.M.N Arib et. al [7] used pineapple leaf fibre reinforced alkaline treatment on tensile properties of sugar palm fibre and
which is rich in cellulose, relative inexpensive and abundantly reinforced epoxy composites and carried out a treatment using
available and has the potential for polymer reinforced composite (NaoH) solutions at two different concentrations and three
and concluded that useful composites with good strength could different soaking times. The treatment was carried out to change
be successfully developed using pineapple fibre as reinforcement the property of sugar palm fibre as hydrophilic nature of sugar
agent for the polypropylene matrix . Tensile modulus and tensile makes it difficult to adhere to hydrophobic epoxy. Then carried
strength of composite increased significantly. out the tensile test and found inconsistent results therefore, he
Thin-Thu-Loan et.al [8] studied that Natural fibre- concluded that alkaline treatment has significantly improved the
reinforced polymers can exhibit very different Mechanical tensile properties of sugar palm fibre reinforced epoxy
performances and environmental aging resistances depending on Composites particularly for tensile modulus.
their interphase properties, and investigated the effect of maleic K. Sabeel Ahmed et. al. [17] carried out the effect of
an hydride grafted polypropylene with natural fibre and jute stacking sequence by fabricating laminates with handlay-up
fibre /polypropylene composites have been considered with two technique in a mold and cured under light pressure at room
kinds of matrices. Both mechanical behavior of random short temperature for 48h. All the laminates were made with a total of
fibre composites and micro-mechanical properties of single of 10 piles, by varying the number and position of glass layers so as
single model composites were examined and concluded, that the to obtain six different stacking sequences . Also, one group of
additional of 2% weight of MAHgPP to polypropylene matrices jute laminate was also fabricated for comparison purpose and
can significantly improve the adhesion strength with jute fibres concluded that incorporation of glass in jute fibre composites
and in turn the Mechanical properties of composites. Moreover, enhances the properties resulting hybrid composites. Layering
they measured the increase in tensile strength with jute fibre sequence significantly affects the flexural and interlaminar shear
cross-sectional area at a constant gauge length. strength and has very little effect on tensile properties. Also,
Samiben Brahim et. al. [10] prepared new structural overall comparison between the properties of all the laminates
composite material reinforced with unidirectional natural fibres revealed that the hybrid laminate with two extreme glass piles on
is prepared and tested. The used reinforcement is made of long either side is the optimum combination with a good balance
127
between the properties and cost which increases with the REFERENCES
increase in the number of glass layers.
Yanhong Zheng [22] improved Flexural strength and [1] Valadez-Gonzalez, J.M. Cervantes-Uc, R. Olayo, P.J. Herrera-Franco.
“Effect of fibre surface treatment on the fibre–matrix bond strength of
flexural modulus of the composites by filling nonmetals recycled natural fibre reinforced composites”. Composites Part B: engineering,
from waste printed circuit boards into polypropylene. By using 30 (3): 309-320, 1999.
scanning electron microscopy, the influence of nonmetals on [2] Paul Wambua, Jan Ivens, Ignaas Verpoest. “Natural fibres: can they
fracture behavior of pp composites is investigated by in situ replace glass in fiber reinforced plastics?”. Composites Science and
Technology, 63(9): 1259-1264, 2003.
flexural test and the results shows that the pure polypropylene [3] Maya Jacob, Sabu Thomas, K.T. Varughese. “Mechanical properties of
matrix can initiate big cracks under the flexural loading, and it sisal/oil palm hybrid fibre reinforcednatural rubber composites”.
extends to the dominant crack rapidly as the flexural loading Composites Science and Technology, 64(7-8): 955-965, 2004.
increases. It means that the main energy absorption is in the [4] Wolfgang Gindl, Jozef Keckes. “Tensile properties of cellulose acetate
butyrate composites reinforced with bacterial cellulose”. Composites
crack initiation. While nonmetals are filled into polypropylene Science and Technology, 64(15): 2407-2413, 2004.
matrix, mass micro cracks are triggered and consume [5] M. Brahmakumar, C. Pavithran, R.M. Pillai. “Coconut fibre reinforced
tremendous energy. The glass fibre acts like a barrier, craze polyethylene composites: effect of natural waxy surface layer of the fibre
cannot pass easily .Therefore, the crazes should turn glass fibre, on fibre/matrix interfacial.
[6] N. Srinivasababu, K. Murali Mohan Rao & J. Suresh Kumar
move towards interface or break the glass fibres. The process of International Journal of Engineering, (IJE) Volume (3): Issue (4) 411
the crack propagation and fibre breakage dissipate a great bonding and strength of composites”. Composites Science and
amount of energy. Meanwhile, in the process of the flexural Technology, 65(3-4): 563- 569, 2005.
loading, partial interfacial debonding can slow down the [7] M.N. Arib, S.M. Sapuan, M.M.H.M. Ahmad, M.T. Paridah, H.M.D.
Khairul Zaman.“Mechanical properties of pineapple leaf fibre
propagation of the crack and promote crack termination. All of reinforced polypropylene composites”. Materials and Design, 27(5):
these factors can prevent and delay the nonmetals polypropylene 391-396, 2006
composites getting flexural failure, and cause the improvement [8] Thi-Thu-Loan Doan, Shang-Lin Gao, Edith Mader. “Jute/polypropylene
of the flexural properties evidently. composites I. Effect of matrix modification”. Composites Science and
Technology, 66(7): 952-963, 2006
K.J.Wong et. al. [21] studied fracture behavior of short [9] A.V. Ratna Prasad, K. Murali Mohan Rao, K. Mohan Rao, A.V.S.S.K.S.
bamboo fibre reinforced polyester composites is investigated. Gupta. “Effect of fibre loading on Mechanical Properties of Arecanut
The matrix is reinforced with fibres from 10 to 50 at increments fibre reinforced polyester composites”. National Journal of Technology,
of 10 vol.% for bamboo fibres at 4, 7 and 10 mm lengths 2(1):56-62, 2006
[10] Sami Ben Brahim, Ridha Ben Cheikh. “Influence of fibre orientation
respectively. The results reveal that at 4 mm of fibre length, the and volume fraction on the tensile properties of unidirectional Alfa-
increment in fibre content deteriorates the fracture toughness polyester composite”. Composites Science and Technology, 67(1): 140-
debonding, fibre pull-out and fibre damage and concluded that 147, 2007
tensile strength is improved only at 10 mm fibre length. Highest [11] Angelo G. Facca, Mark T. Kortschot, Ning Yan. “Predicting the tensile
strength of natural fibre reinforced thermoplastics”. Composites
tensile strength with improvement of 25% compared to neat Science and Technology, 67(11-12): 2454-2466, 2007
polyster is achieved for 10 mm/40 vol% composite. Young’s [12] K. Murali Mohan Rao, A.V. Ratna Prasad, M.N.V.Ranga Babu, K.
modulus is deteriorated by fibre reinforcement. Fracture Mohan Rao, A.V.S.S.K.S. Gupta. “Tensile properties of elephant grass
toughness of all types of composites is higher compared to neat fibre reinforced polyester composites”,42 (9): 3266-3272, 2007.
[13] Ratna Prasad, K. Murali Mohan Rao. “Tensile and impact behaviour of
polyester. The toughening mechanisms involved are crack-tip Rice straw polyester composites”, 32 (4): 399-403, 2007.
blunting, crack deflection and crack pinning which lead to [14] Benjamin Bax, Jorg Mussig. “Impact and tensile properties of
energy dissipation through matrix plastic deformation, fibre. PLA/Cordenka and PLA/flax composites”. Composites Science and
Technology, 68(7-8): 1601-1607, 2008.
[15] Nattakan Soykeabkaew, Noriko Arimoto, Takashi Nishino, Ton Peijs.
III. CONCLUSION “All-cellulose composites by surface selective dissolution of aligned
Different paper studied and reviewed and concluded that the ligno-cellulosic fibres”. Composites Science and Technology, 68(10-
fibre reinforcement plastic fabricated using natural fibre and 11): 2201-2207, 2008.
other natural byproduct fibres results in good Mechanical [16] Flavio de Andrade Silva, Nikhilesh Chawla, Romildo Dias de Toledo
Filho. “Tensile behavior of high performance natural (sisal) fibres”.
properties and those FRP tested were found and can be Composites Science and Technology, 68(15-16): 3438-3443, 2008
compared favorably with corresponding properties of glass mat [17] K. Sabeel Ahmed, S. Vijayarangan. “Tensile, flexural and interlaminar
polypropylene composites and other material and even in some shear properties of woven jute and jute-glass fabric reinforced polyester
cases where the fibre surface improvement is done using composites”. Journal of materials processing technology, 207 (1-3): 330-
335, 2008.
Alkaline treatment etc. Their properties were much better than [18] D. Bachtiar, S.M. Sapuan, M.M. Hamdan. “The effect of alkaline
those of synthetic reinforcement. This suggests that the Natural treatment on tensile properties of sugar palm fibre reinforced epoxy
fibre and many other Natural byproduct composites or FRP have composites”. Materials and Design, 29. (7): 1285-1290, 2008
a potential to replace glass in many applications that do not [19] Shinji Ochi. “Mechanical properties of kenaf fibres and kenaf/PLA
composites”. Mechanics of materials, 40 (4-5): 446-452, 2008
require very high load bearing capabilities. [20] David Roylance.”Introduction to composites materials”. Encyclopedia
of Polymer Science and Engineering, Wiley, New York, 1991
128
[21] K.J Wong. “ Fraction characterization of short bamboo fibre reinforced

polyster composites” centre for composites, faculty of Mechanical
Engineering, Universiti Teknologi Malaysia, 81310 UTA Skudai, Johor,
Malaysia 2010.
[22] Yanhong Zheng. “Influence of nonmetals recycled from waste printed
circuit boards on Flexural properties and fracture behavior of
polypropylene composites “Beijing key Laboratory for Powder
Technology Research and Development, Beijing University of
Aeronautics and Astronautics, Beijing 100191 2008.
129
Investigation of Transient Analysis in the

Stability of Boring Tool using Impact
Dampers-Model Development
K. Ramesh 1, Dr.T.Alwarsamy2
1
Assistant Professor, Government College of Technology, Coimbatore-13
2
Liason Officer, DOTE, Chennai-25
1
ramsonic20202@yahoo.co.in
ABSTRACT-Regenerative chatter occurs whenever generative and non-regenerative type. The former
cuts overlap and the cut produced at a particular occurs when the cutting force and the work piece
time and leaves small waves in the material that are surface undulations produced by previous tool
regenerated with each subsequent pass of the tool. It passes while the latte occurs when there is no
limits cutting depth and surface finish which causes
interaction between the vibratory motions of the
premature tool failure. The main objective of this
work a reduce the chatter then by its design can be system. The regenerative type of self excited
enhance. In order to improve stiffness and damping vibration is found to be the most detrimental
capability of boring tool, an impact damper is phenomena in most machining process and its
provided. In this investigation, improvement of the importance is focussed. The objective of the work
damping capability of boring tool and suppression of is to design damped tool holder for existing
chatter is obtained with seven different types of machine tools which results in increased stiffness
damping materials based on their availability, and damping capability of the boring tool.
strength, density, Young’s modulus, thermal Investigation is done with the improvement of the
conductivity, poison’s ratio. The materials having
damping capability and suppression in chatter
high density produces more inertial mass which is
used to suppress the chatter in boring operations. vibration using different damping materials like
Structural Steel, Cast Iron, Brass, Copper, Gun
Metal, Phosphor Bronze, and Aluminium. It is
Keywords — Chatter, Impact dampers, Transient
Analysis. suggested for better damping material in the
suppression of chatter vibration of boring operation
from the results. ANSYS software is used for
1. INTRODUCTION
performing finite element analysis in boring tool
with and without damper. The transient dynamic
In the manufacturing industry analysis, it is observed that there is reduction in
today is the vibrations induced by metal cutting, time taken to decay the amplitude of boring tool
e.g. turning, milling and boring operations. Turning with and without dampers. After a comparative
operations, and especially boring operations, are study, the better damping material is suggested
associated with severe vibration-related problems.
Machining is often done with a cantilever tool, or
2. MATERIAL DATA
boring bar, that is necessarily long and slender so
that it can fit into or through complex workpiece
geometry. As one might expect, such tools lack The best material is one
dynamic stiffness, and, consequently, this which will serve the desired purpose at minimum
manufacturing operation is often plagued with self- cost. The factors which should be considered while
excited vibrations known as chatter. Chatter selecting the material for machine tool and
vibrations spoil the machined surface with damping material are as follows:
unsightly gouges, increase the wear and tear on the
cutting tool and machine, and can result in a 1. Availability
general loss of dimensional accuracy. Vibrations in 2. Cost
machining operations are referred to as chatter and 3. Mechanical properties
of two types forced and self excited. Self-excited 4. Manufacturing consideration
vibrations are due to the instability in the cutting
process and hence focuses are made in this paper.
Self-excited vibration is classified into re-
130
Table 2.1 Table Properties for reducing the vibration of many structures and
mechanical equipment.
Therm
Young
Pois al
Density modul
S. on’s conduc
(kg/mm3 us
No Material rati tivity
) (N/m
o (W/mK
property m2)
)
7.84x10- 2.84x1
1 Tool 6 0.3 46.6
05
-
Copper 8.96x10 1.10
2 6 0.3 400
Damper x105
Phosphor
8.85x10- 1.234x
3 Bronze 6 0.3 63
105
Damper
Gunmeta
8.72 x10- 1.054
4 l 6 0.3 78.4
x105
Damper
Steel 7.84x10- 2.84x1
5 6 0.3 46.6
Damper 05
-
Brass 8.45x10 0.97X
6 6 0.3 115
Damper 105
-
Cast Iron 7.81x10 2.4x10
7 6 5 0.28 52
Damper
Aluminu
70x10
8 m 2.7 x10-6 3 0.33 210
Damper
Fig. 3.1 Meshed model of the boring tool with and without
damper
4.1.1.1 TRANSIENT ANALYSIS
3. TOOL GEOMETRY Transient dynamic analysis is a

technique used to determine the dynamic response
Fig. 3.1 Tool Geometry of structure under the action of any general time-
dependent loads. You can use these type analyses
4. INVESTIGATION OF DYNAMIC to determine the time-varying displacement, strain,
BEHAVIOR OF BORING TOOL USING stresses and forces in a structure as it response to
ANSYS any combination of static, transient, harmonic load.
The time scale of the loading is such that time scale
The dynamic vibration absorber loading is such that the inertia or damping effect
is a device for reducing the vibration of many are consider important.
structures and mechanical equipment. It consists of
a small mass which is attached to the primary
vibrating system or main mass. The steady-state
response of the system with impact characteristics
which are motion-limiting constraints or clearance
is of greater importance for several engineering
applications. Impact dampers are used in
engineering applications such as vibrating systems
131
Fig.4.1 Transient analysis of boring tool without damper Fig.4.4 Transient analysis of boring tool with Brass damper
Fig.4.2 Transient analysis of boring tool with Cast Iron damper

Fig.4.5 Transient analysis of boring tool with Copper damper
Fig.4.3 Transient analysis of boring tool with Structural Steel Fig.4.6 Transient analysis of boring tool with Aluminium
damper damper
132
With Brass
4 2.0
damper
With
5 Copper 1.7
damper
With
6 Aluminum 2.32
damper
With
Phosphor
7 1.90
Bronze
damper
With
8 Gunmetal 1.68
damper
From table 4.1 Amplitude of the boring

Fig.4.7 Transient analysis of boring tool with Phosphor Bronze tool without damping materials is reduced with
damper Copper damper. Time taken to decay the amplitude
of boring tool without damping material 2.8
seconds is reduced to 1.7 seconds with Copper
damper.
5. EFFECT OF DAMPERS
Even though there are limitations in the

usage of dampers, the dampers that are used in the
experimental setup play a major role in reducing
the chatter there by increasing the stability of the
tool.
CONCLUSION
The results were obtained from the

transient analysis of boring tool with and without
dampers. It is observed that the there is reduction in
time taken to decay the amplitude of boring tool
Fig.4.8 Transient analysis of boring tool with Gunmetal damper with dampers. In that analysis Copper damped
boring tool time taken to decay the amplitude has
4.2 DISCUSSION OF TRANSIENT been reduced by 39% when compared with other
ANALYSIS damping materials. Hence Copper is suggested as a
suitable damping material for boring operations.
Table 4.1 Time to decay the amplitude of boring tool
REFERENCES
Sl.No Damping Time taken to
materials decay (sec) 1. Emre Ozlu , Erhan Budak, “Analytical Modeling of
Chatter Stability in Turning and Boring
Without
1 2.80 Operations—Part I: Model Development”,
damper Transactions of the ASME, 726 / Vol. 129, August
2007.
With Cast 2. Emre Ozlu, Erhan Budak, “Analytical Modeling of
2 Iron 2.38 Chatter Stability in Turning and Boring
damper Operations—Part II: Experimental Verification”,
Journal of Manufacturing Science and Engineering,
With August 2007, and Vol. 129 / 733.
Structural 3. Satoshi Ema, Etsuo Marui, “Suppression of chatter
3 2.32
Steel vibration of boring tools using impact Dampers”,
damper International Journal of Machine Tools &
Manufacture, 16, November 2000.
133
4. E. Ehsan Maani Miandoab, A. Yousefi-Koma,

D.Ehyaei, “Optimal Design of an Impact Damper
for a Nonlinear Friction-Driven Oscillator”,
International Journal of mathematical Models and
methods in applied Sciences, Issue 2, Volume 2,
2008.
5. Sanjiv Ramachandran, George Lesieutre, “Dynamics
and Performance of a Harmonically Excited
Vertical Impact Damper”, Journal of Vibration and
Acoustics, April 2008, Vol. 130 / 021008-1.
6. L. Andren, L. Hakansson, A. Brandt, I. Claesson,
“Identification of dynamic properties of boring
bar vibrations in a continuous boring operation”,
Mechanical Systems and Signal Processing 18
(2004) 869–901, 24 June 2003.
“Identification of motion of cutting tool vibration
in a continuous boring operation—correlation to
structural properties”, Mechanical Systems and
Signal Processing 18 (2004) 903–927, 29 September
2003.
8. I.Yokomichi, Y. Araki, Y. Jinnouchi, J. Inoue,
“Impact Damper with Granular Materials for
Multi body System”, Journal of Pressure Vessel
Technology February 1996, Vol. 118/95.
9. Peterka František, “More detail view on the
dynamics of the impact damper”,
Mechanics, Automatic Control and Robotics Vol.3,
No 14, 2003, pp.907 – 920.
10. M. Hashimoto.1 E. Marui,2 S. Kato.3, “Damping
Capacity of Turning Tools, Part 2: Mechanism
Initiating the Damping Capacity”, Transactions of
the ASME, 366 / Vol. 115, August 1993.
“Identification of motion of cutting tool vibration
in a continuous boring operation—correlation to
structural properties”, Mechanical Systems and
Signal Processing 18 (2004) 903–927, 29 September
2003.
12. Eugene .I. Rivin, 2007, “Use of Stiffness, “damping,
natural frequency criteria in vibration control”,
Int.J. Of Machine Tools and Manufacture, vol.32.
134
Analysis of Stress Distribution and Crack

Initiation Under Mode-I and Mixed Mode
(Mode-I and Mode-Ii) Biaxial Stress Field
by Finite Element Method
Vineet Kumar Singh1, P.C. Gope2
1
Mechanical Engineering, ABES Engineering college
vineet_singh2004@rediffmail.com
2
GBPUAT PANTNGAR, Uttranchal, Iindia
2
pcgope@rediffmail.com
Abstract ---The study of fracture mechanics is a major

subject into itself, intimately and uniquely with the
infinite combinations of material behavior, service
environment, loading conditions, crack orientations,
and part geometry. The crack growth studies mainly
focused on stress analysis or determination of state of
stress just ahead of the crack tip and crack initiation
direction and crack growth studies is the another
aspect of fracture mechanics.
The study on the effect of load biaxiality
mainly when the crack oriented more towards the
major loading axis is limited. Recently it was pointed
out that crack closes when the load biaxiality factor
remains below certain limit. This is due to
compressive stress that exists perpendicular to the
crack surface. Under such circumstances instead of
opening of the crack it closes. Both analytical and Fig. 1.1: Specimen geometry with boundary conditions
finite element analysis have been carried out in a 200x
150 x 20 mm plate with material properties as E=200 Fig 1.1 shows the problem under biaxial loading.
GPa, =0.33. The load biaxiality factor was varied This is equivalent to sum of two problems as
from -5 to +5 and stress distribution. The main object follows:
of this work. To study the biaxial load effect on state (1) Horizontal crack under biaxial loading,
of stress around the crack tip by finite element (2) Horizontal crack under shear loading,
method, to study the biaxial load effect on the crack
initiation direction and comparative study of finite These are obtained by rotating the original crack by
element and analytical solutions. (90-)0
crack initiation angle. The new stress components
with reference to new co-ordinates x1-y1 are,
I. MATERIAL AND METHOD
 y y   yy sin 2    xx cos 2    xy sin 2
1 1
(1.1)
A. Mathematical Modeling and
Computations:
 x x   yy cos    xx sin    xy sin 2
1 1
2 2
(1.2)
1) General Biaxial Loading:
 yy   xx
x y  sin 2    xy cos 2
1 1
2
(1.3)
Taking  yy    xx  b
 xy  0
The above set of equations 1.1 to 1.3 reduces to
 y y   sin 2   b cos 2 
1 1
135
=  (sin   bc cos 2  ) K II  a  x1 y1

2
(1.4)
xx   cos 2   b sin 2   (1.5)   b1a 
1 1
 a   sin 2  b2 cos 2 .  f ( y1 y1 
 2 
(1.12)
Now if the coefficient of friction

 
 1  b   (1  b2 ) sin 2  b2 cos 2  
 sin 2  a  2 
2  f ( sin 2   b  cos 2   b  sin 2 )
  
1  bsin 2
1 2

2
 1  bsin  cos  (1.6)
1  b2 
= a  sin 2  b2 cos 2 
axis due to compressive load applied along 2-axis  2 
(x-axis) then Eqa.3.6 becomes
 x y   (1  b) sin  cos   f y y if b2 = 0 , Eqn (1.11) and (1.12)will reduce to
 
1 1 1 1
  (1  b) sin  cos   f sin 2   b cos 2  K I   a sin 2

  b1 cos 2  
(1.7)
Where ‘f’ is the co-efficient of friction.
Hence, the stress components at the crack tip are
 (1  b1 ) sin  cos   
K II   a  
redefined as  f (sin   b1 cos  
2 2
(1.13)
KI  3  K   3
 yy  cos 1  sin . sin   II sin . cos . cos
2r 2 2 2  2r 2 2 2 which are similar to Eqns (3.9) and (3.10),For
K   3  horizontal crack    / 2 , Eqn (3.11) and (3.12)
 xx  I cos 1  sin .sin   will reduce to
2r 2 2 2
K I   a  xy 
KI   3 K   3 
sin cos cos  II cos 1  sin . sin 
  3    x1 x1  K II   a b2  f  2r 2 2 2 2r 2 
(1.14)
2 2
 2  cos . cos   1  . 1 1
 2 2    y1 1  y y
 y 
2) Crack initiation angle:
  3 K   3 
sin cos cos  II cos 1  sin . sin  (1.8)
KI
 xy  There are several criteria available to predict the
2r 2 2 2 2r 2  2 2
crack initiation direction, but
where Maximum Tangential Criterion (MTS) and Strain
K I  a  y1 y1 (1.9) Energy Density Criterion (SED) are mostly used.
These two criteria are modified taking higher order
stress terms & friction factor and presented in the
 1  b sin  . cos    following sections.
KII = a   (1.10)
 . f sin   b. cos  
2 2
2.1) Strain Energy Density Criterion (SED)
According to SED criterion, crack initiation occurs
Similarly, if the boundary loadings are when
 yy    xx  b1  xy  b2 S 2s
0 0
 ;  2
KI and KII becomes (1.15)
K I  a  y1 y1 where S  a11K  2a12 K I K II  a22 K II2
2
I

 a  sin 2   b1 cos 2   b2 sin 2  where coefficients aij are given by
16Ga11 = (1+cos) (  -cos) (1.16)
16Ga12 = [2 cos - (  -1)] sin

 .a sin 2   b1 . cos 2   b2 . sin 2  (1.11) (1.17)
136
16Ga22 = (  +1)(1+cos)+(1+cos)(3 cos-1) 4 1, 2 sin   2

K I  4 1, 2 sin   sin 2 K II 
2
(1.18) K
 3 sin 2 
 K I K II  4 1, 2 cos   4 cos 2   K I A 
Above equations are derived taking singular 
solutions of stress function 2r0 sin 2 1, 2  5 cos   5 cos 2  2 
G = modulus of rigidity 2
 = 3-4 for plane strain case   
3v  2 1, 2  2 cos 2 
= for plane stress case K II A 2r0  0
1 v 5 sin  cos 3 
 2 
After substituting and simplifying Eq. (1.15) the
final form of the crack growth direction criterion (1.21)
becomes

sin  2 cos    1 K 2   where A = (1-b1) cos2
1 v
   1, 2 
0 0 I for plane stress condition
. 2 2 cos 2    1 cos  K K  1 v
0 0 I II

sin    1  6 cos  K 2  0
0 0 II
  1 2v for plane strain condition
(1.19) ‘r0’ is the critical radius measured from the crack

tip. KI and KII are given in above equations,
respectively.

sin  0 2 cos  0  (  1)  a  
2
Solution of Equations 1.20 or 1.21 will give the
sin 2
  b1 cos 2   b2 sin 2 
crack initiation direction under given boundary-
loading condition
 22 cos 2 0  (  1) cos  0   a  

2
2.2) MTS criterion:
Consider a two dimensional surface with a straight
sin 2
  b1 cos 2   b2 sin 2  crack oriented at an angle  with respect to the
direction of maximum tensile stress. Let o
(1.20) represent the unknown initial fracture crack angle
(1  b1 ) sin  cos   b2 cos 2   relative to the original crack direction. The surface
  with angled crack is subjected to mixed mode

 f sin   b1 cos   b2 sin 2 
2 2
 biaxial loading. Due to this loading, the initial
fracture crack initiation angles are obtained as

 sin  0   1  6 cos  0   a   2 follows. The proposed model assumes that the
initial fracture Crack angle can be determined by
1  b1 sin  cos   b2 cos 2 considering the stress field in the vicinity of the
crack tip. For a two-dimensional surface under

 f sin 2   b1 cos 2   b2 sin 2  0  biaxial stresses, the hoop stress , can be used as
an effective stress field to determine initial fracture
crack angle. Williams and Ewing (1972)
expressed the hoop stress in the form of a series
Equation (1.20) is based on one term stress expansion as follows
solution. The constant term is neglected in the
analysis. If b1=b2=f=0, Equation (1.20) will reduce a θ θ 3τ x I y I 
to well known equation given in literature.Taking σθ  cos  σ y I cos 2  sinθ  
two terms solution in the analysis, Equation. (1.20) 2r 2  2 2 

becomes (Gope, 2002)
2r
σ x I sin 2 θ  .F(σ y I , τ x I y I , θ)
a
y' = (sin2  + b cos2 )
x' = (cos2 + b sin2 )
137
x'y' = (1 – b) sin  cos + f. (sin2+ cos2)

 θ
sin
= (1 – b) sin  cos + f.y' 1  3cosθ  16λ  2 
 sinθ  [(1  b)tan  f .b.   (1  b. tan  )  0
2
(1.22) 3  tanθ 
 
The term b = 2 /1 is known as the biaxiality ratio, (1.25)
 = 1 is the applied stress and f is the coefficient
Equation (3.25) is a generalized nonlinear
of friction. Note that  y' y' and the first terms of x'y'
are equivalent to modes I and II stress intensity equation, which is function of , , b and f. The
factors, KI and KII, respectively. The second term solution of this equation will give 0, for a given
represents the frictional shear stress, . f, which stress field with closing effect. Equation can be
occurs at the crack surface. None of the previous reduced to the equation derived by Williams and
models have used this term to determine the Ewing for the uniaxial loading case (=0) with no
possibility of crack propagation delay due to the closing effect to take the following form:
closing mechanism that takes place only for small  θ
sin
values of crack angles. Hence, it is worth 1  3 cosθ  16λ  2 
tan   
2
tan   0
mentioning that this term must be included only for  sin θ  3  tanθ 
<450, negative values of b, and when its absolute  
value becomes larger than the first term of the (1.26)
shear component for motion to be impending.
Therefore, to account for the closing and frictional 3) Material and specimen Geometry:
effect, it is postulated that negative values of  y' y', A rectangular steel plate of 200 mm x 150 mm x
similar to KI, which lead to a crack closing, that is, 20 mm with a central crack oriented at different
the crack closes on itself creating friction on the angles α with  loading axis is considered for 2-
surface of the crack must be eliminated when Dimensional finite element analysis as well as for
considering crack closing effect. Using the the prediction of crack initiation direction. The
principal of the maximum hoop stress criterion material properties of steel used in this study were
postulated by Erdogan and Sih (1963), the initial taken as E= 200 GPa and =0.33, where E and 
fracture crack angle 0, can be obtained if the represents the modulus of elasticity and poison’s
following conditions are satisfied: ratio, respectively.
     2  4) Modeling of the crack tip region:

σ θ θ0  0,     0,  2   0 The most important region in a fracture problem is
   0    0 the region around the crack tip and edge of the
crack. In this investigation the edge as well as the
(1.23)
crack tip is modeled in a 2-D model. In linear
Introducing a dimensionless parameter  = elastic problem it has been shown that the
(2r/a) 1/2 and using the conditions of above displacements near the crack tip or crack front vary
equation, the direction of the initial fracture crack
as 1/r, where ‘r’ is distance from the crack tip.
angle, 0, can be obtained by maximizing equation The stresses and strains are singular at the crack
  tip, and vary as 1/r. Hence, element around the
and setting =0, this will result.
 crack tip and faces of the crack should be
quadratic, with mid side nodes placed at the quarter
points.
The finite element model (FEM) model
 θ contained very fine mesh in the vicinity of crack.
1  3cosθ  16λ  sin 2  The crack length, 2a=20 mm was taken in the
σ y ,   τ xy    σ x  0
 sinθ  3 present investigation. The commercial finite
 tanθ 
  element program package has been used for
analysis of the problem. The finite element
(1.24)
solutions are compared with theoretical solutions to
The solution of Equation 1.23 will give
compare the FEM results with theoretical results
the initial fracture crack angle, 0, provided the
obtained from the strain energy density criterion
stress components present in equations are known.
(SED criterion) and Maximum Tensile Stress
The negative values of K1 lead to self-crack closing
Criterion (MTS).
and friction on crack surface. Therefore, for closing
cracks, the term y' must be eliminated from Eqn.
(1.24) substitution of Eqn.1.22 in Eqn. (1.24). gives
the following: -
138
II. RESULTS AND DISCUSSION

For equal- equal biaxial loading, one of the regions
A. Distribution of stresses
of the crack tip.
The distribution of stresses xx, yy and
xy for horizontal crack for equal biaxial loading
300 σxx (FEM)
(b= ±1) is shown in figs (4.1 to 4.6). The applied
270
load along y-axis is kept150MPa. All stresses are σxx (Theoritical, f=0.01)
240
measured along the crack radius of r/a=0.25. Finite σxx(Theoritical, f=0.05)
210
Stress, MPa
element and theoretical results obtained form two σxx (Theoritical, f=0.1)
180
term stresses solution shows that they are very
150
close to each other for friction factor f= 0.01 and
120
0.05 and crack region 001800. This difference is
90
more for higher value of co-efficient of friction 60
(f=0.1) when compared in the region  <1200. This 30
type of observation is seen in all three-stress xx, 0
yy and xy for b = +1 where as for b = -1 the 0 20 40 60 80 100 120 140 160 180 200
difference between FEM and theoretical results is Angular position from crack tip,θ (degree)
more for θ >1200 Fig 4.1 Distribution of stresses around the crack tip in
The effect of biaxiality factors on state of horizontal crack for biaxial loading factor b =1,
(applied stress = 150 MPa, r/a = 0.25)
stress for horizontal crack is seen that for b<0, σxx
becomes compressive and other stresses are tensile
in nature. Figs: 4.10 to 4.20 show the effect of
biaxiality factor on the state of stresses for inclined
crack. For all cracks investigated α<100,150 and 0
0 40 80 120 160 200
450, it is found that σxx remains compressive for -100
σxx (FEM)
b<0 where as σyy is tensile in nature when α<450 for
Stress, MPa
-200 σxx (Theoritical, f=0.05)

all biaxial factors. -300 σxx (Theoritical, f=0.01)
-400 σxx (Theoritical, f=0.1)

It is also observed that σxx and yy remains tensile in -500
nature through out for b = +1, where as xy -600
becomes compressive between 600≤  ≤1800. For
-700
equal-equal biaxial loading, one of the normal Angular position from crack tip,θ (degree)
-800
stress (σxx) becomes compressive for all the regions
of crack tip. Fig 4.2 Distribution of stresses around the crack tip in
horizontal crack for biaxial loading factor b =-1,
(applied stress =150 MPa, r/a = 0.25)
B. Crack initiation angle

Crack initiation angles obtained from strain energy σyy (FEM)
density and maximum tangential criterion both
σyy (Theoritical, f=0.01)
form one term and two term stress are presented in
400 σyy(Theoritical, f=0.05)
fig 4.21 to 4.23 for different biaxiality factors and 350
friction. Fig 4.21 shows that = 50, the difference 300 σyy (Theoritical, f=0.1)
in predicted values by SED or MTS criterion is
Stress, MPa
250
more when frictional factor increases to higher 200
values (0.1). Crack initiation angle predicted by 150
SED criterion is lower than MTS criterion for all 100
frictional factor. In Fig The crack initiation angle 50
0
for = 50, the initiation angle remains same for all
-50 0 20 40 60 80 100 120 140 160 180 200
biaxiality factors where as crack initiation angle
Angular position from crack tip,θ (degree)
increases as biaxiality factor increases for = 100.
It is also seen that crack grows self similar Fig 4.3 Distribution of stresses around the crack tip in
horizontal crack for biaxial loading factor b =1,
manner (θ0 =1800 ) for  = 50 and 0≤b <3. For b < (applied stress σ = 150 MPa, r/a = 0.25)
0, the crack grows in non self similar manner.

Similarly for 100≤  ≤300, and 0 ≤ b ≤ 1, crack
grows in self-similar manner. It is also seen that
there is a significant effect of frictional factor on
crack initiation direction under compressive
loading for  < 200.
139
σyy (FEM )
350 SED1(0.05)
σyy (Theoritical, f=0.05)
SED2 (0.05)
Crack initiation angle, degree

300 σyy (Theoritical, f=0.01) 300 MTS(0.05)
SED1(0.1)
250 σyy (Theoritical,f=0.1)
250
Stress, MPa
SED2 (0.1)
MTS(0.1)
200
FEM
200
150
150
100
-5 -4 -3 -2 -1 0 1 2 3 4 5
50 Biaxial factor(b)
Fig.4.21 Effect of load biaxiality, b on crack initiation

0 direction for initial crack angle,α=5°
0 40 80 120 160 200

-50
Fig 4.4 Distribution of stresses around the crack tip in
horizontal crack for biaxial loading factor b = -1, (applied
stress σ = 150 MPa, r/a = 0.25)
σxy (FEM)
80
σxy (Theoritical, f=0.01)
60 σxy(Theoritical, f=0.05)
40
Stress, MPa

20
0
-20 0 20 40 60 80 100 120 140 160 180 200
-40
-60
-80
-100
-120
-140
Fig 4.5 Distribution of stresses around the crack tip in
horizontal crack for biaxial loading factor b =1,
(applied stress = 150 MPa, r/a = 0.25)
SED1(0.01)
SED2 (0.01)
350 MTS(0.01)
Crack initiation angle, degree
SED1(0.1)
0
0 40 80 120 160 200
SED2 (0.1)
-50 300 MTS(0.1)
FEM
-100 σxy (FEM )
Stress, MPa

250
-150
σxy (Theoritical,f=0.01)
-200
200
-250
-300 Fig 4.6 Distribution of stresses around the crack tip in
150
horizontal crack for biaxial loading factor b = -1
(applied stress = 150 MPa, r/a = 0.25) -5 -4 -3 -2 Biaxial
-1 0factor(b)1 2 3 4 5
Fig.4.23 Effect of load biaxiality, b on crackinitiation
direction for initial crack angle,α=20°
140
[2] Sih, G.C., Strain energy density factor applied mode crack
problems, Int. J Fracture, 1974.,11, pp305-32
[3] Theocaris P. S. and Andrianopoulos , N.P., The T-
criterion applied to the ductile fracture, Int J
Fracture, 1982, 20 ,pp R125-135.
[4] Hussain .M.A., Pu. S. L., and Underwood, J.H., Strain
energy release for a crack under combined mode I and
mode II , Fracture Anal . ASTM, STP 560.
[5] Papadopoulos G.A., Crack initiation under biaxial
loading, Fracture Mechanics, 1988.29,pp 585-598.
[6] Shih C. F, Small scale yielding analysis of mixed plane
stress strain, Fract. Anal, ASTM STP 560,1974,pp187-
210.
[7] Obta M., On stress field near a stationary crack tip, Mech.
Materials1984. 3, pp 235-243.
III. CONCLUSIONS [8] Saka M., On stress field, Abe H. and Tanaka S.,
Numerical analysis of crack tip in a ductile material small
Following conclusions are summarized on the basis stress yielding and mixed mode loading , Computer Mech.,
of results and discussions of the present 1986,I,pp11-19.
investigation: [9] Dong P., and Pan, J., Plain strain mixed mode near tip
fields in elastic plastic solid under small scale yielding
There is a significant effect of stress biaxiality on conditions. Int. J Fracture, 1990,45,pp 243-262.
state of stress ahead of the crack tip. Hence in all
[10] Dong P., and Pan, J, Plain stress yielding mixed mode
crack initiation criteria, the second constant term of near tip fields elastic perfectly solids, Egg. Fracture
stress may be included to account the biaxiality Mechanics, 1990,37,pp 43-57.
effect on crack initiation angle. [11] Sedmec. A., Finite element evaluation of fracture
1.Crack closing mechanism exists when the crack parameter using rapid mesh refinement, Advance in
angle <450, and biaxiality factor b<0. Due to this Fracture, 1984,pp 1095-1106.
crack closing mechanism because of the presence [12] Guydish, Jacob j., and Fleming. J.F., Optimization of
of compressive stress perpendicular to crack the element mesh for the solution of fracture problems,
surface, the crack initiation angle is delayed. Such Fracture Mechanics, 19768,10,pp-31-42.
delayed phenomenon can be correlated to load [13] Mahantly D.K., and Maiti, S.K. Experimental and finite
biaxiality and crack angle. studies on mode I and mixed mode (I and II) stable crack
2.Both finite element and theoretical results are growth-I on mode I ,Engng Fract. Meachnics , 1990,37,pp
1237-1250.
very close to each other when the frictional factor
is introduced in the analysis for all loading biaxility [14] Mahantly D.K., Maiti, S.K. Experimental and finite element
and crack angles. In most of the cases results studies on mode I and mixed mode on mode I and mixed mode (I
and II) able crack growth-II Engng Fract. Mechanics, 1990,37,pp
obtained from finite element analysis are very close 1251-1275.
to the theoretical results obtained for the co-
[15] Ghorbanpoor, A and Zhang. J, Boundary element
efficient of friction between µf = [0.05 - 0.1] .1for analysis of crack for mixed mode center slant crack
all crack angles 450 growth-II, Engng. Fract. Meachnics 1990,36,(5), pp661-
3.For a symmetrical tensile compressive loading, a 668.
component of stress due to presence of friction [16] Wang J and Chow C.L., Mixed mode ductile fracture
arises on the crack surface. Present investigation studies with non proportional loading based on continuum
indicates that a coefficient of friction µf>0.05 may damage mechanics, J.Engng material & Tech., 1989, III,
be considered and crack initiation criterion way be pp 204-209.
modified accordingly. As the coefficient of friction [17] Sun Y. J., and Xu, Lu, L.M. Further studies on crack tip
increases further for 0.05, the crack initiation angle plasticity under mode loading Proc. Of 1985 Spring Conf.
Exp. Mechanics, Publication, Las Vegas, 1985, pp 20-25.
changes significantly. The change in crack
initiation angle is insignificant when the coefficient [18] Lee K.Y., Lee J.D., and Lienbowitz H., Finite element
analysis of slow crack process in mixed mode fracture,
of friction µf  0.050.
Engng Fract.Meachnics 1997,56, pp 551-577.
It is also observed that σxx and σyy remains tensile in [19] Kibler J.J and Roberts R., The effect of biaxial stresses
nature through out for b = +1, where as σxy on fatigue and fracture , J. Engng. Ind. 1970,92,pp 727-
becomes compressive between 6001800. 734.
[20] Hiton, P.D., Int J. Fracture ,1973,9, pp 149.
REFERENCES
[21] Lienbowitz, H, Lee. J.D., and Eftis.,J., Biaxial load
[1] Erdogan., F.Sih., G.C., On the crack extension in plates effects in Fracture Mechanics. 1978,10,pp 315-335.
under plane loading and transverse shear. J Basic Engng, [22] Hafeele P.M. and Lee. J.D., The constant stress term,
1963,85, pp519-527. Engng. Fracture Mechanics, 1995, 50, pp 869-882.
141
[23] Seibi. A.C. and Zamric, S. Y. Prediction of crack

initiation direction for surface flaws under biaxial loading.
J. Pressure Vessel Technology, 2003,125,pp 65-75.
[24] Ling. L.H., and Woo C.W., On angle crack initiation
under bi axial loading, J Strain Anal.,1984. 19(1), pp 51-
59.
[25] Chow C.W., and Kuruppu M.D., Use of finite element
analysis of cracked bodies to determine stress intensity
Factor. J. strain Anal.,1987, pp 18-25.
[26] Woo. C.W., and Kuruppu M.D., Use of finite element
method for determining stress intensity factors with a conic-
section simulation model of crack surface, Int. J Fracture
1982, 20.pp 163-178.
[27] Sneddon I.N. and Lowengrub. M. Crack problems in
classical theory of elasticity, Johan Wiely, New York. 1970.
[28] Gope P.C. Investigation in to the crack propagation under
static and fatigue loading.Ph.D Thesis 2002. Ranchi
University. Ranchi.
[29] Bahuguna S. Kothari. A and Awasthi, P., Study on mixed
mode crack propagation under uniaxial tensile loading.
B.Tech. Project report, G.B. Pant University of Ag. & Tech.
Pantnagar. 2001.
142
Analysis and Design of a Supersonic Wind

Tunnel using Centrifugal Compressor and Axial
Compressor
Dr. T. Rajeshkannah1, M.Mareeswaran2
1
Professor and COE, 2Student, M.E. Engineering Design, Department of Mechanical Engineering,
Anjalai Ammal Mahalingam Engineering College, Thiruvarur, Tamil Nadu, India
1
rajeshkannah99@hotmail.com
2
megamarees@rediffmail.com
Abstract - This paper mainly deals with design of a supersonic were possible to develop at the ARC using existing
wind tunnel to reduce the power consumption using centrifugal equipment, namely a storage tube, a supersonic nozzle and a
compressor and axial compressor. A three-dimensional Navier– high-pressure compressor. A blow down tunnel was chosen
Stokes solver is used to investigate the flow field of a high since it has, in general, a longer run time. However, it
pressure ratio centrifugal compressor for Supersonic Wind requires higher construction cost than a shock tunnel to
Tunnel. Such a compressor consists of a double-splitter impeller
followed by a vaned diffuser. Particular attention is focused on
control the pressure in a settling chamber. The idea of
the test section to maintain the velocity of flow. The diffuser is creating a supersonic jet using a high-pressure (or low-
connected with axial flow compressor to make a positive pressure) gas and a supersonic nozzle is quite old. The
displacement. The performance of the wind tunnel is available. Swedish engineer, Carl G. P. de Laval, discovered the
concept of the nozzle in the late nineteenth century. He
Keywords – Supersonic wind tunnel, Centrifugal invented a single stage turbine driven by hot steam through a
Compressor, Navier-Stokes Equation, Axial flow unique convergent-divergent (CD) nozzle. In Europe, the
compressor, positive displacement compressor. convergent-divergent nozzle is known as the de Laval nozzle.
NACA Langley developed the first blow down tunnel in
I. INTRODUCTION 1927. High-pressure air was stored in a large volume tank and
a jet through a small pipe was used for testing. A typical blow
Supersonic wind tunnels (SWT) have been used for research down tunnel consists of a storage tank filled with high-
and development for more than five decades. pressure air and a CD nozzle.
Aerodynamics, propulsion and acoustic testing are some of Blow down tunnels require increasingly higher pressure as
the main uses of such tunnels. For example, wind tunnels the Mach number increases. The starting pressure is
were used extensively to investigate the aerodynamic experimentally found to be about twice the normal shock
characteristics of the Space Shuttle and Concorde. Despite the pressure loss. A tunnel is started with the opening of an
heavy dependence on computational fluid dynamics (CFD) automatic pressure regulator at the end of a storage tank. The
for modern aerospace vehicle design, wind tunnels have been high-pressure air in the storage tank expands and settles down
improved and are still in continuous use. There are many in a plenum chamber, where the air slows down and is kept at
areas where CFD cannot give accurate solutions such as in a constant pressure. Downstream of the plenum chamber is a
unsteady flows. Wind tunnel testing can provide crucial data CD nozzle. It accelerates the flow to supersonic jet. The jet is
in such difficult flow fields. Experimental aerodynamics then decelerated by a diffuser and exhausted to the
research at the University of Texas at Arlington has been atmosphere.
undertaken at the Aerodynamics Research Center (ARC) In India Aeronautical Engineering is in developing stage, we
since 1986. The Center has the following facilities, a low- have only 9 wind tunnel test facilities in India. The minimum
speed wind tunnel, a transonic Ludwieg wind tunnel, a power consumed is 240Units to test the models for maximum
detonation-driven hypersonic shock tube and an arc-heated of 30 seconds. Reciprocating compressor is used in the
tunnel. Many of them were donated from other research supersonic wind tunnel at present. Reciprocating compressor
facilities and refurbished. The construction of the supersonic is replaced by Centrifugal compressor to test continuously
wind tunnel was started as part of a continuing improvement with 120Units/Hour. The losses in the Centrifugal
program. With completion of the tunnel, ARC has a seamless Compressor are reduced by means of double-splitter impeller
testing capability from low-speed to hypersonic. The followed by a vaned diffuser. This project was undertaken to
supersonic wind tunnel, in general, falls into four categories, design and begin fabrication of a small-scale (test section
blow down tunnel with a high-pressure gas storage tank, volume approximately 100 x 50 x 200 mm3) supersonic wind
high-enthalpy tunnel with a shock tube, atmospheric-entry tunnel appropriate for teaching and laboratory testing of
wind tunnel with a vacuum pump, and continuous flow wind miniaturized diagnostics.
tunnel with a compressor. The first two types of wind tunnels
143
In the present experimental investigation on wind tunnel constant height equal to the impeller exit width. Table 1
has been carried out with following objectives. summarizes the main geometrical parameters. The design
A. To reduce the power consumption of the wind tunnel to rotational speed is 24,700 rpm, and pressure ratio is 3.9:1
test the models. with a volume flow, referred to as the inlet conditions, of 6.8
B. To create the Mach number more than one continuously m3 s, leading to an inlet Mach number of about 1.3. The
vanned diffuser presents high subsonic inlet conditions with
II. DESIGN OF CENTRIFUGAL COMPRESSOR an inlet design Mach number of about 0.95.Detailed PIV
measurements for the vaned diffuser are available; Due to test
A Centrifugal type of air compressor has a simple rotating equipment constraints a compressor stage approximately 14%
element, mounted onto the shaft which is usually connected smaller was used, Nevertheless the pressure ratio of the
directly to the prime mover. These types of compressors are scaled stage at the design condition was slightly lower due to
usually used for gas compression in oil platforms and scale effect and to the influence of the PIV system. The multi
LNG/LPG storage and transport installations. A typical row multi block release of the TRAF code developed by
example for the use of centrifugal air compressors are in Amone was used in the present work. The unsteady three
turbochargers of diesel engines. The compressor in a whole dimensional Reynolds averaged Navier–Stokes equations are
has inducer, which sucks the air in, the impeller, which written in conservative form in a curvilinear body-fitted
rotates at high speed, and the diffuser, which increases the coordinate system and are used to solve for the density,
pressure of the compressed air. The centrifugal compressors absolute momentum components, and total energy.
are best suited for constant load requirements. One of the
remarkable characteristics of a centrifugal compressor is as TABLE.1 DESIGN OF IMPELLERS
the speed of the impeller reduces the capacity of the
compressor increases. The air is sucked in axially by the Design Parameters Values
impeller and the blades of the impeller impart additional Pressure Ratio 3.9
energy which is converted into pressure energy and delivered Blade numbers 16
Inlet Hub Diameter 96 mm
out of the compressor casing. The centrifugal compressor
Inlet Tip Diameter 260 mm
may be of a single-stage or two and some times three-stage,
Inlet Tip Angle 30 Degrees
which is more efficient than some screw and other positive Exit Diameter 520 mm
displacement types.
III. DESIGN OF AXIAL FLOW COMPRESSOR
Fig2. Cascade of Axial Flow Compressor
Fig1. Cross section of Centrifugal Compressor
The compressor stage is composed of a centrifugal impeller

with 8 blades and double splitters with 8 and 16 blades,
respectively, and a vanned diffuser with 19 blades. The
impeller is un-shrouded with a tip clearance varying from
0.65 mm at the blade inlet to 1 mm at exit. The size of the
radial gap, expressed as the radius ratio of the diffuser leading
edge to the impeller trailing edge is r3 r2 =1.15. The
diffuser vanes are of the double-circular arc type and have a
144
on studies of isolated airfoils. The nomenclature and methods

of describing compressor blade shapes are almost identical to
that of aircraft wings. Research in axial compressors involves
the inter effect of one blade on the other; thus, several blades
are placed in a row to simulate a compressor rotor or stator.
Such a row is called a cascade. When discussing blades, all
angles which describe the blade and its orientation are
measured with respect to the shaft (Z axis) of the compressor.
The airfoils are curved, convex on one side and concave on
the other, with the rotor rotating toward the concave side. The
concave side is called the pressure side of the blade, and the
convex side is called the suction side of the blade. The chord
line of an airfoil is a straight line drawn from the leading edge
to the trailing edge of the airfoil, and the chord is the length
of the chord line. The camber line is a line drawn halfway
between the two surfaces, and the distance between the
camber line and the chord line is the camber of the blade. The
Fig3. Axial flow compressor blade
camber angle θ is the turning angle of the camber line. The
blade shape is described by specifying the ratio of the chord
The compressors in most gas turbine applications, especially to the camber at some particular length on the chord line,
units over 5MW, use axial flow compressors. An axial flow measured from the leading edge. The aspect ratio AR is the
compressor is one in which the flow enters the compressor in ratio of the blade length to the chord length. The term “hub-
an axial direction (parallel with the axis of rotation), and exits to-tip ratio” is frequently used instead of aspect ratio. The
from the gas turbine, also in an axial direction. The axial-flow aspect ratio becomes important when three-dimensional flow
compressor compresses its working fluid by first accelerating characteristics are discussed. The aspect ratio is established
the fluid and then diffusing it to obtain a pressure increase. when the mass flow characteristics are discussed. The aspect
The fluid is accelerated by a row of rotating airfoils (blades) ratio is established when the mass flow and axial velocity
called the rotor, and then diffused in a row of stationary have been determined. The pitch Sb of a cascade is the
blades (the stator). The diffusion in the stator converts the distance between blades, usually measured between the
velocity increase gained in the rotor to a pressure increase. A camber lines at the leading or trailing edges of the blades. The
compressor consists of several stages: 1) A combination of a ratio of the chord length to the pitch is the solidity σ of the
rotor followed by a stator make-up a stage in a compressor; 2) cascade. The solidity measures the relative interference
An additional row of stationary blades are frequently used at effects of one blade with another. If the solidity is on the
the compressor inlet and are known as Inlet Guide Vanes order of 0.5-0.7, the single or isolated airfoil test data, from
(IGV) to ensue that air enters the first-stage rotors at the which there are a profusion of shapes to choose, can be
desired flow angle, these vanes are also pitch variable thus applied with considerable accuracy. The same methods can
can be adjusted to the varying flow requirements of the be applied up to solidity of about 1.0 but with reduced
engine; and 3) In addition to the stators, another diffuser at accuracy. When the solidity is on the order of 1.0-1.5,
the exit of the compressor consisting of another set of vanes cascade data are necessary. For solidity in excess of 1.5, the
further diffuses the fluid and controls its velocity entering the channel theory can be employed. The majority of present
combustors and is often known as the Exit Guide Vanes designs are in the cascade region. The blade inlet angle β1 is
(EGV). the angle formed by a line drawn tangent to the forward end
The geometry of a compressor can be categorized into 3 main of the camber line and the axis of the compressor. The blade
designs types, a Constant Outer Diameter (COD), a Constant outlet angle β2 is the angle of a line drawn tangent to the rear
Mean Diameter (CMD) or a Constant Hub Diameter (CID), of the camber line. Subtracting β2 from β1 gives the blade
there are several different parameters that can specify a camber angle. The angle that the chord line makes with the
particular compressor. A number of these parameters will be axis of the compressor is γ, the setting or stagger angle of the
presented and used for the calculation that will follow later blade. High-aspect ratio blades are often pre-twisted so that at
on. The first set of input parameters are based on the running full operational speed the centrifugal forces acting on the
conditions for the machine. These involve mass flow, blades will untwist the blades to the designed aerodynamic
rotational speed, pressure ratio and the number of stages. For angle. The pre-twist angle at the tip for blades with AR ratios
controlling the distribution of the load between the rotor and of about four is between two and four degrees.
the stator the stage reaction can be set. If this is not of The air inlet angle α1, the angle at which incoming air
importance, the outlet flow angle for the each stage must be approaches the blade, is different from β1. The difference
set instead. Since airfoils are employed in accelerating and between these two angles is the incidence angle i. The angle
diffusing the air in a compressor, much of the theory and of attack α is the angle between the inlet air direction and the
research concerning the flow in axial compressors are based blade chord. As the air is turned by the blade, it offers
145
resistance to turning and leaves the blade at an angle greater

than β2. The angle at which the air does leave the blade is the
air outlet angle α2. The difference between β2 and α2 is the
deviation angle δ. The air turning angle is the difference
between α1 and α2 and is sometimes called the deflection
angle.
III. WIND TUNNEL DESIGN, FABRICATION, AND

ASSEMBLY
The practical objectives of this project, once the theory
was understood and incorporated, were to design, fabricate,
and assemble a small working supersonic wind tunnel for
laboratory use. The first step was the establishment of several
governing parameters. These are calculated using MATLAB
(The Math Works Inc., Natick, MA) and the results are Fig5. Test Section of wind tunnel
plotted below. The information yielded by these calculations
was used to settle on a design concept based on run time and
test-section Mach number. An optimum design for duct
components and a vacuum chamber interface flange was then
generated using Solid Works (Dassault Systèmes Solid
Works Corp., Concord, MA). Working within the budget
constraint, materials were obtained and sent to the Higgins
Laboratories Manufacturing Shop for fabrication of
components.
Fig.7 Mass flow rate vs throat area
Fig3. Fabrication of Wind Tunnel
Fig.8 Mach Number vs Area Ratio
IV. CONCLUSION
The results obtained from the test section of supersonic

wind Tunnel, we concluded that the Mach number 2 is
maintained continuously in the test section size of 100mm X
50mm. The power of the centrifugal compressor used is 60HP
and the power of the axial flow compressor is 60HP. The
power consumption is 100 units per hour, where as it is 240
Fig4. Testing of Wind Tunnel units for 20second test in the existing system. The Mach
146
number is maintained constant for full operating conditions.

Unfortunately the Computational Fluid Dynamics software is
not supported the Supersonic flows. We did the analytical
calculations using Navier-stokes solver to identify the Mach
numbers by varying the area ratio. Models were tested in a
100mm x 50mm test section using Centrifugal compressor
and axial flow compressor.
ACKNOWLDGEMENT
The Authors gratefully acknowledge Anjalai Ammal

Mahalingam Engineering College, Kovilvenni, Tamil Nadu,
India and Mount Zion College of Engineering and
Technology, Pudukkottai, Tamil Nadu, India, and in
particular Mr. Jayabarathan Chellaiah, Chairman, Mr. Jayson
K. Jayabarathan, Managing Trustees, Principal and staff
members for providing facilities and fund to complete our
projects.
REFERENCES
[1] Anderson, J. D. (2007). Fundamentals of Aerodynamics, Fourth

Edition. New York: McGraw-Hill Education.
[2] Anderson, J. D. (2003). Modern Compressible Flow with Historical
Perspective. New York: McGraw-Hill Higher Education.
[3] Anderson, J. (2001). Research in Supersonic Flight and the Breaking of
the Sound Barrier.
[4] Baals, D., & Corliss, W. (2004, August 6). Wind Tunnels of NASA.
Retrieved June 4, 2009, from NASA History Office:
http://www.hq.nasa.gov/office/pao/History/SP-440/cover.htm
[5] Delery, J., & Marvin, J. (1986). Shock-Wave Boundary Layer
Interaction. North Atlantic Treaty Organization: Advisory Group for
Aerospace Research & Development.
[6] Giancoli, Douglas C. (2000). Physics for Scientists and Engineers with
Modern Physics, Third Edition. New Jersey: Prentice Hall.
[7] Henry, J., Dick, S., & Garber, S. (2007, March 26). Orders of
Magnitude: A History of the NACA and NASA, 1915 - 1990. Retrieved
June 4, 2009, from The NASA History Series:
http://www.hq.nasa.gov/office/pao/History/SP-4406/cover.html
[8] John, J. E., & Keith, T. G. (2006). Gas Dynamics: Third Edition. Upper
Saddle River, NJ: Pearson Prentice Hall.
[9] Cumpsty, N. A., 1989, Compressor Aerodynamics, Longmann
Scientific and Technical, Essex, England.
147
Method of Transmitted Variation for Feasibility

Robust Design
Mr. Kelkar Satej Sudhakar
Assistant Professor, Dept of Mechanical Engg.
Jaywantrao Sawant College of Engg. Hadapsar, Pune-28
satej_kelkar@yahoo.com
Abstract— Solution for any design optimization problem is in be defined. Once the objective of the design is clearly defined,
form of a set of values of design variables. Optimum design use to it results in an explicit design procedure to arrive at a solution
be a rigid one and no change or variation in the set values is which is the best possible one and it is called as an ‗optimum
permitted. A change or variation in set values and / or design design‘.
parameters may cause improper functioning or even failure in Optimum Design Solution is in form of a set of values for
some critical cases. The Optimum Design is so sensitive to the all the design variables. An ‗Optimum Design‘ happens to be
change or variation that it does not tolerate any change or a rigid one and no change or variation in the set values is
variation though it is very small and even of the level of
permitted. A change or variation in set values and / or design
geometric tolerances. In this context Robust Optimum Design is
that optimum design which tolerates variations. The variations parameters may cause improper functioning or even failure in
(which also include the geometric tolerances) are the expected some critical cases. The Optimum Design is so sensitive to the
deviation of design variables and / or parameters from their set changes or variations that it does not tolerate any change or
values. variation though it is very small and even of the level of
One of the key concepts of robust optimum design is, geometric tolerances. In this context ‗Robust Optimum
variations in variables and parameters get transmitted to the Design‘ is that optimum design which tolerates variations.
design function causing variations in it. A method called as The variations (which also include the geometric tolerances)
‘Method of Transmitted Variation”, takes into account the effect are the expected deviation of design variables and / or
of transmitted variation in such a manner that despite variations
parameters form their set values.
no improper functioning and no failure is ensured and thus
feasibility of the design is ensured and hence the resultant design One of the key concepts of robust optimum design is,
is called as ‘Feasibility Robust Optimum Design’. variations in variables & parameters get transmitted to the
design function causing variations in it.
Keywords— Transmitted variation, Robust Optimum Design, If any how the effect of transmitted variation is taken care
Feasibility Robustness. Introduction of such that despite variations no improper functioning and no
failure is ensured then the resultant design can be assumed to
be tolerant to variations and hence robust design. In another
I. INTRODUCTION approach sensitivity of the optimum design to variations is
reduced to minimum possible level and hence design is
assumed to be tolerant to variations and hence to be a robust
For most of the design problems, one can find an one.
infinite number of possible design solutions for the overall When despite variations proper functioning is ensured it is
objective of the design. Any one of such possible design called as a ‗Feasibility Robust Design‘ and when sensitivity of
solutions can be designated an ‗adequate design‘ because it the design to variations is reduced to minimum possible level
represents a synthesis which merely satisfies the functional it is called as a ‗Sensitivity Robust Design‘.
requirements while remaining within the confines of existing
limitations.
Associated with any mechanical element are certain
inherently unavoidable undesirable effects like stresses, II. METHOD OF TRANSMITTED VARIATION FOR
deflections, vibrations, weight, cost etc. and certain desirable FEASIBILITY ROBUST OPTIMUM DESIGN
effects like power transmission capability, energy absorption
capability, usable length of life, etc. As any design problem
can have number of adequate design solutions, to find the best A .Basic Concept
out of them which will result in maximum benefit or in order
to obtain a more explicit method of designing, one has to Let us consider a circular disc with radius, r = 20 mm.
define the overall objective of the design more clearly. Now a variation of say  0.3 mm in radius r will cause
Depending upon the problem in hand, an objective of the variation in area of the disc from 1219.22 mm2 to 1294.62
design like either to minimize the most significant undesirable mm2 i.e. variation of  37.7 mm2 in expected area of 1256.62
effect or to maximize the most significant desirable effect can mm2 (Similarly variations in radius and length of a cylinder
148
will cause variations in its volume). Thus it can be realized

that variations in design variables and parameters get 2) For Worst Case Analysis: Induced Variation is given by,
transmitted to the design function. Now let us assume that due
to space constraints, area of the disc denoted by ‗a‘ is limited n g m g i
to 1256.62 mm2 so ‗a‘ should be  1256.62 mm2 is a limit
equation representing constrained boundary in the design. Any
g i   x ij x j  
p
p j -------------(B)
j 1 j 1 j
positive variation in radius, r will cause value of a  1256.62
mm2 and thus it will cause violation of the limit equation or Here Δx represents maximum possible (worst case)
the constraint boundary it has to obey. Violation of variation or geometric tolerance of design variables and Δp
constrained boundary or a limit equation may cause improper represents maximum possible (worst case) variation in
functioning or even failure in some critical cases. Thus due to parameters. The vertical bars indicate that absolute value is
presence of limit equations, Optimum Designs generally calculated (Which allows tolerances to assume any sign and
become rigid and they do not tolerate variations. hence computes the worst possible effect of them). Since both
Variations in variables and parameters are inevitable, they the equations A & B are based on linear Taylor‘s series they
may cause violation of constraints which results in improper are generally valid for small tolerance or variations only. Thus
functioning or even failure in some critical cases and hence the Induced Variation in design function or probable variation
variations are not tolerable. Therefore variations need to be of the design function can be calculated.
taken care of such that they may not cause violation of any This Induced variation may cause violation of constraint
limit equation or the constraint boundary. If it is ensured that boundaries and to avoid improper functioning or failure of the
despite variations none of the constraint boundaries is violated design one has to adjust the design such that effect of it is
then no improper functioning or failure due to variation is nullified
ensured and thus the design is feasible which is tolerable of
variations. This will be called as ‗Feasibility Robust Design‘. C. Procedure of Obtaining Feasibility Robust Design
Thus for obtaining ‗Feasibility Robust Optimum Design‘, the
optimum design is to be so modified that despite variations The estimation from equation A or B (i.e. Induced
none of the constraints of the design is violated. Variation) can be used to obtain feasibility robustness in a
straight forward way. First using any suitable optimization
technique the ‗Nominal Optimum Design‘ is formulated. The
B. Procedure of Obtaining Induced Variation probable variation in design variables and parameters and also
geometric tolerances to be applied are decided. Then using
It is observed that if the variations in variables & either equation A or B as the case may be the effect of
parameters are statistically distributed then they cause or transmitted variation or the Induced Variation in design
induce statistical distribution in design function. Thus the function is calculated. The calculated Induced Variation is
variation is transmitted to design function and effect of this used to modify the optimum design in such a way as to nullify
transmitted variation is called as ‗Induced Variation‘. This its effect. The Induced Variation is added for <= constraints
effect of this transmitted variation or the ‗Induced Variation‘ and subtracted from >= constraints and modified constraints
is to be taken care of for obtaining ‗Feasibility Robust of the design are formulated.
Design‘. If a design constraint is say gi ≤ bi then the modified
The effect of transmitted variation or the ‗Induced constraint (taking into account the Induced Variation) will be
Variation‘ or the expected value of variation in design as follows.
function can be estimated by using either first or second order
expressions as follows. 1) For Statistical Analysis:
If variations are statistically distributed then the mean and gi +k gi ≤ bi ------------------C
the variance of the design function can be estimated by taking 2) For Worst Case Analysis:
expected values of a first order Taylor‘s series. gi + ∆ gi ≤ bi ------------------D
1) For Statistical Analysis: with a linear model the mean is Alternatively we can consider that the variation has reduced
the nominal value & the variance is given by the right hand side like
2 2
 g  m  g  gi ≤ bi – k gi ---------------- E
g i
2

n
  i
j  1 x j

x j     i
j  1 p j

p j  -------(A)
 or
   gi ≤ bi - ∆ gi -------------------F
Thus the constraints are modified which represent a
Here g represents any design function (it can be an modified Mathematical Model of the design problem (wherein
objective function, a functional requirement or a constraint) the effect of Induced Variation is nullified).
and n-dimensional vector X represents design variables Re-optimization of this modified Mathematical Model
whereas m-dimensional vector P represents parameters of the results in an optimum design solution in which as the effect of
design. Induced Variation is nullified, therefore despite variations
149
none of the constraints is violated and no improper  Requires higher computational efforts as to carry out
functioning or failure due to induced variation is ensured. second order derivatives.
Thus design is always feasible despite variations and hence it
is ‗Feasibility Robust Design‘. III. CONCLUSION
TABLE I The nominal or simple ‗Optimum Design‘ can not tolerate

Level of Feasibility for Statistically Distributed Variation case
changes or variations in design variables and parameters and
variations are inevitable. Variations may cause violation of
Value of ‘k’ Representing  Area Under the ‘Normal
constraint boundaries causing improper functioning or even
Value of  Distribution’ Curve
failure of the design in some critical cases. A robust design is
1 68.27 %
one which is capable of sustaining variations
2 95.45 %
3 99.73 %
If variations are taken care of such that their effect if
4 99.99 % nullified then despite variations the design is feasible and no
improper functioning or no failure is ensured and the design is
tolerable to the variations then it will be called as a
In equation C & E the value of k is selected according to ‗Feasibility Robust Design‘.
the level of feasibility desired in the design. If distribution of In the method of ‗Transmitted Variation‘ for robust design,
variation is assumed to be ‗Normal Distribution‘ then using first order Taylor‘s series expected effect of variation is
referring Table 1 the values of feasibility associated with calculated and it is used for modification of the nominal
several values of k can be found out. Suppose a constraint is optimum design to make it a robust one(which is capable of
expected to be feasible 99.73% of the time then value of k is sustaining variations). Achieving robustness in a design
required to be set at 3. Suppose expected feasibility is 95.45% causes degradation of the design but this degradation can be
then referring Table 1 value of k should be set at 2 and so on. considered as the cost paid for achieved robustness.
For a worst case analysis feasibility is 100% .
Due to modification of constraints the optimum design is .
moved into the feasible design region such that it will stay
feasible even when it is subjected to expected variations and
thus it is a design capable of sustaining variations or in other
words a ‗Feasibility Robust Design‘. REFERENCES
By comparing the Robust Optimum Design with the
Nominal Optimum Design, one can realize that Robust
Optimum Design is a degraded design. This degradation can
be looked upon as a cost paid to achieve feasibility robustness [1] G. Emch & A. Parkinson, ―Robust Optimum Design for Worst Case
Tolerances‖, ASME Journal of Mechanical Design, Dec. 1994, vol.
in the design. Referring Table 1 a designer may make a 116, pp 1019 to 1025
compromise providing a little extent of infeasibility if there is [2] A. Parkinson, ―Robust Mechanical Design using Engineering
high degradation (reduction in optimum value) due to Model‖, ASME Journal of Mechanical Design, June 1995, vol. 117,
feasibility robustness analysis. pp 48 to 55
[3] Ray C. Johnson, ―Optimum Design of Mechanical Elements‖,
published by John Wiley &Sons, Inc., New York, London , first
D. Advantages of Transmitted Variation Method addition, 1961.
 Variations of any model input whether controllable or [4] Rao S.S. ,―Optimization, Theory & Applications‖, published by
uncontrollable (i.e. design variables or parameters) are Mohinder Singh Sejwal for Wiley Eastern Ltd. , New Delhi, second
edition, July 1984.
taken care of by this method.
 This method is a general one, in a sense that it can be
applied to any design problem for which a mathematical
model can be developed.
 It integrates tolerances analysis with selection of other
design variable values.
 Being straight forward method it can easily be automated.
 The same method and derivatives which are used for
nominal optimum can be used to derive a robust optimum
design.
E. Disadvantages of Transmitted Variation Method

 This method proves to be not efficient up to the mark for
nonlinear models.
 This method cannot easily be applied, if variations are
above 2 to 3% of the nominal value.
150
Modeling and Thermal Mapping of Three Cylinder

S. I. Engine Cylinder Head by using CAE.
S. V. Bhalerao1, Dr. A. N. Pawar2, R. M. Sherekar3 P.N.Shrirao4
1,3,4
Mechanical Engg. Dept. J. D. I. E. T., Yavatmal-445001, Maharashtra, India
2
Mechanical Engg. Dept., Govt. Polytechnic., Yavatmal-445001, Maharashtra, India
3
rahulsherekar@yahoo.com
Abstract-The internal combustion engine is a rich source of It should be remembered that abstraction of heat from the
examples of almost every conceivable type of heat transfer. There working medium by the way of cooling the engine components
are a wide range of temperatures and heat fluxes in the various is a direct thermodynamic loss.
components of the internal combustion engine. Internal combustion During the process of converting thermal energy to mechanical
engines come in many sizes, from small model airplane engines
energy, high temperatures are produced in the cylinders of the
with a 0.25 " (6 mm) bore and stroke to large stationary engines
with a 12" (300 mm).About 25 % of the air/fuel mixture energy is engine as a result of combustion process. A large portion of heat
converted to work, and the remaining 75% must be transferred from the gases of combustion is transferred to the cylinder head
from the engine to the environment. The heat transfer paths are & walls, piston & valves. Unless the excess heat is carried away
many and include many different modes of heat transfer. & these parts are adequately cooled, the engine will be
Maximum amount of heat is transferred through the cylinder head. damaged. A cooling system must be provided not only to
In this paper efforts taken to analyze the heat transfer through the prevent damage to the vital parts of the engine but the tem-
cylinder head of three cylinder S.I. engine are discussed. CAE is peratures of these components must be maintained within
extensively used for simulation. Heat transfer is analyzed for certain limits in order to obtain maximum performance from the
different rates of coolant flow and a optimized coolant flow rate is
engine.
suggested.
Satisfactory engine heat transfer is required for a number of
I. INTRODUCTION important reasons, including material temperatures limits,
emissions & knock. The temperatures of certain critical areas
As an appreciable amount of heat is transferred through the I. C. need to be kept below material design limits. Aluminium alloy
engine which effects the engine performance, it is therefore begin to melt at temperatures greater than 775 K & the melting
essential to look forward to analyze the modes of heat transfer point & iron is about 1800 K. Differing temperatures around the
and temperature variations in the engine components. cylinder bore will cause bore distortion & subsequent increased
About 35% of the total chemical energy that enters an engine in blow-by, oil consumption & piston wear.
the fuel it converted to crankshaft work, & about 30% of the The piston & valves, since they are moving, are difficult to cool,
fuel energy is carried array from the engine in the exhaust flow & operate at the highest temperatures. Temperatures
in the form of enthalpy & chemical energy. This leaves about measurements indicate that the greatest temperatures occur at
one third of the total energy that must be dissipated to the the top or crown of the piston, since it is in direct contact with
surrounding by some mode of heat transfer. Temperatures the combustion gases. The temperature of the piston & valves
within the combustion of an engine reach values on the order depend on their thermal conductivity. As thermal conductivity
2700 K & up. Materials in the engine cannot tolerate this kind of increases, the conduction resistance decreases. resulting in lower
temperature & would quickly fail if proper heat transfer did not surface temperatures for the same speed & loading, aluminum
occur. Removing heat is highly critical in keeping an engine & pistons are about 40K cooler than cast iron pistons.
engine lubricant away from thermal failure. On the other hand it
is desirable to operate an engine as hot as possible to maximize
thermal efficiency. It must be remembered that the reliability of
an engine depends not so much, it is true on the proportion of II. OBJECTIVE OF WORK
the total heat converted into useful work, but rather upon the
proportion of the total heat which is not so converted & which is Temperature of burned gases in the cylinder of an internal
left over to make trouble. combustion engine may reach upto ten times of surface
temperature and leads to great heat fluxes emitted to the
chamber walls during the combustion period. Maximum metal
temperatures for the inside of combustion chamber space are
151
limited to much lower values by a number of considerations &

hence cooling for the engine becomes essential. In regions of
high heat flux, thermal stresses must be kept below levels that
would cause fatigue cracking (less than about 400°C for cast
iron & 300°C for aluminium alloys). The gas side surface of
cylinder wall must also be kept low to prevent deterioration of
the lubrication oil film. Heat transfer effects the engine
performance, efficiency & emissions.
It should always be remembered that abstraction of heat from
the working medium by the way of cooling the engine
components is a direct thermodynamic loss.
For a given mass of fuel within the cylinder, higher
heat transfer by extra cooling will lower the average combustion
gas temperature & pressure which in turn reduce the work per
cycle transferred to the piston. Thus specific power & efficiency
Meshed Geometry
are reduced.
Various thermal efficient super alloys are been
invented & used for I.C. engine component, but it is not possible
to achieve all the mechanical, chemical & thermal properties III. MESHING
from same material.
The engine components are not directly exposed to elevated Meshing can be defined as the process of breaking up a physical
temperatures & thus are relieved from heavy thermal stresses domain into smaller sub-domains (elements) in order to
increasing the working life. Also this reduces the amount of facilitate the numerical solution of a partial differential equation.
cooling required and results in power saving of the engine. While meshing can be used for a wide variety of applications,
As can be seen, it is very important to predict the the principal application of interest is the finite element method.
magnitude of heat transfer in designing engines. Hence it is the Surface domains may be subdivided into triangle or
objective in this analysis to study temperatures distribution quadrilateral shapes, while volumes may be subdivided
overs the cylinder head & optimize it’s cooling to avoid severe primarily into tetrahedra or hexahedra shapes. The shape and
effects of overcooling and undercooling. Proper understanding distribution of the elements is ideally defined by automatic
of the heat transfer by thermal analysis will lead to better engine meshing algorithms.
design with increased efficiencies and life. The finite element method in recent decades
Computer Aided Engineering is extensively used for has become a mainstay for industrial engineering design and
simulation.High end DSoftwares are used for Modelling and analysis. Increasingly larger and more complex designs are
analyzing the performance of Engineering Components. being simulated using the finite element method. With its
A model of the Cylinde Head is prepared. Thermal analysis is increasing popularity comes the incentive to improve automatic
further carried out at various cooling rates and the temperature meshing algorithms.
distribution at critical areas is observed to optimize the cooling. The automatic mesh generation is done to define a set
of nodes and elements in order to best describe a geometric
domain and observe the stress distribution at all the finite
Model of Cylinder Head. element nodes.
No. of Nodes 74388

No. of Elements 75763N
152
IV. THERMAL ANALYSIS The CAE softwares are nowadays widely used for simulation as
the result achieved are quite close and approximate to the real
MATERIAL PROPERTIES OF CYLINDER HEAD condition. Modeling was done with CATIA V5 and thermal
A. CASE I: Coolant flow rate of 80 GPM analysis was done with ANSYS WORKBENCH 11.0.
Aluminum 356.0-T6, Permanent mold cast. The following three cases are analysed to observe the
Subcategory: Aluminum Alloy; Aluminum temperature variations and optimize cooling.
Casting Alloy; Metal; Nonferrous Metal
CASE I: Coolant flow rate of 80 GPM
This is the thermal mapping of cylinder head for 80 GPM where

the critical area of exhaust valve is at 50 C and in this state
cylinder head is overcooled.
 Max. temp. = 50˚ C
 Min temp. = 47.81˚ C
 Max Heat Flux = 12332 W/m²
B. CASE II: Coolant flow rate of 69 GPM
CASE II: Coolant flow rate of 69 GPM
This is a thermal mapping of cylinder head for 72˚ C. the

cooling rate required for this temp. is 63 GPM at this state
cylinder head works efficiently.
This is optimized cooling condition.
 Min temp. = 66.72˚ C
 Max Heat Flux = 30517 W/m²
C. CASE III: Coolant flow rate of 58 GPM
153
CASE - www.fuepatentsonline.com
[7] Tapio Mantyla, Dr. Oari Vuoristo , Mr. Ahmaniemi Dr. Vippola, Thick
CeramicCoatings.
III: Coolant flow rate of 58 GPM - Euroceram News 7.
- Tampere University of Finland,
This is a thermal mapping of cylinder head for 90˚ C. the - www.eurocevam.org/en/news/news2.cfm.
[8] T. Sourmail, Coatings for turbine Blades
cooling rate required for this temp. is 49 GPM at this state
- University of Cambridge
cylinder head get overheated.

 Min temp. = 82.30˚ C
 Max Heat Flux =45478 W/m²
IV. CONCLUSION
The three Cylinder Head S.I. engine in conventional mode is

suggested to be operated at a flow rate of 69 GPM where the
max. temp. 72˚ C. at the exhaust valve region. On reducing flow
rate to 58 GPM the max temperature at the exhaust valve region
goes to 90˚ C. where the cylinder head get overheated and for
increasing the flow rate up to 80 GPM the temperature in the
vicinity of exhaust valve reduces to 50˚ C. where cylinder head
is overcooled.
REFERENCES
[1] H. Herman & S. Sampath. Thermal spray coating. The thermal spray
laboratory, Department of Materials Science & Engineering, State
University of Newyork (Ale Slay TBC)
[2] Vidyasagar H. N., S Gopal Prakash, Shivrudraish, K, V. Sharma. Influence
of Cyclic Thermal loading on fatigue Behavior of Thermal Barrier
Coatings.
[3] World Academy of science, Engineering and Technology Vol 26. Dec –
2007 – ISSN 1307 – 6884 (Ale slay TBC)
[4] Harris D. H., Thermal Barrier Coatings : Technology for diesel engines
- SAE transaction ISSN 0096-736 1989 Vol 97 (6) pp 782-788
[5] Binder, Klaus, Weiss Kopf, Karl, Izquierdo, Patrick.
- Internal combustion Engine & Process for applying a thermal barrier
layer.
- www.freepatentsonline.com.
[6] Okonsy, David A, Thermal barrier coating and method of depositing the
same on combustion chamber component surfaces.
154
Simulation Based Transient Thermal and

Flexible Dynamic Analysis of Brake Disc of
Motorcycle
1
SampadaBagai,,2GautamBatra,
1
Student, Department of Mechanical and Automation Engineering (MAE)
Indira Gandhi Institute of Technology (IGIT), Kashmere Gate ,New Delhi-110006
Indraprastha University
Email-sampada.bagai@gmail.com
2
Student, Department of Manufacturing Process and Automation Engineering (MPAE)
Netaji Subhas Institute of Technology (NSIT), Dwarka, sector 3, New Delhi – 110075, INDIA
Delhi University
Email-gautam.batra87@yahoo.in
I. INTRODUCTION
Abstract- Disk brake systems are used extensively in
modern vehicles. Disc brakes are subjected to thermal Disk brake is the part of the brake system that causes
loads, due to the friction produced between brake pad the car to stop. Every time the brakes are applied
and the rotor, and stress produced due to the force kinetic energy is converted to heat because of friction
applied by the piston fitted inside the caliper. In this between the brake pads and the disc. Mostly disc
paper, we focus on the analysis of brake disc of brakes are vented to provide the cooling of disk.
motorcycles. The brake disc is subjected to a repeated
braking condition & the results are obtained over a The disc brake consistsof:
period of time. The paper provides computational
result for analysis of disc on various parameters
1) The rotor, that is mounted on the hub
including heat flux, temperature distribution, principal 2) The caliper, which contains a piston
stresses & strains, total deformation etc. The paper also 3) The brake pads.
compares the response of different materials under
same condition. Conventionally, the brake rotors are
Conventionally, rotor is the cast iron disc bolted to
made up of cast iron. Comparison has been carried out
the wheel hub and a stationary housing called caliper.
with composite material ie Aluminum Matrix
The caliper is connected to the knuckle and a piston
Composite AlSiC (Aluminum Silicon Carbide). Two is present on both sides of the caliper facing each
models of disc brake, one made up of cast iron and other. There is a friction pad between piston and the
other made up of AlSiC, are designed in a 3d modeling disc held in position by retaining pins, spring plates
software & a flexible dynamic & transient thermal etc.
analysis for a disc brake has been done using FEA
(finite element analysis) method for optimization. Based
When the brakes are applied, a hydraulically actuated
on the numerical values obtained the material for piston move presses the friction pad along the disc
maximum optimize of performance is suggested. and hence applying equal and opposite force on the
disk .The disk brakerotor undergoes thermal loading
Keywords – Disc Brake Analysis Stress Thermal
due to the heat generated because of friction and
pressure loading due to the force applied by the
piston.
155
A.Flexible Dynamic Analysis
Flexible dynamic analysis or time-history analysis

determines the dynamic response of a structure
subjected to any general time-dependent loads. This
is used to analyze the time-varying displacements,
strains etc. in any structure which it produces as a
result of static, transient, and harmonic loads.
Because the effect is carried out on such a time scale
that it becomes essential to see the effect of inertia or
damping.
B. Transient Thermal Analysis
Transient thermal analysis analysesthe temperature

and other thermal properties over time. The
temperature distribution over time is of interest in
many applications especially in automobile sector
because of the intense heat produced due to friction.
The variation & degree of temperature rise helps to
determine the suitability of a material in a particular
part. Thermal analysis also shows the temperature
distribution resulting in thermal stresses that can Fig 1 – detail design of Disc brake
cause failure. In such cases the inputs are given as
temperatures from a transient thermal analysis for the
structural analysis for thermal stress evaluations.
Many heat transfer applications such as heat

treatment problems, electronic package design,
nozzles, engine blocks, pressure vessels, fluid-
structure interaction problems, and so on involve
transient thermal analyses.
C. Designing of Disc Brake
The disk brake of motorcycle has been designed in a

3d modeling software andfinite element analysis has
been done in Ansys11. Radius of the brake is 152
mm long and thickness is 7.02 mm. For facilitating
faster cooling of disc brake & reducing the weight of
disc, proper material removal has been done in the
form of holes & other empty spaces. These
ventilationholes have diameter of 11.93 mm.
The weight of the disc brake is an important factor in

while designing the same because lesser weight of
the rotorimplies lesser weight of the vehicle, hence
increased mileage of the vehicle. Also it means lesser
amount of material needed, thereby reducing the cost.
Fig 2 CAD model of disk brake & caliper assembly
156
In order to study the behavior of disc brake under

various conditions, study of literature on transient
thermal analysis has been done. F.E. Kennedy et al
[1] applied FEM for stimulating thermal behavior in
a synchronizing system resulting in time-dependent
distribution of temperature. A. Floquet [2] carried out
temperature distribution and comparison of results of
simulation with the experimental results in the disc
by 2D thermal analysis. The paper of R. A. Burton
[3] describing design process of discs presented the
results of thermal deformation in disc brakes
mounted on wheel and heated due to frictionwhen
exposed to severe non-symmetrical mechanical
andthermal loads. A. E. Enderson [4] from his
research showed that if sliding occurs with frictional
heating, thermo elastic deformation causes the
smooth distributed asperity contact to a state where
they are supported by a few thermal asperities. T. A.
Dow at et al [5] modeled a dynamic system to
Fig 3.2
perform dynamic and thermal analysis of the
vehicle’s braking phenomenon. The model was used
to derive the equationof motion of a car during Since the thermal coefficient of Caste Iron is lesser
straight line braking.In this study we aim to use finite than AlSiC, hence the temperature attained is higher
element for much accurate computation of results in AlSiC but it has better heat carrying capacity than
which could lead toa design producing better stability Cast Iron.
under various thermal and structural forces.
2) Total deformation –AlSiC
III. ANALYSIS OF BRAKE DISC
1) Temperature –AlSiC
Fig 4.1
Fig 3.1
Temperature – caste iron
157
Total Deformation – Caste iron
Fig 4.2
Fig 5.2
It is observed from the figure 4.1 and 4.2 that Total

Deformation produced as a result of braking is more From Fig 5.1 and fig 5.2, it can be seen that
in CastIron disk as compared to the AlSiC under maximum principal Stress produced in AlSiC disk
same conditions suggesting better performance of (lies in the range of about 5x10^5 for most of the
AlSiC. region) is less as compared to that produced in Caste
iron disk (lies in the range of about 1x10^6 for most
3) Maximum Principle Stress – AlSiC of the region) under the same conditions.
4) Maximum Shear Elastic Strain-AlSiC
Fig 5.1
Maximum principle stress –Caste iron
Fig 6.1
158
Maximum Shear elastic Strain – caste iron
S.n Materi Maximum Principle Maximum Shear Elastic

o al Stress (Pa ) Strain
Max Min Max Min
-
1.995x1 1.480x1 4.096x10^ 9.432x10^-
1 AlSiC 0^6 0^6 -5 10
-
Caste
2 3.076x1 1.373x1 6.971x10^
iron
0^6 0^6 -5 3.179x10^-9
TABLE 2
Conclusions
Fig 6.2
After performing the Finite Element Analysis on the
It can be noted that Maximum Shear elastic strain Disk Brake model following conclusions can be
produced in AlSiC during braking is less in made.
comparison to the cast iron disk. Most of the strain
produced in AlSiC disk lies in the range of about 1) The value of Maximum Principle Stress for
3.64x10^-5, whereas in caste iron disk, it lies in the caste iron disk is more as compared to the
range of about 6.1 x10^-5. AlSiC disk under the same conditions.
IV. CONCLUSION
2) The deformation produced in Caste iron disk
is much more as compared to the AlSiC disk
1. Conclusion Tables
under the same conditions.
3) Maximum Shear Elastic Strain values is

S.no Material Temperature Total Deformation (m) more in case of caste iron disk when
Analysis ( °C ) compared to AlSiC disk
Max Min Max Min All the above 3 points leads to a simple conclusion,
wear and tear and the stresses produced in
1 AlSiC 635.11 22 9.376x10^-7 0 analuminum composite AlSiC brake is less as
compared to conventional caste iron disc, so the life
Caste
of an aluminum composite disk brake is more than
2 iron 494.58 22 2.3617x10^-6 0
the conventional caste iron disk brake.
TABLE 1
159
REFERENCES –
[1] KENNEDY, F. E. Improved Techniques for

Finite Element Analysis of Sliding Surface
Temperatures. Westbury House page 138-150,
(1984).
[2] FLOQUET. Non axis symmetric effects for three

dimensional analyses of a brake, ASME J. Tribology,
vol. 116, page 401-407,(1994).
[3] BURTON, R. A. Thermal Deformation in

Frictionally Heated Contact, Wear, vol. 59, page 1-
20, (1980).
[4] ANDERSON, A. E. Hot Spotting in Automotive

Friction System Wear, vol. 135, page 319-337,
(1990).
[5] DOW, T. A. Thermo elastic Instability of Sliding

Contact in the absence of Wear, Wear, vol. 19, page
315-328, (1972).
160
Rice Husk Ash (RHA) and Fly Ash (FA) based Al

alloy Metal Matrix Composites (MMC): A Review
Harvinder Singh 1, Ravinder pal Singh 2 Bhupinder Singh 3
1,2
Mechanical Engineering Department, Chitkara Institute of Engineering and Technology
Rajpura(Punjab)
1
harvinder.shera@chitkara.edu.in
2
ravinderpal.singh@chitkara.edu.in
3
Head of Mechanical Engineering Deptt,,Sri Sukhmani Institute of Engg and technology,Derrabassi,(Punjab)
3
hodme@ssiet.org
Abstract— Metal Matrix composites (MMCs) are advanced inexpensive and low density reinforcement
engineered materials resulting from a combination of two or
available in large quantities as solid waste by-
more materials (one of which is a metal) in which tailored
product during combustion of coal in thermal power
properties are achieved. As current functional materials reach
plants. Hence, composites with fly ash as
their performance limits, designers are looking to MMCs to
provide the extra strength, stiffness, and higher temperature
reinforcement are likely to over come the cost
capabilities required for advanced applications. Compared with
barrier for wide spread applications in automotive
unreinforced metal alloys, MMCs generally offer the following
and small engine applications. It is therefore
advantages: higher specific strength and stiffness, weight
reduction, better resistance to wear and impact damage, a lower
expected that the incorporation of fly ash particles
thermal coefficient of expansion (CTEs), tailorable thermal
in aluminium alloy will promote yet another use of
conductivity, and better vibration damping. Potential application
this low-cost waste by-product and, at the same
areas for these types of materials include aerospace, defence,
automotive, sporting goods, and marine. This paper gives a
review of Fly Ash(FA) and Rice Husk Ash (RHA) Based Al time, has the potential for conserving energy
intensive aluminium and thereby, reducing the cost
Alloys MMCs. The effects on Mechanical and Micro Structural
of aluminium products .
Properties by adding these wastes i.e. RHA and Fly Ash has been
studied.
Mechanical properties of composites are affected
by the size, shape and volume fraction of the
Keywords— Rice Husk Ash (RHA), Fly Ash (FA), Al Alloys,
Metal Matrix Composite (MMC). reinforcement, matrix material and reaction at the
interface. These aspects have been discussed by
I. INTRODUCTION many researchers. Rohatgi reported that with the
increase in volume percentages of fly ash, hardness
Conventional monolithic materials have limitations value increases in Al–fly ash (precipitator type)
in achieving good combination of strength, stiffness, composites reinforced Al MMCs, with varying
toughness and density. To overcome these particulate volume percentages (25, 36, 46, 52 and
shortcomings and to meet the ever increasing 56) and report improvement in elastic modulus,
demand of modern day technology, composites are tensile strength, compressive strength and fracture
most promising materials of recent interest. Metal properties with an increase in the reinforcement
matrix composites (MMCs) possess significantly content.
improved properties including high specific Extensive studies on the tribological
strength; specific modulus, damping capacity and characteristics of Al MMCs containing
good wear resistance compared to unreinforced reinforcements such as SiC and Al2O3 is available
alloys. There has been an increasing interest in in the literatures. However, reports on friction and
composites containing low density and low cost wear characteristics of fly ash reinforced AMCs are
reinforcements. Among various discontinuous very limited. Rohatgi has reported that the addition
dispersoids used, fly ash is one of the most of fly ash particles to the aluminium alloy
161
significantly increases its abrasive wear resistance.

He attributed the improvement in wear resistance to
the hard aluminosilicate constituent present in fly
ash particles.
Temel Sava¸skan and Alev Aydıner in [1]

worked on one binary zinc–aluminium and eight
ternary zinc–aluminium–silicon alloys which were
produced by permanent mould casting. Friction and
wear properties of the alloys were investigated in Fig. 1 Hardness coefficient of friction, wear loss, tensile strength, percentage
both as-cast and heat-treated conditions using a elongation and density versus silicon content of Binary Zn-Al and Ternary
Zn-Al-Si alloys in the as cast condition[1]
block-on-ring machine and the results were related
to their microstructure and mechanical properties. It
was observed that the microstructure of the zinc– P. K. ROHATGI, N. GUPTA, AND SIMON
aluminium–silicon alloys consisted of aluminium- ALARAJ in [2] concluded that The presence of fly
rich _, zinc-rich _ phases and silicon particles. The ash cenospheres in pure Al matrix decreases its
size and distribution of silicon particles were found CTE. The average CTE of Al–fly ash composites is
to be dependent on the silicon content of the alloys. in the order of 12×10‾6/▫C within the temperature
The heat treatment involving quench-ageing range of 100–400▫C. The CTE of the composite
removed the dendritic microstructure of the alloys synthesized at 62 kPa pressure for 7 min is lower
and produced a fine-grained microstructure, but had than that of the composites infiltrated at 35 kPa for
no significant effect on the silicon particles. Silicon 3 min. The increase in applied pressure from 35 to
additions were found to be very effective on 62 kPa and the increase in infiltration time from 3
mechanical and wear properties of zinc-based to 7 min led to a 16% decrease in the CTE. Increase
alloys. The hardness and the tensile strength of the in the infiltration pressure and temperature
alloys increased with increasing silicon content up improves the infiltration and decreases the
to 2wt.% Si, above which it decreased as the silicon entrapped air voids, which reflects as lower CTE.
content increased further. It was also found that Table I shows the chemical composition of Fly ash
friction coefficient and wear rate of the alloys which is similar to RHA Rice husk Ash containing
decreased with increasing silicon content up to 2 most of Silica. Figure two shows the variation of
wt.% Si, but above this level they increased as the CTE with temperature for pure aluminium, A359
silicon content increased further. Among the alloys alloy and different composites
tested, the highest tensile strength and wear
resistance was obtained with the Zn–40Al–2Si alloy. TABLE I
It was also observed that the wear behaviour of the CHEMICAL COMPOSITION OF HOLLOW CENOSPHERE
Zn–Al–Si alloys correlates strongly with their FLY ASH PARTICLES[2]
hardness, tensile strength and friction coefficient.
Variation is stated in figure1.
162
casting is enhanced compared to the matrix alloy.

However, the tensile strength has been reduced due
to particle fracture and particle-matrix debonding.
Figure 3 shows the SEM Micrographs and EDS
spectra iron intermetallic in Al 356-fly ash
composites fabricated by Liquid Metal Stir casting.
Fig. 2 A Plot of CTE with temperature for pure aluminium ,A359 alloy and
different composites[2]
Samrat Mohanty, Y.P. Chugh in [3] carried out a

research on development of friction composites,
using fly ash obtained from a specific power plant
in Illinois. Ingredients such as phenolic resin,
aramid pulp, glass fiber, potassium titanate,
graphite,aluminum fiber and copper powder were
used in the composite development phase, in
addition to the fly ash. The developed brake lining
composites have exhibited consistent coefficients of
friction in the range of 0.35–0.4, and wear rates
lower than 12 wt%.
T.P.D. Rajan, R.M. Pillai , B.C. Pai , K.G.

Satyanarayana , P.K. Rohatgi in[4] concluded that
Surface treatment of fly ash particles is a
prerequisite for getting an acceptable level of its
dispersion in 356 alloy with minimum
agglomeration and porosity. They also found that
the separation of fly ash particles and its dispersion
are more effective in compo casting method than in
liquid metal stir casting due to the shearing of fly
ash particles by the solid primary phases existing in Fig. 3 a)SEM Micrographs and b)EDS spectra iron intermetallic in Al 356-
semisolid slurry. Modified compo casting cum fly ash composites fabricated by Liquid Metal Stir casting.[4]
squeeze casting route results in the best distribution
of fly ash particles followed by compo casting Sudarshan , M.K. Surappa in[5] fabricated
alone and liquid metal stir casting in metal moulds. aluminium alloy (A356) composites containing 6
The compression strength of Al–fly ash composite and 12 vol. % of fly ash particles . The dry sliding
processed by modified compocasting cum squeeze wear behaviour of unreinforced alloy and
163
composites were studied using Pin-On-Disc

machine at a load of 10, 20, 50, 65 and 80N at a
constant sliding velocity of 1 m/s. Results showed
that the dry sliding wear resistance of Al-fly ash
composite is almost similar to that of Al2O3 and
SiC reinforced Al-alloy. Composites exhibit better
wear resistance compared to unreinforced alloy up
to a load of 80 N. Fly ash particle size and its
volume fraction significantly affect the wear and
friction properties of composites. Microscopic
examination of the worn surfaces, subsurfaces and
debris was done. At high loads (>50 N), where fly
ash particles act as load bearing constituents, the
wear resistance of A356 Al alloy reinforced with
narrow size range (53–106 µm) fly ash particles
were superior to that of the composite having the
same volume fraction of particles in the wide size
range (0.5–400 µm). The figure 4 shows SEM
Micrographs of fly ash particles a) precipitators b)
cenosphere and(c) porous particles. Figure 5 shows
the Effect of load on wear rate of A356 Al alloy and
its composites by weight loss method. Figure 6
shows the effect of volume percent of fly ash
particles (53-106 µm) on wear rate of A356 Al
alloy (weight loss method).
Fig. 4 SEM Micrographs of fly ash particles a) precipitators b) cenosphere
and(c) porous particles[5]
Fig.5 Effect of load on wear rate of A356 Al alloy and its composites by
weight loss method[5]
164
mild abrasive wear at applied pressures at and

below 0.35MPa to delamination accompanied by
severe abrasive wear at applied pressure levels
above 0.35 MPa. The high wear rate may be as a
result of an overall decrease of the fracture
toughness of the composites containing silica
particles. The temperature near the counterface
surface increased with increases in both silica
content and the applied pressure due to the lower
thermal conductivity of silica sand and greater
abrasion that occurs at higher silica contents. A T6
heat treatment did not significantly decrease the
Fig. 6 Effect of volume percent of fly ash particles (53-106 µm) on wear rate
of A356 Al alloy (weight loss method)[5]
friction coefficient or the wear rate of either the
A206 matrix alloys or the composite containing
silica sand. Table II shows the Modulus of
Omatola, K. M and Onojah, A. D [6] The X – Ray elasticity ,yield stress, maximum stress and
Fluorescence (XRF) technique was used to analyze minimum strain of alloy with variation of Silica as a
each particulate.
sample heated to a temperature of 10000C at which
excellent chemical activity could be exhibited to TABLE III
characterize the ash in terms of the purity of the MODULUS OF ELASTICITY, YIELD STRESS
silica level by the determination of the trace (0.2%) AND MAXIMUM STRESS AND STRAIN IN
(impurity) elements present that has a nature that COMPRESSIVE LOADING OF INVESTIGATED
can determine their removal method to get the pure MATERIALS [7]
silica. The result of the XRF showed that rice husk
ash (RHA) had a very low impurity concentration
of 1.1 (sample1) to 5.58% (sample 4) corresponding
to 98.9% (sample 1) and 94.42% (sample 4) purity
level of silica indicating that rice husk which is an
agricultural waste is a potential source of silica with
a high purity level of 94 - 98.9%
P.K.Rohatgi, B.F.Schult, A.Daoud, W.W.Zhang in [7]

investigated the dry-sliding tribological behavior of
A206 aluminum alloy containing silica sand using a
N.SURESH, S.VENKATESWARAN, S.SEETHARAMU [8]
three pin-on-disk tribometer against an SAE 1045 investigated that composites have been produced with
steel counterface. The worn surfaces of the pins cenospheres of flyash as reinforcement and eutectic Al–Si alloy
were then analyzed by optical microscopy, scanning as matrix. Stir casting route has been adopted to disperse the
electron microscopy and energy dispersive X- ray cenospheres of flyash in the Al-Si alloy matrix. Varying
percentages of cenospheres ranging from 1 % to 10 % have been
spectroscopy (EDS). The test results showed that used in this investigation. The results indicate that with increase
the addition of silica sand particles decreased the in flyash, hardness and ultimate tensile strength (UTS) increase
friction coefficient of Mg modified A206 alloy. The by 34.7% and 44.3% respectively, while density decreases by
13.2%. The wear loss decreases by 33% at the highest sliding
wear rate of the composites increased with distance. However, percentage elongation showed only a
increases in the applied pressure from 0.35 marginal decrease for the various percentages of flyash studied in
to1.75MPa and with increases in the silica sand this investigation. Figure 7,8,9,10,11 shows the variation of
content from 0% to 13%. The wear rate variation different properties with the change in fly ash content.
with the applied pressure is attributed to the shift in
the dominant wear mechanisms from oxidation and
165
Fig. 20 Average surface roughness vs % Cenospheres of fly as[8]
Fig.7 BHN vs % Cenosphere of fly ash[8]
Fig. 31 Comparison of wear at 30,45 and 60 minutes[8]
CONCLUSION
By reviewing the literature we can conclude that
Fig.8 Density comparison for varying %of fly ash[8] the agricultural wastes Fly Ash and Rice Husk Ash
can be used as particulate in Aluminum alloys to
form Metal Matrix composites which are of low
density and low cost, also resulting in improved
tensile strength, hardness, and decrease in wear
rates. Simultaneously the problems of storing and
disposal of fly ash can be solved
ACKNOWLEDGMENT
I would like to thank Assistant Prof Ravinder Pal
Singh who has encouraged and shared his superb
approach regarding fly ash based Metal Matrix
Composites.
REFERENCES
[1] Savaskan Temel,Aydiner Alev (2004)―Effect of silicon on the
mechanical and tribological properties of monotectoid- based zinc-
aluminium-silicon alloys‖
[2] P. K. ROHATGI, N. GUPTA AND SIMON ALARAJ(2005)‖Thermal
Fig. 9 Variation in UTS in vs %Cenospheres of fly ash[8] Expansion of Aluminum–Fly Ash Cenosphere Composites Synthesized
by Pressure Infiltration Technique ―
166
[3] Samrat Mohanty_, Y.P. Chugh(2007), ―Development of fly ash-based [10] V.Raghvan (2007) ―Al-Cu-Si(Aluminium-Copper-Silicon)‖
automotive brake lining‖ [11] X.M.Pan,C.Lin,J.E Morral, and H.D. Brody(2005) ―An Assessment of
[4] T.P.D. Rajan ,R.M. Pillai, B.C. Pai, K.G. Satyanarayana and P.K. Thermodynamic Data for the Liquid Phase in Al-Rich Corner of Al-
Rohatgi (2007) ―Fabrication and characterisation of Al–7Si– Cu-Si System and Its Application to solidification of A319 Alloy‖
0.35Mg/fly ash metal matrix composites processed by different stir [12] In-Ho Jung, Sergel A. Decterov, and Arthur D.Pelton (2004)‖Critical
casting routes‖ thermodynamic Evaluation and Optimzation of MgO-Al2O3, CaO-
[5] Sudarshan , M.K. Surappa (2008) Dry sliding wear of fly ash particle MgO-Al2O3 and MgO-Al2O3-SiO2 Systems‖
reinforced A356 Al composites [13] Smith .F.H (1988) ―Control of Quality of Aluminum Casting ―
[6] Omaltola and Onojah(2009) ―Elemental analysis of rice husk ash using [14] T.W.Clyne (2001)‖Metal Matrix Composites: Matrices and Processing
X-ray fluorescence technique‖ ―
[7] P.K.Rohatgi , B.F.Schultz , A.Daoud , W.W.Zhang(2009) [15] Qingge Feng, H. Yamamichi, M. Shoya, S. Sugita(2003) ―Study on the
―Tribological performance of A206 aluminum alloy containing silica pozzolanic properties of rice husk ash by hydrochloric acid
sand particles‖ pretreatment‖
[8] N.SURESH1, S.VENKATESWARAN2, S.SEETHARAMU (2010) [16] Aiqin Wang, Chengzhi Zhang, Wei Sun (2003) ―Fly ash effects II. The
―Influence of Cenospheres of Flyash on the Mechanical Properties and active effect of fly ash‖
Wear of Permanent Moulded Eutectic Al-Si Alloys. ―
[9] D.W. Heard, I.W. Donaldson, D.P. Bishop(2009) Metallurgical
assessment of a hypereutectic aluminum–silicon P/M alloy
167
Tribological Behaviour of Nanostructured

Coatings
CH V S S Murali Krishna1, Lalit Thakur2, Dr. Navneet Arora3, Dr. R. Jayaganthan4
1,2,3
Mechanical and Industrial Engineering Department, IIT Roorkee, Roorkee.
4
Metallurgical and Materials science Engineering Department, IIT Roorkee, Roorkee
1
muralimighty@gmail.com
Abstract:- Thermal spraying is a popular method of sliding wear and abrasive wear resistance, the carbide
depositing coatings which has been used to enhance the coatings are considered to be a viable alternative to hard
product lifetimes under severe temperature, environmental chrome plating due to the strict environmental regulations.
and wear conditions. In applications where corrosion These cermet coatings are deposited by high velocity
resistance is also required in addition to wear resistance, processes namely high velocity oxy-fuel (HVOF),
WC–10Co–4Cr is the preferred coating composition. detonation gun spray (DS) processes and also by plasma
Today new materials with enhanced mechanical properties spray process (Ref 4-6). WC and Cr3C2 coatings with
like toughness, hardness, wear resistance and corrosion different metallic binders such as Co, Ni, and Fe have been
resistance are the demands of industries. And all these can studied using different amounts of binder contents with Co
be collectively seen in nanostructured materials which are and Ni being the most commonly used binders. Addition of
now widely used for thermally sprayed coatings. One of Cr to the matrix has been found to improve the wear and
the commonly used material is nanostructured cermet with corrosion resistance of these cermets (Ref 6). The wear
all good mechanical properties. The objective of our study behavior of WC-based coatings with varying amounts of
is to explore the wear behaviour WC-CoCr cermet coating Co content deposited by different thermal spray processes
which has gained industrial acceptance for diverse has been studied by a number of researchers.
applications.It examines the performance of such WC–Co coatings have been extensively studied for the
conventional and nanostructured material in the form of last two to three decades because of their superior wear
coatings deposited by hvof thermal spraying under properties, in sliding, abrasion and erosive wear conditions
identical conditions. Both the coatings have been [7–15]. They have been widely used for numerous
characterized by XRD analysis and SEM to study industrial applications like aircraft, oil and gas, mining etc.
microstructure, surface morphology and phases formed in solving severe abrasion and erosion problems. In
during thermal spraying. Wear studies like dry erosion, addition to the coated form, they are also used in sintered
slurry erosion, abrasive wear testings were conducted. form for structural applications, for making components
Nano structured coating results were compared with like cutting tools, dies, plungers, gears, bearings etc.
coventional coating results. During thermal spraying molten or semimolten particles
impact on the substrate to form a laminar coating
Keywords:- Thermal spraying, HVOF, Erosion, Cermets, composed of many layers, called splats. In the torch part of
Microstructure. the spray gun the tungsten carbide melts and reacts with the
metal binder, largely Co, to form ternary carbides or mixed
INTRODUCTION W-C-M compounds where M can be Co, CoCr, Ni, etc. In
Thermally sprayed cermet coatings have emerged as a addition the WC can decarburise to form metallic W or a
viable solution for a wide range of wear resistance secondary carbide W2C. Thermal spray coatings also
applications to improve the service life of machine normally contain a non uniform distribution of carbide and
components. Tungsten carbide and chromium carbide- cobalt chrome lakes. Oxides and non melted powder can
based coatings are frequently used for many of the also be present. The objective of our study is to explore the
applications in gas turbine, steam turbine, aero engine as wear behaviour WC-CoCr cermet coating which has gained
well as hydro turbines to improve the resistance to sliding, industrial acceptance for diverse applications.It examines
abrasive and erosive wear (Ref 1-3). The former coating is the performance of such conventional and nanostructured
used up to 500 0C and the latter up to 800 0C. Also, for
168
material in the form of coatings deposited by hvof thermal 2.3. Dry Erosion testing.
spraying under identical conditions. In the present
investigation , WC-10Co-4Cr has been HVOF sprayed on Room temperature erosion test was carried out using air
the steel substrate. The deposited coatings are characterized jet erosion test rig (Fig. 1) as per ASTM G76-02 standard.
based on microstructures and physical properties and The erosion studies were performed on conventional and
further evaluated for its performance under solid particle nano coated samples for the purpose of comparison. The
erosion conditions. erosion test conditions utilized in the present study are
listed in Table 2. The sample was first cleaned in acetone
2. EXPERIMENTAL PROCEDURE using an ultrasonic cleaner, dried and then weighed using
an electronic balance with least count of 0.01 mg. The
2.1. Substrate material and development of coating sample was then fixed to the sample holder of the erosion
test rig and eroded with alumina at the predetermined
SS304 is used as a material for substrate in this study. particle feed rate, impact velocity and impact angle. The
The specimens with approximate dimensions of sample was then removed, cleaned in acetone and dried and
30mm×30mm×5mm were cut from the substrate material. weighed to determine the weight loss. This weight loss
Samples were grinded with SiC papers down to 180 grit normalised by the mass of the alumina particles causing
and grit-blasted with Al2O3 (Grit 45) before being HVOF the weight loss (i.e., testing time×particle feed rate) was
sprayed to develop better adhesion between the substrate then computed as the dimensionless incremental erosion
and the coating. The composite and nano coating powders rate. The above procedure was repeated till the incremental
of WC-10Co-4Cr were used to spray deposit coatings erosion rate attained a constant value independent of the
using HVOF process. The spraying parameters employed mass of the erodent particles or, equivalently, of testing
during HVOF deposition are listed in Table 1. All the time. This constant value of the incremental erosion rate
process parameters, including the spray distance were kept was defined as the steady state erosion rate. The
constant throughout the coating process. incremental erosion rate was converted into volume wear
rate to take into account the different densities of the
Table 1 coating material and the substrate.
Spray parameters employed for HVOF spray process.
Oxygen flow rate 250 l/min
Fuel (Kerosene) flow rate 60 l/min
Carrier gas(N2) flow 23

rate(scfh)
Stand off distance (mm) 300
Powder feed rate (gm/min) 80
2.2. Powder and coating characterization techniques
The surface and cross-section of the coated samples

were wheel cloth polished for metallurgical examination.
The powder and coatings were both investigated by X-ray
diffraction and surface morphology using scanning
microscope with EDAX attachment.Porosity measurements
were done using a OLYMPUS PME-3 optical microscope
& image analysis software, Dewinter Material Plus 4.1 as
per ASTM B276 standard on the transverse section of the
coatings. Micro hardness values at the crosssection of both
the WC-CoCr conventional and nanostructured coatings
and SS 304 substrate were obtained with a Vickers Fig. 1. Schematic view of an air jet erosion test rig.
indenter.
169
Table 2 3. RESULTS AND DISCUSSION

Dry erosion test conditions.
3.1 Morphology of coating powders
Erodent material Alumina
Erodent size (µm) 50 The morphology of the conventional and nano powders
Particle velocity (m/s) 84 has been evaluated using the scanning electron microscopy
Erodent feed rate (g/min) 2 which is shown in Fig 3 and Fig 4. It is found from this
Impact angle 20 and 90
figure that the WC-10C0-4Cr powder particles have
Test temperature Room temperature
spherical morphology. The normal size distribution of the
Nozzle diameter (mm) 1.14
Stand off distance (mm) 38 coating powder as provided by the manufacture is in the
range of -15 to +45 µm.
2.4. Slurry erosion testing
Slurry jet erosion tests were carried out at room

temperature using a 9.1 wt.% slurry of angular 80 and 320
grit alumina particles in low chlorine content (<1.5 ppm Cl-
) tap water of pH 7. Mean particle sizes were 200 µm and
35 µm, respectively. Slurry was directed at the specimens

at 15 m/s with a flow rate of 18 l/min, at nominal
impingement angles of 900 and 200 and at a nozzle-
specimen distance of 100 mm. Fig. 2 shows a schematic of
the experimental rig. Testing with the coarse particle slurry
entailed submitting duplicate specimens to four 15 min
incremental exposures.
Two materials were tested (in duplicate) per batch of
fresh slurry with the four specimens tested alternately to
minimize slurry aging effects. In the fine particle slurry Fig.3. SEM image of conventional WC-10Co-4Cr
tests, single specimens were submitted to four 60 min
exposures and two materials were tested per batch of fresh
slurry. Weight loss from each exposure increment was
determined after specimen washing and drying to constant
weight. Results are reported as volume of material eroded
per unit mass of alumina particles in the total amount of
slurry used during the tests.
Fig.4. SEM image of nanostructured WC-10Co-4Cr
3.2. Phase constitution of powder and coatings
The X-ray diffraction patterns for the surfaces of the

HVOF sprayed WC-10Co-4Cr coating and the initial
Fig. 2 Schematic of slurry jet erosion test rig. conventional and nanostructured powders are shown in Fig.
5 and Fig 6. The as-sprayed coatings exhibit almost similar
170
peaks as compared to that of the powder indicating

negligible change in their phase composition after
spraying.
Fig. 7b. Micro hardenss measurement of nanostructured

WC-10Co-4Cr.
Fig.5 XRD patterns for conventional powder and as-
Table 3
sprayed coating.
Hardness measurement
Material Microhardness ( HV 0.3)

Conventional WC-Co-Cr 1339±97
Nanostructured WC-Co-Cr 1856±40
SS 304 263±50
3.4. Results of porosity measurement
Porosity measurements were done using a OLYMPUS

PME-3 optical microscope & image analysis software,
Dewinter Material Plus 4.1 as per ASTM B276 standard on
the transverse section of the coatings. Ten readings were
taken from different places and the average is reported in
Fig.6 XRD patterns for nanostructured powder and as- Table.4 and represented in Fig. 8(a-b).
sprayed coating.
Table 4
3.3. Results of hardness measurement Porosity measurement
Micro hardness values at the crosssection of both the Coating Material Porosity %
WC-CoCr conventional and nanostructured coatings and
SS 304 substrate were obtained with a Vickers indenter as Conventional WC-CoCr 0.75±0.2
shown in Fig. 7(a-b) at a load of 300 gf load and a dwell Nanostructured WC-CoCr 0.57±0.2
time of 15 s. An average of 8 readings is presented in
Table. 3
Fig 8a. Porosity measurement of conventional coating

Fig. 7a. Micro hardenss measurement of conventional WC-
10Co-4Cr.
171
Nano
20
Conventional 90
0 0.02 0.04 0.06
Fig. 8. Slurry erosion results for large (200 mm) particles

at two impingement angles (1 h exposure).
Fig 8b. Porosity measurement of nanostructured coating
3.5. Results of Roughness measurement

Nano
The roughness measurement was done using an optical
roughness tester Veeco Wyko NT1100 taking an average 20
of 10 readings for each sample as shown in Table 5 and Conventional 90
presented in Fig. 9(a-b).
Table 5 0 0.001 0.002

Roughness measurement
Fig. 9. Slurry erosion results for small (35 mm) particles at
Material Type As-coated(Ra Polished(Ra two impingement angles (4 h exposure).
value μm) value μm)
Conventional 4.8±0.6 0.2±0.02 Comparison of the results in Figs. 7–9 shows that wear
WC-10Co-4Cr rates in dry erosion are several orders of magnitude higher
Nanostructured 3.5±0.8 0.15±0.01 than in the slurry erosion. This is probably due mainly to
WC-10Co-4Cr
the much higher particle impact velocity in the dry jet
3.6. Erosion test results erosion compared to that in the slurry tests. The impact
velocity of the air jet tests will be essentially that of the
The results of the erosion experiments carried out with a stream velocity. However, the actual erodent particle-target
25-min exposure to 50 mm alumina particles entrained in impact velocities in the slurry tests will be much less than
air at 84 m/s velocity are presented in fig. 7. Results from the impingement velocity due to both particle rebound
the 15 m/s slurry impingement erosion tests, that is, those shielding effects in concentrated slurries and to fluid
from the 1-h exposure to the 200 mm alumina particle dynamic effects. This accounts for the more than two
slurry, and the 4-h exposure to the 35 mm alumina particle orders of magnitude difference in the rate of surface
slurry, are shown in Figs. 8 and 9, respectively. damage between the dry jet and the large particle slurry
tests, despite the relative erodent particle sizes.
In dry erosion, ductile materials usually show greater
wear at low angles while brittle materials tend to wear most
Nano at a 900 impingement angle. However, such trends are
known to be less clear in slurry erosion [2]. WC-10Co-4Cr
Conventional conventional coating performs better at 900 than 200 both
in air jet erosion and slurry erosion with large and small
0 10 20 30 particles. Both coatings showed better performance for
slurry erosion of small particles than large particles.
Fig 7. Dry erosion results for 50 mm particles at two Nanostructured coatings offer better performance than
impingement angles (25 min exposure) conventional coatings in both air jet erosion and slurry
erosion.
172
3.7. SEM analysis of eroded faces of coatings
Fig 10a. Typical appearance of conventional coating after

Fig 10d. Typical appearance of nanostructured coating after
dry erosion at 900.
slurry erosion for large particles.
The above figure shows that erosion over the

nanostructured coated specimen surface is relatively small
as compared to conventional one but some sites shows
visible pullout out of material leaving shallow pits at their
original location
Fig 10b. Typical appearance of nanostructured coating after

dry erosion at 900.
It can be concluded from the figures that conventional

WC-Co-Cr coated sample suffers erosion more than the
nano structured one. The material is removed as due to
chipping of WC grains from several sites with also the Fig 10f. Typical appearance of nanostructured coating after
eruption of binder leaving the voids at their original sites, slurry erosion for small particles.
where in nanostructured coating erosion took places evenly
from the surface.
The above nanostructured coated surface is not heavily
eroded and shallow pits are clearly visible which shows a
better erosion resistance.
It has been found that in both the conditions our
nanostructured coating performs satisfactory. The eroded
surfaces have been analyzed through SEM images and we
have tried to explain erosion mechanism which is due to
the removal of WC particle due to cracking and pulling of
particle from the binder. Due to repetitive high energetic
impacts of erodent particles over the coated surface
cracking occurs and with the increasing time this cracks
grows and propagate in the form of radial and lateral
cracks. With the time these cracked WC particles get
loosened and come out of the surface leaving a visible void
or pit and thus soft metallic binder is also exposed to
Fig 10c. Typical appearance of conventional coating after
erodent particle impacts and undergoes deformation and
slurry erosion for large particles. material removal.
173
4. CONCLUSIONS 12. G. Bolelli, V. Cannillo, L. Lusvarghi, T. Manfredini, Wear behaviour

of thermally sprayed ceramic oxide coatings, Wear 261 (2006) 1298–
1. High-velocity oxy-fuel thermal spraying with oxygen 1315.
13. L. Zhao, M. Maurer, F. Fischer, R. Dicks, E. Lugscheider, Influence of
and kerosene has been used successfully to deposit WC-
spray parameters on the particle in-flight properties and the properties of
10Co-4Cr alloy coatings on the ss304 substrate. HVOF coating of WC–CoCr, Wear 257 (2004) 41–46.
14. D.A. Stewart, P.H. Shipway, D.G. Cartney, Abrasive wear behaviour
2. Erosion rates in dry particle impact at 84 m/s were about of conventional and nanocomposite HVOF-sprayed WC–Co coatings,
Wear 225–229 (1999) 789–798.
three orders of magnitude higher than in slurry erosion at a
15. P. Kulu, I. Hussainova, R. Veinthal, Solid particle erosion of thermal
(nominal) impingement velocity of 15 m/s. The differences sprayed coatings, Wear 258 (2005) 488–496.
probably reflect mainly the real erodent target impact
velocities which are mitigated in the slurry tests by the
water medium to an extent dependent upon particle size.
3. Coating composition and microstructural integrity are

the main factors determining the relative erosion resistance
of the coatings to both types of erosion.
4. Target material hardness is also an important factor

affecting erosive wear rates.
5. The conventional WC-10Co-4Cr cermet coating is more

susceptible to erosion than nanostructured WC-10Co-4Cr
cermet coating in both air jet and slurry erosion testing.
5. REFERENCES
1. T.J. DeMasi-Marcin and D.K. Gupta, Protective Coatings in the Gas
Turbine Engine, Surf. Coat. Technol., 1994, 68/69, p 1–9
2. T.N. Rhys-Jones, Thermally Sprayed Coating Systems for Surface
Protection and Clearance Control Applications in Aero Engines, Surf.
Coat. Technol., 1990, 43/44, p 402–415
3. B.S. Mann and V. Arya, Abrasive and Erosive Wear Characteristics of
Plasma Nitriding and HVOF Coatings: Their Application in Hydro
Turbines, Wear, 2001, 249, p 354–360
4. G. Barbezat, A.R. Nicoll, and D.A. Sickinger, Abrasion, Erosion and
Scuffing Resistance of Carbide and Oxide Ceramic Thermal Sprayed
Coatings for Different Applications, Wear, 1993, 162/164, p 529
5. A. Karimi, Ch. Verdon, and G. Barbezat, Microstructure and
Hydroabrasive Wear Behaviour of High Velocity Oxy-Fuel Thermally
Sprayed WC-Co(Cr) Coatings, Surf. Coat. Technol., 1993, 57, p 81
6. J.K.N. Murthy and B. Venkataraman, Abrasive Wear Behaviour of
WC–CoCr and Cr3C2–20(NiCr) Deposited by HVOF and Detonation
Spray Processes, Surf. Coat. Technol., 2006, 200(8), p 2642–2652
7. H. Chen, C. Xu, Q. Zhou, I.M. Hutchings, P.H. Shipway, J. Liu, Micro-
scale abrasive wear behavior of HVOF sprayed and laser-remelted
conventional and nanostructured WC–Co coatings, Wear 258 (2005) 333–
338.
8. J. Nerz, B. Kushner, A. Rotolico, Microstructural evaluation of tungsten
carbide–cobalt coatings, J. Thermal Spray Technol. 1 (2) (1992) 147–152.
9. C. Verdon, A. Karimi, J.-L. Martin, A study of high velocity oxy-fuel
thermally sprayed tungsten carbide based coatings. Part 1.Microstructures,
Mater. Sci. Eng. A246 (1998) 11–24.
10. S.F. Wayne, S. Sampath, Structure/property relationships in sintered
and thermally sprayed WC–Co, J. Thermal Spray Technol. 1 (4) (1992)
307–315.
11. G. Bolelli, V. Cannillo, L. Lusvarghi, S. Ricco, Mechanical and
tribological properties of electrolytic hard chrome and HVOF-sprayed
coatings, Surf. Coat. Technol. 200 (2006) 2995–3009.
174
Three Dimensional Finite Element Analysis

of Composite Lap Joints under
Compression
Harpreet Singh1, Inderdeep Singh2, Pradeep Kumar3
Department of Mechanical and Industrial Engineering, Indian Institute of Technology, Roorkee, India
2
inderfme@iitr.ernet.in
Abstract- Three dimensional finite element analysis Movchan [3] was based on mathematical modelling
were performed to find out the stresses produced in of the adhesive joint using an asymptotic approach.
the adhesive layer for single and double lap joints. Dvorak et. al. [4] analysed adhesive tongue-and-
Finite element package ABAQUS was utilized for the groove joints for thick composite laminates. The
analysis. The model was first validated with the results showed that adhesively bonded tongue-and-
results available in the literature and the analysis was groove joints between steel and composite plates
further extended for the single and double lap joint loaded in monotonically increasing longitudinal
under compression loading. Comparison of stresses tension are stronger than conventional strap joints
induced in the single lap and double joint were even in relatively thin plates. Panigrahi [5] worked
measured and the double lap joint is proposed as the on damage analyses of adhesively bonded single
better joint under similar conditions. lap joints due to delaminated FRP composite
adherends. In this case the damage was pre-
Keywords- Single-lap joints, Double-lap joints, FRPs, embedded in the specimens and effects of various
Inter-laminar stresses, Adhesively bonded joint delamination positions on the stress distribution in
the adhesive were analysed. Rao et. al. [6] analysed
INTRODUCTION adhesively bonded single lap joint in laminated
FRP composites subjected to transverse load.
A wide use of FRPs is there in the aerospace, Panigrahi et. al. [7] did adhesion failure analyses of
automotive and marine industries, due to their bonded tubular single lap joints in laminated fibre
variety of features like light weight, tailor made reinforced plastic composites under tensile loading.
manufacturing, net/near-net shape manufacturing The lap joint analytical theories of numerous
etc. In every structure in order to transmit load authors have been tested by Carpenter [8] and he
from one component to another, the joints are remarked that assumptions like neglecting shear
required. Hence, for the proper functioning of the deformation was inconsistent and error up to 30%
structure/mechanism a strong joint is the was introduced thereby.
requirement. The two important methods by which In the present work the model of single lap
two materials are joined together are mechanical joint analysed by Panigrahi et. al. [9] was validated
joining and adhesive joining. A major advantage of and further validation was done for the model of
adhesive bonds is that adhesive bonds may be tubular single lap joint analysed by the Panigrahi
designed and made in such a way that they can be et. al. [7]. Further, the finite element model of
stronger than the ultimate strength of many metals
single lap joint under transverse loading developed
in common use for aircraft construction The
stresses induced at the interfaces of the adherends by Rao et. al. [6] was validated. After validation the
and adhesive play an important role in the design of work was further extended for the single lap joint
adhesively bonded joints in FRP composites. under compression loading. The stresses induced in
Hence, these stresses are required to be analysed the adhesive layer in the single lap joint were
most accurately. compared with the stresses induced in the adhesive
A lot of research has been done towards
layer for the double lap joint under compression.
investigating the adhesive bond strength of the
composite joints and finding out the best ways to
make stronger joints. Li et. al. [1] performed
nonlinear finite element analysis of stress and strain
distributions across the adhesive thickness in
FINITE ELEMENT MODEL
composite single-lap joints. Keller [2] performed
the stress–strain analysis of adhesively bonded lap
The finite element model of the geometry
joints on pultruded GFRP profiles and analysed the
failure modes. The analysis of Klarbring and constitutes graphite/epoxy-graphite/epoxy and
175
graphite/epoxy-woven glass vinyl ester adherends

and epoxy adhesive.
Assumptions: The following assumptions have

been made for carrying out the present
investigation:-
1. Each ply of the adherends was assumed to Fig. 3: Geometry of single lap joint [9]
be made up of homogeneous anisotropic
material.
2. The adherends were assigned the
properties of continuum shell for the
composite lay-up.
3. The adhesive was assumed to be
homogeneous isotropic material and
properties of cohesive were assigned to it. Fig. 4: Geometry of single lap joint [6]
GEOMETRIC MODELING
The geometry of the single lap joint and double lap

joint analysed in the present analysis is shown in
figure 1 and figure 2 respectively and geometry of
single lap joint [9], [6] and tubular single lap joint
[7] used for validation purpose is shown in fig. 3, 4
& 5 respectively.
Figure 5: Geometry of single lap joint [7]
Table 1: Material properties:
Material Engineering Constants

T300/934 graphite/epoxy Ez= 127.5 GPa; EƟ= 9 GPa
FRP composite adherend Er= 4.8GPa; vzr=vzƟ =0.28
for tubular single lap joint vƟr=0.41;
Gzr=GzƟ= 4.8 GPa
GƟr=2.55 GPa
T300/934 graphite/epoxy E11= 127.5 GPa; E22= 9
FRP composite adherend GPa;
for single and double lap E33= 4.8 GPa;
Fig. 1: Geometry of single lap joint
joints v12=v13=0.28;
v23=0.41;
G12=G13=4.8 GPa;
G23=2.55 GPa
Woven E-glass/vinyl ester E11= 22 GPa; E22= 22GPa;

E33= 8.9 GPa; v12= 0.27;
v13=v23= 0.38; G12= 5.3
GPa;
G13=G23=3.17GPa;
Epoxy adhesive E= 2.8 GPa; v= 0.4
BOUNDARY CONDITIONS
Fig. 2: Geometry of double lap joint
The boundary conditions applied are shown in

figures 1 and 2. In case of the single lap joint (fig.
1) the end of the bottom adherend was completely
constrained and the motion of the end of the upper
adherend was restricted in the z direction. Whereas,
in case of the double lap joint (fig. 2) the end of the
176
bottom and top adherend was completely For further validation, reference [9] was selected.
constrained and the motion of the end of the central The results of the reference [9] were compared with
adherend was restricted in the z direction. A the results of the present analysis for the maximum
compressive pressure loading of 1Mpa was applied nominal stress, shear stress in y-z plane and shear
in both the cases (at the end of top adherend in case stress in the z-x plane. Table 4 shows the
of the single lap joint and at the end of central comparison of maximum values of the stresses at
adherend in case of the double lap joint). the specified locations and close agreement was
found.
RESULTS AND ANALYSIS
Table 4: Validation of results [9].
MODEL VALIDATION
σzz (MPa) τyz (MPa) τzx (MPa)
The present finite element model was Location Ref. Present Ref. Present Ref. Present
validated by comparing the stresses obtained for [9] work [9] work [9] work
the single lap joint with the results of reference [6] Top 0.40 0.39 0.08 0.08 0.39 0.34
for uniform transverse loading. Table 2 shows the Interface
comparison of maximum values of the stresses at Bottom 0.39 0.38 0.08 0.08 0.38 0.33
the specified locations and close agreement was Interface
found.
Table 2: Validation of results [6]: PRESENT WORK
σzz (MPa) τyz (MPa) In the present work models of single and double lap
At Ref.[6] Present Ref.[6] Present joints made up of same and different adherends
interface work work
across were analysed (figures 1 and 2). The finite element
width analysis results show that the normal stress/peel
00 18 19 3 3.5
stress induced in the adhesive layer were dominant.
laminate In case of graphite/epoxy single lap joint the
sequence normal stress induced was higher than all other
cases analysed. The magnitude of the stress was -
The finite element model validation by comparing 0.5MPa i.e. compressive. The normal stress
the stresses obtained for the tubular single lap joint induced in the adhesive layer for both cases of
with the results of reference [7] for uniform double lap joint i.e. graphite/epoxy double lap joint
longitudinal loading was also done. Table 3 shows and graphite/epoxy-woven e-glass/vinyl ester
the comparison of maximum values of the stresses
double lap joint was same and of the magnitude
at the specified locations and close agreement was
found. equal to -0.17MPa. The shear stress induced in the
x-z plane for graphite/epoxy and woven e-
Table 3: Validation of results [7] glass/vinyl ester single lap joint was highest of all
the cases with the magnitude equal to 0.36. The
Position σr(MPa) τƟr (MPa) τzr (MPa)
of stress
comparison of the stresses developed in all the
Ref. Present Ref. Present Ref. Present cases is shown in the table 5 and stress plots are
[7] work [7] work [7] work also shown in the subsequent figures.
inner 2.5 2.5 2.2* 1.5*10^ 1.65 1.6

adherend 10^- -3
and 7
adhesive
layer
interface
outer 2.4 2.4 4* 1.5*10^ 1.5 1.5

adherend 10^- -4
and 7
adhesive
layer
interface
177
Table 5: Results of present analysis
σzz τyz τzx

(MPa) (MPa) (MPa)
Graphite/epoxy -0.5 -0.28 -0.2
single lap joint
Graphite/epoxy -0.4 0.05 0.355
and Woven E-
glass/vinyl ester
single lap joint
Graphite/epoxy -0.17 -0.6e-3 -0.15
double lap joint
Graphite/epoxy- -0.17 0.028 -0.2
Woven E-
glass/vinyl ester Fig. 7: Mises stress contour plot for Graphite/epoxy and Woven
double lap joint E-glass/vinyl ester single lap joint
Fig. 8 shows the mises stress contour plot for

Fig. 6 shows the mises stress contour plot for Graphite/epoxy double lap joint. The maximum
Graphite/epoxy single lap joint. The maximum mises stress that developed in the middle adherend
mises stress that developed in the upper adherend was equal to 2.5 MPa and the minimum mises
was equal to 3.1 MPa and the minimum mises stress that developed in the upper and lower
stress that developed in the upper adherend was adherend was equal to 6.7e-3 MPa, at the overlap
equal to 9e-3 MPa, at the overlap end near the end near the loaded face.
loaded face.
Fig. 8: Mises stress contour plot for Graphite/epoxy double lap

joint
Fig. 6: mises stress contour plot for Graphite/epoxy single lap
joint Fig. 9 shows the mises stress contour plot for
Graphite/epoxy and Woven E-glass/vinyl ester
Fig. 7 shows the mises stress contour plot for
single lap joint. The maximum mises stress
Graphite/epoxy and Woven E-glass/vinyl ester
developed in the Woven E-glass/vinyl ester
single lap joint. The maximum mises stress
adherend and its magnitude was equal to 2.5MPa.
developed in the Woven E-glass/vinyl ester
The minimum mises stress developed in the
adherend and its magnitude was equal to 2.45MPa.
Graphite/epoxy adherend and its magnitude was
The minimum mises stress developed in the
equal to 2.68e-3 MPa. The position of the stresses
Graphite/epoxy adherend and its magnitude was
was the overlap edge near the loaded face.
equal to 2e-2 MPa. The position of the stresses
was the overlap edge near the loaded face.
178
Composites Science and Technology, Volume 61, 2001,

pp. 1123–1142
[5] S. K. Panigrahi, “Damage Analyses of Adhesively
Bonded Single Lap Joints Due to Delaminated FRP
Composite Adherends”, Appl Compos Mater, May 2009,
pp. 211–223.
[6] M. Venkateswara Rao, K. Mohana Rao, V. Rama
Chandra Raju, V. Bala Krishna Murthy, and V.V.
Sridhara Raju, “Analysis of adhesively bonded single lap
joint in laminated FRP composites subjected to transverse
load”, International Journal of Mechanics and Solids,
Volume 3, Number 1, 2008, pp. 75–86
[7] R. R. Das, B. Pradhan, “Adhesion failure analyses of
bonded tubular single lap joints in laminated fibre
reinforced plastic composites”, International Journal of
Fig. 9: Mises stress contour plot Graphite/epoxy-Woven E-
Adhesion & Adhesives, Volume 30, 2010, pp. 425–438
glass/vinyl ester double lap joint [8] W. C. Carpenter, “A comparison of numerous lap joint
theories for adhesively bonded joints”, J Adhes., Volume
CONCLUSIONS: 35, 1991, pp. 55–73.
[9] S. K. Panigrahi, B. Pradhan, “Three dimensional Failure
analysis and damage Propagation behavior of Adhesively
Finite element analysis of single and double lap bonded Single lap joints in laminated FRP Composites”,
joints under compressive loading was done. The Journal of Reinforced plastics and Composites, Volume
finite element model was validated with the results 26(2), 2007, pp.183-201.
available in the literature and the analysis were

done for the graphite/epoxy- graphite/epoxy and
graphite/epoxy- woven E-glass/vinyl ester single
and double lap joints and the stresses induced in the
adhesive were analysed. The conclusions drawn
from the results are:
1. The inter-laminar stresses in the adhesive

layer were dominant; hence, the failure
is likely to occur due to these stresses.
2. The graphite/epoxy and woven E-

glass/vinyl ester single lap joint was
found to be stronger than the
graphite/epoxy single lap joint.
3. In case of double lap joint inter-laminar

stress induced were nearly same in both
specimens. However, τyz induced in the
graphite/epoxy double lap joint was
quite less than that of the same induced
in the Graphite/epoxy-woven E-
glass/vinyl ester double lap joint.
REFERENCES:
[1] Gang Li, Pearl Lee-Sullivan, Ronald W. Thring.

“Nonlinear finite element analysis of stress and strain
distributions across the adhesive thickness in composite
single-lap joints”, Composite Structures, Volume 46,
1999, pp. 395-403.
[2] Thomas Keller, Till Vallee, “Adhesively bonded lap
joints from pultruded GFRP profiles. Part I: stress–strain
analysis and failure modes”, Composites: Part B, Volume
36, December 2004, pp. 331–340.
[3] A. Klarbring, A. B. Movchan, “Asymptotic modeling of
adhesive joints”, Mechanics of materials, Volume 28,
1988, pp.137-145M.
[4] George J. Dvorak, Jian Zhang, Olcay Canyurt, “Adhesive
tongue-and-groove joints for thick composite laminates”,
179
Identification of Pump Misalignment using

Current Signature Analysis
Neelam Mehala
Department of Electronics Engineering,
YMCA University of Science and Technology, Faridabad-121006 (Haryana) INDIA
1
neelamturk@yahoo.co.in
Abstract— Early detection of undesired conditions during the centrifugal pump experience a wide range of mechanical
operation of a centrifugal pump has become very important in problems. Misalignment causes a decrease in pump efficiency
order to avoid consequential damages, thus outage time and is more prone to failure to increased loads on bearings, seals
repair costs can be reduced. Misalignments are common faults and coupling. Misalignment is one of the common causes,
that occur in the shaft coupling of a pump that is not properly which creates most of mechanical faults and leads to vibration
aligned or positioned with motor. Misalignments are categorized in the system. Pump fault prognosis is becoming
into two types: angular (horizontal) and radial (vertical) indispensable now days due to increasing demand of hydraulic
misalignments. These misalignments cause a slight unbalance in
system availability, life forecasting of pumps and predictive
the rotor and produce undesired vibrations. Such vibrations
eventually weaken the coupling and cause it to fail. They also maintenance planning. A little work has been carried out in
stress the motor bearings thereby lowering their life. The the past for fault prediction in pumps based on current
condition monitoring of electrical and mechanical devices has signature analysis. Current signature analysis is one of the
been in practice for quite some time now. Several methods have most popular and widely used diagnostic electrical and
evolved over time but the most prominent techniques are mechanical problems of motors. This technique can also be
thermal monitoring, vibration monitoring, and electrical used for fault diagnosis of centrifugal pumps. This technique
monitoring or current signature analysis. Due to high cost of extracts the features specific to different fault conditions by
sensors, thermal monitoring and vibration monitoring are not processing the stator current spectrum using FFT. Different
popular. The electric monitoring or current signature analysis
classification techniques are applied on the features to classify
does not require sensor because stator current may be taken
directly by tapping the wire. The success of this technique the different fault modes. FFT analysis for current signature
depends upon locating by spectrum analysis with specific analysis is much suitable for fault diagnosis of motor driven
harmonic components caused by faults. Due to misalignment of pumps with constant frequency supply and voltage. It has
coupling of pump, the slip frequencies sideband near the main been observed that most of diagnostic techniques are applied
harmonic may be appeared. Usually, a decibel (dB) versus for the motors operated at line frequency and taken out from
frequency spectrum is used in order to detect the unique current normal operation. Few researchers have addressed mechanical
signature patterns that are characteristic of different faults. In and hydraulic faults of pumps. In addition, current signature
this experimental work, the misalignment in coupling of pump analysis for misaligned pump is also not well documented.
was replicated in laboratory. Then, the motor driven centrifugal
This paper presents an innovative and online fault diagnostic
pump with small misalignment is tested. The stator current of
one phase of motor was taken for analysis. The current was method for identification of misalignment fault of motor
analyzed with help of virtual instrument that was built up in driven pumps. The proposed method is evaluated on an
programming in LabVIEW 8.2 software. The signal processing induction motor driven pump system and is proved to be able
module of the software was also used to acquire the signal from to distinguish between healthy and faulty condition.
the motor. The current spectrum of motor under faulty condition
was plotted and then it was compared with current spectrum of II. CENTRIFUGAL PUMPS
motor under healthy condition. It was found that both spectrums Since the 1940’s the centrifugal pump has become the
are different. The spectrum of motor with misalignment has fault
pump of choice for many applications. Its increased popularity
frequencies around the fundamental frequency. This indicates
the presence of misalignment. Thus, the result obtained from the
is due to the comparatively recent development of high speed
experiment proved that current signature analysis is an effective electric motors, meeting conditions far beyond of what was
technique for identification of misalignment fault in centrifugal thought possible fifty or sixty years ago [1,2]. For example, in
pumps. the nuclear power industry, pumps are capable to deliver over
Keywords— Centrifugal pump, fault diagnosis, misalignments 3,800,000 liters per minute at heads of more than 90 meters
(approximately 8.94 atm) [3]. One of the most important
I. INTRODUCTION factors contributing to the increasing use of centrifugal pumps
The motor-pump system (comprising of motor, centrifugal has been the universal development of electric power.
pump, bearing, impeller, toque transmitting shaft) experience Although reciprocating pumps were ideal for steam drive, the
a wide range of electrical and mechanical faults. Particularly, development of the electric motor permitted use of the much
180
lighter and cheaper direct connected centrifugal pump. Even the number of points in the DFT is creased to hundreds, or
though early centrifugal pumps would be consider inefficient thousands, the amount of necessary number crunching
by modern performance standards, their lowest first cost more becomes excessive. In 1965 a paper was published by Cooley
than compensate for this shortcoming. The centrifugal pump and Tukey describing a very efficient algorithm to implement
also immediately demonstrated other important advantages DFT [7]. That modified algorithm is now known as the Fast
over the reciprocating pump [4]. For example, the centrifugal Fourier Transform. FFT is simply a computationally efficient
pump gives steady flow at uniform pressures without pressure way to calculate the DFT. By making use of periodicities in
surges. It provides the greatest possible flexibility, developing the sines that are multipled to do the transforms, the FFT
a specific maximum discharge pressure under any operating greatly reduce the amount of calculation required.
condition with delivery controlled by either speed variation or Functionally, the FFT decomposed the set of date to be
throttling. transformed into a series of smaller data sets to be transformed.
A centrifugal pump is a kinetic machine consisting of Then, it composes those smaller sets into even smaller sets. At
a set of rotating vanes enclosed with a housing or casing. each stage of processing, the results of the previous stage are
Torque applied by the pump’s driver is converted to total head combined in special way. Finally, it calculates the DFT of
by the action of the vanes on the pumped liquid, and these each small data set. FFT algorithm can be used to detect the
vanes are the only component that adds energy to the liquid. various types of motor fault.
Because the addition of energy depends on liquid velocity, the The Power spectrum is computed from the basic FFT
amount of energy added varies with the rate of flow through function. The power spectrum shows power as the mean
the pump [5]. In figure 1, a centrifugal pump coupled with squared amplitude at each frequency line. The FFT in
induction motor is shown. LabVIEW and LabWindows returns a two-sided spectrum in
complex form (real and imaginary parts), which we must scale
and convert to polar form to obtain magnitude and phase. The
frequency axis is identical to that of the two-sided power
spectrum. The amplitude of the FFT is related to the number
of points in the time-domain signal. The following equation
can be used to compute the amplitude and phase versus
frequency from the FFT [8].
Amplitude spectrum in quantity peak

= Magnitude [FFT(A)] real[FFT(A)]2 + imag[FFT(A)]2

N N
…..(1)
Phase spectrum in radians = Phase [FFT(A)]
Figure 1: Centrifugal pump with induction motor.
 imag[FFT(A)] 
= arctangent   …..(2)
III. ANALYSIS OF MISALIGNMENTS IN MOTOR DRIVEN PUMPS  real[FFT(A)] 
USING FFT BASED POWER SPECTRUM
where the arctangent function here returns values of phase
Mechanical oscillations give rise to additional current between -  and +  , a full range of 2  radians.
components in the frequency spectrum. Faults in motor driven Using the rectangular to polar conversion function to
system may also give rise to current components of convert the complex array FFT(A) to its magnitude (r) and
frequencies close to or similar to those of broken bar N
components. Specifically, slow revolving shafts give rise to phase (ф) is equivalent to using the preceding formulas.
current components around the main supply frequency To view the amplitude spectrum in volts (or another
components as prescribed by equation given below where the quantity) rms, divide the non-DC components by the square
rotational speed frequency of the shaft, rotating with N rpm. root of 2 after converting the spectrum to the single-sided
Misalignments are usually easy to spot in the FFT based form. Because the non-DC components were multiplied by
power spectrum and appear as harmonics at twice the rotating two to convert from two-sided to single-sided form, The rms
speed of the system. These harmonics appear in the stator amplitude spectrum can be calculated directly from the two-
current as unique spectral components given below [6]: sided amplitude spectrum by multiplying the non-DC
fmisfe2fr , components by the square root of two and discarding the
where fr is the rotational speed of the motor, and fe is the second half of the array. The following equations show the
electrical fundamental frequency of the stator current. entire computation from a two-sided FFT to a single sided
amplitude spectrum.
IV. FFT BASED POWER SPECTRUM Amplitude spectrum in rms =
Although the Discrete Fourier Transform (DFT) is the most Magnitude[ FFT ( A)] for i=1 to N
straight mathematical procedure for determining frequency 2. 1
N 2
content of a time domain sequence, it’s terribly inefficient. As
181
Magnitude[ FFT ( A)] for i=0 The NI ELVIS integrates 12 of the most commonly used
 . instruments – including the oscilloscope, DMM, function
N
where i is the frequency line number(array index) of FFT of generator, and Bode analyser – into a compact form factor
A. ideal for the hardware lab. Based on NI LabVIEW graphical
To view the phase spectrum in degrees, the following system design software, NI ELVIS offers the flexibility of
equation can be used: virtual instrumentation and allows for quick and easy
measurement acquisition and display. The speed of the motor
Phase spectrum in degrees  180 .Phase.FFT ( A) ….(3) is measured by digital tachometer. The virtual instrument (VIs)

was built up with programming in LabVIEW 8.2. This VIs
The amplitude spectrum is closely related to the power
was used both for controlling the test measurements and data
spectrum. Single-sided power spectrum can be computed by
acquisition, and for the data processing. In order to test the
squaring the single-sided rms amplitude spectrum. Conversely,
system in practical cases, several measurements were made to
the amplitude spectrum can be computed by taking the square
read the stator current of a motor. Here, FFT Based power
root of the power spectrum. In LabVIEW and LabWindows,
spectrum is applied to diagnose the misalignment fault. This
the two-sided power spectrum is actually computed from the
method contains three steps [31, 32, 47]:
FFT as follows.
Step I: Sampling is the first step of this technique. In this
FFT ( A).FFT *( A) …..(4)
The Power spectrum SAA ( f )  step, single-phase stator current is monitored. The single-
N phase current is sensed by a current transformer and sent to
Where FFT*(A) denotes the complex conjugate of FFT (A). notch filter where the fundamental component is reduced. The
To form the complex conjugate, the imaginary part of FFT(A) analog signal is then amplified and low-pass filtered. The
is negated. filtering removes the undesirable high-frequency components
Here, the speed of the power spectrum and the FFT while the amplification maximizes the use of the analog-to-
computation depend on the number of points acquired. If N is digital (A/D) converter input range. The A/D converter
a power of 2, LabVIEW uses the efficient FFT algorithm. samples the filtered current signal at a predetermined
Otherwise, LabVIEW actually uses the discrete Fourier sampling rate. This is continued over a sampling period that is
transform (DFT), which takes considerably longer. sufficient to achieve the required FFT based power spectrum.
LabWindows requires that N be a factor of two and thus Step II: The second step is processing. By using FFT based
always uses the FFT. Typical bench-top instruments use FFTs power spectrum, sampled signal are converted to the
of 1,024 and 2,048 points. frequency domain. The generated spectrum includes only the
magnitude information about each frequency component.
V. EXPERIMENTAL SET UP AND PROCEDURE
Signal noise is reduced by averaging a predetermined number
In order to diagnose the misalignment fault in motor driven of generated spectra. To get the desired frequency range of
pump system, a modern laboratory test bench was set up. It interest and the desired frequency resolution, several thousand
consists of an electrical machine coupled centrifugal pump, frequency components are generated by the processing section.
transformer, NI data acquisition card PCI-6251, data Step III: The last step of this technique is post processing.
acquisition board ELVIS and Pentium-IV Personnel Computer Since a fault is not a spurious event but continues to degrade
with software LabVIEW. LabVIEW 8.2 software is used to the motor, the postprocessor diagnoses the frequency
analyze the signals. It is easy to take any measurement with components and then classifies them (for each specified fault).
NI LabVIEW. Data acquisition card PCI-6251 and acquisition To detect misalignment fault, a system for fault detection
board ELVIS are used to acquire the current samples from the was designed based on Current Signature Analysis (CSA).
motor under load. NI M Series high-speed multifunction data The misalignment fault is created placing 2mm thick plate
acquisition (DAQ) device can measure the signal with between the motor and base as shown in figure 3. In the
superior accuracy at fast sampling rates. This card is shown in described system, data acquisition board was used to acquire
figure 2. the current samples from the motor coupled with centrifugal
pump. The current signals are then transformed to the
frequency domain using a Fast Fourier Transform (FFT) based
Power spectrum. The power spectrum is obtained by
programming in LabVIEW8.2.
Figure 2: Data acquisition card (PCI-6251)
182
Figure 3: Misalignment in motor driven pump system around the fundamental frequency. The spectrum is free of
fault frequencies which indicate that the system has no fault.
After this, 2mm thick plate is placed between the motor and
VI. PRACTICAL RESULTS based to replicate the misalignment fault in the system. The
The stator current is first sampled in the time domain and in stator current was again read under replicated misalignment.
the sequence; the power spectrum is calculated and analyzed The Virtual Instrument (VI) again plotted the power spectrum
aiming to detect specific frequency components related to of motor coupled with centrifugal pump under faulty
incipient faults. For misalignment faults, there is an associated condition. This power spectrum is shown in figure 5. It is
frequency that can be identified in the spectrum. The fault is observed from the figure that two sidebands are present in the
detected comparing the amplitude of specific frequencies with power spectrum. These sidebands appear at 25 Hz and 75 Hz.
that for the same motor under healthy condition. Based on the approximately which indicate towards presence of
amplitude in dB it is also possible to determine the degree of misalignment fault in induction motor. Thus, misalignment
faulty condition. Initially, pump with induction motor was test fault can be detected easily using FFT based power spectrums.
under healthy condition. Data acquisition card and ELVIS was VII. CONCLUSION
used to acquire the current samples from the motor. The signal
from motor was acquired with help of DAQ (PCI-6251). The Advances in process automation and tightening quality
signal was then sent to Virtual Instrument (VI) for analysis. standards result in a growing demand being placed on fault
Virtual instrument plotted the power spectrum of motor detection and diagnostics of electric motors. Misalignment in
coupled with centrifugal pump under healthy condition. hydraulic system of centrifugal pump and motor is one of the
common causes, which creates most of the mechanical faults
and leads to vibration in system. Although different
algorithms are available for condition monitoring of
centrifugal pumps, but online identification of misalignment
in motor driven pump system reporting to maintenance
personnel is still missing. This paper experimentally diagnoses
the misalignment in centrifugal pump sets with help of FFT
based power spectrum. The LabVIEW software was used to
develop the Virtual Instrumentation (VI) so that power
spectrum of motor can be obtained. The power spectrums
were plotted for healthy condition and with misalignment fault.
After this, both power spectrums were compared in search of
fault frequencies. The fault frequencies were appeared at 25
Hz and 75 Hz which indicates the misalignment fault. The
results obtained from the experiment suggest that the proposed
Figure 4: Power spectrum of motor with centrifugal pump under healthy method may be used for detection of misalignment in motor
condition
driven pump system.
Fault. frequencies
REFERENCES
[1] Kallesøe et al. “Model based detection in a centrifugal pump

application‖. IEEE transactions on Control systems technology. Vol.
25Hz 14. 2006.
75Hz [2] Nelik L. ―Centrifugal and rotary pumps. Fundamentals with
applications‖. CRC Press, 1999. New York.
[3] Karassik I. et al. ―Centrifugal pumps‖. 2nd. Edition. International
thomson Publishing. 1998.
[4] Tuzson J. ―Centrifugal pump design‖. Wiley InterScience. 2000.
[5] Karassik I. et al. ―Centrifugal pumps‖. 2nd. Edition. International
[6] W T Thomson: ―On-line Current Monitoring to Diagnose Shaft
Misalignment in 3-phase Induction Motor Drive Systems‖, Proc
Figure 5: Power spectrum of motor with centrifugal pump with misalignment ICEM’94, Paris, 1994, pp 238-243.
fault [7] Richard G. Lyons, ―Understanding digital signal processing‖, Pearson
Education, 2009.
. Figure 4 shows the power spectrum of motor coupled with [8] www.ni.com
centrifugal pump. It may be observed that there is no sideband
183
Design and Fabrication of Supersonic Wind Tunnel using Optimization Technique
M.Mareeswaran1
1
Department of Mechanical Engineering, Anjalai Ammal Mahalingam Engineering College, Thiruvarur, Tamil Nadu, India
(megamarees@rediffmail.com)
14% smaller was used, and the impeller peripheral speed

Abstract - In this paper, optimization technique is used to was maintained the same as in the previous works.
design supersonic wind tunnel to reduce the power Nevertheless the pressure ratio of the scaled stage at the
consumption. A three-dimensional Navier–Stokes solver is design condition was slightly lower due to scale effect and
used to investigate the flow field of a high pressure ratio to the influence of the PIV system. All computations
centrifugal compressor for Supersonic Wind Tunnel. Such a
presented in this paper were carried out on the full scale
compressor consists of a double-splitter impeller followed by
a vaned diffuser. Particular attention is focused on the stage geometry. Figure 2 shows the diffuser measurement
analysis of the vaned diffuser, designed for high subsonic cross sections in the direction of the vane height,
inlet conditions. The diffuser is characterized by a complex corresponding to Section A at 67% of the vane span,
three-dimensional flow field and influenced by the unsteady Section B at mid span, and Section C at 23% of the vane
interaction with the impeller. Detailed Computational Fluid span.
Dynamics (CFD) analysis within the diffuser are available TABLE 1
for comparison purposes. CENTRIFUGAL COMPRESSOR GEOMETRICAL DATA
Keywords – Optimization Technique, CFD. Wind Tunnel Test Section 0.3m x .1m
I. INTRODUCTION Mach Number 1.2 to 3
Impeller of Centrifugal
In India Aeronautical Engineering is in developing Compressor
stage, we have only 9 wind tunnel test facilities in India.
Blade no. 7+7+14 double splitter
The minimum power consumed is 240Units to test the
models for maximum of 30 seconds. Reciprocating
Inlet hub diameter 94.6 mm
compressor is used in the supersonic wind tunnel at
present. Reciprocating compressor is replaced b y
Inlet tip diameter 261.3 mm
Centrifugal compressor to test continuously with
120Units/Hour. The losses in the Centrifugal Compressor Inlet tip angle
29.8 deg from tangential
are reduced by means of double-splitter impeller followed Exit diameter 373 mm
by a vaned diffuser.
The compressor stage is composed of a centrifugal Exit blade height 23.5 mm
impeller with 7 blades and double splitters with 7 and 14 Exit back sweep angle 25 deg
blades, respectively, and a vaned diffuser with 19 blades.
Diffuser Blade number 19
The impeller is un-shrouded with a tip clearance varying
from 0.65 mm at the blade inlet to 1 mm at exit. The size Inlet diameter 429mm
of the radial gap, expressed as the radius ratio of the Exit diameter 590.1mm
diffuser leading edge to the impeller trailing edge is r3 /
r2=1.15. The diffuser vanes are of the double-circular arc
type and have a constant height equal to the impeller exit
width. Figure 1 shows a sketch of the compressor test rig
with the transonic impeller and the vaned diffuser
followed by a volute, while Table 1 summarizes the main
geometrical parameters. The design rotational speed is
9000 rpm, and pressure ratio is 3.9:1 with a volume flow,
referred to as the inlet conditions, of 6.8 m3 / s, leading to
an inlet Mach number of about 1.3. The vaned diffuser
presents high subsonic inlet conditions with an inlet
design Mach number of about 0.95. Detailed PIV
measurements for the vaned diffuser are available; the Fig1. Centrifugal Compressor in progress
experimental procedure was described by Ibaraki et al. Due to
test equipment constraints a compressor stage approximately
II. COMPUTATIONAL PROCEDURE
184
The multi row multi block release of the TRAF code while averaging in the blade-to blade direction. A dual
developed by Amone was used in the present work. The time stepping method is used to perform time accurate
unsteady three dimensional Reynolds averaged Navier– calculations. By introducing the dual time stepping
Stokes equations are written in conservative form in a concept, the solution is advanced in nonphysical time, and
curvilinear body-fitted coordinate system and are used to all the acceleration strategies used for the stead y
solve for the density, absolute momentum components, computation are exploited to speed up the residual to zero
and total energy. The code has recently been used for the and to satisfy the time accurate equations. The link
design and optimization of transonic centrifugal between rows is handled by means of sliding interface
compressor impellers and for the analysis of component planes. The phantom cells relative to the interface plane
interaction in centrifugal compressor stages. lie on the adjacent blade passage, and linear interpolations
The space discretization is based on a cell centered are used to provide the flow variable values. The code
finite volume scheme. Both scalar and matrix artificial features several turbulence closures, namely, the algebraic
dissipation models introduced by Jameson et al. _23_ and Baldwin–Lomax model _27_, the one-equation Spalart–
Swanson and Turkel are available in the code. In order to Allmaras model _28_, and the two-equation Wilcox k-_
minimize the amount of artificial diffusion inside the model. In the present work, the Baldwin–Lomax model
shear layers an Eigen value scaling was implemented to was employed.
weight these terms. The system of governing equations is The impeller computational domain was divided into
advanced in time using an explicit four stage Runge–Kutta four mesh blocks, one for each of the four semi vanes
scheme. Residual smoothing, local time stepping, and included between two main blades. Each of them was
multi gridding are employed to speed-up the convergence discretized using an H-type elliptic grid with 149x41x57
to the steady state solution. Inflow and outflow boundaries points in the stream wise, pitch wise and span-wise
are treated according to the theory of characteristics: the directions, respectively. In this way, the total number of
flow angles, total pressure, and temperature are imposed mesh cells between two main blades in the pitch wise
at the subsonic first row inlet, while the outgoing Riemann direction is 160, and the total number of grid points for the
invariant is taken from the interior. At the subsonic last impeller is 1,392,852. The value of y+ for the first grid
row outlet, static pressure is prescribed, and the density point above the wall was between 1.0 and 4.0 for all the
and the momentum components are extrapolated. The link blades. For the diffuser vane, a 141x57x57 single-block
between rows is handled by means of mixing-planes. H-type grid was adopted. The impeller tip clearance was
Consecutive rows have a common interface plane, and the discretized with 16 cells, the clearance region was handled
match is provided through the appropriate calculation of by pinching the blade was considered as the last
phantom cell values, keeping the span wise distribution calculation for which the code converged.
III. CONCLUSIONS
This paper presents a new technique to have the

3.5
supersonic test facility in India with less power
3 density ratio U U consumption.
2.5 centrifugal REFERENCES

2
temperature ratio T3/T2 [1] Cambel, A.B. and Jennings, B.H., “Gas Dynamics”, McGraw-
axial Hill, 1958.
1.5
[2] Thompson, P.A., Compressible Fluid Dynamics, McGraw-
Hill, 1972.
1
[3] Bradshaw, P., Experimental Fluid Mechanics, Pergamon
1 1.5 2 2.5 3 3.5 4 4.5 5 Press.
[4] Imrie, B.W., Compressible Fluid Flow, Butterworths.
pressure ratio P3/P2
[5] Cumpsty, N. A., 1989, Compressor Aerodynamics, Longmann
Scientific and Technical, Essex, England
[6] Hayami, H., 2000, “Improvement of the Flow Range of
Transonic Centrifugal Compressors With a Low-Solidity Cascade
Fig.2 Comparison of Axial and Centrifugal Compressor
Diffuser,” ASME Turbo Expo, Munich,Germany, May 8–11,
ASME Paper No. 2000-GT-465.
[7] Zangeneh, M., Vogt, D., and Roduner, C., 2002, “Improving a
Vaned Diffuser for a Given Centrifugal Impeller by 3D Inverse
Design,” ASME Paper No.2002-GT-30621.
[8] Inoue, M., and Cumpsty, N. A., 1984, “Experimental Study of
Centrifugal Impeller Discharge Flow in Vaneless and Vaned
Diffuser,” ASME J. Eng. Gas Turbines Power, 106_2_, pp. 455–
467.
[9] Hunziker, R., and Gyarmathy, G., 1994, “The Operational
Stability of a Centrifugal Compressor and Its Dependence on the
Characteristics of the Subcomponents,” ASME J. Turbomach.,
116_2_, pp. 250–259.
185
[10] Filipenco, V. G., Deniz, S., Johnston, J. M., Greitzer, E. M., [13] Sato, K., and He, L., 2000, “A Numerical Study on
and Cumpsty, N.A., 2000, “Effects of Inlet Flow Field Conditions Performances of CentrifugalCompressor Stages With Different
on the Performance of Centrifugal Compressor Diffuser: Part 1— Radial Gaps,” ASME Paper No. 2000-GT-462.
Discrete-Passage Diffuser,” ASME J. Turbomach., 122_1_, pp. 1– [14] Shum, Y. K. P., Tan, C. S., and Cumpsty, N. A., 2000,
10. “Impeller-Diffuser Interaction in a Centrifugal Compressor,”
[11] Deniz, S., Greitzer, E. M., and Cumpsty, N. A., 2000, “Effects ASME J. Turbomach., 122_4_, pp.777–786.
of Inlet Flow Field Conditions on the Performance of Centrifugal [15] Peeters, M., and Sleiman, M., 2000, “A Numerical
Compressor Diffuser: Part Investigation of the Unsteady
[12] Straight-Channel Diffuser,” ASME J. Turbomach., 122_1_,
pp. 11–21.
186
Experimental Investigations of Crack Growth Path

in Multiple Cracks
Aruna Thakur,A.Roy Choudhury
Department of Industrial & Production Engineering
Guru Ghasidas Vishwavidyalaya, Bilaspur
ar_aruna_tk@yahoo.co.in
Abstract - Fatigue propagation is the most thoroughly possible to predict the degradation of plant components
studied area in fracture mechanics. However, the containing multiple cracks due to fatigue. Fatigue crack
theoretical relations that have been so far developed are propagation is perhaps the most thoroughly studied area of
not fully capable of treating the multiple crack growth fracture mechanics. However, the theoretical relations that
problems. have been so far developed are in many cases not fully
It is well-known that the interaction between capable of treating the crack growth process that occur in
multiple cracks has a major influence on crack growth service when the effects of the environment, load frequency
behaviour. Most of studies on multiple cracks are based and/or crack closure are also considered. The problem can be
on analytical approach. Very limited experimental data further complicated by multiple cracks in the structure.
are available in literature. During the last decade, numerical methods have been used
In the present investigation the influence of widely as a powerful tool to solve problems involving
relative crack position on growth direction and growth multiple cracks. The finite element and boundary element
rate are studied in commercially available Aluminum methods (BEM) are cases in point. In most of the simulation
fatigue loading. Experimental results reveal that the studies, among the criteria for computing the local out of-
crack tip distance, crack offset distance, crack length, and plane direction of crack growth (mixed mode crack growth
crack inclination has significant effect on the crack direction), the minimum strain energy density criterion
growth path. The present result concludes that the (SED) or maximum tangential stress criterion (MTS) are
progress direction of the crack tip can be described by the used. As the experimental assessments of crack growth
crack tip distance and offset distance. It is found that direction and propagation in multiple cracks are limited in the
growth direction remains less than 100 when the ratio of literature, the prediction made by any of the available
crack tip distance to offset distance exceeds 2 and 6 under criterion differs significantly from the actual crack growth
fatigue. direction and component lives.
In this paper the Effect of specimen configuration
I. INTRODUCTION TO FRACTURE MECHANICS such as crack length, crack offset distance, crack tip distance,
During recent years, the fracture mechanics has inclination of the crack with loading axis and position of the
obtained a considerable importance for studying the crack cracks (edge etc) on the crack growth direction and crack
growth behavior under static and fatigue loading. Several growth rate will be addressed. The effect of multiple cracks
catastrophic failures, over the years, have resulted in a sharp on crack growth direction as well as crack growth rate has
awareness of the effect of the cracks and stress raiser in the also been discussed.
manufactured parts on their failure strength. Explanations for Crack Growth Behaviour
the failure of the components containing cracks have been an It is well known that the interaction between
interesting and challenging study for the investigators in the multiple cracks have major influence on the crack growth
field of fracture mechanics. Fracture mechanics provides a behaviour. Generally the crack growth behaviour can be
methodology through which a quantitative relationship studied either analytically or experimentally. In the
between the applied stress on a structure, defect size present, experimental approach, the effect of interaction on the crack
inherent properties of the material and fracture resistance growth behaviour can be studied directly through the
characteristics of the structure may be obtained. Stress observations of the crack growth behaviour. The interaction
intensity factors, crack tip opening displacement, J-integral, involves two major features of crack growth behaviour –
etc are some of the parameters generally used to characterize crack coalescence and stagnation. The coalescence of
the stresses and strains in the vicinity of the crack. By approaching cracks, which is frequently observed in the
evaluating a crack initiation direction and its growth, it is multiple crack growth process, becomes a trigger for crack
187
growth acceleration. On the other hand, cracks may stop

growing due to stress shielding effect caused by relatively
large cracks located in the neighborhood.
II. RESULTS AND DISCUSSIONS

We can see experimentally that the propagation of
multiple crack growth during fatigue loading.The surface of
the specimen during fatigue test under   8 MPa and R
=0.8, initial crack length equal to 5 mm, crack tip distance S
=38 mm and offset distance H=5 mm is shown in figure 2 (a).
Figure 2 (a) shows that initially crack propagates
perpendicular to the loading direction for about 22 mm. The
progress direction is than changed to meet the secondary
crack when crack tip distance S becomes less than 16 mm
and S/H < 2. This figure also indicates that initially one crack Figure 2 (b) Crack path and number of load cycles in
remains stagnant and it starts progressing when the crack tip edge crack specimen of crack length =7 mm H=10 mm
distance S remains less than 16 mm and finally crack and S=0 mm
coalescence occurs. For the further study of crack growth
behaviour of the specimen, the crack tip path is monitored by
the traveling microscope and x and y coordinates of the
progressing crack tip at specified interval of time are
recorded. The crack path followed by the two cracks and
corresponding number of cycles are depicted in Figures.
The crack path followed by the two cracks and
corresponding number of cycles are depicted in Figure 2 (b)
to 2 (f) for different S and H values. Figure 2 (b) shows the
crack path for the specimen containing two edge cracks of
same length with offset distance H of 10 mm. Instead of self
similar
Left crack tip
22 mm Figure 2 (c) Crack path and number of load cycles in
central two edge inclined crack, S=14 mm and H =18 mm
Right crack tip Meeting point
Figure 2 (a) Crack path in edge crack specimen of crack

length =6mm H=5 mm and S=38 mm under fatigue loading
Figure 2 (d) Crack path and number of load cycles in

188
The effective crack length is determined from the

crack increment length a . The crack increment length a
is measured by traveling microscope after each specified
number of cycles. The effective crack length is calculated
using following equation (Sih and Barthelemy. 1980.).
a  aold sin 
anew  aold 
a=
aold  a cos  (2.1)
where aold is the previous crack length
The effective crack length, number of cycles and
other loading parameters we can find experimentally from
figures 2 (b-f). The crack growth rate was calculated from the
estimated crack length and corresponding load cycle as
follows.
(a) i 1  a(i 1)  ai
(N ) i 1  N (i 1)  N i
Figure 2 (e) Crack path and number of load cycles in
a a
central two edge inclined crack, S=12 mm and H =20 mm  a   da  (i 1) i
    
 N  i 1  dN  i 1 N (i 1)  N i
(2.2)
The mode I stress intensity factor corresponding to (i+1)th
cycle is obtained from the relation
K I i 1     a (i 1)
(2.3)
Where
   max   min
 max and  min are the maximum and minimum stress in
the load cycle.
Figure 2 (f) Crack path and number of load cycles in III. CONCLUSIONS
From the present investigations, following
propagation the lower crack turns its propagation direction conclusions are drawn.
towards the upper crack at an angle 380. Figure 2 (b) reveals 1. The influence of the interaction between multiple cracks
that the upper crack remains stagnate and failures occurs due on crack extension angle and crack growth behaviour greatly
to the progress of only one crack. This illustrates the crack depends on the relative position of cracks defined by crack
shielding effect. This type of behaviour is seen case of static tip distance S, and crack offset distance H.
loading also. 2. From the experimental observations of the crack
Figure 2 (c) to Figure 2 (f) shows the crack path for interaction fatigue loading, the influence can be classified as
two inclined crack. Figures show that the crack progresses in crack coalescence and crack stagnation and hence as crack
the crack direction and met at some point. Such behaviour is acceleration or separation or retardation of the crack growth.
seen in all cases where S/H remains less than 2 and the self IV. REFERENCES
similar crack propagation has been observed. Figure 2 (f)
shows the crack path for S/H=3. This figure shows that the [1] Effis, J.; Subramonian, N. and Leibowitz, H.
crack progress at an angle of 200 to meet each other. From (1977). Crack border stress and displacement
above discussions it is clear that the crack progresses in the equations revisited, Engg. Fracture Mech., 9: 189-
210.
direction of crack when S/H  2 and it changes its direction
when S/H > 2.
Crack Growth Rate
189
[2] Gdoutos, E. E. (1984). Problems of mixed mode

crack propagation, Martinus Nijhoff, The Netherlands
18: 56-102.
[3] Griffith, A.A. (1921). The phenomena of rupture and
flow in solids, Phil. Trans. Royal Soc. London, 221:
163-198.
[4] K. van der Walde. (2005). Fatigue Damage of
Structural Materials. International Journal of Fatigue.
27: 1509-1518.
[5] Kamaya, M. A. (2003). Crack growth evaluation
method for interacting multiple cracks. JSME Int
J.46:15–23.
[6] Lam, Y.C. (1993). Fatigue crack growth under biaxial
loading, Fatigue Fracture Engng. Mater. Structure,
16: 429-440, 1993.
[7] Li, C. (1989). Vector CTD criterion applied to mixed
mode fatigue crack growth, Fatigue and Fracture of
Engng Materials and Structure. 12: 59-65.
[8] Patel, A.B. and Pandey, R.K. (1981). Fatigue crack
growth under mixed mode loading, Fatigue Fracture
Engng Material Structure, 4: 65-77.
[9] T.H. Mccomb; J.E. Pope; A.F. Grand Jr. (1986).
Engng. Fract. Mech. 24: 601.
[10] Tanaka, K. (1974). Fatigue crack propagation from a
crack inclined to cyclic tensile axis, Engng Fracture
Mechanics. 6: 721-732.
[11] Walker E. K. (1970). The effect of stress ratio during
crack propagation and fatigue for 2024-T3 and 7075-
T6 aluminum, ASTM STP 462, 1:.
[12] Wu, Z. and Sun, X. (1998). Multiple fatigue crack
initiation, coalescence and growth in blunt notched
specimens Elsevier Science Ltd.53: 136-151.
190
Computer Aided Design and Analysis of

Piston Mechanism of Four Stroke S.I. Engine
Er.Jadhav Rajendra B 1, Dr. G. J. Vikhe Patil2
1
P.G student, 2 Principal, Amrutvahini College of Engineering, Sangamner
Pune University, Maharastra - 422605
1
rrrajendra26@rediffmail.com
rotational motion. To translate linear motion into rotational

Abstract—This paper illustrates design procedure, kinematics and motion the crankshaft has an offset rotation.
dynamic analysis of piston of single cylinder of air-cooling S.I.
engine at maximum power and maximum torque condition. It is
the study of the geometry of motion. Kinematics analysis involves
determination of position, displacement, rotation speed, velocity
and acceleration and inertia force and dynamic analysis involves
determination of tangential force, radial force, forces on bearing,
and torque on the crankshaft. In this paper the complete kinematic
and combined static and dynamic force analysis of a single
cylinder, four stroke internal combustion engines are discussed.
The Complex Algebra analytical approach is used for analysis is a) Displacement (b) Clearance Volume (c) Nomenclature Volume
less time consuming if it is programmed for the computer solution. Fig.1. Cross Section of a Reciprocating Engine
The pressure for one cycle at maximum power condition data for
the analysis of the engine has been calculated by using Engine Pro The internal combustion engine employs a very popular
V 3.9 engine cycle simulation program software. The computer mechanism for translating motion is known as slider crank
program is prepared in visual basic language software for mechanism. In this paper, by using complex algebra method
Kinematic and dynamic analysis of the engine at the every crank carried out complete kinematics and dynamic analysis of
interval. reciprocating group of machines.
Kinematic analysis of the piston-crank mechanism
Index Terms—Design, Dynamic, Engine Pro V 3.9, Kinematic,
determines the motions of various links of the mechanism
Visual Basic Program,
viz. displacement, velocity and accelerations of like
connecting rod and piston. In the present work, the complete
Kinematics analysis of the engine has been carried out by
I.
analytical method, as this method is more accurate than
The piston is at the internal combustion engine and is graphical method and can give results for all the types of the
subjected to a combination of loads such as thermal and mechanism. (1)
structural stress from a number of sources. The piston Dynamic analysis of the engine includes static and inertia
reciprocates vertically within the cylinder. The two extremes of force analysis for all the possible phases of the engine, which
this motion are referred to as Top Dead Center (TDC) and leads to an important aspect of the engine. Neglecting the
Bottom Dead Center (BDC) referred to Fig.1 Top Dead Center effect of friction carries out the complete force analysis
is the position of the piston that creates the smallest volume in of the reciprocating piston mechanism by summation of the
the cylinder, which is defined as the clearance volume, Vc. This individual effects of gas forces and inertia forces. With the
is where combustion takes place in the engine and is also help of analytical expressions derived equation, a complete
known as the combustion chamber. Bottom Dead Center is structural static analysis of the single cylinder, four-stroke
when the piston creates the largest volume in the cylinder. The internal combustion engine with every crank interval is made.
distance between TDC and BDC is referred to as the stroke and With help of engine parameters, an investigation of variation
the volume, which the piston displaces during this moment, is of crankpin load, piston pin load and main bearing load is
called the displacement volume, Vd. The piston diameter is carried out with help of programming. [4]
referred to as the bore.
The piston is connected to the crankshaft via the connecting

rod, which allows rotation at both connections. The
crankshaft converts the linear motion of the piston into
191
II. PISTON DESIGN 47 × 103 kJ/kg. m1 is mass of the fuel used and BP is brake
The elements of a piston are shown in Fig. 2. The head power of the engine per cylinder.
thickness based on strength can be calculating assuming the The radial thickness (t1) of the ring may be obtained by
head to be a flat of uniform thickness and fixed at the edges. considering the radial pressure between the cylinder wall and
The gas load is considered as a uniform load over entire cross the ring.
section. The thickness of the piston head (tH), according to
Grashoff’s formula. 3 pw
t1 = D x (4)
σt 1
3 P D2 Here D is cylinder bore, Pw is pressure of gas on the
tH = (1)
16 σ t cylinder wall (0.025 MPa to 0.042 Mpa), and σ t1 is allowable
bending (tensile) stress (84 MPa to 112 MPa for cast iron
Where tH is thickness of the piston head, P is maximum gas
rings). The axial thickness (t2) of the rings may be taken as
pressure or explosion pressure, D is cylinder bore and σ t is
0.7 t1 to t1. The minimum axial thickness (t2) may also be
allowable stress in bending (tensile) stress for the material of
obtained from the following empirical relation is given by [5]
the piston. It may be taken as 50 to 90 MPa for aluminum
alloy [5, 6].
D
t2 = (5)
10 n R
Where nR is number of rings. The width of the top land is
made larger than other ring lands to protect the top ring from
high temperature conditions existing at the top of the piston.
So width of top ring land is given by
b1 = t H to 1.2 t H (6)
The width of other ring lands in the piston may be made
equal to or slightly less than the axial thickness of the ring (t2)
.The lands between the piston rings are loaded by the forces
of the gases, of inertia of the piston rings, and of friction.
Ordinarily the land between the first and second rings is
Fig. 2. Elements of a Piston higher. The lands are gradually reduced in height away from
the crown. The height of the first land, hl is 0.04 D to 0.055 D
On the basis of second consideration of heat transfer, the for petrol engine.
thickness of the piston head should be such that the heat
absorbed by the piston due to the combustion of fuel is b2 = 0.75 t 2 to t 2 (7)
quickly transferred to the cylinder walls. Treating the piston The depth of the ring grooves should be more than the
head as a flat circular plate, its thickness. depth of the ring so that the ring does not take any piston side
thrust. The gap between the free ends of the ring is given by
H 3.5t1 to 4 t1 .The gap when the ring is in the cylinder, should
tH  (2)
12.56K  TC  TE  be 0.002 D to 0.004 D. The maximum thickness (t3) of the
piston barrel may be obtained from the following empirical
Where H is heat flowing through the piston head and K is
relation.
heat conductivity factor. The value of heat conductivity factor
is 174.75 W/m/˚C for aluminum alloys. T C is the temperature
at the center of the piston head, and T E is the temperature at t 3 = 0.03 D + b + 4.5 (8)
the edges of the piston head. The temperature difference may Where b is radial depth of piston ring groove, D is the bore
be taken as 75˚C for aluminum with Tc about 2600 C [5] diameter.
The heat flowing through the piston head (H) may be The piston wall thickness (t4) towards the open end is
determined by the following expression: decreased and should be taken as 0.25 t3 to 0.35 t3 [1]. The
portion of the piston below the ring section is known as
H = C x HCV x m1 x BP (3) piston skirt. It acts as a bearing for the side thrust of the
Where C is constant representing that portion of the heat connecting rod. The side thrust (R) on the cylinder liner is
supplied to the engine. Its value is usually taken, as 0.05 usually taken as 0.03 to 0.1 times of the maximum gas load
HCV is higher calorific value of the fuel. It may be taken as on the piston [5].
Maximum side thrust on the cylinder, is given by
192
π D2
R = (0.03 to 0.1) P x (9) III. CRANK SLIDER MECHANISM
4
The side thrust (R) is also given by: A. Theoretical Analysis
1) Kinematics analysis by complex Algebra Method
R= Pbr x D x Lps (10) The kinematics drawing and vector equation expressing
Where Lps is length of the piston skirt and Pbr is the bearing complex rectangular notation of the piston crank planar
pressure. In actual practice, the length of the piston skirt is mechanism is shows in Fig.3.
taken as 0.65 to 0.8 times the cylinder bore. Now the total
length of the piston (Lp) is given by:
Lp = Lps + Length of ring section + Top ring (11)

The length of the piston usually varies between 1.16 D
and 1.5 D. The material used for the piston pin is usually case
hardened steel alloy containing nickel, chromium,
molybdenum or vanadium having tensile strength from 710
MPa to 910 MPa. The length of the pin in the connecting rod
bushing will be about 0.45 of the cylinder bore allowing for Fig .3 Graphical representations of vectors
the end clearance of the pin etc.
The outside diameter of the piston pin (do) is obtained R1 + R 2 + R 3 = 0 (16)
Expressing the above vectors in complex rectangular
PBearing Pressure = Bearing Pressure x Bearing Area
= Pb1 x d0 x L1 (12)
(  r1 + j0) + (r2cos θ+j r2sin θ) + (r3cos β+j r3sin β ) = 0 (17)
Where, do is outside diameter of the piston pin, L1 is length
r1 + r2 cos θ + r1 cos β = 0 (18)
of the piston pin in the bush of the small end of the r2 sin θ  r3 sin β = 0 (19)
connecting rod (0.3D to 0.45D), P b1 is bearing pressure at the
small end of the connecting rod bushing. The pin diameter is Where,
selected up to an optimum of about 40 percent of piston r1 = Linear Displacement of the Slider, m.
diameter based on a maximum bearing pressure of 60 MPa in r2 = Radius of the crank, m
aluminum [2]. r3 = Length of the connecting rod, m
The piston pin may be checked in bending by assuming the θ = Angular displacement of the crank, deg.
gas load to be uniformly distributed over the length L1 with β = Angular displacement of connecting rod, deg.
supports at the centre of the bosses at the two ends.
Therefore, the maximum bending moment at the centre of the As mobility of the mechanism is one and the rotational speed
pin, of the crankshaft are constant, input parameters are r2, r3, ω2 and
θ. Differentiation of Eqn. 3 and 4 gives the expressions of
M=
PD (13) displacement, velocity and acceleration of the driven members,
8 connecting rod and the slider. [4]
The hollow piston pin is mostly used if di and d0 is the
outside and inside diameters of the piston pin. The section
β = sin -1  r2 sin θ / r3  (20)
modulus,
r2 ω2 cos θ
ω3 = (21)
π (d )4  (di )  4 r3cos β
x o  (14)
Z=
32  (d o )4  r 2 cos θ - r2 ω2 2sin θ + r3ω32 cos β 
α =
3 (22)
The inside diameter of the piston pin has the limited range r3 cos β
of 0.75 d o to 65.0 d o V = X =  r2 ω2 sin θ + r3 ω3 sin β  , (23)
The maximum bending moment is,
Ap = X= (r2sin θ + r2ω2 cos θ + r3ω3 cos β + r3sin β) (24)
2 2
M = Z σb (15)
Where, σb is allowable bending stress 84 Mpa for case Where,
hardened steel and 140.0 Mpa for heat-treated alloy steel. ω2 = Angular velocity of the crank, rad/sec.
193
ω3 = Angular velocity of the connecting rod, rad/sec. force and subjected to an inertia force resulting only from the
α2 = Angular acceleration of the crank, rad/sec2 weight of the piston assembly. From Fig. 5, the analytical
α3 = Angular acceleration of connecting rod, rad/sec2 expressions for the forces are given as (3)
Vp =Velocity of the piston, m/sec.
Ap = Acceleration of the piston, m/sec.2 "
F41 =  m4 x tan β j (28)
X = Piston displacement, m
F = m4 x i  m4 x tan β j
"
34 (29)
With the use of above equations the values of all the above F = F
"
32
"
34 (30)
kinematics parameters at the every crank angle are calculated
with the help of computer program. [3,4] Where,
B. Static Force Analysis m4 = Mass of the piston assembly, Kg.
The gas force acts P on the piston due to the combustion of
fuel and this force varies during the cycle of operation. [9]. Fig.
4 shows graphical analysis of the gas force. From the force
polygon,
Force acting along connecting rod
F14' = P tan βj (25)

F = P / Cos β
'
34 (26)
Fig .4 Analysis of Gas
Crankshaft torque or turning moment delivered to the

crank is obtained by taking the product of the gas force and
piston coordinate x. Therefore crankshaft torque in vector
form is Fig .5 (a), (b,), (c), (d),(e) Analysis of force in the Engine Mechanism when
only inertia force due to the weight of Piston assembly
T21' = (F14' x) k (27)
F32''' = m3B x i  m3B x tan β j (31)
C. Inertia Force Analysis F = m3A r2ω2 (cos θ i + sin θ j )

'''
32
2
(32)
The resultant bearing loads are made up of the following
components: Where,
1. The gas force components, designated by a single prime. m3B = Mass of connecting rod lumped at Wristpin B, Kg.
2. Inertia force due to the weight of the piston assembly,
designated by a double prime.
3. Inertia force of that part of the connecting rod assigned to
the piston pin end, triple primed.
4. Connecting rod inertia force at the crankpin end,
quadruple primed.
Equations for the gas force components have been

determined earlier and reference shall be made to them in
finding the total bearing loads. Fig. 3, shows graphical
analysis of the forces in the engine mechanism with zero gas
194
x
(a)
(b) (c)
Fig.7 (a), (b,), (c) Graphical analysis of forces resulting solely from the mass of
the connecting rod, assumed to be concentrated at the crank pin end .
From the above analysis of inertia forces the total force of

the piston against the cylinder wall, piston pin and crankpin
respectively is given by, [4]
'
F41 = F41 ''
+ F41 '''
+F41  
=[ m3B + m4 X + P] tan βj (37)
F34 =  m4 x + P  i  [  m3B + m4  X + P ] tan βj (38)
F32 =  m3A r2 ω cos θ -  m3B + m4  x  P  i +
2
2
(39)
Fig. 6 (a), (b), (c), (d),(e) Graphical Analysis of Forces resulting solely from
the mass of the connecting rod, assumed to be concentrated at the wrist pin end
m3A r2 ω22 sin θ +  m3A + m4  x + P  tan β j 
In Fig. 6, the analysis neglecting all forces except those, Where,
which result because of the inertia of that part of the mass of F34 = Wristpin load, N.
the connecting rod, which is assumed to exist at the piston pin F32 = Crankpin load, N.
center, is given. The analytical expressions for the forces are F41 = Cylinder wall force, N.
given as [3, 4]
The crankshaft torque or turning moment delivered by the
F =  m3B x tan β j
"'
41 (33) engine is obtained from the equation. [4]
'''
F32 = m3B x i  m3B x tan β j (34)
T21 =   F41  x  k =   m3B + m4  x+ P  tan β k  (40)
 
F34''' = F41 (35)
'''
Crank speed (1) 7000 rpm. (2) 4500 rpm

Fig. 7 shows the forces, which result because of that
Stroke = 52.5, r3 / r2 = 3.444
part of the connecting rod mass, which is concentrated
Mass of piston, piston pin and main bearing, m4 = 0.112 Kg.
at the crankpin end.[3,4]
Mass of connecting rod, m3 = 0.1151 Kg.
The analysis gives,
Centre of gravity of connecting rod is 21.42 mm from the
crankpin centre,
''' 2
F32 = m3A r2 ω2 (cos θ i + sin θ j ) (36)
From the above data,
Where, m3B = [7.44 / (16.86+7.44)] x 1.75 = 0.02677 Kg,
m3A = Mass of connecting rod lumped at crankpin A, Kg. m3A = 1.75 – 0.535 = 0.08832 Kg.
The computer program has been developed in visual basic

language program to compute the thrust loads on the
connecting rod, tangential force on the crank pin, turning
moment on crank shaft, frictional force for the single-
195
cylinder, four-stroke petrol engine for the complete working

cycle at the every crank interval. TABLE IV
BEARING LOADS AT MAXIMUM POWER CONDITION
The cycle simulation Engine pro analyzer V 3.9 program
 F32 F34 F41 T21
requires the basic engine design parameter as input in order (Deg) (N) (N) (N) (N-m)
to predict engine pressure for maximum pressure and 0 2790.0 2799.2 0.00 0.00
temperature condition. This data can be practically measured 60 766.51 658.90 -635.09 -16.91
but the cost of this is very high hence it is decided that to use 120 1395.0 1600.9 1141.21 30.67
simulation technique. 180 1533.0 1719.7 0.00 0.00
240 1395.0 1174.8 835.27 22.50
TABLE NO.I 300 766.51 1553.5 -1498.9 -39.90
GAS FORCE AT MAX. POWER (7000 RPM) 360 2790.0 10523 0.00 0.00
Suction Compression Power Exhaust 420 766.51 2654.0 2555.53 68.19
480 1395.0 2652.3 1895.74 50.82
 P  P  P  P
540 1533.0 2297.9 0.00 0.00
Deg Bar Deg Bar Deg Bar Deg Bar 600 1395.0 990.94 702.60 18.98
0 189.9 360 7733 360 7733 720 189.8 660 766.51 332.97 318.04 8.511
30 158.2 330 1942 390 8433 750 167.7 720 2790.0 2979.8 0.00 0.00
60 129.1 300 737.4 420 3336 660 226.3
90 132.5 270 258.2 450 1773 630 436.2
120 154.5 240 258.2 480 1172 600 436.2 TABLE V
150 173.6 210 208.7 510 903 570 623.4 BEARING LOADS AT MAXIMUM TORQUE CONDITION
180 186.7 180 186.7 540 764 540 764.9  F32 F34 F41 T21
(Deg) (N) (N) (N) (N-m)
TABLE II 0 1153.1 944.7 0.00 0.00
GAS FORCE AT MAX TORQUE (4500 RPM) 60 316.77 162.1 -156.3 -4.18
Suction Compression Power Exhaust 120 576.51 812.0 578.83 15.48
 P  P  P  P 180 633.55 854.0 0.00 0.00
Deg Bar Deg Bar Deg Bar Deg Bar 240 576.51 299.9 213.24 5.70
0 208.2 360 9195 360 9195 720 207.5 300 316.77 1197 -1155.5 -30.91
30 161.1 330 2246 390 8030 750 268.0 360 1153.1 10348. 0.00 0.00
60 160.0 300 842.7 420 3182 660 197.2 420 316.77 2959.8 2849.9 76.236
90 193.9 270 286.4 450 1716 630 166.7 480 576.51 1752.9 1252.8 33.514
120 209.5 240 286.4 480 1120 600 272.5 540 633.55 1321.5 0.00 0.00
150 215.1 210 236.5 510 849 570 487.9 600 640.44 314.3 222.8 5.9619
180 220.5 180 220.5 540 687 540 687.9 660 316.77 530.9 -512.77 -13.716
720 1153.1 1360.5 0.00 0.00
III. RESULTS AND DISCUSSION

In the of design procedure trunk type (flat) of piston of 7.5 ACKNOWLEDGEMENTS
HP petrol engine, structural rigidity combined with lightness The author special thanks for valuable guidance by
must always be the first consideration. The fundamental Mechanical department of Amutvahini Engg College, Pune
concepts and design methods concerned with single cylinders University, Maharastra, India
petrol engine have been studied in this paper. Piston designs for
this engine by selecting aluminum alloy have also been
evaluated. REFERENCES
[1] John B. Heywood, 1989, Internal Combustion Engine Fundamentals,
TABLE III McGraw Hill, International Editions, (III, IV unit)
RESULTS OF PISTON DESIGN [2] Mathur M.L., Sharma, A Course in Internal Combustion Engines’,
Parameters Results (mm) R.P. Dhanpat Rai Publication 1997 (i, ii, iii)
Piston length 41 [3] Amitabha Ghosh, Ashok Kumar Malik, 1998, Theory of Mechanism
Piston crown thickness 54 and Machines, third Edition, Affiliated press pvt limited New Delhi
[4] Shigley, Joseph Edward, 2003, Theory of Machines and Mechanisms,
Piston diameter 52
Tata McGraw Hill, New York
Length of piston skirt 14
[5] Khurmi, R.S. and Gupta, J.K. 2003, A Textbook of Theory of Machine,
Piston pin outside diameter 13
4th Edition, Eurasia Publishing House (Pvt.), Ltd, New Delhi
Piston pin inside diameter 8
[6] Dr. P.C. Sharma, Aggarwal, R.D.K, 2004, A Text Book of Machine
Piston pin length 37
Design, S. K. Kataraia and sons, New Delhi.
Piston pin thickness 5 [7] Mi Mi San, “Design and Kinematics Analysis of Piston” GMSARN
Thickness of piston barrel 12 International Conference on Sustainable Development: Issues and
Piston thickness at open end 2.5 Prospects for the GMS, 12-14 Nov. 2008
The results computed from the visual basic program

developed for kinematic analysis of the engine for the complete
working cycle are given at the crank interval of 60 degree.
196
Analysis of an External Gate Hopper Feeder

Aparna Gupta1, Arjun Mehra2, Neha Khemka3, Pradeep Khanna4
1
Students, Department of Manufacturing Process & Automation Engineering
aparna160@gmail.com
arjunamehra@gmail.com
neha165@gmail.com
4
Senior Lecturer, Department of Manufacturing Process & Automation Engineering
Netaji Subhas Institute of Technology,Dwarka, New Delhi.
eghfeeeder@gmail.com
Abstract-One of the major problems faced during the mechaniz- ter obstacles that orient the parts in a certain way so that they
ing of the production line including the assembly, is the discrete can be easily used further down the line.
feeding of small parts automatically to the work stations at a
desired rate. To automate the assembly of mechanical compo- Centrifugal rotary feeders use a bowl that spins and forces
nents, parts must be precisely oriented prior to packing or inser- parts to the outside of the bowl. At the outside edge of the
tion. Part feeders are machines that orient parts so that robots bowl, the parts are channelled into receivers when the parts
or other automated processes can capture and use or package the are in the right orientation. From the receiver, they go onto a
parts or components. Applications range from packaging pills in track that moves the parts to the next stage of production.
the pharmaceutical industry to sparkplug production in the Centrifugal feeders are usually faster and less noisy than vi-
automotive industry. The main difference between parts feeders bratory feeders.
is their method of directing the feed .
Pneumatic feeders move and position parts by means of a
The present work aims at analysis of the external gate feeder
pneumatic piston. The piston functions via hydraulic (liquid)
mechanism. It consists of a cylindrical bowl that has slots cut on
the outer periphery. As the bowl rotates, the parts get stuck in pressure or an air-driven motor to force parts through a tube.
the slots and then eventually are delivered out of the bowl These units are ideally suited to convey closures to capping
through a gate followed by a chute. The analysis includes the machines, but are also applicable for handling many other
study of the phenomena of part feeding as well as the influence small parts including liners, fitments, corks, capsules, etc.
of various parameters (such as the angle of inclination of the Programmable part feeders are also available. They are
bowl to the horizontal, the speed of rotation of the bowl, the
more flexible than traditional part feeders and may be pro-
population of the parts etc) on the feed rate. It is restricted to
the feeding of cylindrical parts of a specific diameter and length.
grammed to change the way they isolate or orient parts. Pro-
grammable feeders are available in several different configu-
Keywords: part feeders, external gate hopper feeder, chute, feed rations ranging from programmable frequency of vibration in
rate, cylindrical parts. a traditional type of feeder, to sensor driven actuators that
reorient parts.
I. INTRODUCTION
II. EXTERNAL GATE HOPPER
Modern production techniques demand high degree of
automation in feeding and handling of individual compo- A. Design:
nents. Mechanised part feeding is an indispensable part of
today’s automated assembly lines where feeding of small It consists of a rotary cylindrical bowl provided with a station-
parts in a particular orientation is of principal importance. ary base plate with some clearance and a stationary outer re-
Therefore part feeders form an integral part of the mecha- taining sleeve [4]. The bowl has slots cut on the outer periph-
nised assembly as not only are they responsible for part ery and is filled with parts to be fed. The axis of the bowl is
feeding from a bulk supply but also convert the randomness slightly inclined to the horizontal at a particular angle. Bowl
of the parts into a flow in a geometrical pattern. They is connected to a shaft which is coupled to another shaft
transfer components at desired orientation to the desired through cone and clutch assembly driven by an AC motor
location [1]. through a belt-pulley system. Step pulleys are provided to
vary the input rotating speed for experimentation purposes. A
A. Types of Feeders [2]: gear box is attached to the Motor to reduce the rotating speed.
Vibratory bowl feeders are the most common type of part A solid base is provided to support the structure and to get
feeders. The bowl has a helical track which climbs the in- various inclinations. The delivery chute is so designed and
side wall of the bowl. Parts are dumped into the bowl that fabricated that the parts are obtained in desired orientation.
vibrates and turns. As the parts climb the track they encoun-
197
Fig.2: various stages in the motion of the part when passing through the gate
of an external gate hopper [3].
C. Specifications:
TABLE I
S.No. Part Name Specifications

1. Slotted Bowl Outside Diameter=312mm, Inside Di-
ameter=296mm, No of slots=24 of depth
50mm
2. Base Plate Diameter=323mm
3. Shaft (2 Nos.) Diameter=16mm with step of 17mm
4. Cone Clutch
Assembly
5. Support Bear- Internal Diameter=17mm Outer Diame-
Fig.1: Schematic diagram of an external gate hopper [3]. ing Structure ter=40mm
6. Motor Single Phase AC 1400rpm, 250V, 50Hz,
B. Principle of Working: 3Amp
7. Gear Box 60:1
The basic mechanism of an external gate hopper consists of 8. Stepped Pul- 3 Steps
the parts getting pushed by the others and thus settling in the leys (4 Nos.)
slots and then getting dropped out of the slots into the chute. 9. V belts B53 and A38
The parts rest against the wall of the stationary outer sleeve 10. Parts Aluminium cylinders with length 40mm
and get settled in the slots. At some point as the bowl rotates and diameter 12mm
the slots pass over a gate in the outer sleeve, thus the pieces
that are aligned in the slots drop one by one into the delivery
container through a chute. The tumbling action caused by the III. EXPERIMENTAL WORK
rotation of the bowl provides repeated opportunities for the
parts to fall into the slots and subsequently to pass through the In the present work, an investigation of the performance of the
external gate into the delivery chute. The parts leave the chute external gate feeder used in automatic production for feeding
in desired orientation [5]. cylindrical parts has been undertaken. It is based on the series
of experiments carried out under different operating condi-
tions considering the following major parameters:
 Part population
 Speed of rotation of bowl
 Angle of inclination of the bowl with the horizontal
Other parameters that affect feed rate are[6]:
(a)  Dimensions of the specimens
 Diameter of the bowl
 Number of slots in the bowl
 Types of cross sections of the specimen
However in the given study, cylindrical pieces of length
40mm and diameter 12 mm were used. During the experi-
mentation, one of the major parameters was varied, and the
rest kept constant. The optimum value of the varying quantity
was found out and similarly the procedure was carried out for
(b) other parameters.
(c)
198
70
Feed Rate (parts/minute)

60
50
7.5 rpm
40
30 12 rpm
20 25 rpm
10
0
10 20 30 40 50
Part Population
Fig. 4
2) Angle of inclination of bowl : 15.05o

TABLE IV
FEED RATE(Parts/minute)
Fig. 3: Experimental Arrangement

Number of parts 10 20 30 40 50
Speed(rpm)
TABLE II
7.5 26 44.5 40 33 32
RANGE OF PARAMETERS 12 24 46.5 47 42.5 39
25 22.5 45.5 45 42 38.5
S.NO. Parameter Range
1. Part population 10-50

50
Feed Rate (Parts/minute)
2. Speed (in rpm) 7.5-25

40
3. Angle of inclination of the bowl 12.5 - 18.45O
30 7.5 rpm
4. Angle of gate 70°
5. Diameter of component 12mm 20 12 rpm
6. Length of components 40mm 10 25 rpm
7. Number of slots 24 0
10 20 30 40 50
IV. 0BSERVATIONS Part Population
A. Effect of Part Population on Feed Rate:

Fig. 5
o
1) Angle of Inclination of Bowl : 12.5
3) Angle of inclination: 18.45o
TABLE III
TABLE V
FEED RATE(Parts/minute) FEED RATE(Parts/minute)

Number of parts 10 20 30 40 50 10 20 30 40 50
Number of parts
Speed(rpm) Speed(rpm)
7.5 20 42 46.5 39 32 7.5 23.5 37 33.5 32 29
12 26 50 60.5 58.5 49 12 25 49 44 46.5 46
25 27 48.5 59.5 57 48 25 23.5 37.5 42 48.5 47.5
199
60
70
Feed Rate(Parts/minute)
number of parts
feed rate (parts per minute)

50 60
40 50
7.5 rpm 10
30 40
20 12 rpm 30 20
20
10 10 30
25 rpm
0 0
40
10 20 30 40 50 12.5 15.06 18.45
50
Part Population
Angle of inclination (degrees)
Fig. 6
Fig. 8
C. Effect of Rpm on Feed Rate:

B. Effect of Angle of Inclination on Feed Rate:
1) Part Population : 30 1) Part Population : 30

TABLE VIII
TABLE VI
FEED RATE(Parts/minute) FEED RATE(Parts/minute)

Angle of inclination 12.5° 15.06° 18.45° Speed(rpm) 7.5 12 25
Speed(rpm) Angle of inclination
7.5 46.5 40 33.5 12.5° 46.5 60.5 59.5
12 60.5 47 44
15.06° 40 47 45
25 59.5 45 42
18.45° 33.5 44 42
80 70
Feed rate (parts per minute)
Feed rate (parts per
60 60
minute)
40 7.5 rpm 50
20 40 12.5
12 rpm
0 30 15.06
25 rpm 20
12.5 15.06 18.45 18.45
10
Angle of inclinaton (degrees) 0
7.5 12 25
Fig. 7 Speed (rpm)
1) Speed of Rotation of Bowl : 12 rpm Fig. 9
TABLE VII 2) Angle of inclination :12.5°
FEED RATE(Parts/minute) TABLE IX
Angle of inclination 12.5° 15.06° 18.45° FEED RATE (parts per minute)
Part Population Speed (rpm) 7.5 12 25
10 26 24 25 Part population
20 50 46.5 49 10 20 26 27
30 60.5 47 44 20 42 50 48.5
40 58.5 42.5 46.5 30 46.5 60.5 59.5
50 49 39 46 40 39 58.5 57
50 32 49 48
200
VI. CONCLUSION
80
With the set of experiments conducted with cylindrical parts
Feed rate (parts per
part
60 population of 12mm diameter and 40mm length, the following inferences
minute)
40 10 were drawn:
20
20  With an increase in part population, the feed rate in-
30
creases up to a certain extent, and then it starts de-
0 40
creasing.
50
7.5 12 25  As the speed of rotation of the bowl is increased, the
Speed (rpm)
feed rate increases, reaches a peak value and then
Fig. 10
starts decreasing.
 As the angle of inclination of the bowl is increased,
the feed rate keeps on decreasing.
V. ANALYSIS
It was also seen that the maximum feed rate obtained is 60.5
A. Effect of Part Population: parts per minute with the following parameters:
 Part population of 30 parts
Keeping all the other parameters constant, the population af-
fects the feed rate in such a way that the graph first increases  Speed of rotation= 12 rpm
to a peak value and then decreases. The pieces push one an-  Angle of inclination of the bowl= 12.5 degrees
other as a result of the tumbling action of the parts in order to
get into the slots. If however the parts are few, the pushing ACKNOWLEDGEMENT
mechanism is not that effective. The parts might fail to orient
themselves into the slots and thus the feed rate is not too ap- The authors would like to thank Mr Pradeep Khanna, Senior
propriate. If the parts are in excess they eventually don’t con- Lecturer, and Mr. Pawan K. Shukla, Lab Incharge, Depart-
tribute much in the pushing process, they might adversely ment of Manufacturing Process and Automation Engineering,
affect the process by blocking the way of those parts that are Netaji Subhas Institute of Technology for his timely support
trying to orient themselves into the slot(refer to figures 4,5 and guidance.
and 6).
REFERENCES
B. Effect of Angle of Inclination of the Bowl:
It is found that as the angle of inclination of the bowl de- [1] K.Y. Goldberg, M.T. Mason, “A programmable parts feeder,” Carnegie
Mellon Robotics Institute Annual Report, 1990.
creases, the feed rate increases. This happens because as the
inclination is reduced, the bowl moves closer to the upright [2] A.Gupta, G. Singhi, G. Agarwal, N. Sankar, P. Khanna, “Design and
position. Thus the pieces can orient themselves comfortably fabrication of agile sorting and feeding system,” WCECS, 2007, San
into the slots as they have the tendency to rest in their natural Francisco, USA.
resting position. These oriented pieces fall out of the gate
[3] G. Boothroyd-“Assembly Automation and Product design”.
horizontally (refer to figures 7 and 8).
[4] R.C. Yadav & N.K. Tewari, “Analysis of the Performance of External
C. Effect of Speed of Rotation of Bowl: Gate Feeder: A New Approach”, 1978.
Initially as the speed increases, the feed rate increases. After
reaching a peak value, feed rate decreases with increasing [5] A. Rawat & N.K. Tewari, “Mechanized feeding of small parts in auto-
speed. As the bowl rotates, due to the centrifugal force, the matic production”, Proc 12th AIMTDR Conference,1986, IIT Delhi.
parts are pushed to the periphery and get oriented into the
slots. However after a certain limit, if the speed is increased, [6] S.C. Gandhi & N.K. Tewari, “Investigation of the performance of a
mechanical feeder”, Proc 10th AIMTDR Conference,1982, Durgapur.
the pieces are thrown so fast that they do not get the time to
orient themselves into the slots. It may also happen that even
the oriented pieces are not able to come out of the gate as the
slot passes the gate too fast owing to the very fast rotation of
the bowl(refer to figures 9 and 10).
201
Design and Modification of Single Flywheel

Thresher Machine
Sachin P. Untawale1, S.L.Bankar2, R.B.Chadge3
123
Department of mechanical Engineering, RSTM Nagpur University
123
Yeshwantrao Chavan College of Engineering, Hingna Road Nagpur-441110 (M.S.) India
1
untawale@gmail.com
2
slbankar22@yahoo.co.in
3
rajkumarchdge@rediffmail.com
Abstract: Thresher machine are used for the separation of grain mechanical power thresher which separates the seed from
from stalks and husks. It is normally composed of a hopper, pods. Harrington (1970) developed a Multicrop thresher with
spike tooth cylinder and heavy duty C.I. Flywheel and closed spike tooth cylinder and fixed cylinder concave clearance.
cylinder casing, a concave oscillating screen and blower for
winnowing. All these parts are mounted on heavy duty metallic Work on design and development of Multicrop thresher was
chassis built with M.S channels and angles. initiated in 1976-1980. Since conventional rasp-bar threshing
system with straw packs/walkers used for separation was tried
Thresher play very important role in Indian agricultural for years on crop like wheat and paddy. It was decided to use
industries. Single flywheel threshers are not popular because of this system for development of Multicrop thresher. These
its compact size and easily affordable by small scale Indian Threshers operated on 30-35 h.p. tractors.
formers. Agricultural mechanization in India is starving for the
Further modification is being done by different manufacturing
perfection in design of S.F. thresher machine.
companies to suit the threshing of crops like jawar, sunflower
In this project single flywheel thresher machine is tested etc. Straw walkers have been removed to make the machine
according to IS 6284-1975. To find performance of thresher i9n compact. Sieve of standard size are use for separation
terms of threshing and cleaning efficiencies. Efforts are taken to
purpose. The machines are made small and compact and
feeding is done manually by hopper arrangement. Machines
find out the various parameters which affect the threshing and
are designed to operate on 5 to 10 H.P. electric motor or diesel
cleaning efficiencies. The stresses acting on the main components
engine.
of the machine are analyzed by standard analytical method and
analysis software. Modificatrio9n are suggested for optimization Single flywheel thresher machine is one of the small capacity
in shape and weight of components of machine according to threshers which is operated by 5 h.p. electric motor or diesel
Indian standards. engine. It is used to thresh out various crops like Jawar,
Wheat, Maize, Chana, Tur, Sunflower etc. by simply changing
This aim is achieved through analytical work and its finding. The the concave and screen. It is normally consist of feeding
work findings provide various suggestion and modification in
chute, spike tooth cylinder, casing, concave, oscillating
single flywheel thresher machine.
screen, and blower for winnowing. All these parts are
Keywords:-Redesign, Standardization, CAD/CAM/CAE, mounted on heavy duty metallic chassis built with M.S.
Experimentation. channel and angles. The threshing begins with a cylinder and
concave. The cylinder has serrated bars, and rotates at high
I. INTRODUCTION speed so that the bars beat against the grain. The concave is
curved to match the curve of the cylinder, and serves to hold
Threshing is the process of detachment of individual grains or the grain as it is beaten. The beating releases the grain from
seeds from supporting part of the plant, by manual labour, the straw and chaff.
trampling by animal feet or under the tractor wheels or by
power. The grain, either coming through the concave or the walkers,
Traditional method used for threshing: meets a set of sieves mounted on an assembly called a shoe,
 Beating the crop with stick and winnowing. which is shaken mechanically. The top sieve has larger
openings, and serves to remove large pieces of chaff from the
 Trampling by animals feet and winnowing.
grain. The lower sieve separates clean grain, which falls
 Trampling by tractor wheels and winnowing.
through, from incompletely threshed pieces. The incompletely
All these practices are found uneconomical and time threshed grain is returned to the cylinder by means of a system
consuming. Under these circumstances, there is a need of of conveyors, where the process repeats. Single Flywheel
202
threshers are used for small scale farmers, because the output
of thresher is within the 100 to 200 kg per hour and it is
operated by 5 h.p. electric motor.
According to the Crop Thresh Out Rice / Paddy Thresher:-

Paddy threshers consist of mainly a well balanced cylinder
with a series of wire loops fixed on wooden slates. It has got
gear drive mechanism to transmit power.
Maize Thresher
Paddy Thresher.
Multicrop Thresher
Groundnut Thresher
C. Multicrop Thresher: It is used to thresh out various crops
A. Groundnut Thresher: High capacity spike tooth type axial like Jawar, Wheat, Maize, Chana, Tur, Sunflower etc. by
flow groundnut thresher is used for the decoding simply changing the concave and screen. It is normally
groundnut from the stalk. The thresher consisted of consist of feeding chute, spike tooth cylinder, casing,
threshing cylinder concave, cleaning system, a blower concave, oscillating screen, and blower for winnowing.
and a feeding platform. Modifications included change of All these parts are mounted on heavy duty metallic
concave from perforated GI sheet to MS bar type to chassis built with M.S. channel and angles. The threshing
reduce thrower loss, increase in the opening size/ area of begins with a cylinder and concave. The cylinder has
cleaning sieve for free flow of pods and provision to serrated bars, and rotates at high speed so that the bars
check sieve overflow and bifurcation of air flow to both beat against the grain. The concave is curved to match the
sieves for better cleaning. curve of the cylinder, and serves to hold the grain as it is
beaten. The beating releases the grain from the straw and
B. Whole Crop Maize Thresher: The thresher was designed chaff.
with spike tooth cylinder with bolts or flats fitted in 6
rows on cylinder. Concave was provided with 8 mm II. WORKING PRINCIPLE
square bars at a spacing of 18 mm. Two speed
arrangements were provided (720 rpm and 540 rpm) for During operation, the crop material is slightly pushed into
the threshing cylinder. Two\blowers provided better the threshing cylinder through the feeding chute, which
cleaning of grain due to higher straw content. The sieves gets into the working clearance between the
of 12.5 mm and 4 mm were provided for the removal of circumference of the revolving drum having attached
trash. Field tests of the thresher gave an output of 3.5– 4 spikes, and the upper casing.
q/h and straw size was less than 50 mm.
203
Moisture Content of Grain And Straw:- The sample of grain

and straw were taken as above and tested for moisture content.
The amount of moisture content in a product is designated on
the basis of weight of water and is usually expressed in %.
There are two methods of designating the moisture content:
A. Wet basis (w.b.) : The moisture content on w.b. is

obtained by dividing the weight of the water present in
the material by the total weight of the material
% moisture content (w.b.) = (Ww x 100) / Ww + Wd
Ww = weight of water; Wd = weight of dry matter
Line Diagram of a Thresher with Crop Flow

B. Dry basis (d.b.): The moisture content on d.b. is obtained
by dividing the weight of the water present in the material
The speed of the spikes is greater than the plant mass due to by the weight of the dry material.
which they strike the latter which result in part of the grain % moisture content (d.b.) = ( Ww x 100) /Wd
been separated by the straw. Simultaneously the drum pulls TABLE 4. 2: MOISTURE CONTENT OF GRAIN AND STRAW
the material through the gap between the spikes and the upper
casing with varying speed. Moi
As a result, the material is struck several times by the spikes stur Moi
causing threshing of the major portion of the grain and e stur
breaking stalks into pieces, and also accelerating them through Wei Weig Weig Wei cont e
Sa
the inlet of the lower concave. ght ht of ht of ght Weig ent cont
m
As the material layer shifts the converging gap of lower ple of plate plate of ht of (w. ent
concave, mutual rubbing of the ear stalks, as well as rubbing no plat + wet + dry wat dry b.) (d.b
of the ears against the edges of the concave bars causes . e grain grain er grain % .) %
breaking of the stalks The thicker stalk that cannot be sieved 20.4
through the concave again joins the fresh stalk and the same 1 70.42 67.42 3 47 6 6.38
2
process is repeated until it can pass through the concave
2 23 73 69.5 3.5 46.5 7 7.53
aperture.
Determination of Grain Straw Ratio:-Five samples of crop 3 21.5 71.5 68.5 3 47 6 6.38
each weighing about one kilo gram was taken. The grains 4 24 74 71 3 47 6 6.38
were separated from straw, by hand rubbing for each sample.
5 25.3 75.3 71.8 3.5 46.5 7 7.53
The weight of grain and straw was taken separately for each
sample and their ratio was calculated. Average of five samples Average 6.4 6.84
was taken as grain straw ratio.
Table 4.1: III. TEST AT NO-LOAD
The Thresher were installed on level preferably on hard

Weight of surface and clearance, screen slope etc. was set in accordance
grain
with manufacturers recommendations. The thresher was tested
Weight of obtained Weight of
Sample No. crop (gm) (gm) straw (gm) for no load test. The electric motor of 5 H.P. was fitted on the
foundation provided. The electric power was supplied to the
1 1000 280 720
starter. A voltmeter and ammeter were also fitted in circuit to
2 1000 220 780 measure voltage and current taken by motor, which helps in
3 1000 270 730 calculating the power consumed by thresher. The Thresher
was run at no load for at least 10min. at the specified
4 1000 255 745 revolution of the threshing unit and readings of ammeter and
5 1000 265 735 voltmeter were recorded. The power consumed at no load was
calculated.
Average 258 742
IV. TESTS AT LOADS
Grain Straw Ratio
The sufficient amount of wheat crop was taken. The
G.S.R. = Average weight of grain obtained (gm)
moisture content varies between six to seven percent (w.b.)
Average weight of straw (gm)
The Thresher was operated for one hour at specified speed for
= 258/742= 1: 2.87
threshing unit at maximum input capacity. The maximum
204
input capacity is the maximum feed rate at which no chocking  But in actual practice chocking of drum occurs at 640
of drum occurs. kg/hr.Actual Maximum input capacity of thresher =
During one hour run period following samples and data were 640kg/hr.
collected.  Therefore Rated optimal capacity = 75 % of
A. Three set of samples at an interval of 20 min.( including maximum input Capacity. = 640 x .75
the time of sample collection) at following outlets for Rated optimal capacity = 480 kg/ hr
duration indicated against each.  % of unthreshed grain =
Main grain outlet 60 seconds. [Weight of unthreshed grain at outlet (gm/s)]
Sieve overflows 60 seconds. [Total grain input (gm/s) ] x 100
Bhusa outlet 10 seconds. = (219/680) x 100
The time for collection of sample was recorded accurately % of unthreshed grain = 32.2 %
with the help of stop watch.  So, Threshing efficiency = 100 – 32.2
B. The speed of the main shaft was recorded by tachometer. Theff = 67.79 %
The readings of voltmeter and ammeter were also taken at
an interval about 20minutes.  1) Cleaning Efficiency:
 Cleaning efficiency = Weight of clean grain. =
Fee Cu Power Total grain input.
Sr d Pulley Speed of Volt rre consumptio = (435 / 680) x 100=63.9%
no rate diameter cylinder age nt n
at at
no load A
(
load ( OBSERVATIONS
inc (m rpm rpm volt mp
kg/h h m) s . Kw hp
) )
 From the calculation it is found that
1 480 7.5 190 750 719 428 4 2.37 3.18  Optimal feed rate of thresher = 480 kg/hr
2 480 10 254 560 528 428 3.7 2.19 2.93  Optimal speed of shaft,(Threshing unit) = 719 r.p.m.
3 480 12 305 460 433 426 3.6 2.11 2.82  Maximum threshing efficiency = 67.79 %
4 448 7.5 191 750 723 425 3.4 1.98 2.66  Maximum cleaning efficiency = 63.9 %
5 448 10 254 560 531 425 3.4 1.99 2.66  Output of thresher = 168 kg / hr (grains)
6 448 12 305 460 437 426 3.2 1.88 2.52  Power required or consumption = 2.372 kw.
7 416 7.5 191 750 727 425 3.4 1.99 2.66 It is observed that, threshing and cleaning
8 416 10 254 560 532 425 3.3 1.95 2.61 efficiencies are not meeting our expectations. For increasing
9 416 12 305 460 439 424 3.2 1.86 2.49 these two efficiencies we have to change some parameters i.e.
10 384 7.5 191 750 728 423 3.3 1.93 2.59 drum speed, feed rate, moisture content, sieve length,
11 384 10 254 560 537 424 3.3 1.93 2.58
oscillating frequency of sieve and air speed those are directly
related with grain losses and cleaning losses.
13 320 7.5 191 750 733 420 3.3 1.92 2.57
14 320 10 254 560 543 420 3.2 1.86 2.49 V. SHAFT DESIGN
15 320 12 305 460 447 420 3.2 1.83 2.45
A shaft is a rotating or stationary member, usually of circular
The above test was repeated for three times for same feed rate cross-section having such elements as gears, pulleys,
i.e. maximum input capacity. Similar procedure was followed flywheels, cranks, sprockets and other power transmission
to obtain the data for the other feed rates i.e. 75% of elements mounted on it Shigley. The shaft of this machine has
maximum input capacity, 60% maximum input capacity, 50% a threshing tool attached to it at two opposing sides and a
maximum input capacity. pulley mounted on it. It is supported on bearings. Shaft design
consists primarily of the determination of the correct shaft
Calculations:- diameter to ensure satisfactory strength and rigidity when the
1) Threshing Efficiency: shaft is transmitting power under various operating and
Crop selected: Wheat. loading conditions. The length of the shaft has been pre-
The Thresher was operated for one hour at specified speed determined at 1140mm.
(700-750rpm) for threshing unit at maximum input capacity.
 According to manufacturer specification Output/hr =
200-300(grains) kg/hr
 If we are considering the average i.e. Output/hr = 250
(grains) kg/hr
 Input (crop) should be 250 x 2.87
Input / hr = 717.5 = 718 kg/hr(crops)
205
According to formula 4.1

From above we see that resultant bending moment is
maximum at Main Fan.
Mbmax = 80681 N-mm = 80.68 N-m
Determination of Torsional Moment, Mt:-

Main Shaft With Components
MT = 9550 x (2.372 /719)
Assumptions:- MT = 31.5 N-m
Determination of Minimum Diameter of Shaft:-
A. The mass of the shaft is neglected.
B. Axial loading is neglected.
d3 = [16/(π x 40)] x [(1.75 x 80681)² + (1.25 x 31505)²] 1/2
C. Bearings and shaft are perfectly aligned and concentric.
= 18663
D. The flywheel is a perfect cylinder.
d = 3√ (18663) = 26.52 mm
d = 26.52 mm = 28mm.
The first step in designing the shaft is to use static equilibrium
to determine all forces and moments acting on the shaft. From
1) Bending Stress:
these forces, bending moment diagrams are constructed and
used to identify the maximum moment in the shaft. The
Distortion Energy Theory is then applied to determine the
When d = 50 mm (Actual diameter of Shaft).
smallest diameter at which failure will being to occur. Thus,
two constraints are imposed on the shaft; it cannot fail and Sb = [32 x 80681] / [π x (50)3]
should not have excessive deformations. Sb = 6.59 N/mm²
When d = 28 mm (Modified diameter of Shaft).
Sb = [32 x 80681] / [π x (28)3]= 37 N/mm²
Determination of Maximum Bending Moment
Calculation of Reactions RA and RB.
2) Torsional Shear Stress:
XT = Total length of Shaft = 1140mm.
Wp = Weight of the Pulley = 28 N.
Wfw = Weight of the Flywheel = 367 N.
When d = 50 mm (Actual diameter of Shaft).
Wfa = Weight of the Fan = 51.75 N.
Wd = Weight of the Threshing Drum = 183.64 N. ζxy = (16 x 31505) / (π x 503) = 1.28 N/mm²
Taking moment about RB: When d = 28 mm (Modified diameter of Shaft).
Sum of clockwise moments equal = sum of anticlockwise ζxy = (16 x 31505) / (π x 283) = 7.3 N/mm²
moments, i.e.
(Wp x 1090) + (Wfw x 895) + (Wfa x 660) + (Wd x 245) = 3) Torsional Rigidity:
(RA x 987.5)
RA = (28 x 1090) + (367 x 895) + (51.5 x 660) + (183.64 x
When d = 50 mm (Actual diameter of Shaft)
245)/987.5
= 50.33 x 104 /987.5 θ = (584 MT L)/(Gd4),
RA = 509.7 N. = (584 x 31505 x 1140) / (80 x103 x 504)
But sum of upward forces = sum of downward forces: θ = 0.11º
RA + RB = Wp + Wfw + Wfa + Wd
RB = Wp + Wfw + Wfa + Wd – RC= 88 + 367 + 51.5 + When d = 28 mm (Modified diameter of Shaft)
183.64 – 509.7
RB = 180.44 N. θ = (584 MT L)/(Gd4),
We know that vertical bending moment at point A and B, = (584 x 31505 x 1140) / (80 x103 x 284) = 0.42º
B. M. at A MVA = 0; These Values are below permissible limits for Shaft
B. M. at B MVB = 0; Material M.S. So we can use 28mm diameter shaft instead of
B. M. at Pulley MVP = 52244 N-mm 50mm.
B. M. at Flywheel MVF = 47147 N-mm
B. M. at Main Fan MVM = 80681 N-mm
B. M. at Threshing Cylinder MVT = 44207 N-mm
206
VI FLYWHEEL DESIGN
A. Theoretical Analysis:
The kinetic energy stored in a rotating mass is given as

Ek = ½ x I x ω 2
I
Where x is the distance from rotational axis to the differential Total Deformation
mass dmx.
I is the mass moment of inertia
ω is the angular velocity.
Mass moment of inertia is obtained by the mass and

geometry of the flywheel
I = ½ mr2
Where m is the mass, r the radius of the flywheel
Specific energy Ek,m is obtained by dividing Ek by the Maximum Shear Stress

mass to give
Ek,m = ¼ x r x ω2 [ J/JKg]
If Ek, is multiplied by the mass density ρ of the flywheel CASE II: When D = 28 mm, Torque = 31.5 N – mm
the energy density is
Ek,v. = ¼ x r x ω2 [ J/JKg]
In this context, the design challenge is to maximize either

Ek,m or Ek,v, while satisfying the stress constraints.
B. Analysis with Ansys:
1) Main Shaft Analysis: Total Deformation
CASE I: When D = 50mm, Torque = 31.5 N – mm
Loading On Shaft Maximum Shear Stress
Torsional Moment
Equivalent Stress (Von- Mises)
207
CASE III: When D = 50 mm, Torque = 47.1 N – mm
Geometry of Flywheel Meshing

Total Deformation
Maximum Shear Stress
COMPARISONS Constrains Total Deformation
Comparison between Actual and Modified Shaft.

CASE I D = 50 CASE II D = 28
MM MM
TORQUE T = 47.1 N –m T = 47.1 N –m
TOTAL
DEFORMATION 2.8473 x 10-5 m .00024602 m
6
M.SHEAR STRESS 2.6607 x 10 Pa 3.4326 x 107 Pa
EQUIVALENT
STRESS 4.6086 x 106 Pa 6.4141 x 107 Pa Maximum Shear Stress Equivalent Stress
C. Flywheel Analysis:
CASE II: WIDTH = 88 mm, DIAMETER = 510 mm
Material of flywheel = Cast Iron.
Diameter = 510mm
Width = 75mm.
Experimentally it is found that, the maximum input capacity

of thresher is 480kg/hr. for increasing the capacity of thresher
we have to increase the kinetic energy of flywheel,
K.E. of Flywheel = ½ x( I x ω2)
Geometry of Flywheel Total Deformation
K.E. of Flywheel = ½ x( m x k2 xω2)
Where m = mass of flywheel.
K = radius of gyration.
ω = Angular velocity. = 37.67 rad/sec.
So it is observed that increasing the mass of flywheel
will increase the K.E. of flywheel, subsequently the maximum
input capacity of flywheel.
Therefore modified width = 88mm (Data book agriculture
engg)
CASE I: WIDTH = 75 mm, DIAMETER = 510 mm
Maximum Shear Stress Stress Equivalent
208
COMPARISONS:- [5] S K Tandon. „Studies on Effect of Moisture Content and Cylinder Speed
of Threshing of Arhar‟ Proceedings of the Twenty-third Annual
Comparison between Actual and Modified Convention of ISAE, JNKVV, Jabalpur, (1987), pp 67-76.
Flywheel [6] Anonymous. ‘Final Report of Project on Design and Development of a
CASE I Width= CASE II High Capacity Pigeonpea Thresher‟. Agricultural Mechanization
75mm Width= 88 mm Division, CIAE, Bhopal,( 2005)
[7] Annual Convention of ISAE, Dr PDKV, Akola, (1988) H G Kamble and
J S Panwar. „Threshing Parameters of Pigeonpea (Cajanus Cajan L)‟.
ANGULAR VELOCITY. 37.67 rad/s 37.67 rad/s Paper presented in the Twenty-forth Annual Convention of ISAE, Dr
PDKV, Akola, (1988) H G Kamble and J S Panwar. ‘Threshing
TOTAL DEFORMATION 6.1694 x 10-5 m 1.0839 x 10-6 m Parameters of Pigeonpea (Cajanus Cajan
[8] Adarsh Kumara, Dinesh Mohanb, Rajesh Patelb, Mathew Varghesec
MAXIMUM SHEAR
9.7313 x 105 Pa 6.0512 x 106 Pa ‘Development of grain threshers based on ergonomic design criteria’
STRESS Division of Agricultural Engineering, Indian Agricultural Research
EQUIVALENT STRESS 4.8995 x 106 Pa 3.2208 x 106Pa Institute, New Delhi. Transportation Research & Injury Prevention
Programme, Indian Institute of Technology, Delhi. Applied Ergonomics
33 (2009)
VII. CONCLUSION [9] Pranab Kumar NAG and Anjali NAG „Drudgery, Accidents and Injuries
in Indian Agriculture‟ Review Article presented in National Institute of
Occupational health,
A. Based on the data collected it is found that the threshing [10] Indian Council of Medical Research, Industrial Health (2009)
efficiency and cleaning efficiency were not within the [11] Neeraj and B Singh. ‘Performance Evaluation of Pigeonpea Threshing
limits of relevant Indian standards. Mechanism.’ Journal of Agricultural Engineering, vol 25, no 4, (1987),
pp 9-17.
B. The moisture content, feed rate and threshing drum speed [12] D. Chimchana, V. M. Salokhe and P. Soni. “Development of an
affected the output capacity, threshing efficiency, and Unequal Speed Co-axial Split-Rotor Thresher for Rice”. Agricultural
grain damage and grain losses during threshing. Engineering International: the CIGR Ejournal. Manuscript PM 08 017.
C. Cleaning efficiency decreased with increasing sieve Vol. X. (October, 2008).
[13] Rani M, N. K. Banal, B. S. Dahiya and R. K. Kashyap.Optimization of
oscillation frequency, increasing the feed rate, increasing machine-crop parameters to thresh seed crop of chickpea. International
air speed. Agricultural Engineering Journal. 2001
D. The existing diameter of shaft is 50mm and suggested [14] Hollatz B and G. R. Quick. Combine tailings returns, “The effects of
diameter of shaft is 28 mm analyzed for the same loading combine performance and settings on tailings.” In e- Proceedings of the
International Conference on Crop Harvesting and Processing. Kentucky
condition. It is found that the stresses induced in 28 mm USA. ASAE Publication Number 701P1103.
shaft are below the permissible limits. Hence it is
concluded that shaft diameter should be reduced to 28mm
will save the excess material and reduce the cost.
E. By increasing the width of flywheel the deformation of
rim of flywheel will minimized significantly. Mass of
flywheel increases which increase the kinetic energy of
flywheel will results in increases maximum input capacity
of thresher
F. Increasing the chute covers length and chute length so the
injuries or accident occurrence will reduce.
ACKNOWLEDGMENT
Do not have words to express my sincere thanks to Dr.
S.P. Untawale. HOD, Mech. Engg and Prof S.L. Bankar
YCCE, Nagpur, for their constant support and
encouragement throughout the research work.
REFERENCES
[1] Dr. K. L. Majumdar ‘Instrumentation and Testing of Power Threshers
Manual on Testing and Evaluation of Agricultural Machinery‟.
Technology Transfer Division, CIAE, Bhopal (1997)
[2] J. Simonyan and Y. D. Yiljep “Investigating Grain Separation and
Cleaning Efficiency Distribution of a Conventional Stationary Rasp- bar
Sorghum Thresher” Agricultural Engineering International: the CIGR
Ejournal Manuscript PM 07 028. Vol. X. August (2008)
[3] J. Simonyan and Y. D. Yiljep “Investigating Grain Separation and
Cleaning Efficiency Distribution of a Conventional Stationary Rasp- bar
Sorghum Thresher” Agricultural Engineering International: the CIGR E
journal Manuscript PM 07 028. Vol. X. August (2008)
[4] A. Vejasit and V. Salokhe. “Studies on Machine-Crop Parameters of an
Axial Flow Thresher for Threshing Soybean”. Agriculture Engineering
International: the GIGR Journal of Scientific Research and
Development. Manuscript PM 04 004. (July, 2004)
209
Electro-Magnetic Motion Control System in

CCPM Based Helicopter
Parwinder Singh1, Manjot Singh2, C.S.Kalra3 & U.S.Chawla4
1
B.Tech M.E Student, 2Asstt. Prof, SUSCET, Tangori
ABSTRACT smuggling prevention and crime precautions also heavily depend

This paper presents an overview of the fundamental concepts on helicopters. A helicopter is an aircraft that is lifted and
underlying the development of electro-magnetic motion propelled by one or more horizontal rotors, each rotor consisting
control systems in CCPM based helicopter. The primary and of two or more rotor blades.
secondary DC motors are connected to a joystick to control PRINCIPLE OF VERTICAL LIFT & DRAG
the motion. The supply wire connects all the servos and prime The basic principle of flying a helicopter is Newton’s Third Law
mover to the joystick controller is connected to a 24V battery of Motion which states that for every action it has equalled and
pack for power supply. From this experimental research, we opposite reaction. In case of helicopters, there are two rotors
conclude that CCPM technique can be easily used in having number of blades mounted on them.
helicopters using various controlling devices such as The rotor provides the thrust for flight or lift is called main rotor
controlling servos, electro-magnets and mechanical linkage. which provides the cyclic and collective pitch control. It is
This will make the helicopter more efficient in quick utilised for the linear motions at different angles to the
movements especially for military operations such as air-to- longitudinal axis and for inverted flight. The lift produced by the
air combat, reconnaissance missions and for emergency main rotor is directly proportional to the angle of attack or pitch
evacuation. of the blades on the rotor as shown in Fig. 1.1. fuselage of the
1. INTRODUCTION helicopter in a direction opposite to the direction of rotation of the
Helicopters have been widely used in above-ground traffic main rotor [2] as shown in Fig. 1.2.
systems, especially in emergent transportation such as medical
treatment rescue, and life-saving goods transport [1]. In addition,
missions like ground detection, traffic condition assessment,
Fig. 1.1: Lift Produced by Main Rotor

Fig. 1.2: Effect of Drag on Helicopter
When the main rotor is rotated at a particular speed or rpm and at
To compensate this drag effect on the fuselage or to make the
particular angle of attack of blades (pitch) in anti-clockwise
helicopter stationary in the air at a particular height, another rotor
direction, drag or opposite force is produced, then Newton’s third
becomes necessary which is mounted on the tail of the helicopter
law of motion again comes into play which starts rotating the
and is called tail rotor [2]. This tail rotor produces equal and
210
opposite force which counters the drag produced by the main The power sources used in helicopters are gas turbines, multi-
rotor as shown in Fig. 1.3. cylinder engines, rotary engines. This power source acts as the
prime mover for both main rotor and the tail rotor [5]. From these
power sources, the power is generally transmitted to the main
Fig. 1.3: rotor and the tail rotor through epicycle gear trains and bevel
Counter gears. The power transmission flow chart is shown in Fig. 1.5.
Effect of
Tail Rotor
on Drag
PRINCIPLE
OF CCPM
In general
helicopters have a simple mechanism coupled with the main rotor
concentrically which controls the main rotor. This mechanism
causes difficulty in quick movements like turning through small
radius of loop and it makes inverted flight impossible [3].
CCPM is a mechanism in which generally the cyclic pitch of the
rotor blades can be controlled through any angle sector say, 90˚ of
the circle of 360˚ of rotating blades. The back side or tail rotor
side at any particular angle of attack to produce particular linear Fig. 1.5: Power Transmission
speed of helicopter in opposite direction to that angle sector. This Flow Chart
is done when the angle of swash plate is changed in the direction Table 1.1: Nomenclature of Power Transmission Flow Chart
in which the helicopter is to be moved and when the swash plate
1 Prime Mover
is in horizontal plane and slides up and down, it changes the
collective pitch of the rotor blades. It means that the angle of all
2 Pinion
blades remains same throughout the 360˚ rotation of blade circle.
This main advantage of CCPM makes it best suitable for use in 3 Spur Gear
helicopters to make them more versatile and flexible especially in
quick movements and inverted flight [4]. Fig. 1.4 shows the front 4 Main Rotor Shaft
view of CCPM with fly bar and rotor head.
5 Bevel Gear
6 CCPM
7 Main Rotor Head
8 Pinion
9 Tail Rotor Shaft
10 Tail Rotor
Fig. 1.4: Front View of CCPM

2. EXPERIMENTAL PROCEDURE
PRINCIPLE OF POWER TRANSMISSION
211
The frame of the helicopter is made of two base plates made of

mica, which are supported together parallel with four stud bolts at
the corners. A distance of 40 mm is maintained between the two
base plates.
Fig. 1.7: CCPM Assembly
JOYSTICK CONTROLLER
All the primary and secondary DC controls are connected to a
joystick via a supply cable having a number of supply wires
Fig.1.6: Frame which connects all the servos and prime mover to the joystick
Table 1.2: Parts Details Used in Frame Work controller. This is further connected to a 24V, 4.5Ah battery pack
for the power supply. The joystick controller contains four
S.NO. Part Material Dimension Quantity
Name (mm) controlling switches which distribute the supply to the DC servos,
CCPM to control all of its movements and there is one main
1. Base Plate Mica 50 X 100 X 2
switch which increases the power supply to the prime mover in
3
four steps. Joystick Controller with 24V battery packs as shown in
2. Stud Bolt Mild Steel D=3, L=50 4 Fig. 1.8.
3. Hex Head Mild Steel D=3, L=10 7

Bolt
4. Tail Pipe Aluminium D=10, 1

L=425
5. Bearings Steel Di=4, Do=8 3
CCPM ASSEMBLY
It is the main control unit for an advanced flying helicopter. It Fig. 1.8: Joystick Controller with 24V Battery Pack
gives two types of controls to the main rotor and also a secondary
control to the tail rotor. In CCPM, the main assembly is made of
several parts namely – cylindrical slider, swash plate, universal
joint assembly (spherical pair), four bar link with spherical pair
end, two mechanical links and fly bar having spherical pair at
centre with slider [6]. Fig. 1.7 shows the CCPM assembly.
Fig. 1.9: Fully Assembled Working Model
212
3. RESULTS
The venue of the experiment was Shaheed Udham Singh College
of Engg. & Tech, Tangori campus and the helicopter was tested
by flying. The test flight was successful and all the controls of the
CCPM were reported to be working perfectly.
Fig.1.10: Venue of the Experiment

Fig. 1.11: Various Stages during Flight
VERTICAL LIFT
MOVEMENT AND CONTROL
The angular velocity of both the rotors is increased to the top
To explain this, CCPM is controlled by four servos which are
speed by a throttling switch on the joystick which keeps the speed
directly connected to four switches via the supply cable. Each
constant. At this speed, the pitch of the blades is zero and as the
controlling servo is connected to each of the four switches on the
pitch is increased, the lift increases proportionally to the collective
joystick controller. The first switch, Switch 1 controls the
pitch of both the rotors. In this way, lift is generated to attain a
collective pitch of both the rotors by increasing or decreasing
particular height. When the required height is attained, the
collective pitch to attain the required height. Switch 2 is
helicopter is balanced by a fly bar mechanism, which is attached
connected to the servo which is connected in between the tail
to the CCPM. The fly bar acts as balancing bar to compensate the
rotor main link rod to control the turning of the helicopter in any
effect of small disturbances such as tilting due to tension in
direction. This servo acts as secondary servo to control the
supply cable and effect of blowing wind on the helicopter.
collective pitch of the tail rotor to turn it in the particular
direction. Switch 3 and Switch 4 are mounted on joystick board
The working model produced appropriate vertical lift to
on which the joystick is mounted. The joystick can be moved in
give it a height of about 12 feet. Fig. 1.11 shows various stages
any direction over Switch 3 and Switch 4. Fig 1.12 shows the
during flight.
helicopter being controlled by the operator using the joystick
controller.
213
REFERENCES
1. Kenneth S.Brentner and F. Farassat, “Modeling

Aerodynamically Generated Sound of Helicopter
Rotors”, Journal of Progress in Aerospace Sciences,
2003.
2. A.T.Conlisk, “Modern Helicopter rotor Aerodynamics”,
Journal of Progress in Aerospace Sciences, 2001.
3. Donald Kunz and Mark Newkirk, “A Generalized
Dynamic Balancing Procedure for the AH-64 Tail
Rotor”, Journal of Sound and Vibration, 2009.
Fig. 1.12: Helicopter Being Controlled 4. Lorenzo Marconi and Roberto Naldi, “Aggressive
When the joystick is moved in forward or backward direction, it Control of Helicopters in Presence of Parametric and
activates Switch 3 which gives a signal to servo 3 to tilt the swash Dynamical Uncertainties”, Journal of Mechatronics,
plate in the respective direction to change the cyclic pitch. This 2008.
tilts the helicopter in direction of the movement of joystick and 5. Fritz Lehmann, “Aerial Locomotion in Files and
makes it move in the same direction. Robots: Kinematics Control and Aerodynamics of
Similarly, when the joystick is moved sideways, it activates Oscillating Wings”, Journal of Arthropod Structure &
Switch 4 which gives a signal to servo 4 to tilt the swash plate in development, 2004.
the respective direction to change the cyclic pitch. This tilts the 6. Kemao Peng, Ben Chen and Tong Lee, “Design and
helicopter in the direction of movement of joystick and makes it Implementation of an Autonomous Flight Control Law
move in the required direction. for a UAV Helicopter”, Journal of Automatica, 2009.
In this way, by combining the above two controls, the helicopter
can be made to move in any direction.
4. CONCLUSION
From this whole experimental results, we conclude that CCPM
technique can be easily used or equipped in helicopters using
various controlling devices such as controlling servos, electro-
magnetic and mechanical linkage to make the helicopter more
efficient in quick movements especially for military operations
such as air-to-air combat, reconnaissance missions and for
emergency evacuation.
 It is easily used in helicopters for the purpose of quick
inverting required for inverted flight.
 The main rotor shaft of CCPM equipped helicopters is
hollow which provides improved strength for power
transmission at high RPM and torque.
 The hollow shaft in case of CCPM equipped helicopters
is best suited for the mounting of RADAR system and
other detection systems on top of the rotor head.
214
Finite Element Analysis of Heat Sink of a Tail

Lamp using Radioss Linear
Gian Bhushan1, Pankaj Chandna2, Sumit Babbar3
1,2
Associate Professor, 3Research Scholar, Mechanical Engineering Dept., NIT, Kurukshetra, 136 119
Abstract: Performance of tail lamps relies heavily on temperatures and fluid flow velocities inside an automotive
successful thermal management, which strongly affects the headlight with venting apertures. Piyapong Premvaranon et
optical extraction and the reliability of the lamp. Advances al. [3] proposed an application of CAE technology in
taking place in automotive lamp have increased the need for a automotive lighting design. Joseph Bielecki et al. [4]
predictive tool for simulating the lamp temperature rise
described two methods of determining the junction
under operating conditions. A thermal analysis of a 56 W tail
lamp has been done. This paper depicts the validation of the temperature of automotive lamp; direct and indirect. Both
design of a tail Lamp using Finite Element Analysis. The are based on temperature measurements, but the indirect
analysis has been carried out with actual design method also requires a thermal resistance specified by the
considerations and loading conditions. A coupled thermal and manufacturer. X. Luo et al. [5] carried out thermal analysis
structural heat conduction linear static analysis has been of an 80 W street lamp. The results demonstrated that the
carried out for a given flux to determine the maximum temperature of the frame and the heat sink of the 80 W
deflection, temperature, stress distribution and its location in street lamp remained stable at about 42° C after several
the tail lamp. It has been observed that grid temperature, hours of lighting at a room temperature of 11° C. K.F.
temp gradient, thermal stresses and displacements have been
Kwok et al. [6] studied the high power Light Emitted diode
found within safe limits and structure could withstand the
given load. (LED) and the heat distribution of the heat sink. The main
objective of this work is to perform the Computer Aided
I. INTRODUCTION Analysis of the tail lamp and compare it with experimental
results, for the purpose of validation. A distinctive feature
The introduction of plastic materials in automotive lamp of the present work is that it involves a coupled thermal
design, which have low melting temperatures relative to and structural heat conduction linear static analysis.
glass, and the requirement of a more aerodynamic shape to
the lamp body have increased the need for accurately II. PROBLEM DEFINITION
predicting lamp operating temperatures. The demand for
more compact designs, employing lightweight materials, For Finite Element Analysis, it is required that a
has made the task of achieving thermal performance in component on which analysis is to be done should have
headlights more and more difficult to fulfill. The capability practical application and result of experimental analysis
to perform numerical thermal analysis of lamps early in the could be compared with FE analysis results for validation.
design process helps to reduce the cost associated with The component chosen for this purpose is a Tail Lamp of a
building expensive prototypes. Predicting lamp bike which finds widespread applications in all vehicles.
temperatures requires a sophisticated tool with the The main objective in Tail Lamp is to restrict the
capability to perform a coupled thermal and structural heat temperature of a device within its permissible range under
conduction linear static analysis. The Radioss Linear was worst operating conditions. The temperature can be kept
chosen for the lamp thermal analysis because of its coupled within the permissible range by mounting the device on a
thermal and structural capabilities. This analysis tool is heat sink which conducts the heat away from the junction
currently being used to provide designers and engineers of the device thereby keeping the temperature to a safe
with vital thermal performance information early in the limit. As a tail lamp is subjected to heat generated by the
design process so that potential heating problems may be bulb which leads to thermal stresses in components of tail
resolved prior to hardware production. lamp, so a coupled thermal and structural heat conduction
William I. Moore et al. [1] developed a code which has the linear static analysis of the heat sink has been carried out.
capability to perform coupled specular radiation and fluid A typical tail lamp consists of a lens adhesively bonded to
flow analysis using a ray tracing method. The code has a reflector, heat sink, body, and one or more bulbs. The
been applied to automotive lamp thermal analysis to body, lens and reflector are generally made of plastic or
accurately predict lamp surface temperatures resulting from composite materials. Heat sink is made of highly
radiation and natural convection heating. J.M.M. Sousa et conductive material i.e. aluminium to restrict the
al. [2] presented detailed measurements of wall temperature of a device within its permissible range under
215
worst operating conditions thereby prolonging the life and RBE2 elements are used to simulate the bolt connection for
usefulness of the lamps. When the power is supplied, bulb heat sink and reflector at four places. RBE2 element
generates light and also heat. The heat is dissipated into the distributes the force and moment equally among all the
environment through the aluminium base. Good optical and connected nodes irrespective of position of force or
thermal performances are the key design elements of a tail moment application.
lamp. The optical design of the tail lamp is to achieve good
light quality and make the lamp bright and comfortable for D. Material Properties:
passengers. However, the optical characteristics of the Material properties are assigned to all 3D element groups.
present lamp will not be discussed in this paper, as its As there are four components of Tail lamp, each having
thermal performance and analysis is the main concern. different material so four material collectors has been
created i.e. ABS, Aluminium, Nylon-6 & Acrylic. While
A. CAD Model: creating the material collector specify the card image as
CAD modeling of the complete Tail Lamp is generated MAT1 & MAT4 and specify properties corresponding to
using CATIA software. Solid models of all parts of the each material as shown in table. MAT1 card is used to
structure are the assembled to make a complete structure. define the isotropic structural material. MAT4 card is for
CAD model of our problem consists of four parts, which the constant thermal material. MAT4 uses the same
are assembled together in assembly design to make a material ID as MAT1.
complete Tail Lamp model.
B. Geometry Preparation:
After the CAD data has been imported, an
Edit/Surface/Edge Match is performed on the geometry in
order to prepare the surfaces for meshing. This involves the
task of removal of features, changing the shape of a part in
order to simplify the geometry. Certain details of the shape,
such as small holes or blends, may simply not be necessary Table 2.1 Material specification
for the analysis being removed. When these details are
removed, the analysis can run more efficiently. Changing E. Loads and Boundary conditions:
the geometry to match the desired shape can also allow a Boundary condition is the collection of boundary
mesh to be created more quickly. conditions i.e. different forces, pressure, velocity, supports,
constraints and any other condition required for complete
C. Meshing: analysis. Applying boundary condition is one of the most
Meshing is done to reduce the degree of freedom from typical processes of analysis. A special care is required
infinite to finite. The geometric surfaces of all the while assigning loads and constraints to the elements.
components of tail lamp are meshed using 2-D mixed Boundary condition of the tail lamp involves the structural
elements. Mixed mode is commonly preferred due to better constraint on the RBE2 element to fix the Heat sink on the
mesh transition pattern. Based upon the analysis and ground. All the six degree of freedom is constrained. The
hardware configuration, an element edge length of 2 mm is thermal boundary conditions have been applied at the
used. For better representation of hole geometry and interface of reflector and heat sink.
smooth mesh flow lines, holes are modeled with even no. Loading conditions involves applying a heat flux on the
of elements. After all surfaces have been meshed, next step surface of the heat sink. Hence the surface elements
involves equivalencing all nodes. The surface mesh defines CHBDYE for defining heat transfer boundaries must be
the lamp surface boundaries which were used to create the created. The uniform heat flux into CHBDYE elements has
3D tetra volume mesh. been defined with QBDY1 entries. A load of 56W has been
Hypermesh has tools for determining the causes of mesh applied on CHBDY element which distributes load equally
failure such as self intersections, free edges, problems with on all the nodes of elements. A RADIOSS steady state heat
element normal’s, or duplicate elements. The 3-D tetra conduction loadstep is created which refers the thermal
mesher, available with Hypermesh, is used to create the boundary conditions and heat flux in the load collector.
solid tetra mesh. Quad elements are splitted to trias and
converted to four-noded tetras. The overall analysis III. ANALYSIS
approach is to create a refined 3D tetra mesh from the
imported CAD geometry for the lamp. After completing The model created in the earlier steps is now taken up for
meshing part of the model, than quality check is performed solution - the computer program reads the data, generate
to check the quality of elements because result quality is FE model, calculates matrix entries, solves the matrix
directly proportional to element quality. Different quality equation and writes the data out for interpretation. The
parameters like skew, aspect ratio, collapse, included finite element thermal model was
angles, jacobian, stretch etc. are the measures of how far a developed to predict the temperature distribution and
given element deviates from ideal shape. thermal deformation at reflector and lens instead of those
216
costly and time-consuming experimental trials and errors.

This task is CPU intensive, and is often called processing.
Most of the time very little interaction from the user is
required. The analysis of tail lamp produces different type
of data files having different type of information
After the program has evaluated the results, we have to
Figure 4.3 Element Flux in the heat sink
examine and interpret the results which in our case has
been done in Hyperview. Hyperview gives the information With the same thermal model, the deformation and thermal
and results such as: displacement contours in x, y and z stress in reflector and heat sink is also predicted by using
direction, resultant displacement contours, von misses the thermal distribution result as a thermal load for the
stress contours, temperature distribution contour, element structural analysis. The figure 4.4 shows displacement
temperature gradient, element flux. contours of the heat sink and reflector. The maximum
deformation observed is 0.012mm in the heat sink at the
IV. RESULTS AND DISCUSSIONS free end which is very less, indicates that there is no chance
The figure 4.1 shows temperature distribution in the heat of warpage of the Tail Lamp. The figure 4.5 shows
sink of the tail lamp. It is observed from the temperature Thermal stress contour of the heat sink and reflector. The
contours that temperature is decreasing towards fixed end maximum stress observed in the heat sink is 37 N/mm2
of the Heat sink. The maximum temperature observed is which is well below the yield stress.
22.7ºC at the centre of the heat sink. The figure 4.2 shows
element temperature gradient in the heat sink. The
maximum element temperature gradient observed is 1.5
ºC/mm at the location of the heat sink where thickness of
the heat sink changes. This location is critical for
observation of thermal stresses. The figure 4.3 shows
element flux in the heat sink. The maximum element flux
observed is 357.5 W/mm2.The element flux pattern is
similar to element temperature gradient pattern because
flux and temperature gradient have direct relationship. As
temperature gradient increase, flux also increases ([Q/A] α
[dT/dX]).
Figure 4.4 Displacement contours of the heat sink and reflector
Figure 4.1 Temperature contours in the heat sink
Figure 4.5 Thermal stress contours of the heat sink and reflector.
To validate the analysis, the results have been compared

with the available experimental and standard results. As the
experimental results were available [5] for the street light
Figure 4.2 Element Temperature Gradient contours
of 80W lamp, the same FE analysis has been carried out for
the load of 80 W. The maximum temperature observed in
this trial is 32ºC, which is well below the experimental and
FEA results of 42ºC for 80 W lamp. The thermal stress and
displacement comparison also validate the FE analysis of
217
the tail lamp. The results of the comparison have been

depicted in tabular form in table.
Table 4.1 Comparison of experimental and FEA results
V. CONCLUSIONS
The coupled thermal and structural analysis of a 56 W Tail
lamp has been presented. The finite element thermal model
for a Tail lamp has been built to predict the thermal
behavior due to conduction within the lamp. Radioss linear
has been used to measure the temperature, thermal stresses
at the aluminium base. With the same thermal model, the
thermal deformation of reflector was predicted by using the
thermal distribution result as a thermal load for structural
analysis. The set of loading condition gives the satisfactory
results experimentally as well as by computer aided
analysis. The FEA results have been compared with the
experimental results to ensure the feasibility of the model.
Results obtained after solving and post processing shows
that the model is safe for static loading conditions.
Maximum value of thermal stress, temperature and
displacement are well within safe limits.
Acknowledgments
The authors are grateful to Altair-Design Tech. for their technical
support.
REFERENCES
[1] William I.Moore, Eric S. Donovan & Christopher
R. Powers., “Thermal analysis of automotive lamps using the
ADINA-F coupled specular radiation and natural convection
model,” Computers and structures, Vol. 72, Issues 1-3, 1999, pp.
17-30.
[2] J.M.M. Sousa, J. Vogado, M. Costa, H. Bensler,
C. Freek & D. Heath., “An experimental investigation of fluid flow
and wall temperature distributions in an automotive headlight,”
International Journal of Heat and Fluid Flow, Vol. 26, No.5, 2005,
pp. 709-721.
[3] Piyapong Premvaranon, Sedthawatt Application in automotive
Lighting” The 19th Conference of Mechanical Engineering Network
of Thailand, 19-21 October 2005, Phuket, Thailand.
[4] Joseph Bielecki, Ahmad Sameh Jwania, Fadi El Khatib, Thomas
Poorman, “ Thermal Considerations for LED Components in an
automotive Lamp,” 23rd IEEE Semi-Therm symposium, 18-22
March, 2007.
[5] X. Luo, T. cheng, W. Xiong & Z. Gan, “ Thermal analysis of an 80
W street lamp” IET Optoelectron, Vol.1, No.5, 2007, pp. 191-196.
[6] K.F Kwok, B.P. Diwakar & K.W.E Cheng, “Design of an LED
thermal system for automotive systems,” 3rd International on
Power Electronics Systems and applications, 20-22 May, 2009.
218
The Various Required Features of Design Based

System For The Computer –Aided Process
Planning (CAPP)
R.D Gupta1, Satish Kumar2,Dinesh kumar3
1
Prof., 2, 3 Lecturer, Mechanical Engineering Deptt,
.M.M.E.C, M.M.U, Mullana. Ambala (133203)
Abstract:-This paper describes the development of an product. Plan storage and retrieval may be aided by using a
object-oriented feature-based design system for integrating group technology code.
CAD and CAPP, this system providing an intelligent A generative CAPP approach allows a plan to be automatically
interface between a CSG based geometric modeller and the developed from "scratch", a much more difficult task.
process planning functions. The geometric modeller used in According to Sack [3], two primary interfaces are required in
this project is the AME (Advanced Modeling Extension) of order to integrate a computer aided process planning system
the commonly-used AutoCAD. The concept of feature-object with CAD and CAM: (1) the ability to accept part definition
is proposed to express the semantics of integration. Input to data from CAD systems, and (2) the ability to pass process
the feature-based design system is the Object-Attribute- information directly to CAM systems. The successful creation
Value (O-A-V) triplets coding of a work piece. Based on the of this CAD/CAPP/CAM integration is thus dependent on the
AME geometric modeller which is in fact a CSG-based solid CAD interface, the CAPP capability, and the CAM interface.
modeller, the validity of the input geometric features will be Without integration, each individual system is an "island of
ensured. According to the knowledge provided in the rule- automation" and each is independent from the other. The first
based feature-mapping system, the design information will step in the integration process of CAD and CAPP, the topic for
be transformed into the appropriate process plan and this paper, is acceptance of part definition data from CAD
manufacturing instructions. system. Part definition data is the data that is required and
sufficient to describe a part used in process planning systems.
The part definition data and the input format required for a
Keyword: - Integrating CAD and CAPP.
CAPP system affects the ease with which a system can be used
as well as the capability of the system. The more part data input
INTRODUCTION the more powerful the system will be. There are two different
A goal of many research projects in Computer-Aided Design input approaches that have been used in CAPP systems:
(CAD) and Computer-Aided Manufacturing (CAM) is the (1) Part classification and coding approach: the part definition
integration of both concepts into a combined Computer data is classified and coded within a group technology logic
Integrated Manufacturing (CIM) system. Several integration scheme.
approaches have been proposed such as (2) Part description approach: specially designed part
 Through group technology description formats can provide detailed information for CAPP
 Combining design and manufacturing data bases systems. Although both approaches can provide partial or
 Automated process planning. complete information for CAPP systems, the method used to
Among these approaches, a Computer-Aided Process Planning generate the code and part description has primarily been done
system (CAPP) is one of the major elements needed in effecting manually. It requires an experienced planner to analyze the part
the integration of CAD with CAM.CAPP refers to the method of geometry and identify the part surfaces and features. This
preparing routings or process plans using computer assistance. manual process of part classification and coding and part
Two CAPP systems have evolved for this task, variant and description preparation is Often error prone, inconsistent and
generative. time consuming.
A variant system retrieves a plan (if available) for a product Since a part can be effectively modeled in a
with similar characteristics to the one being planned, and the CAD system, using a CAD model as a direct input to a CAPP
analyst interactively modifies the existing plan for the new system would eliminate the human effort of translating part
definition data into code or other descriptive form. A CAD
219
model can contain all the detailed information about a part and Choi [9] also outlined the use of syntactic pattern recognition in
thus may provide information for all process planning functions. identifying machine surfaces for process planning in machining
Unfortunately, the language of CAD is geometry based with centers’. Similarly, Staley [10] uses syntactic pattern recognition
geometric entities such as "line", "arc", "circle", and so on, to classify hole families from a 2D cross-sectional description
being used to represent a finished part. Downstream, in CAPP, extracted from a 3D solid geometric data base. Continuing with
features such as "face", "taper", "groove", "chamfer", "arc", the syntactic pattern recognition technique, Srinivasan [11]
"hole", and so on, are the common language terms. Computers addressed a more advanced approach where the part is
are not sufficiently intelligent to recognize the CAPP language represented as a syntactic pattern made up of geometric
from the CAD language. One of the major challenges of primitives. Based on the geometrics primitives the feature
CAD/CAPP integration is the translation of the CAD language grammar for certain part familities can be constructed. The
to a CAPP language. This requires a part feature recognition parser algorithm is then used to classify the part family. For
system. further work in the use of pattern recognition approach, Kakazu
[12] proposed an approach that can generate group technology
PART FEATURE RECOGNITION SYSTEMS codes for axial geometry parts (rotational) from a CSG model.
The generated GT code is made up of three kinds of code
The part feature recognition system provides the capabilities systems; unique geometry code, macro geometry code and
for translating the part definition data between CAD and the semantic code. Liu [13] also used syntactic pattern techniques to
feature needed to drive, for example, a process planning system. represent the composite component.
Applied to process planning, a part feature recognition system
would distinguish features of a part based on the geometric and Table 1. Summary of some part feature recognition
topological information stored in the CAD data base. Once systems
feature and associated manufacturing information are identified, Part feature Recognizable Rcf.
Author
the information then can be passed to process planning system recognition system feature
to generate process plans. CAD/CAM compatible
Several recent research efforts have attempted to develop the Holes, slots,
Choi tool-oriented process [9]
part feature recognition systems that extract part features pockets
planning system
directly from CAD systems. These works are summarized in Extraction of feature
Holes, slots, [16]
Table 1. Woo [5], in his earlier work, developed an algorithm Henderson information
that works on the decomposition of 3D objects. The method is pockets
from 3D CAD data
dependent on the designer's sequences of volume operations. In Syntactic
Rotational [8]
more advanced research, Woo [6] developed a novel technique Jakubowski characterization Of
known as "Alternating Sum of Volumes" (ASV) expressions, for parts family
machine parts shapes
extracting feature from the boundary representation of 2D or 3D Pattern recognition
Rotational GT [12]
parts. The fundamental importance of the ASV procedure is that Kakazu approaches to GT code
it enables the conversion from boundary representation to a code
generation on CSG
Constructive Solid Geometry (CSG) like tree structure.
In contrast to Woo's research, Kyprianou [7] used a solid Kung [14] in his FREXPP system constructed a feature
modeller BREP (Boundary Representation) database to extract recognition procedure to extract the form feature of a part from
information concerning types of features present in a part. He a BREP file created by PADL-1. The procedure starts by
Devised a feature language which may describe all possible analyzing the BREP data, generating surfaces of form features
shape features and named the finite specification of such an and extracting cylindrical and non-cylindrical form features. Lee
infinite language as a feature grammar. The goal of this work is [15] proposed a novel approach to the problem of feature
to automatically classify shapes and generate the group extraction and unification in CSG based systems which are
technology part code. based on the concept of principal axes.
Kakino [19] was the first to develop a part description method In contrast to all these works, Henderson [16] used expert
on the basis of the fundamental concept of converting the part system techniques to extract semantic knowledge useful to
drawing information into computer-oriented information for the manufacturing in the form of part features from 3D CAD data.
data structure. Based on Kakino's work, Jakubowski [8] used a The feature recognition system was implemented in PROLOG
syntactic pattern manner to describe 2D profile information on language.
2D machined parts. He applied extended context-free grammars Considering all these research efforts, most of them are limited
to describe machined parts families and gave a detailed to non-rotational parts with a few basic features such as holes,
explanation of techniques for parser construction. slots and pockets. Four efforts pertain to the recognition of
220
rotational parts [8, 12, 7, and 11]. These four efforts are not
designed to produce detailed rotational part features, but to (3) Determine and analyze machining dimensions, tolerances,
classify parts into particular part families or generate a GT code. and stock removals for each surface cut in each operation.
Unfortunately, not any effort, except Kung's work, intends to
cover the manufacturing information extraction. In Kung's (4) Generate process plan output, including a routing sheet and
system, manufacturing information is not automatically dimensioned operation sketches for each operation.
extracted because of the limitation of PADL-1. The
manufacturing information is interactively input into the system Not every generative system includes these four primary process
through human interface. Concerning this, Kung suggests that a planning functions. In fact, most of the systems only consist of
part manufacturing information prompting system should be functions one and four.
built associated with a part feature recognition system. The
prompting system would display each recognized feature with Only in recent years have studies been initiated in the
special shading and prompts for the information of each feature integration of CAD and CAPP. There are three different
such as critical feature, surface attributes, dimension and interface approaches to CAD and CAPP integration that were
geometric tolerance information. studied in this project:
CAPP AND CAD/CAPP INTEGRATION 1. Embedding a CAD system into an automated process
planning system
Two different approaches have emerged in CAPP over the This approach does not interface CAPP with existing
years. One approach is known as variant process planning commercial CAD systems. The CAD system is only a
approach. This approach makes variations on plans that have subsystem of the automated process planning system. The
been retrieved from a standard process planning data base. command (or functions) used in the CAD system to create parts
Using this similar process plan as a starting point, the planner are high level commands and have meanings such as cylinder,
then makes necessary changes to accommodate the new plan. chamfer, hole, etc. The CAD data is stored in a unified data file
The other approach is known as generative process planning. A that is shared by CAD and process planning. This is an
generative process planning system does not store standard advantage of the approach. But it confines itself within the
process plans, but stores the logical decision rules, part specified part domain. An existing system based on this
definition data , algorithm and formulas to automatically create approach is GAPPS.
a process plan. In theory, the generative system is superior to the
variant system because a completely automated process 2. 3D CAD system interface
planning can only be done in the generative environment. The This approach interfaces CAPP with a 3D solid modeling
generative system of process planning is much more complex to system or 3D wireframe system and extracts the part definition
achieve, but it is the critical link to bridge the gap between CAD data. Because of the lack of a sophisticated 3D part feature
and CAM systems. recognition System, it is not easy to recognize part surfaces and
A generative process planning system may consist of four major features, nor to extract the manufacturing Information
functions [3]: (tolerance, surface finish, etc.) of each surface and feature.
FREXPP, STOPP and TIPPS are such existing systems.
(1) Generate a sequence of operations is the first function in However, only FREXPP is truly interfaced with a 3D CAD
generative process planning. The operations that will fabricate system (PADL-1). The other two design their own specific part
the finished part are identified in order. For each operation, the data structure as system input and assume that CAD data can be
following are determined: transformed into their formats through a preprocessor.
 Operation number. Unfortunately, they do not specify how.
 Operation description.
 Machine tool. 3. 2D CAD system interface
 Surface and features to be machined or otherwise Based on the literature review, no research has been found
processed. regarding this approach. The concept is similar to a 3D system
interface, but it has advantages over a 3D solid modeling system
The above process data are determined by executing a in the ease of representation of part geometric data and access to
manufacturing decision logic model against part definition data manufacturing information. Furthermore, a 2D representation is
for the part being planned. almost always a basis for the description and operation planning
of rotational parts.
(2) Select dimensioning reference surfaces and clamping
surfaces for each cut in each operation.
221
Approach number 1 is an ideal integration approach because no The preprocessor model is a part feature recognition system
communication interface system is required. Both CAD and which is able to extract part definition data from an IGES
CAPP share the same common data file and the data can be (Initial Graphics Exchange Specification) data file [22], and
manipulated by the user. But the approach is limited to a which is also able to store this part definition data in the format
particular application domain unless the embedding CAD has of the generic part definition data structure. By taking advantage
capability similar to those of commercial CAD systems. of the IGES standard file, only one preprocessor model is
Integration based on approaches 2 and 3 needs a part feature required to satisfy a variety of CAD systems, instead of the
recognition system and a common data file which can be shared potential N systems.
by CAD and CAPP systems. To automate the link between Data is transformed from CAD to an IGES file via the IGES
CAD and CAPP, part definition data must be in a form processors already developed by CAD vendors which are
recognizable to the application software without requiring embedded within the CAD schema. The CAD systems may not
interpretation by the user. Neither approaches 2 or 3 satisfy this have all the part definition data required by the CAPP systems.
requirement. Therefore, in order to provide sufficient information to the part
The current CAD/CAPP systems provide varying degrees of definition data structure, the preprocessor model should be
integration. A review of the previous literature reveals that the designed as a high level interactive system and may contain the
completeness of the part definition data and the capability of the following functions: (1) automatic retrieval of part definition
part feature recognition system are usually the key factors data from CAD systems, and (2) interactive evaluation of the
influencing the degrees of CAD/ CAPP integration. Although parts definition data and ability to allow the user to manually
researchers have demonstrated the feasibility of the CAD/CAPP enter the data that is not supported by function one. The
interface, there are apparently several unsolved problems with postprocessor model is an application program which converts
available interfacing systems: the part definition data stored in the generic part definition data
(1) Lack the consideration of the part definition data required by structure into the input formats required by different CAPP
CAPP systems. systems.
(2) Lack the ability of part feature recognition.
(3) Dependent on a particular pair of CAD and CAPP CAD
A Preprocessor Postprocessor
CAPP
A
hardware/software and do not permit transportability. Even a
Feature Part Data
change of only one element in the pair of systems would force a CAD
B IGES Recognition
Algorithm
Generic Part
Definition Data
Transformation Input
Description
CAPP
B
modification of the system interface. CAD CAPP

(4) No comprehensive study of the framework of CAD/CAPP N M
integration appears to have been conducted.

Since the existing CAD/CAPP systems have the above Fig. 1. A conceptual framework for the integration of CAD and
mentioned problems, there is obviously a potential need to CAPP systems.
develop a system which will demonstrate a way for a CAD and
CAPP integration, in order to lead the way for true CAD/CAM Generic part definition data structure
eventual integration. As mentioned earlier, the Generic Part Definition Data Structure
(GPDDS) is a neutral data Structure designed to serve as the
CONCEPTUAL FRAMEWORK FOR CAD/CAPP required link between CAD and CAPP and it should be
INTEGRATION Independent of any particular CAD and CAPP system. With the
aid of the GPDDS, the number of possible interface systems to
The purpose of the research effort [21] reported in this paper be evaluated can be reduced from "N*M" to "N+M" systems.
was to develop a conceptual framework for the integration of This is because there are N preprocessors required to get the
CAD and CAPP methodologies, limited to symmetrical CAD data to the neutral file and M Postprocessors to get the
rotational parts with turning operations. This framework was neutral file information to the CAPP systems. The GPDDS is
designed to overcome unsolved problems in existing simply a collection of part definition data which is grouped into
CAD/CAPP integrations. Figure 1 depicts this conceptual nine sections which, under the constraints of the records of the
framework which resides in N possible CAD systems and M research study, must appear in order as follows:
possible CAPP systems. It consists of three major modules: (1) a (1) General parts information
generic part definition data structure, (2) a preprocessor, and (3) (2) Turning features
a postprocessor. (3) Turning surfaces
The generic part definition data structure is a standard data file (4) Part geometry
designed to serve as a neutral representation of part data (5) Non-turning features (reserved for future records)
between a CAD and a CAPP system. It should be independent (6) Non-turning surfaces (reserved for future records)
of any particular CAD and CAPP combination. (7) Coordinate dimensions and tolerances
222
(8) Geometric tolerances and continues to the right. If no predefined feature is found then
(9) Raw material information the first character of the set is dropped and the next rightmost
Within the 9 sections of the GPDDS, each section has a unique character of the unevaluated pattern string is picked to form a
set of entities, and each entity has a unique representation code. new set of characters. If the predefined feature is found, a
The GPDDS is written on an 80 column record using the ASCII heuristic algorithm is initiated to search the parent surface (or
character set. A part definition may not require all 9 sections. tooling entrance surface) of the identified feature. The algorithm
For example, a simple part may not have turning features, non- will include more turning surfaces into the identified feature if
turning features and/or geometric tolerances data. This is the identified feature does not consist of only a simple
dependent on the complexity of the part. When giving predefined feature. The features search will stop when the
information about the turning surfaces and features of the rightmost character is evaluated. Raw material data of a part is
finished part and raw material a unique identification number is also determined in this module. It can be retrieved from a raw
automatically given. These numbers are determined by a material data base if there is one available. Otherwise, rules are
"clockwise" ordering of surfaces. The labeling numbers for applied to generate raw material data. Rules are dependent on
surfaces and features are independent. These unique numbers local users.
help to build the hierarchical relationship between features and 4. Interactive evaluation of results. A completely automated
surfaces. extraction of part definition data from CAD data bases may not
be possible. Therefore, the preprocessor should have functions
Preprocessor for evaluating the parts definition data and for manually entering
By taking advantage of the IGES standard file, only one data that is not automatically supported. The module should be a
preprocessor module is required to satisfy a variety of CAD user friendly interactive system. The part under evaluation is
systems and so the "N+M" possible configurations are now displayed on the middle of the screen. With the aid of the part so
reduced to "I+M". Data is transformed from CAD to an IGES displayed, the user can evaluate and enter the needed data in an
file via the IGES processors already developed by CAD easy manner. Messages displayed on the top of the screen are
vendors. A preprocessor may consist of the following sub- part name, number of surfaces, and number of features (ring and
modules: groove) of the part. The bottom of the screen displays the eight
1. Transformation of CAD to IGES. This only requires an evaluation functions that this module should include. The
IGES preprocessor. The way of running the IGES preprocessors advantage of this module is that it overcomes one of the
is dependent on the particular CAD system. disadvantages of CAD systems whereby the data is stored and
2. Extraction of 2D part profile from IGES. The logic for cannot be manipulated by users and, consequently, is
planning the turning operations, processing planning, and N/C meaningless
data, is based on a part profile (or contour) data which is a 2D to them. Under this module, data displayed on the screen is
connected graph [17,23,24,25]. Even a part with a 3D valuable information that can be manipulated. The module acts
representation of a wireframe model or solid model is as if a CAD system is embedded in the user system so in
transformed to a 2D profile before planning is initiated. addition to having all the CAD capabilities, the above functions
Therefore, it is the central task of this module to provide 2D part are available to the user.
profile information. To do that, the module accesses data from 5. Transformation of results to the GPDDS. The final step of
the IGES file and then converts it to 2D profile data. Since the the preprocessor is to put the part definition data to the GPDDS.
2D profile data is represented by a series of line and arc entities, The data then become a common CAPP language which is
representing this profile data in the computer becomes a two- independent from any CAPP system and it can be accessed by
dimensional pattern recognition problem. With the help of basic any CAPP system. To do this, a postprocessor for a particular
pattern primitives, the 2D profile data is then represented with a CAPP system is required.
pattern string associated with part geometry data as exemplified Postprocessor
in Fig. 4. As indicated earlier, a postprocessor is an application program
3. Recognition of part surfaces and features. Part geometry to transform the part data stored in the GPDDS into the part
data and the pattern string for the 2D profile are inputs to this input description format of a selected generative process
module. Based on the inputs and predefined turning features, a planning system. The success of data conversion is based on the
part feature recognition algorithm, developed in [21], is applied assumption that the postprocessor developer fully understands
to identify the surfaces and features as well as the hierarchical the GPDDS and the input format of the selected CAPP system.
relationships among them. The basic concept of the part feature The philosophy of the conversion is to automatically transform
recognition algorithm is based on pattern string matching. The data as much as possible.
pattern string matching is performed by comparing sets of three REFERENCES
characters of the pattern string with predefined turning features. 1. P. W. Chevalier. Group technology: the connecting link to integration of CAD
It starts with the three leftmost characters of the pattern string and CAM. AUTOFACT 5 Conf. Proc. 26-29 January (1999).
223
2. T. C. Woo. Computer aided recognition of volumetric designs. Advances in

Computer-Aided Manufacturing pp. 121-125. North-Holland, Amsterdam
(2001).
3. T. C. Woo. Feature extraction by volume decomposition. Proc. Conf.

CAD/CAM in Mechanical Engineering. MIT, Cambridge, Mass. (March 2001).
4. L. K. Kyprianou. Shape Classification in Computer-Aided Design.

Unpublished Ph.D. Dissertation, University of Cambridge, Cambridge, England
(July2003).
5. R. Jakubowski. Syntactic characterization of machined part shapes.

Cybernetics and Systems 13, 1-24 (2004).
6. B. K. Choi. CAD~CAM Compatible Tool-Oriented Process Planning System.

Unpublished Ph.D. Dissertation, School of Industrial Engineering, Purdue
University, West Lafayette, Indiana (December 2004).
7. Y. Kakazu and N. Okino. Pattern recognition approaches to GT code

generation on CSG. Proc. 16th C1RP Int. Semin. on Manufacturing Systems,
Tokyo, pp. 10-18 (2005).
8. R. C. Liu and R. Srinivasan. Generative process planning using syntactic

pattern recognition. Computers Mechanical Engng 63-66 (March 2005).
9. Y. C. Lee. Integration of Solid Modeling and Database Management for

CAD~CAM. Unpublished Ph.D. Dissertation, School of Electrical Engineering,
Purdue University, West Lafayette, Indiana (August 2006).
10. M. R. Henderson. Extraction of Feature Information from Three

Dimensional CAD Data. Unpublished Ph.D. Dissertation, School of Mechanical
Engineering, Purdue University, West Lafayette, Indiana (May 1984). Bulletin.
Prime Computer, Inc., Prime Park, Natick, Mass. (2006).
11. R. K. Li. A Conceptual Framework for the Integration of Computer-Aided

Process Planning. Unpublished Ph.D. Dissertation, Department of Industrial and
Management Systems Engineering, Arizona State University, Tempe, Arizona
(December 2006). Computer-aided design and process planning .
12. H. Grabowski and R. Anderl. CAD-systems and their interface with CAM.
Methods and Tools for Computer Integrated Manufacturing, pp. 1-52. Springer-
Verlag, New York (2007).
13. Graphical Data Display Manager, Application Program Guide. Program

Number 5748-XXH, Release 4, IBM Corporation (2008).
14. W. Eversheim et al. Automatic process planning with regard to production

by application of the system AUTAP for control problems, computer graphics in
manufacturing systems. 12th CIRP Int. Semin. on Manufacturing Systems,
Beograd (2008).
15. J. S. Kung. Integrated CAD and CAM--A Study of Machined Cylindrical

Parts Design. Unpublished MS Engineering Report, Deparment of Industrial
and Management Systems Engineering, Arizona State University, Tempe,
Arizona (August 2009).
224
Design, Fabrication and Testing of an All Terrain

Vehicle
Ashwini Sharma1, Subarno Ghosh2, Vivek Sagar3
1
Assistant Prof.,2,3 Student, Department of Mechanical Engineering, ITM University, Gurgaon)
Abstract: Since last 5 years India is leaping forward in the design For suspensions, failure occurs if they are not able to isolate
and innovation of new products especially in automotive sector. the driver from the shocks or if they are so soft that they
The design and analysis of almost every component is being compress to their solid length while working.
done in house. Design and fabrication of a terrain specific
vehicle has been a key area of research of major automotive
manufacturers throughout the world. The same has been taken  For transmission there is less scope of failure but failure is if
as a challenge by the students to design, analyze, fabricate and any part is not able to transmit the required torque or also if
test an all terrain vehicle. The focus of present paper is to define torque provided in the first gear is unable to drive the vehicle
a framework for the activities to be carried out in designing an from a halt.
all terrain vehicle from beginning to end step by step. The
manufacturing related decisions and methodology is another  For steering, failure is defined in terms of effort applied by
focus which can be easily understood by today’s budding
the driver and ability of the various components to facilitate
engineers for product design and development. Also the typical
problems and solution to those problems has been incorporated the function of steering.
at the end as thumb rules.
 Failure of various other mechanisms like pedals, levers,
I. INTRODUCTION electrical components occurs if they are not able to fulfill
their desired function.
The design targets of the vehicle are as follows:
Hence, our designing process targets on the above lying facts
A. Maximum speed – 60 km/hr to ensure the proper working of our vehicle and the design of
each of these components is further detailed in the following
B. Weight – 270 kg report.
C. Ground clearance – 20 cm or 8 inch II. METHODOLOGY
D. Track width – 160 cm or 64 inch approx We prepared the layout of the vehicle roll-cage on 3D CAD
modeling software. That was followed by analysis of the
E. Wheel base – 130 cm or 52 inch approx structure on designated software. Various static and dynamic
loads are applied to ensure the modification of any weak
F. Braking distance – 1400 cm point. The necessary changes are then made. This step is
followed by manufacturing a PVC pipe frame in actual
G. Turning radius – 240 cm or 96 inch dimensions. Any changes required in the design are now
made accordingly with ease. Hence the roll-cage is finalized
Further, as designing is based on prevention of failure and this leads to manufacturing the roll-cage in the selected
therefore we defined the condition of failure of each system tubing material. A compatible transmission is decided along
of the vehicle. with our LGA 340 engine. Engine and transmission as a unit
are then placed at 2/3rd from the front of the vehicle’s front to
attain a balanced CG. This allows us to decide the mounting
 For roll cage, failure is yielding as this would change the
points for engine. Now the placement of rear wheel and
distance between various parts and thus their working is
accordingly the mountings for rear suspension decided. The
affected. It should be rigid and the mountings should be able
wishbones designed keeping in mind desired track width of
to bear its load.
vehicle. Keeping the criteria of ergonomics in view, the
mounting points of driver’s seat are made. Then accordingly
 For brakes, failure is their inability to lock all the four tires with the decided castor angle we placed the steering column
simultaneously. and the steering gears in place. This is followed by designing
the front wishbones and front wheel attachments. There after
 For tires, it is failure to transmit the required torque the desired steering geometry is achieved by adjusting the tie
maintaining the traction with the track surface. rods. Required castor is provided by the joints on wish tubes.
The pedal assembly also placed keeping the ergonomics
225
criterion in mind. Following these major steps are placements Where,

of small aggregates and linkages. G=gear ratio
N=revolutions per minute
III. MAIN SECTION R=outer radius of the tire in meters.
3.1 Engine and transmission Some of our calculations for normal orientation are as
follows:
A quick look at the engine:
3.2 Normal orientation:
Power - 8 kW at 4400 rpm
Final Speed Speed (km/hr)
Max Torque – 19 Nm at 3000 rpm Gear (km/hr)
Ratios D=22 D=24 inch
About gear box, we have 4 forward and 1 reverse gear box inch
with built in differential and universal joint.
First 31.45:1 0.65D 14 16
As engine was a restriction. Thus we had a little choice while
working on engine. Configuration of our vehicle would be Second 18.70:1 1.109D 24 27
rear engine rear wheel drive. We decided to keep the
Third 11.40:1 1.82D 40 44
maximum speed of the vehicle at 60 km/hr as the vehicle is
not about larger speed but greater torque and stability. For
Forth 7.35:1 2.82D 60 68
attaining this speed, the only thing we can vary was the outer
diameter of the driving tire. For 60 km/hr O.D. of the tire
Reverse 55.08:1 0.38D 10 9
came out to be 37 inch. This diameter is not practical feasible
for our engine and transmission system.
Hence in order to counter this problem options available

were: 3.3 Reverse orientation:
1. Manipulation of power transmission outside the gear box Final Speed Speed (km/hr)
Gear (km/hr)
using gears, sprockets and chain. Ratios D=22 D=24 D=28
inch inch inch
2. Engaging the reverse gear lever while driving in all the
forward gears and using the first gear in forward as First 55.08:1 0.38D 8 9 11
reverse gear.
Second 32.75:1 0.63D 14 15 18
3. Using the transmission system in normal conditions.
Third 19.96:1 1.04D 23 25 29
We decided to work on the latter option and so did reverse
engineering process trying to find if the gears would be able Forth 12.87:1 1.61D 35 39 45
to transmit the increased torque. Also following this method,
Reverse 31.45 0.65D 14 16 19
1. We were able to check the weight.
Hence for maximum speed of 60 km/hr, we selected tires of
2. Reduce the cost of the vehicle as we avoided the use of 22 inch outer diameter.
additional gears, sprockets and chains.
Further, for better economy, we assume engine rpm to be
3. We used standard parts, thus increased the reliability of ranging from 2750 to 3250 as maximum torque produced by
the transmission system. the engine is at 3000 rpm. In between this range the torque
produced by the engine is almost constant (from engine
To find the speed of the vehicle corresponding to different characteristics graph; fig e1). Thus, for better economy, the
gear ratios, the formulae used is range of speed in each gear, for the driving tires of O.D. 22
inches; operating in normal forward orientation is:
2NR  60
Velocity on road  Km / hr. First - 10 to 12 km/hr
100  G Second - 15 to 18 km/hr
226
Third - 25 to 33 km/hr
Forth - 40 to 51 km/hr One of the most important parameter for the selection of the
Reverse - 8 to 11 km/hr outer diameter of the tires in rear was the maximum speed of
the vehicle. The relation between outer diameter of the tires
Apart from this, for mounting the engine we are going to use and the vehicle speed is as given below:
neoprene rubber mountings.
Angular Velocity  Outer radius of tire
Velocity on road 
3.4 TIRES Gear Ratio
Selecting the tires is one of the most important things as the For the normal orientation of the transmission system and
whole vehicle is in contact with the road on these 4 points or maximum speed of the vehicle as 60 km/hr radius comes out
rather patches. Also for designing an all terrain vehicle tires to be 11 inches. Apart from outer radius of the tire, other
form the most important part. They should be such that they factors for the selection of tires include tread width, tread
are able to provide enough traction on all kind of surfaces so design, side wall width, load handling capacity, number of
as to transmit the torque available at the wheels without plies and treads on side wall etc which define the traction
causing slipping. ability, tire resistance to wear and puncture and performance
of the tire on various terrains.
3.5 FRONT
ADVANTAGES:
1. Built with a 6 ply rating and a reinforced casing makes

these one of the most puncture resistant tires in the
market today.
2. Large shoulder knobs wrap down the sidewall to provide

excellent side to pull out of the ruts without causing
sidewall failure.
3. The deep tread and open wing design provides excellent

clean-out with each lug and an improved traction.
Outer diameter of tire – 21 inch 4. Special natural compound delivers added traction.
Outer diameter of rim – 10 inch
Tread width – 11 inch 5. Smaller tires in front results in a smaller magnitude of
Aspect ratio – 0.68 moment on the wishbones due to cornering forces during
Number of plies – 6 steering.
3.6 REAR 6. Use of the larger outer diameter tire at the rear helps to
provide good ground clearance and also 10 inch treads
provides good traction to the power wheels.
3.7 BRAKES
The criterion for designing the brakes stated as per the rule
book is that all the four wheels should lock simultaneously as
the brake pedal is pressed.
For designing the braking system this year, we calculated the

weight of our vehicle in static condition as well as in dynamic
condition as per the deceleration (0.6 g) and stopping
distance. In static condition it is around 60kg on each front
tire and 110kg each on the rear tire. But in dynamic
Outer diameter of tire – 22 inch conditions, we consider weight to be 85kg on each tire, the
Outer diameter of rim – 10 inch front and the rear. We have calculated the dynamic weight
Tread width – 6 inch using the formulae as given below:
Aspect ratio – 0.58
Number of plies – 6 Front axle dynamic load
227
   H 
 w1      W F Pr D1 D2 R R1 R2
 g  L 
kg mm mm inch inch inch
Rear axle dynamic load
   H  1 3.0 3.21 16.25 16 98 10.5 11
 w2      W
 g  L 
2 2.5 3.86 16.25 16 98 10.5 11
Where,
W1=Weight on the front axle in the static condition.
3 3.0 3.84 17.78 16 98 10.5 11
W2=Weight on the rear axle in the static condition.
g = Acceleration due to gravity.
W= Total weight of the vehicle. 4 3.8 3 17.78 16 98 10.5 11
H=Height of center of the gravity.
L= Length of the wheel base. 5 3.2 3.58 17.78 16 98 10.5 11
Deceleration of the vehicle is α.
6 3.0 4.44 19.05 16 98 10.5 11
We planned to use disc brake in all four wheels. Initially we
thought of using disc brake in front and drum brakes in rear 7 3.2 3 16.25 16 98 10.5 11
but problem with drum brake is of locking .For achieving the
condition for locking at once on the application of brake
paddle, it is preferred to use disc in all four wheels. Some
formulas that we used for designing our brakes: Where the parameters shown above are as under:
F=Pedal force required for braking (kg)
Pr = Pedal ratio
f f D1=Diameter of the TMC (mm)
T (disc)  w1     R1  w2     R 2
g g D2=Diameter of caliper cylinder for the disc (mm)
R = Effective radius of the disc
T (disc)    R  P  A  2 No. of Disc brakes R1=Outer radius of the front tires (inch)
R2=Outer radius of the rear tires (inch)
Where,
T (disc) = Frictional torque on the disc The above highlighted specifications have been selected
f = deceleration for our vehicle. We selected these as per our design of
W = weight of the body the braking system for 5.9 m/s^2 deceleration.
R = Effective radius of disc
R1= Radius of front tire
R2= Radius of rear tire 3.8 STEERING SYSTEM
P = Pressure applied by the TMC.
µ= Coefficient of friction • Central rack and pinion.
R=Radius of the disc • Turning radius = 232.75 mm
A= Area of the caliper for disc brake • No. of teeth on the Rack bar =36
P= Pressure applied by the master cylinder. • Length of rack = 144mm
Using these formulae, we have done our calculation and • The ratio of the rack and pinion = 12:1
selected our brakes. Some of calculations are shown in the • The axial pitch of the Rack bar = 6 mm
table: • Steering ratio = 12.78:1
• No. of universal joints in column = 2
• Column inclination from horizontal= 45 degree
• Removable steering wheel assembly for the ease of driver
exit in time specified as per the rulebook.
• No. of the tie rods = 2.
228
While designing the steering system the constraints that we Reason:

possessed were centre alignment of steering system, track
width, human effort at the steering wheel and the desired  Wishbone suspension give more movement of the tires
response of the steering system. and hence the vehicle for the same movement of the
spring.
Apart from deciding the steering ratio we have not been able
to design the linkages, tie rods etc as presently we do not  Independent suspension.
have the gear box of steering.
 In double wishbone suspension, force is distributed at 5
The formulae used for steering calculations are: points on the roll cage unlike at only one point in Mac
Pherson strut.
c2  x2  y2
 It can be slightly adjusted for different parameters of
suspension tuning like camber angle, ground clearance at
X = (c sin (p) + (a+ b sin (q) – a cos (q))
the time of testing and then finalized (proper adjustments
are made at the time of fabrication).
Y = b cos (q) + a sin (q) - R
Design of suspension system should be such that it is able to
Where,
sustain the worst of the conditions.
C – Length of tie rod
X, Y – lengths as shown in fig s1
For example, in the case when the vehicle is falling on
p, q – angles as shown in fig s1
ground after jumping from a speed breaker, just the two
a – length of steering knuckle from center of tire
wheels support the vehicle as it lands on the ground. But if
b – Perpendicular distance of steering knuckle from pivot
we design our springs according to this situation, our spring
point as shown in fig s1
will be a lot stiffer and hence the ride will not be comfortable.
Also if we choose stiffer springs, they would not be able to
ADVANTAGES
facilitate tire traction. On the other hand softer spring mean
that a larger spring travel should be more otherwise they
1. Re-circulating ball steering has a lot of linkage results would reach to their solid length. Hence the suspension
in large friction and hence increases the steering effort. system would fail.
But there is no such type of linkage arrangement in the case
of rack and pinion system.
This criterion can be fulfilled by the 2 alternatives:
2. Rack and pinion is lighter than the re-circulating ball type
1. By putting a spring of gradually changing pitch and
steering gear. Hence this removes the un-necessary weight of
hence stiffness. This is the best method to encounter
the vehicle.
this problem but we could not find a vendor who
could manufacture for us a continuously varying
3. Rack and pinion gives sharper response as compared to
spring.
the re-circulating type steering.
2. By putting a very long soft spring which has enough
4. The ratio of the rack and pinion is 12:1 this equals 1.5
uncompressed length left so that it would remain in its
turns of the wheel is complete distance of rack travel "lock to
working range without reaching its failure limit. But the
lock.
main problem is that the spring might buckle. Even
with a damper, the spring-damper system might
buckle. We might be able to solve the problem using
IV SUSPENSIONS
guides but this is making the system unnecessarily
complex.
Suspensions act to provide cushioning action to the driver by
absorbing the shocks from the road and also help the tires to
3. By putting a system of compound spring (in parallel) in
maintain good traction.
which only one spring is acting in normal conditions and
a stiffer spring starts to work only after reaching a certain
This year we are going to use Unequal wishbone suspension
amount of load. This is the method that we will follow
in both front and rear
because:
 It can be said to be equivalent to the first

system.
229
 The range of travel is small as compared to the Pitch = 26 mm

previous two methods and hence our damper
buckling problem is also solved to an extent. No of active turns = 20
Spring Design started with some arbitrary parameters within Total no of turns = 22
the constraints
Springs are squared and grounded
Constraints: Weight, ground clearance required and space
limitations Initial compression (after driver is seated) = 50mm
Estimated weight of this 250 kg approx. Thus springs can take up a load of 220 kg apart from the
year’s vehicle weight of vehicle and driver
Driver with accessories 90 kg approx.

B. REAR SUSPENSION
Total weight with driver 340 kg approx.
Here also the constraints were ground clearance 8 inches,
Unsprung mass 75 kg approx. vehicle weight 110 kg on each tire and movement of
transmission shaft as shown in fig sus2; full angle being 15
Sprung mass 265 kg (at max. with driver) degree, full jounce 3 degree and full rebound 12 degree
In here, we keep the mounting point of the spring on the

upper wishbone and at its end. The rear suspension system is
Now according to design 40% of the total weight will be as shown in fig sus3.
distributed at the front portion and the remaining 60% of the
weight will be at the back or rear end as the major For the smaller half drive shaft, the distance between spring
components of the total mass(in terms of weight) like engine, mounting point and shaft hinge point is 12 inch
transmission, driver etc…. are at the back only. approximately. Thus, for 15 degree spring movement is 80
mm as calculated by the formulae:
From the above estimated weight we find that weight
distribution at one side of front end will be approximately 70 LENGTH OF ARC = RADIUS * ANGLE SUBTENDED
kg and at one side of rear end will be approximately 105 kg.
so, all the calculations will be done taking this weight So for 1 degree movement of shaft deflection of spring is 5.3
distribution only. mm
A.. FRONT SUSPENSIONS Now,
The spring damper would be placed at the centre of the lower Length of spring = 230 mm
wishbone.
Total length (spring + damper) = 490 mm
Taking ground clearance to be around 8 inches and load of 70
kg on each tire. Thus static load on each spring would be 140 Wire diameter (d) =11.1 mm
kg as spring is mounted at the centre of the wishbone
Mean coil diameter (D) = 80 mm
Length of spring = 250 mm
Allowed travel of the spring = 72 mm
Total length (spring + damper) = 360 mm
Maximum travel of the spring = 96.8 mm
Wire diameter (d) = 7mm
Spring stiffness (K) = 30 N/mm
Mean coil diameter (D) = 50 mm
Pitch = 19 mm
Allowed travel of the spring = 250 mm
No of active turns = 10
Maximum travel of the spring = 320 mm
Total no of turns = 12
Spring stiffness (K) = 10 N/mm
230
Springs are squared and grounded
Initial compression (after driver is seated) = 33.3mm
From initial compression we conclude that the movement of

shaft required is 6.3 degrees
Further, if one of the rear tire falls in a ditch, their will be

load on the spring. Assuming tire and brake assembly weight
to be 20 kg, deflection of spring required is 6.7 mm or in
terms of shaft movement we can say that 1.5 degree of shaft B. REAR SUSPENSION
movement would be sufficient for allowing the movement of
tire if it encounters a ditch. TAKING C SHAPE WISH BONE SPECIFICATIONS
ARE:-
Hence under static but loaded conditions, position of shaft
below the horizontal level is 4.5 degree (12-7.5 degree). 1) LENGTH OF WISH BONE WITHOUT THE ROSE
AND BALL END JOINTS = 200 MM
Now, the allowed movement of shaft under dynamic
conditions is 7.5 degree or we can allow spring movement of 2) LENGTH OF WISH BONE WITH ROSE AND
39 mm. Thus, the rear suspension can accommodate an BALL END JOINTS = 250 MM
additional load of 117 kg.
3) WIDTH OF WISHBONE = 270 MM
Two inboard mounted pivot joints were used to mount each
wishbone to the chassis. Pivot joints are stronger than rod 4) LENGTH OF ARM OF WISH BONE = 260 MM
end bearings, and thus, are more reliable in high impact
bending load situations, as experienced by the front
suspension of a Baja vehicle. Threaded ball joints were used
at the uprights to facilitate static camber adjustment and
increase strength. The tube which we are going to use in
wish bone is 1”OD x 0.065” 4130
VI ROLL CAGE AND MATERIALS
The kind of body we are required to manufacture is a unitized

body. The roll cage is of utmost importance for us as it would
be the one which would provide safety to the driver,
mounting points for various systems and even ergonomics
V DETERMINING SPECIFICATION OF WISH BONES and looks to the vehicle.
A. FRONT SUSPENSION It should be strong enough to bear the laden load and should
TAKING A SHAPE WISH BONES SPECIFICATIONS be designed against impact load that it might encounter. The
ARE:- failure criterion for the roll cage is yielding.
1) LENGTH OF WISH BONE WITHOUT THE ROSE
AND BALL END JOINTS = 252 MM Our design of the roll cage started with ergonomic and driver
2) LENGTH OF WISH BONE WITH ROSE AND comfort study. We also studied the rules and safety
BALL END JOINTS = 312 MM instructions as per Baja SAE INDIA 2010 rulebook. This was
3) WIDTH OF WISHBONE = 275 MM followed by study of compatibility of various other systems
4) LENGTH OF ARM OF WISH BONE = 285 MM with the roll cage, as these systems were developed in the
process. Based on these, we designed a layout which was
modified again and again to take the present shape as shown
231
in fig . The software used by us is Pro-E and anys for 3-D For safety of the driver, Ethan foam padding would be used
modeling and analysis over the pipes in the adjacent of the driver.
Initially we assumed the ratio of total height of driver to For fabrication of the roll cage, we are going to use metal
length of driver below waist as 1.65 (considering myself as inert gas welding and cold bending techniques.
standard) and designed a roll cage model for a person of
height 6 feet 3 inches. Then slowly as the other systems of In software, the frame was built out and a load was applied at
the vehicle were developed, the roll cage design got the front shock mounts. Through this configuration, the
modified. stiffness of the frame was calculated to be2175 ft-lbs/deg.
The graphical results in PRO-E for stiffness can be seen in
Dimensions of the roll cage are see: Figure X.
Length – 1900 mm
Width – Max - 1000 mm Figure X: Torsional Stiffness results in Ideas software,

At front end - 450 mm red is max positive displacement, blue is max negative
At rear end - 550 mm displacement
VII CONCLUSION
Height – 1300mm
As discussed earlier, our approach is to design for the worst
and still optimize so that we avoid over designing. This
would help us to reduce the cost.
The material that we are going to use is mild steel, AISI 4130
The material has chemical composition as:
The approach that we followed is iterative in nature and
processes like reverse engineering are adopted in order to
CARBON MANGANESE SULPHUR Cr
select various systems from the ones, existing in the market.
This step would ensure standardization and reliability would
0.32 0.50 0.25 1.00 follow as a by part.
Our top priority would always be the safety of the driver and
working in this direction, we will strive to add aesthetic value
The pipe we are using is of electric resistance welded type and a sense of ergonomics to the vehicle.
with the following specifications:
ACKNOWLEDGMENTS
Wall thickness – 2.04 mm
The design process is not a single handed effort and so it is
Outer diameter – 25 to 26 mm our team, whom we wanted to thank for being along under all
circumstances. We would also like to express my gratitude
Weight per meter – 1.87 kg towards our Mechanical department and on the whole
towards the college for supporting us and believing in us.
Yield strength – 560.5 N/mm2 SAE has provided us with an excellent platform for learning
and showcasing real life projects. While working on the
The pipe of above specification has a higher bending strength project, it was really heartening to see that the people from
and rigidity than the material specified by the rule book.
232
industry were willing to help us and they provided us with

their precious time.
REFERENCES
[1] ADVANCED VEHICLE TECHNOLOGY BY H.HEISLER
[2] Automobile Engineering by R.B.GUPTA
[3] Automotive Mechanics by WILLIAM.H.CROUSE
[4] PDF DOCUMENTS from GOOGLE
[5] BAJA rulebook from www.saeindia.org
233
234
Experimental Investigation of Performance and

Emission of Hemp Biodiesel and its Blends with
Diesel in a Single Cylinder 4 Stroke Diesel Engine
S.S.Ragit1, S.K.Mohapatra2, K.Kundu3, V.R. Dahake4
1,2
Ph.D. student & Dean (Academic Affair), Thapar University, Patiala 147 004, India
1
satish_ragit@yahoo.com
2
saroj500@yahoo.com
3,4
Scientist-E1 & Scientist Inchage, Mechanical Engineering Research and Development organization, Ludhiana
141 006, India
3
k_kundu@cmeri.res.in
4
merado@cmeri.res.in
Abstract-In this present research work, hemp biodiesel and canolaoils. Since, India is not self-sufficient in edible
biodiesel-diesel fuel blends as alternative fuels for diesel oil production, some non-edible oil seeds available in
engines were studied. An experimental investigation has been the country are required to be tapped for biodiesel
carried out to evaluate the performance and emission production. With abundance of forest and plant based
characteristics of a diesel engine fuelled with hemp biodiesel
non-edible oils being available in our country such as
and its blends (20%, 40%, 60%, 80% and 100%). The
performance parameters analyzed include thermal efficiency, Pongamia, Jatropha curcas, Madhuca indica, Shorea
brake specific fuel consumption, brake specific energy robusta, Azadirachta indica A. Juss and Hevea
consumption, and exhaust gas temperature whereas exhaust brasiliensis, no much attempt has been made to use
emissions include oxides of nitrogen, HC, Smoke, CO2, CO esters of these non-edible oils as substitute for diesel
and oxygen level. The results of the experiment in each case except Jatropha and Karanja. Few investigators have
were compared with baseline data of diesel fuel. Significant already obtained biodiesel from some of these oils [1].
improvements have been observed in the performance It observed significant improvement in engine
parameters of the engine as well performance and emission characteristics for the
as exhaust emissions. The hemp biodiesel and hemp
biodiesel-fuelled engine compared to diesel-fuelled
biodiesel-diesel fuel blends were tested in a single cylinder
direct injection diesel engine. Engine performance and engine [2]. Thermal efficiency of the engine improved,
exhaust emission were measured at part and full load brake specific energy consumption reduced and a
condition. It was observed that 1.61% reduction in NOx, considerable reduction in the exhaust smoke opacity
50.87% reduction in HC, slightly lower in case of CO2, CO was observed.It evaluated waste vegetable oil as a
and O2, however exhaust gas temperature increased by feedstock for biodiesel production. This research was
5.74%.and significant increment (89.18%) in smoke focused on the engine performance and emission
emission and brake thermal efficiency increased by characteristics of esterified vegetable oil, when used in
17.83% at part load for HME100. It was also seen that a diesel engine [3].It investigated preheated palm oil
0.32% reduction in NOx, 10.17% reduction in HC, slightly
methyl ester in a diesel engine. World is presently
lower in case of CO2, CO and O2, however exhaust gas
temperature increased by 1.15% ,smoke increased by confronted with the crises of fossil fuel depletion. The
17.83%. Nevertheless, brake thermal efficiency increased petroleum crises since 1970s and uncertain situation in
by 3.58% at part load for HME20. When tested fuel suppliers like Venezuela, Nigeria, Iraq have been
operated at full load condition, reduction in oxides of accelerated the increment of oil prices. The increasing
nitrogen, HC, and smoke significantly. Ultimately, It demand of petroleum in developing countries like
concluded that lower blends of hemp biodiesel (HME20) China, Russia and India has increased oil prices. Diesel
act as best alternative fuel among all tested fuel at full load engines are mainly used in many fields, including
condition. electric production, transport of passenger and cargo,
Keywords : Hemp biodiesel, engine performance and
industrial and agricultural activities. Petroleum fuels are
emission evaluation, renewable fuel
being used in diesel engines, which has a wide range of
1. Introduction use in all sectors. With a probable situation that oil
Worldwide biodiesel production is mainly from edible demand cannot be met by petroleum based fuels, all the
oils such as soybean, peanut, coconut, sunflower, and sectors that contributed by oil based energy will
235
negatively be effected. With any probable petrol crises, oil that is non-refined varies from off yellow to dark green.
for all the sectors the alternative fuel is vital to be It is especially useful for treating skin conditions. It
contains approximately 19% LNA, 57% LA and around
Fuel property HO HME Diesel ASTM EN
D6751 14214 1.7% GLA. We are excited by its brilliant properties and
Density (gm/cc3) 0.888 0.858 0.830 - 0.860- sure that hemp seed oil will make a welcome edition to
0.900 many aromatherapy treatments. Hemp seed oil contains
Viscosity( cSt) @ 42.72 1.13 2.6 1.9-6.0 3.5-5.0 45.3% oleic acid, 23.4% linoleic acid, 14% pamitic acid,
40oc
and 6% stearic acid.
Flash point (0C ) 125 47 60 >130 >101
Fire point ( 0C ) 135 55 65 - Min 120
Cloud point (0C ) 2 -4 -12 10 -1 2.2. Biodiesel production
Pour point (0C ) -10 -17 -16 -15 -
Calorific value 43.52 39.81 43 - - To 100g of crude hemp oil, a known quantity of catalyst
(MJ/Kg)
KOH, 2g dissolved in the required amount of methanol was
Acid value ( mg 0.35 0.1 0.22 <0.8 <0.5
KOH/g) added. The temperature 60 deg was maintained as desired.
developed. In addition, pollutants have formed because Three different molar ratio of methanol to oil (4:1, 6:1, and
of combustion of petroleum based fuels in diesel 8:1) were tested at different process parameter to get
engines [4]. Pollutants from diesel engines include different yield of methyl ester of hemp. Finally, Samples
carbon monoxide, carbon dioxide, sulfur dioxides, were removed after 24 hr, upper layer indicates ester and
oxides of nitrogen, particulate matter. NOx, and PM lower layer indicates glycerol, only ester layer washed by
are the two primary pollutants of diesel engines. It has spray of hot water and afterwards, obtained ester dried by
been concluded by many studies that as an alternative silica gel. It revealed that, single stage process, a period of
engine fuel 45min was required to achieve 90.62% conversion of ester.
The ester was then blended with diesel to be used in CI
Table 1 Physical and chemical properties of HO and HME engine.
2.3. Fuel property determination

biodiesel reduce the emissions of carbon monoxide,
hydrocarbon, sulfur dioxide, polycyclic aromatic The important fuel properties of brown hemp oil, brown
hydrocarbons, nitric polycyclic aromatic hydrocarbons and hemp methyl ester were to be compared with diesel as
particulate matter but NOx to increase in the exhaust reported in Table 1. Many researchers have been
compared with diesel fuel [5]. It was stated by [6] that investigated fuel properties of different non-edible oils and
Diesel emissions contribute to the development of cancer, its biodiesel and compared with diesel fuel to improve
cardiovascular and respiratory health effects, pollution of engine performance [1-11].
air, water, soil , and global climate change. In the last
decade, several vegetable oils, such as sunflower oil, corn 2.4. Experimental set up and engine procedure
oil, olive oil, soybean oil, cottonseed oil, and peanut oil,
have usually been used for producing biodiesel fuel. Tests have been conducted on a four stroke, direct
Investigations have shown that pure vegetable oils are not a injection; naturally aspirated single cylinder diesel engine
suitable direct replacement for diesel fuel, due to higher is employed for the present study. To obtain the baseline
viscosity and higher molecular weight [7-8]. These parameters, the engine was first operated on diesel fuel.
properties cause poor atomization, low volatility,
Performance and emission tests are carried out on the
incomplete combustion and engine deposits [9-10].
Therefore, several methods are used to reduce the viscosity diesel engine using HME, HME-diesel blends, and diesel
of vegetable oil, including dilution, pyrolysis, micro- fuel. The tests are conducted at the rated speed of 1500 rpm
emulsion and transesterification [11-12]. In this study, at BMEP. Load on the engine is steadily increased. At
hemp biodiesel was produced by reacting hemp oil with each interval the readings are taken on the manual
methyl alcohol and properties of test fuels were instrumentation or logged onto the computer analysis
determined. Blends of hemp biodiesel with diesel fuel were software; the variables gathered can then be used with the
tested in direct injection diesel engine at part and full load
engine specifications to calculate characteristics which
condition.
determine the performance of the fuel on the engine during
2. Materials and Methods operation. Mainly, at the given loading conditions,
comparative analysis of the engine performance on the
2.1. Composition of raw hemp oil HME, and its blends with diesel and their emission were to
be investigated. AVL 437 Smoke meter is employed to
The basic composition of any vegetable oil is triglycerides,
measure the smoke opacity of exhaust gas emitted from the
which is the ester of three fatty acids and glycerol. Hemp
diesel engine. AVL Digas 4000 Five Gas Analyser was
236
used to measure the concentration of gaseous emissions [4- may be due to the oxygen content of the fuel which
9]. improves combustion and thus may increase the exhaust
gas temperature. Higher exhaust gas temperature may be
3. Test analysis and results because of better combustion of HME.
3.1. Fuel property analysis 40

35
The fuel properties of HOME and standard diesel are given
in Table 1. It was found that properties of HOME were 30
similar to standard diesel. The relative density of hemp oil
25
methyl ester was observed 3.37% higher than that of diesel
BTE, %
respectively. The experimental results indicated that the 20 Diesel
relative density of hemp methyl ester is slightly increased 15 HME100
to that of diesel. The kinematic viscosities of diesel and
hemp methyl ester were found as 2.6, and 1.13 centistokes 10 HME20
at 400C. Hemp oil methyl ester was observed the kinematic 5
viscosity 56.54 percent less than that of diesel. The
calorific value of diesel and Hemp oil methyl ester were 0
found as 43, and 42.92 MJ/Kg respectively. The calorific 0 200400600
value of hemp oil methyl ester is decreased by 0.18 % than BMEP, kPa
that of diesel. The hemp oil methyl ester was found to
have lower flash and fire pint than those of diesel The
results thus indicate that pour point of hemp methyl ester is Figure 1 BTE Vs BMEP
higher than that of diesel whereas cloud point of hemp
methyl ester is lower than that of diesel. 500
3.2. Engine performance analysis
400
EGT, DEGREE CEL.
3.2.1. Brake thermal efficiency and Exhaust gas

temperature 300
Diesel
Figure 1 shows variation of brake thermal efficiency 200
HME100
(BTE) with respect to brake mean effective pressure
(BMEP). BMEP of a diesel engine directly relates to the 100 HME20
brake power. Brake thermal efficiency of HME was
observed 17.83% higher than that of diesel at part load 0
condition but slightly increases at full load condition. 0 200400600
Brake thermal efficiency of HME20 was observed 3.58%
higher than that of diesel at part load condition but slightly BMEP, kPa
increases at full load condition. It increased due to the
reduction in heat loss and increase in power developed with
increase in load. The results indicate that a significant Figure 2 EGT Vs BMEP
improvement in thermal efficiency could be realized by
preheating HME. Higher brake thermal efficiency favours 3.2.2. Specific fuel consumption and Brake specific energy
better and complete combustion and lesser amount of consumption
unburned hydrocarbon in engine exhaust thus improving
Figure 3 shows variation of specific fuel consumption
smoke opacity values. Figure 2 shows variation of exhaust
(SFC) with respect to brake mean effective pressure
gas temperature (EGT) with respect to brake mean
(BMEP).Brake specific fuel consumption of HME was
effective pressure (BMEP).It increases at all load
found 6.42% lower than that of diesel at part load condition
condition. HME shows 5.74% higher than that of diesel
and 3.08% lower than that of diesel at full load condition.
fuel at part load condition whereas it shows 12.78% higher
Brake specific fuel consumption of HME20 was found
than that of diesel fuel at full load condition. HME20
1.28% lower than that of diesel at part load condition and
shows 1.15% higher than that of diesel fuel at part load
0.44% lower than that of diesel at full load condition.
condition whereas it shows 2.48% higher than that of diesel
Figure 4 shows variation of brake specific energy
fuel at full load condition. It is observed that exhaust gas
consumption (BSEC) with respect to brake mean effective
temperature is increases with load because more fuel is
pressure (BMEP).The brake specific energy consumption,
burnt at higher loads to meet the power requirements. This
HME was found 6.59% lower than that of diesel at part
237
load condition and 3.26% lower than that of diesel at full 1.61% less than that of diesel at part load condition and
load condition. Brake specific energy consumption of 45.07% lower than that of diesel fuel at full load condition.
HME20 was found 1.32% lower than that of diesel at part Oxides of nitrogen of HME20 was obtained 0.32% less
load condition and 0.65% lower than that of diesel at full than that of diesel at part load condition and 9.01% lower
load condition. than that of diesel fuel at full load condition. It shows
effective result at full load condition. Reduced oxygen and
3.5 flame temperature leads to lower NOx formation. Figure 6
shows smoke opacity (SO) with respect to brake mean
3 effective pressure (BMEP)It increases at part load
condition. however, it reduces at full load condition. HME
2.5 increases by 89.18% than that of diesel fuel at part load
condition whereas it lowers by 28.35% than that of diesel
SFC, Kg/Kwh
2 fuel at full load condition. HME20 increases by 17.83%

Diesel than that of diesel fuel at part load condition whereas it
1.5 lowers by 5.67% than that of diesel fuel at full load
HME100 condition. Figure 7 shows variation of unburned
1 HME20 hydrocarbon (UBHC) with respect to brake mean effective
pressure (BMEP)It shows decreasing trend with diesel fuel
0.5 at all load condition. HME decreases 50.87% than that of
diesel at part load condition whereas it again reduces
0 84.42% than that of diesel fuel at full load condition.
HME20 decreases 10.17% than that of diesel at part load
100
200
300
400
500
600
650
0
condition whereas it again reduces 16.88% than that of

BMEP, kPa diesel fuel at full load condition.
1400
Figure 3 SFC Vs BMEP
1200
160
1000
NOx, PPM VOl.
140
800
120 Diesel
600
BSEC, MJ/Kwh
100 HME100
400
80 Diesel HME20
200
60 HME100
0
40 HME20
600
100
200
300
400
500
650
0
20 BMEP, kPa
0
Figure 5 NOX Vs BMEP
300
100
200
400
500
600
650
0
BMEP, kPa
Figure 4 BSEC Vs BMEP
3.3. Engine emission analysis
3.3.1. Oxides of Nitrogen, Smoke opacity, and Unburned

hydrocarbon
Figure 5 shows variation of Oxides of nitrogen (NOx) with

respect to brake mean effective pressure (BMEP).It reduces
at all loading. Oxides of nitrogen of HME was obtained
238
90 exhaust gas due to incomplete combustion, is slightly lower

in comparison to diesel. It is decreased due to lack of
80 oxygen since ester is an oxygenated fuel. it leads to better
70 combustion of fuel resulting in the decrease in carbon
60 monoxide. Reduction in carbon monoxide emission is a
strong advantage in favour of ester. It depends on the
SO, HSU
50 physical and chemical properties of the fuel. It is decrease

Diesel
40 due to better air fuel mixing. For carbon dioxide, HME and
30 HME100 its blends decrease slightly at all load condition and HME
and its blends decrease slightly at part load condition.
20 HME20
However, it increases slightly at full load condition for
10 oxygen level.
0
200
100
300
400
500
600
650
0
0.2
BMEP, kPa 0.18
0.16
0.14
Figure 6 SO Vs BMEP
CO, PPM VOL.

0.12
0.1 Diesel
0.08 HME100
0.06
HME20
90 0.04
80 0.02
70 0
100
200
300
400
500
600
650
0
UBHC, PPM VOL.
60
BMEP, kPa
50
Diesel
40
HME100 Figure 8 CO Vs BMEP
30
HME20
20 12
10
10
0
100
200
300
400
500
600
650
0
8
CO2, % VoL.
BMEP, kPa
6 Diesel
Figure 7 UBHC Vs BMEP 4

HME100
HME20
3.3.2. Carbon monoxide, Carbon dioxide emission, and
Oxygen Level 2
Figure 8, 9 and 10 show variation of carbon monoxide 0

(CO), carbon dioxide, and oxygen level with respect to
100
200
300
400
500
600
650
0
brake mean effective pressure (BMEP).HME and its blends

decrease slightly at all load condition. It can be observed BMEP, kPa
that HME fuel properties are comparable with diesel fuel.
The main difference in ester-based fuel contains small
amount of oxygen and that acts as a combustion promoter Figure 9 CO2 Vs BMEP
inside the cylinder. This results in better combustion for
HME than diesel fuel. Hence CO, which is present in the
239
The authors are grateful to Mechanical Engineering

Research and Development Organization (CSIR), Ludhiana
(Punjab) for providing experimental facilities.
Nomenclature
HO Hemp oil
20 HME100 100% & 0%D
18 HME20 20% % & 80%D
BMEP Brake Mean Effective Pressure
16
BTE Brake Thermal Efficiency
14 EGT Exhaust Gas Temperature
O2, % VOL.
12 SFC Specific Fuel Consumption

10 Diesel BSEC Brake specific energy consumption
NOX Oxides of Nitrogen
8 HME100 UHC Unburned Hydrocarbon
6 SO Smoke Opacity
HME20
4 O2 Oxygen Level
2 CO2 Carbon Dioxide
CO Carbon Monoxide
0
D Diesel
100
200
300
400
500
600
650
0
BMEP, kPa Units
KPa Kilopascal
Figure 10 O2 Vs BMEP MPa Megapascal
BSU Bosch Smoke Unit
4. Conclusions HSU Hartridge Smoke Unit
Vol Volume
The raw hemp oil is chosen as potential non-edible oil for ppm Parts Per Million
the production of methyl ester. This methyl ester was MJ/Kg Megajoule Per Kilogram
obtained by the transesterification of raw hemp oil with kJ/Kg Kilojoule Per Kilogram
methanol in the presence of potassium hydroxide as a kJ/kW.hr Kilojoule Per Kilowatt hour
catalyst with constant reaction temperature. The ester based % Percentage
O
fuel was tested in a 4-stroke single cylinder natural C Degree Celsius
aspirated direct injection water cooled diesel engine. The
comparison of HME with diesel in term of engine References
performance and emission reveals better results. The HME
[1] S. Godiganur, C.H. Suryanarayana Murthy, R.P. Reddy,
is observed to burn more efficiently than diesel.
GBTA 5.9 G2-1 Cummins engine performance and emission
Consequently, HME show better results and at full load
tests using methyl ester mahua oil/diesel blends, Renewable
condition, it reduces oxides of nitrogen, unburned Energy 34 (2009) 2172-2177.
hydrocarbon, smoke significantly in maximum percentage. [2] A.S. Ramdas, S. Jayaraj, Use of vegetable oils as I.C. engine
In addition, carbon mono oxide and carbon dioxide shows fuels:- A review, Renewable Energy 2004, 29:729-42.
comparable or slightly reduce to diesel fuel. Brake thermal [3] M.I. Ali-Widyan, G. Tashtonsh and M. Abu-Qudais,
efficiency is improved and exhaust gas temperature is Utilization of ethyl ester of waste vegetable oils fuel in diesel
increased at all loads. Brake specific fuel consumption and engines, Fuel processing Technology, 2000, 76:91-103.
brake specific energy consumption were observed better [4] H. Masjuki, M.Z. Abdulmnin, H.S. Sii, Investigation on
results at all loads. The experimental investigation suggests preheated palm oil methyl esters in the diesel engine, Journal
that HME can be used as a potential substitute for diesel of Power Energy/Proc..Inst. Mechanical Eng 210:131-138.
fuel in diesel engine in the near future when petroleum [5] C. Oner, S. Altun, Biodiesel production from inedible animal
tallow and an experimental investigation of its use as
becomes scarcer.
alternative fuel in a direct injection diesel engine, Applied
Energy 86 (2009) 2114-2120.
Acknowledgements
[6] A.C. Lloyd, T.A. Cackette, Diesel engines: Environmental
impact and control, Journal of Air waste manage Association,
2001, 51:809-47, ISSN:1047-3289.
240
[7] M.P. Dorado, E. Ballesteros, J.M. Arnal, Exhaust emission

from a diesel engine fuelled with transesterified waste olive
oil, Fuel 82, 1311-1315.
[8] R.O. Dunn, Low temperature flow properties of vegetable
oil/cosolvent blend diesel fuels, Journal of the American oil
Chemists 79 (7), 709-715, 2000.
[9] L.D. Klass, Biomass for Renewable Energy fuels and
chemicals, Academic press, USA, 1998.
[10] C.D. Rakopoulos, Comparative performance and emission
studies when using olive oil as a fuel supplement in DI and IDI
diesel engines, Renewable Energy 2 (3), 327-331, 1992.
[11] F. Ma, M.A. Hanna, Biodiesel production: A review,
Bioresource Technology, 70, 1-15.
[12] Y. Solantausta, N. Nylynd, M. Westerholm, Wood-Pyrolysis
oil as fuel in a diesel –Power plant, Bioresource Technology,
46, 177-188, 1993.
241
A Complete Approach on Computational Fluid

Dynamics
Debasish Das1, Rahul Makade2, Vineet Vashishtha3
1,2,3
National Institute of Technology, Hamirpur
Abstract - Computational fluid dynamics (CFD) is a computers commercially available such as CDC6400 and
simulation tool, which uses powerful computer and CDC 7600 with the combination of talent and support
applied mathematics to model fluid flow situations for infrastructure led to a revolutionary advance in
the prediction of heat, mass and momentum transfer computational aerodynamic research. This situation is
and optimal design, this paper reviews the status of destined to change eventually, since it has become clear
advanced computational fluid dynamics in the that the time-dependent Navier-Stokes equations can be
aerodynamic design of modem aircraft and to solved numerically to provide accurate details of turbulent
appreciate the outstanding achievements by the flow. Lees and his students worked on the problems
pioneers of this discipline. The rich heritage of involving boundary-layer/shock-wave interaction. Davis
computational fluid dynamics (CFD) has provided an solved the multi-dimensional compressible boundary layer
in-depth knowledge for computational electromagnetic, equation the triple decktheory of Stewartson has provided a
computational magneto-aerodynamics, and scaling law for the interacting boundary layers and
multidisciplinary technology development in aerospace demonstrated that the singular point of flow separation in
science. The paper review the Current progress the interacting boundary layer is indeed removable.
shortfalls and the developing disciplines and their roots Morettiand Abbett They solved the time-dependent Euler
in CFD are detailed. equation by a finite-difference method; the first CFD
organization solely for aerodynamic application was the
I. INTRODUCTION brainchild of Dean Chapman, then the Director of
The development of computational fluid dynamics (CFD) Aeronautical Science Directorate of the NASA Ames
can be traced back as far as the early 1900s. The pioneering Research Centre. The group of luminaries includes William
efforts by Richardson, Courant, Friedrichs, and Lewy, Ballhous, Richard Beam, Steven Diewert, C.M. Hung, John
Southwell, von Neumann, Lax , as well as Godunov Kim, Paul Kutler, ParvizMoin, EarllMurman, Thomas
address the fundamental issues in numerical analyses for Pulliam, Joseph Steger, Robert Warming, Helen Yee, and
CFD.CFD activity emerged and gained prominence with many others contributed to the development of CFD at
availability of automatic digital computer in the late 1930s Ames Research Centre. As a developing science, CFD has
invented by Atanasoff and was used from nearly the received extensive attention throughout the international
beginning to solve problems in fluid dynamics. In the early community since the advent of the digital computer.
1940s, finite-difference methods for solving partial
differential equations were put to use in practical problems
at Los Alamos National Laboratory with the first electronic
computer. With the advent of the computer CFD has
revolutionized a wide range of scientific research. The
yardstick of success is how well the results of numerical
simulation agree with experiment in cases where careful
laboratory experiments can be established, and how well
the simulations can predict highly complex phenomena that
cannot be isolated in the laboratory (Sethian, 1993).Harlow
first proposed the celebrated particle-in-cell (PIC) method
in 1957 at Los Alamos National Laboratory. This method
uses a combination Lagrangian–Eulerian description of the
fluid motion in discrete space. Computational fluid
dynamics constitutes a new "third approach" in the
philosophical study and development of the whole
discipline of fluid dynamics. Experience has shown that the
extensive and detailed information obtainable from CFD is The Ames Research Centre has not only set the standard
immeasurable. But the explosion in computational activity for scientific research, but also established the collaborative
begins in 1960s with the availability of high speed digital culture in the CFD community since the early 1970s,
computer design by Seymour Cray and made high-speed commercial software packages (or computer codes) became
242
available, making CFD an important component of  It is able to reduce scale-up problems because the
engineering practice in industrial, defense, and models are based on fundamental physics and are
environmental organizations. When computational fluid scale independent.
dynamics has developed to the point where the complete  It is particularly useful in simulating conditions
three-dimensional flow field over the vehicle and through where it is not possible to take detailed
the engines can be computed expeditiously with accuracy measurements such as high temperature or
and reliability. The storage capacity of the computer can dangerous environment.
affect the accuracy of the prediction, as can the speed of the  Eventually, to provide more accurate simulations
machine. Comparing fig 1, 2 we can observe that the of flight aerodynamics than wind tunnels can.
evolution of computer performance over the last 50 years  It can answer many ‗what if‘ questions in a short
and evolution of the CFD tools over the last 40 years at time.
Airbus is going hand in hand. As a result, CFD has become Table.1
an integral part of the engineering design and analysis CFD application in various area
environment of many companies because of its ability to
predict the performance of new designs or processes before Industrial application  Aerospace
 Architecture
they are ever manufactured or implemented (Schaldach et  Automotive
al., 2000).  Biomedical
 Chemical and Process
 Combustion
 Electronics and computers
 Glass manufacturing
 HVAC (heat, ventilation and cooling)
 Petroleum
 Power
 Marine
 Mechanical
 Metallurgical
 Nuclear
 Train design
 Turbo machinery
 Water
Environmental applications  Atmospheric pollution
 Climate calculations
 Fire in buildings
 Oceanic flows
 Pollution of natural waters
II. ADVANTAGES OF USING CFD  Safety
Physiological applications  Cardiovascular flows (heart, major vessels)
CFD has grown from a mathematical curiosity to become  Flow in lungs and breathing passages
an essential tool in almost every branch of fluid dynamics.
It allows for a deep analysis of the fluid mechanics and
local effects in a lot of equipment. Most of the CFD results Table.2
will give improved performance, better reliability, more Comparative study between the three approaches.
confident scale-up, improved product consistency, and Approach Advantages Disadvantages
higher plant productivity (Bakker et al., 2001). Some Experimental 1.Capable of being 1. Equipment required
design engineers actually use CFD to analysis new systems most realistic 2. Scaling problems
before deciding which and how many validation tests need 3. Tunnel corrections
4. Measurement
to be performed. The advantages of CFD can be difficulties
categorized as (Wanot, 1996): 5. Operating costs
 It provides a detailed understanding of flow
distribution, weight losses, mass and heat transfer, Theoretical 1. Clean, general 1. Restricted to simple
information, which geometry
particulate separation, etc. is usually in formula and physics
 It provides flow simulations that are either form 2. Usually restricted to
impractical or impossible to obtain in wind tunnels linear
Problems
or other ground based experimental test facilities.
 It makes it possible to evaluate geometric changes Computational 1. No restriction to 1. Truncation errors
with much less time and cost than would be linearity 2. Boundary condition
involved in laboratory testing. 2. Complicated problems
physics can be 3. Computer costs
 To lower the time and cost required to obtain treated
aerodynamic flow simulations necessary for the 3. Time evolution of
design of new aerospace vehicles. flow can be obtained
243
III. Performing a CFD analysis to solve many thousands of equations. In each case, the
To perform a CFD analysis, the analyst will state the equations are integrated and the boundary conditions are
problem and use scientific knowledge to express it applied to it. This discrete equation and is applied to each
mathematically. Then the CFD software package will individual cell of the mesh. The process is repeated in an
embody this knowledge and expresses the stated problem iterative manner until a required accuracy is achieved. This
in scientific terms. Finally, the computer will perform the step can be a time-consuming process and although it is the
calculations dictated by CFD software and the analyst will core of any CFD software package, little of its operation
inspect and interpret their results. In principle, three can be seen.
different major tasks should be done to perform a CFD
simulation (Shaw, 1992).
Pre-processing
All the tasks that take place before the numerical solution
process are called pre-processing. This includes problem
thinking, meshing and generation of a computational
model. Problem thinking is the first stage in using CFD.
Before committing to practice, it is worth thinking about
the physics of the problem that is faced. In this stage the
analyst should consider the flow problem and try to
understand as much as possible about it. The second stage
is meshing. In this stage the analyst should create the shape
of the problem domain that needs to be analyzed. This can
usually be done with the help of a standard CAD program.
It is possible to import data generated by such program into
a CFD package. Then the problem domain is sub-divided V. POST PROCESSING
into numerous cells, also known as volumes and elements. The post-processing program is used to make evaluation of
Most CFD packages have the program to do meshing and the data generated by the analysis. When the model
define the shape simultaneously. Fig. 3 shows an example has been solved, the results can be analyzed both
which is the meshing structure of a commercial 2d car numerically and graphically. Post-processing tools of the
model. Once meshing has been completed, the boundaries powerful software can create visualization ranging
of the problem domain can be found and the necessary from simple 2-D graphs to 3-D representations.
boundary conditions, determined in the initial stage, should
be applied. These conditions together with some fluid
parameters and physical properties specify the actual flow
problem to be solved. Advanced CFD software packages
have the program to carry out the following operations:
defining a grid of points, also volumes or elements,
defining the boundaries of the geometry, applying the
boundary conditions, specifying the initial conditions,
setting the fluid properties and setting the numerical control Typical graphs obtained with the post-processor
parameters. However, it is not easy to generate a might contain a section of the mesh together with vector
complicated mesh. For example, despite the steadily plots of the velocity field or contour plots of scalar
increasing power of computers, it is still difficult to discrete variables such as pressure. In such graphs, colors are used
the solution domain in the case of 3-D turbulent problems to differentiate between the different sizes of the values.
with a grid fine enough for the solution to be truly Fig 4 gives an example of the flow field over a 2d car
independent (Mirade, 2001). model. When some results have been obtained, they must
be analyzed, first to check that the solution is satisfactory
IV. PROCESSING and then to determine the actual flow data that is required
Processing involves using a computer to solve from the simulation.
mathematical equations of fluid flow. Once the meshing is
completed, the model input values should be specified, and
then the software can solve the equations of state for each
cell until an acceptable convergence is achieved. This is a
very intensive process and usually it requires the computer
244
(2)
(3)
The integral equations hold for any control volume element

contained in the flow field and are the foundation for the
conservation law and finite-volume algorithm. The
equivalent differential equations are obtained by a limiting
process of the control volume. Through Gauss‘ divergence
theorem, the governing equations become
Table 2
Commercial CFD code list
CFD code Company Web site (4)
CFX AEA Technology http://www.software.aeat.com/cfx/
FLUENT Fluent Inc. http://www.fluent.com/
PHOENICS Concentration Heat & Momentum Ltd http://www.cham.co.uk/
(CHAM) (5)
STAR-CD Computational Dynamics Ltd http://www.cd.co.uk
FLOW3D Flow Science, Inc. http://www.flow3d.com
CFD-ACE CFD Research Corporation http://www.cfdrc.com
ICEM CFD ICEM Technologies http://icemcfd.com/icepak.html (6)
AMI-VSAERO Analytical Methods, Inc. (AMI) Inhttp://www.am-inc.com
these equations, the shear stress includes the Reynolds
STORESIM/TE Computational Mechanics Company, Inc. stress tensor and the heat transfer contains Fourier‘s law for
http://www.comco.com/
TMESH heat conduction, as well as the energy transfer by turbulent
IGG™ NUMECA International SA fluctuations. Q is the heat sink or source within the control
http://www.numeca.com/
TECPLOT Amtec Engineering, Inc. volume, i.e. the radiation heat transfers, and fixes the
http://www.amtec.com/
PAM-FLOW Engineering Systems International SA external force exerted on the gas medium.
http://www.esi.com.au/
FLOVENT FlomericsInc (FLOVENT) http://www.flomerics.com/
AVS/EXPRESS Advanced Visual Systems, Inc. http://www.avs.com/
FLO++ Softflo http://www.softflo.com/ (7)
CFD++ Metacomp Technologies, Inc. http://www.metacomptech.com/
VI. GOVERNING EQUATIONS (8)

The genesis of CFD has evolved in solving the The Navier–Stokes equations in this form are classified as
time dependent Navier–Stokes equations, a system of five the incompletely parabolic differential system .The
nonlinear partial differential equations for three- equation system is not closed: there are five equations but
dimensional fluid motion. This set of governing equations nine dependent variables (u, v, w, r, p, T, m, l, and k).
for incompressible flow has been known since 1827 [22]. It Additional equations must be introduced through the
becomes conventional to refer to the complete set of constitutive relations for the transport properties of the
equations of fluid motion as the Navier–Stokes equations fluid medium and the equation of state. For laminar flow,
for compressible medium including Fourier‘s law for with a set of appropriate initial and boundary conditions,
conducting heat transfer. The Navier–Stokes equations are the differential equation system is solvable in principle. For
the macroscopic description of the conservation laws of turbulent flow, the current computational capability is
mass, momentum, and energy. In the Eulerian frame of unable to resolve the fluid motion in the Kolmogorov
reference, these conservation laws in integral form are micro scales. One must be satisfied with the solution of the
ensemble average with turbulence closure models. The
ensemble average process is equivalent to the time average
for statistically stationary flow. However, this process also
(1) eliminates several key characteristics of turbulence—the
frequency, phase, and wavelength of the fluctuating
245
motion. This is usually not critical for some practical equations for a finite-difference approximation can still
applications. To date the most widely used ensemble retain the strong conservation form. Now the flux vector
average is mass–weight, due to Favre, and is based on the components explicitly contain the Jacobian of coordinate
fact that the average mass of fluid in a control volume transformation, J.
moves at a constant mean mass–weight velocity. This
observation is also supported by the fact that the density
variation has a volumetric, rather than a dynamic effect on
the velocity field in a compressible turbulent flow. In (10)
literature, the mass–average Navier–Stokes equations are
written in flux vector form. The Cartesian coordinates are
always adopted as the basic frame of reference for all
successive coordinate transformations necessary to describe
a specific configuration. The flux vectors are often split (11)
into the in-viscid and viscous components subject to
different numerical approximations.
(12)
(9)
(13)
Where the dependent variables and the flux vector
components in three spatial dimensions are
(14)
(15)
,
Physically meaningful boundary conditions, in general,
require the no-slip condition for the velocity components
on the solid surface, and the prescribed surface or adiabatic
condition for the temperature. The density is determined by
the vanishing outward normal pressure gradient at the solid
surface. This widely used numerical boundary condition is
an outgrowth of the boundary layer approximation and is
further reinforced by the inner layer structure of the triple
deck theory of Stewartson.
VII. VERIFICATION AND VALIDATION

In order for computational simulation to achieve
its full potential as a predictive tool, engineers must have
confidence that the simulation results are an accurate
representation of reality. Verification and validation (V&V)
are the primary means to assess the accuracy and reliability
of computational simulations. Fig 6 identifies two types of
models: a conceptual model and a computerized model.
The conceptual model is composed of all information,
mathematical modeling data, and mathematical equations
that describe the physical system or process of interest. The
conceptual model is produced by analyzing and observing
the physical system. In CFD, the conceptual model is
dominated by the partial differential equations (PDEs) for
conservation of mass, momentum, and energy.
Fig. 6 clearly shows that verification deals with
In practical applications via a finite-difference method, the the relationship between the conceptual model and the
flux vector equations are always transformed into a computerized model and that validation clearly deals with
generalized curvilinear, body-oriented coordinate system. the relationship between the computerized model and
By invoking a metrics identity from coordinate reality.
transformation, the flux vector from of the Navier–Stokes
246
• Verification: The process of determining that a model

implementation accurately represents the developer‘s
conceptual description of the model and the solution to the
model. (16)
• Validation: The process of determining the degree to
which a model is an accurate representation of the real The norm in Eq. (16) is any appropriate measure of the
world from the perspective of the intended uses of the difference between solutions of the discretization and exact
model. equations.
There are two fundamental aspects to verification: code For a stable numerical scheme, the errors must not
verification and solution verification. Code verification is grow in the marching direction. These errors can be due to
the process of ensuring, to the degree possible, that there any source (round-off error, iterative error, etc.).Typical
are no mistakes (bugs) in a computer code or stability analyses such as von Neumann‘s method are valid
inconsistencies in the solution algorithm. Solution for linear equations only.
verification is the process of quantifying the numerical
errors that occur in every numerical simulation. Examples
of these numerical errors include round-off error, iterative
error, and discretization error.
(17)
Finally, convergence addresses the issue of the solution to

the discretize equations approaching the continuum
solution to the partial differential equations in the limit of
decreasing element size. Convergence is addressed by
Lax‘s equivalence theorem (again valid for linear equations
only) which states that given a properly-posed initial value
problem and a consistent numerical scheme, stability is the
necessary and sufficient condition for convergence. Thus,
consistency addresses the equations, while convergence
deals with the solution itself. Convergence is measured by
evaluating (or estimating) the discretization error. For
verification purposes, it is convenient to define the
discretization error as the difference between the solution
to the discretize equations and the solution to the
VIII. CONSISTENCY, STABILITY AND original partial differential equation , where k refers
CONVERGENCE to the mesh level.
The accuracy of a numerical scheme to an exact
solution has imposed certain requirements on a numerical
scheme. These requirements are defined as consistency,
(18)
stability and convergence. They cover different aspects of
the relations between the analytical and the discrete
Fig .7 shows the relations between the analytical and the
equations, between the numerical solution and the exact,
discretized equations, between the numerical solution and
analytical solution of the differential equations representing
the exact, analytical solution of the differential equations
the mathematical model.
representing the mathematical model.
For a numerical scheme to be consistent, the
discretize equations must approach the original partial IX. COMPRESSIBLE VERSES INCOMPRESSIBLE
differential equations in the limit as the element size FLOW
approaches zero. For strongly consistent The major difference between the incompressible and the
schemes, in the limit of sufficiently fine grids and under compressible Navier–Stokes formulations is in the
simplifying assumptions (e.g., linearity, constant grid continuity equation. Satisfying the mass conservation
spacing), heuristic arguments can be presented that the equation, therefore, is the primary issue in solving the
discretization error is proportional to the truncation error. above set of governing equations. In general, the physical
The truncation error for strongly consistent discretization is behavior of compressible flow is more complicated than
where we assume one space incompressible flow. For example, the flow associated with
dimension. This is a convenient starting point for low-speed airplanes belong to incompressible flow domain,
estimating discretization error if the discrete solutions that is, M<0.3 for air and compressible for higher speeds,
converge. Then, for sufficiently small h and t, we have, that is, M>0.3. Computational incompressible fluid
247
dynamics was treated as a special case of aerodynamics,

that is, the low-speed limit of compressible fluid dynamics.
Mathematically, the incompressible flow
formulation poses unique issues not present in
compressible equations because of the incompressibility
requirement. Physically, information travels at infinite
speed in an incompressible medium, which imposes
stringent requirements on computational algorithms for
satisfying incompressibility, and causes difficulties in
designing downstream boundary conditions. X. INTERDISCIPLINARY COMPUTING
In order to take in to account the compressibility SIMULATION
and variation of density in high speed flows, we utilize the To analyses a complete aerospace vehicle‘s performance,
density based formulation ( ). This is in contrast the interaction between the structure and aerodynamic
force, the thermodynamic dynamic properties of the high-
to the pressure based formulation ( ) for temperature gas surrounding the flight vehicle and within
incompressible flow. Generally, two different approaches the propulsive system, as well as the flight control and
are used in solving incompressible flow. The first is based communication systems must be integrated into the
on satisfying the incompressibility directly. If primitive iterative design process. Therefore, it is natural for CFD to
variables, i.e., pressure and velocity, are chosen, pressure is expand into the interdisciplinary computational domain.
used as a mapping parameter to satisfy incompressibility.
This class of methods is generally known as the ‗‗pressure XI. AERO ELASTICITY
based‘‘ method. For general three-dimensional In transonic flight, the challenge to resolve the buffeting,
applications, however, the primitive variable formulation limit cycle oscillation, and flutter phenomena arises. The
poses the least difficulty in geometry modeling and in nonlinear interaction between aerodynamic forces and
setting the boundary conditions. The second approach is structure response can lead to structure failure or become
based on compressible flow formulation where momentum the limiter of air vehicle performance. Historically, the
and continuity equations are coupled through the use of dynamic aeroelastic computations were performed using
density. Incompressibility is recovered as a limiting case of Euler or Navier–Stokes numerical procedures to solve flow
this formulation. This class of methods is known as the field over 3D rigid bodies, then extended to include
‗‗density-based‘‘ method. The artificial compressibility aeroelastic effects. Today, the advance in nonlinear
method is typical of this approach, which is a special case aeroelasticity progresses at a very rapid rate to address the
of preconditioned compressible flow methods. The long outstanding problems in structural response to
primitive variable approach includes the artificial aerodynamic forces and moments. Gordnier and Visbal
compressibility method(ACM)[Chorin, 1967],and the developed a more rigorous aerodynamic calculation
pressure correction methods(PCM) including the marker procedure to solve the nonlinear panel flutter by coupling
cell (MAC) method [Harlow and Welch, 1965],the semi- the three-dimensional Navier–Stokes equations and the
implicit method for pressure linked von-Karman plate equation. In most numerical procedures,
equation(SIMPLE)[Patankar and Spalding, 1972],and the the aerodynamic and structural dynamic equations are
pressure implicit with splitting of solved in sequence or in a loosely coupled manner. The
operators(PISO)[Issa,1985],it has shown that these most recent developments for aeroelasticity simulation are
methods are devised in order to ensure the conservation of focused on the introduction of the finite-element method
mass so that pressure oscillation can be prevented. Vortex for direct structural dynamics computations. Farhat and
methods in which pressure terms are absent are preferred in Lesoinne developed a variety of techniques for the
dealing with rotational incompressible flows as they are coupling aerodynamic and structural dynamics
computationally efficient. For compressible in-viscid flow computational methods. They solved the coupled system of
first order upwind schemes and second order upwind equations via a partition procedure in which a staggered
schemes, Godunov method for first order scheme and algorithm is employed for the time discretized equation
MUSCL, TVD, ENO, and FCT for second order scheme is system.
used. For compressible viscous flow explicit methods,
implicit methods, PISO methods, preconditioning methods, XII. AEROTHERMODYNAMICS
flow field dependent variation methods and many other The air temperature around a hypersonic vehicle is
methods are available. around 12,000 K. At this temperature, the nitrogen is
almost completely dissociatedand is partially ionized. The
problems of energy management and thermal protection
require new material research and the complication of the
rarefied gas effect also becomes pronounced in flight at
extremely high altitude. For high-speed CFD simulation in
248
the hypersonicflow regime, the chemical kinetics must be for Aerospace Science and Engineering,‖ Parallel
considered. In this simulation, only the nonequilibrium Computational Fluid Dynamics, New Frontiers and Multi-
dissociation of air is modelled and the chemical kinetics is Disciplinary Applications, Elsevier , pp.187-194, 2003.
solved simultaneously with the compressible Navier– 10.) Fujitsu, http://www.fujitsu.com.
Stokes equations. 11.)Fujita, N. and Ookawa, H., ―The GSN Library and
FORTRAN Level I/O Benchmarks on the NS-III HPC
XIII. COMPUTATIONAL MAGNETO-FLUID System,‖ High Performance Computing, Springer,
DYNAMICS LNCS2858, pp.458-467, 2003
Computational magneto-fluid dynamics (CMD) is a natural 12.) McMillan WS, Richards BE, Woodgate MA, Gribben
extension of CFD application for hypersonic flows. The BJ, Badcock KJ, Masson CA, Cantariti F. A!ordable high
strong compression of a bow shock wave converts nearly powered clustered computing for aerospace applications.
all kinetic energy to thermal energy. As the air temperature Aeronaut J 1999;103(1027):443}7.
exceeds 5000 K, a fraction of the dissociating molecules 13.) Matsuo, Y., ―An Immersive and Interactive
will shed their electrons. The ionized air mixture is then Visualization System for Large-Scale CFD,‖ In
characterized by a finite value of electrical conductivity, Proceedings of 4th ASME/JSME Joint Fluids Engineering
depending on the flight speed and altitude. The interaction Conference, FEDSM2003-45201, June 2003.
of charged particles with an applied electromagnetic field 14.) Yamamoto, K., Ochi, A., Shima, E., and Takaki, R.,
generates the Lorentz force and Joule heating as additional ―CFD Sensitivity of Drag Prediction on DLR-F6
mechanisms that influence aerodynamic performance. For Configuration by Structured Method and Unstructured
studying these phenomena, the so-called ideal magneto- Method,‖ AIAA Paper 2004-0398, January, 2004.
hydrodynamic (MHD) equation is adequate to describe, the 15.) Hirsch Ch. Numerical computation of internal and
development of CMD for aerospace application, really external flows, vols. I & II. Chichester: Wiley; 1990.
started a few years ago. Prior to the late 1990s, to simulate 16.) CovertEE. Aeronautics and space engineering board
wave motion dominant phenomena, the characteristic- national research council aeronautical technologies for the
based or approximate Riemann algorithm in CFD, fits twenty-first century. Washington, DC: National Academy
perfectly for solving the hyperbolic equation system. Brio Press, 1992.
and Wu, and Powell et al. were the first few toapply the 17.)Shang JS. Challenges for computational
upwind differencing schemes to solve the ideal MHD electromagnetic in the time domain. 1997 IEEE
problems. International Symposium on Antennas and Propagation,
Montreal, Canada, vol. 1,
References July 1997. p. 94–7.
1.)Covert EE. Aeronautics and space engineering board 18.) Knight DD. Parallel computing in computational fluid
national research council aeronautical technologies for the dynamics. In: AGARD Conference Proceedings, Vol. 578,
twenty-first century. Washington, DC: National Academy Progress and Challenges in CFD: Methods and Algorithms,
Press, 1992. 1995; 3.1}3.14.
2.) Harlow FH. The particle-in-cell computing method for 19.) Shang JS. Assessment of aeronautical science for the
fluid dynamics. Methods in computational physics, 21st century, 37th Aircraft Symposium. Tokyo, Japan: the
vol.3.New York: Academic Press; 1964. p. 319–43. Japan Society for Aeronautical and Space Science,
3.) Lees L, Reeves BL. Supersonic separated and October 1999.
reattaching laminar Flows: I. General theory and 20.) Shang JS. Recentresearch in magneto-aerodynamics.
application to adiabatic boundary-layer/shock-wave In: Progress in Aerospace Science, Vol. 37. Oxford,
interactions. AIAAJ 1964; 2:1907–20. England: Elsevier, 2001. p. 1–20.
4.) Davis RT, Flugge-Lotz I. Second-order boundary 21.) Lele SK. Compact finite difference schemes with
effects in hypersonic flow past axisymmetric blunt bodies spectrallike resolution. J Comp Phys 1992;103:16–42.
Fluid Mech 1964; 20:593–623. 22.) Thompson JF, Weatherill NP. Aspects of numerical
5.) Stewartson K, Williams PG. Self-induced Grid generation in the 90's: trends, needs and influences.
separation.Proc R Soc London, Series A 1969; 312:181– AIAA Applied Aerodynamics Conference Monterey,
206. California, August, 1993.
6.) Moretti G, Abbett M. A time-dependent computational 23.) Tam CKW, Weber JC. Dispersion–relation–preserving
method for blunt-body flows.AIAA J 1966;4(12):2136–41. finite difference schemes for computational acoustics. J
7.) J.S. Shang,‖ Three decades of accomplishments in Comp Phys 1993;107:262–81.
computational fluid dynamics‖, Progress in Aerospace 24.) Gaitonde DV, Shang JS. Optimized compact-
Sciences 40 (2004) 173–197. differencebased finite-volume schemes for linear wave
8.) Shang JS, Ganguly B, Umstattd R, Hayes J, Arman phenomena. J ComputPhys 1997;138:617–43.
M,Bletzinger P. Developing a facility for magneto- 25.) Shang JS. High-order compact-difference schemes for
aerodynamic experiments. J Aircr 2000;37(6):1065–72. time-dependent Maxwell equations. J Comput Phys
9.) Matsuo, Y., et. al, ―Numerical Simulator III – Building 1999;153:312–33.
a Terascale Distributed Parallel Computing Environment
249
26.) Shang JS, Wagner M, Pan Y, Blake DC. Strategies for

adopting FVTD on multicomputers. Comput Sci Eng
2000;10–21.
27.) Grismer MJ, Strang WZ, Tomaro RF, Witzman FC.
Cobalt: a parallel, implicit, unstructured Euler/Navier–
Stokes solver. Adv Eng Software 1998;29:365–73.
28.) de Hoffman F, Teller E. Magneto-hydrodynamic
shocks. Phys Rev 1950;80:692–703.
29.) Jameson A. Iterative solution of transonic flows over
airfoils and wings including flows at mach 1. Commun
Pure Appl Math 1974;17:283–309.
30.) Thompson JF, Thames FC, Mastin CW. Automatic
numerical generation of body-fitted curvilinear coordinate
system for field containing any number of arbitrary
two-dimensional bodies. J Comput Phys 1974;15: 299–319.
31.) Steger JL, Sorenson RL. Use of hyperbolic partial
differential equations to generate body fitted coordinates,
numerical grid generation techniques. NASA Conference
Pub. 2166; 1980. p. 463–78.
32.) Chapman DR. Computational aerodynamics
development and outlook. AIAA J 1979;17(12):1293}313.
33.) Roache PJ. Quantification of uncertainty in
computational fluid dynamics. Ann Rev Fluid Mech
1997;29:123}60.
34.) Gottlieb D, Orsag S. Numerical analysis of spectral
methods. Philadelphia, PA: SIAM, 1997.
35.) Roache PJ. Verfication of Codes and Calculations.
AIAA J 1998;36:696}702.
36.) Oberkampf WL, Blottner FG. Issues in computational
fluid dynamics verification and validation. AIAA J
1998;36:687}95.
250
Effect Of Addition Of Metal(Alpha-Thiopicolin

Anilide) On Photo Degradation of Polyisobutylene
Film
S.P. Handa1, A. Singh2, S.L. Vashist3 , Asha Malik4, Madhu Vohra5
1,2,3,4,5
P.G. Department of chemistry, M.L.N. College
Yamuna Nagar-135001 (Haryana) India
Kurukshetra university
ashatomar_1985@yahoo.com
5
madhuvohra_1982@yahoo.com
Abstract-The effect of metal Tris-(α-Thiopicolin anilide)- In the present investigation an attempt has
Mangenese(III) (TPAM) and Tris-(α-Thiopicolin anilide)-
Iron(III) (TPAF) with (0.01% wt.) on the photo degradation been made to study the effect of metal (Mn & Fe)
of Polyisobutylene(PIB) film was examined by changes in Tris-(α-Thiopicolin anilide) in matrix of PIB film
weight average molecular weight, energy of activation and which leads to a reduced molecular weight and
quantum yield of the photolysis of polymer film with 254 nm
light. The photo degradation was affected by the kind of metal random main chain scission of the polymer film
and by the temperature. The degree of degradation increases when exposed to 254nm light.
with passage of time confirming the random nature of the
chain scission of the polymer. The unsaturation produced is
proportional to the time of irradiation. II. MATERIALS AND METHODS
Key Words- Effect, Mangnese, Iron , Degradation, The photodegradation was followed by
Polyisobutylene, Temperature. light scattering and potassium ferrioxalate
actinometry and the data have been processed to
calculate the values of weight average molecular
I. INTRODUCTION
weight, degree of degradation, the specific rate
constant and quantum yield. The molecular
In recent years, a more visible problem is
weight changes and cross linking in case of
the production of plastics that do not end up
polydimethylsiloxane was determined by David
ultimately in some form of garbage disposal
et al.[5].Likewise the sensitivity of polyvinyl
system. Polyisobutylene was specifically chosen
chloride in natural environment was found by
for investigations because it is a primarily
Hussain et al.[6]. In a similar way the changes in
commercial molding material whose application
carbonyl index average molecular weight on
are limited by the deterioration of some of its
embattlement of enhanced photodegradable was
useful properties by solar radiations. Therefore,
determined by Andrady et al. [7].The chemical
the photostabilization and degradation of
and physical changes occurring during U.V.
polyisobutylene is a problem of considerable
degradation of high impact polystyrene was
importance and scientific interest. Scott and
found by Gaffar et al.[8]. The effect of U.V.
Andrady [1-2] has established on the photo
radiation on the thermal parameters of collagen
degradation of polymeric materials in connection
degradation was studied by Kamimska et al.[9]
with the preparation of self disposal packing
studied the influence of transition metal salts on
material. It is well known that trace amount of
the photo oxidative degradation of polyethylene
metallic impurities and additives present in
oxide. Jakubiak et al.[10] studied the cross
polymers play an important role in
linking polymerization of multifunctional
photodegradation of substrates. Some such
monomers in presence of visible light photo
additives act as photosensitizers while other act
initiator. Likewise Jakubiak et al.[11] studied
as quenchers [3-4] .
251
amine photoinitiating system for the initiation of polymerization Pw,t/Pw,o without making an
free radical polymerization. appreciable error. These ratios have been
obtained by light scattering measurement.
The Poly-Isobutylene (PIB) used The change in weight-average molecular
throughout was Vistanex-L-140, which was weight (Mw) and refractive index increment
provided by Enjay Chemical Company, New (dn/dc) of PIB film in isooctane were determined
York. The polymer sample was purified by three using light scattering photometer and differential
precipitations from petroleum ether (40-60oC) refractometer. Zimm plots have been employed
with methanol. It had a weight-average molecular to estimate weight-average molecular weight as a
weight of 1.95x106 gm/mol as measured by light function of time. The unsaturation i.e. the
scattering photometer. PIB film (80 μm thick) presence of ehtylenic double bond was
was prepared by blending the polymer with (0.01 determined from iodine no. obtained by
to 0.1 wt.%). Tris-(α-Thiopicolin anilide) dissolving the polymer film in chloroform and
Mangenese (TPAM) and iron (TPAF) was treating the solution with Wijs reagent (iodine
prepared by hot pressing under a pressure of monochloride in acetic acid) for several hours.
200kg cm2 for 5 min at 50oC. All films with The iodometric title was determined after one
TPAM and TPAF were prepared under the same hour in the dark.
processing conditions to avoid different thermal
pretreatment of the samples. III. RESULTS AND DISCUSSION
The PIB films were irradiated with the
light flux of 254nm for various periods in the
temperature range -10oC to +110oC. Using a An analysis of the relative changes in
general electric VA-3 mercury lamp in the air weight average molecular weight (Mw) has been
temperature of the system was controlled within shown to provide a versatile test for random
± 0.2oC chain scission. Fig.1.1 and 1.2 shows Mw as a
The values of quantum yield of the function of time of irradiation from PIB film with
polymer chain scission were determined from the 0.01 wt.% TPAM and TPAF at various
equation. temperatures with a light of flux of 2.38x10-9
1/Pn,t = 1/Pn,o +M/w No.φ.Ia.t einstein sec-1 cm-2. The plots show a rapid
Pn,o = Initial number average degree of decrease in Mw initially which then slows down,
polymerization suggesting that the initial rapid drop in Mw is due
Pn,t = Number average degree of polymerization to scission of bonds at various weak links that
after degragation may be distributed along the polymer chain, and
M = Molecular weight of monomer the initial rate at which the bonds are broken is
No = Avogadro’s number not sustained. It has been shown that weight
w = Weight of irradiated polymer average molecular weight values for TPAF
t = Time of degradation shows a decrease when compared with TPAM at
Ia = Intensity of light observed by the polymer different temperatures suggesting that TPAF has
film various weak links in the polymer chain.
φ = Quantum yield of PIB sample
Thus by plotting 1/Pn,t Vs irradiation time
t, one can obtain the quantum yield from the
slope of the graph. Here in this case tan α would
be equal to M/wNo.φ.Ia. Therefore the quantum
yield is given by formula.
φ = w No/Ia.M tanα
The value of tanα = Pn,t/Pn,o which can be
replaced by the ratios of weight average
252
6
2.4 PIB(-10 C)
5 PIB+TPAM
2 PIB(-10 C) PIB(20 C)
PIB+TPAM 4
PIB+TPAM
PIB(20 C)
1.6 PIB(50 C)
X 10-4
PIB+TPAM 3
PIB+TPAM
M w X106
PIB(50 C)
1.2 PIB(80 C)
PIB+TPAM
2
PIB(80 C) PIB+TPAM
0.8 PIB+TPAM PIB(110 C)
1
PIB(110 C)
PIB+TPAM
0.4 PIB+TPAM
0
0 25 50 75 100 125 150
0
Time of irradiation(hr.)
0 25 50 75 100 125 150
Fig. 2.1 Variation of degree of degradation during 254 nm irradiation of
PIB film with 0.01wt.% TPAM at various temperature
Fig. 1.1 Variation of weight-average molecular weight (Mw) during 254
nm irradiation of PIB film with and without 0.01wt.% TPAM at various
temperature 9
PIB(-10 C)
8
PIB+TPAF
2.4
7 PIB(20 C)
PIB(-10 C) 6
2 PIB+TPAF
PIB+TPAF
5
X 10 -4
PIB(50 C)
PIB(20 C)
1.6 4 PIB+TPAF
PIB+TPAF
PIB(80 C)
M w X106
PIB(50 C) 3
1.2
PIB+TPAF PIB+TPAF
2
PIB(80 C) PIB(110 C)
0.8 1
PIB+TPAF PIB+TPAF
PIB(110 C) 0
0.4 0 25 50 75 100 125 150
PIB+TPAF
0
Fig. 2.2 Variation of degree of degradation during 254 nm irradiation of
0 25 50 75 100 125 150 PIB film with 0.01wt.% TPAF at various temperature
When β is plotted (fig. 3) as a function of

Fig. 1.2 Variation of weight-average molecular weight (Mw) during 254
nm irradiation of PIB film with and without 0.01wt.% TPAF at various temperature of degradation, a straight line which
temperature does not pass through the origin is obtained it
For randomly distributed weak links, which means that the weak lines are incorporated into
break rapidly in the initial stages, the degree of the polymer chain. The frequency of such
degradation is given as incorporation increases with temperature.
α = β + kt
where β is the fraction of weak bonds present in
the polymer chain and k is the first order rate
constant for bond scission and t is the irradiation
time.
From fig. 2.I and 2.2 it is seen that degree
of degradation in case of TPAF is more than that
of TPAM. This degree of degradation increases
with increases in temperature of irradiation.
253
This is further confirmed by degree of

degradation in which TPAF has a higher value of
12
degradation when compared with TPAM at
different temperatures. A greater value of degree
10
of degradation generally indicates a random
breaking in polymer chain. Further the values of
8
k at each temperature for different periods show
PIB
good agreement, at any rate there is less than two
B X106
6 TPAM
TPAF
fold variation.
4
PIB+0.01% TPAM, k = 1.995x10-9 exp(-222/RT)
PIB+0.01% TPAF, k = 1.821x10-9 exp(-198/RT)
2
The unsaturation i.e. presence of
ethylenic double bond (C=C) was determined by
0
measuring iodine number. The original
-10 10 30 50 70 90 110 specimens ( fig. 5 ) already showed small degrees
Temperature of unsaturation which is subtracted from the total
unsaturation of PIB film due to 254nm irradiation
Fig. 3 Variation of fraction of weak bond (β) in PIB film with and without
0.01wt.% TPAM and TPAF as a function of temperature during 254 nm
at 110oC. In both TPAM and TPAF the
irradiation unsaturation does increase linearly with time, it is
therefore suspected that weak links are formed in
The activation energy values for the degradation PIB structures due to intermolecular unsaturation.
have been calculated from the plots of log k Vs
1/T (fig. 4). The values of activation energies for
degradation are 2.10 Kcal mol-1 and 1.98 Kcal
14
mol-1 for TPAM and TPAF respectively. The
value of TPAF is lower as compared to TPAM. A 12
Double bond per 100 monomer unit
lower value of activation energy means fast

degradation reaction. It means that TPAF 10
degrades faster as compared to TPAM. 8 PIB

TPAM
9.8 6 TPAF
9.6 4
2
9.4
PIB 0
Log K
9.2 TPAM 0 20 40 60 80 100 120 140 160

TPAF Time (hr)
9
Fig. 5 Variation of unsaturation during 254 nm irradiation of PIB
film with and without 0.01wt.%TPAM and TPAF at 20oc
8.8
Another way of degradation reaction

8.6 characteristics is measurement of quantum yield
0 1 2 3 4 5
for chain scission process (fig. 6). The values of
1/T X 10-3
quantum yield are more in TPAF than in TPAM
Fig. 4 Variation of Log K versus 1/T of photodegradation of PIB in the and they increases with temperature. The
absence and presence of 0.01 wt.% with TPAM and TPAF
explaination of low value in TPAM is that the
254
energy is absorbed at one site, so that the The authors thank the principal , M.L.N. College
probability of a single bond breaking is small. , Yamuna Nagar , Haryana for providing
facilities.
REFERENCES
20
1. G. Scott, Polymer Degradation and Stabilization. Elsevier
18
Applied Science Publishers , London, 1,1141-1151 (1990).
16
2. A.L. Andrady and J.E. Pegram, Journal of Applied Polymer
14
Science . , 39, 363 (1990)
12 PIB
O X 103
3. A. Torkai , T. Mistsuoka and K. Fueki , Journal of Applied

10 TPAM
TPAF Polymer Science. , 31, 2785-2788 (1993).
8
4. S.H. Hamid , M.B. Amin and A.G. Maadhah, In Handbook
6
Polymer Degradation , Marcel Dekker Inc New York (1995).
4
2 5. Bernol P. David , Bedrossian Laura , Collins Kelly and Fossum
0 Erric Macromolecules . , 36 , 333 (2003).

-10 10 30 50 70 90 110 6. I. Hussain , S.H. Hamid and J.H. Khan, Journal of Vinyl and
o
Temperature( c) Additive Technology. , 1, 137-141 (1995)
7. A.L. Andrady , J.E. Pegram and Y. Tropsha , Journal of
Fig. 6 Variation of quantum yield during 254 nm irradiation of
PIB film with and without 0.01wt.% TPAM and TPAF as a function of Environmental Degradation of Polymers . , 1 , 171-179 (1993)
temperature. 8. A. Ghaffar, A.G. Scott and G. Scott , European Polymer
Journal , 11, 271 (1976).
Therefore , the role of metal (alpha- thiopicolin 9. A. Kaminska and A. Sionokowska , Polymer Degradation and
anilide) on photodegradation are greatly Stability . , 51 , 19 (1996).
dependent on the kind of metal used as shown in 10. Jakubiak , A. Sionkowska , L.A. Linden and J.F. Rabek ,
the case that TPAF is degrading faster than Journal of Thermal Analysis and Calorimetry . , 65 , 435
TPAM in this study. (2001).
11. Jakubiak , J.X. Allonas , J.P. Fousassier , A. Sionkowska ,
ACKNOWLEDGEMENT E. Andrzwewska , L.A. Linden , and J.F. Rabek , Polymer . ,
44 , 5219 (2003).
255
A New Generation Biomass Gasification System-

A practical approach
1
Debasish Das, 2Rahul Makade
1,2
Department of Mechanical Engineering, NIT Hamirpur, H.P. 177005
Abstract - Biomass (wood, agricultural residues, forestry technology. At present there are about 64 gasification
residues, energy crops, etc.) is a renewable fuel and the equipment manufacturers all over the world.
fourth largest following coal, oil and natural gas.
Compared with these fossil fuels, it has the advantages II. SOURCES OF BIOMASS
of being neutral in regard to the emissions of the  industrial waste wood (waste wood from
greenhouse gas carbon dioxide, as this participates in woodworking and wood-processing operations
biomass growth through the photosynthesis reactions, and waste wood from operations in the wood
and reducing pollutant species generation, given the low materials industry)
sulfur and nitrogen contents. Thermal and chemical  used wood (used products made from wood) and
processes of biomass conversion consist of direct products and by-products from wood-processing
combustion, to generate heat and electricity, pyrolysis operations
and gasification, to produce mainly liquid and gaseous  wood-based waste from the pulp and paper
fuels to be processed afterwards. industries, e.g. black liquor (with only biomass
Biomass gasification means incomplete carbon)
combustion of biomass resulting in production of  crude tall oil, tall oil and pitch oil from the
combustible gases, including Carbon monoxide (CO), production of pulp
Hydrogen (H2), Methane (CH4), CmHn, this mixture is  forestry residues
called pyrolysis gas.  lignin from the processing of plants containing
I. HISTORICAL BACKGROUND ligno-celluose
 animal, fish and food meal, fat, oil and tallow
The process of gasification to produce combustible from
 primary residues from food and beverage
organic feeds was used in blast furnaces over 180 years
production
ago. The possibility of using this gas for heating and power
 manure
generation was soon realized and there emerged in Europe
producer gas systems, which used charcoal and peat as feed  agricultural plant residues
material. At the turn of the century petroleum gained wider  sewage sludge
use as a fuel, but during both world wars and particularly  biogas produced by digestion, fermentation or
World War II, shortage in petroleum supplies led to gasification of biomass
widespread re-introduction of gasification. By 1945 the gas  landfill gas
was being used to power trucks, buses and agricultural and  charcoal
industrial machines. It is estimated that there were close to Fuels whose components and intermediate products have
9000,000. Vehicles running on producer gas all over the all been produced from biomass:
world9 .  bioethanol
After World War II the lack of strategic impetus and the  biodiesel
availability of cheap fossil fuels led to general decline in  etherised bioethanol
the producer gas industry. However Sweden continued to  biomethanol
work on producer gas technology and the work was  biodimethylether
accelerated after 1956 Suez Canal crisis. A decision was  bio-oil (a pyrolysis oil fuel) and bio-gas(Carbon
then made to include gasifiers in Swedish strategic monoxide, Methane)
emergency plans. Research into suitable designs of wood
gasifiers, essentially for transport use, was carried out at the III. APPLICATIONS
National Swedish Institute for Agricultural Machinery a. Shaft power systems
Testing and is still in progress10 . b. Direct heat application
The contemporary interest in small scale gasifier R&D, for c. Chemical Production
most part dates from 1973 oil crisis. The U.S. research in
this area is reviewed by Goss11. The manufacturing also IV. CHEMICAL REACTION
took off with increased interest shown in gasification C + O2 = CO2
2H2 + O2 = 2H2O
256
C + CO2= 2CO
C + H2O = CO + H2
CO + H2O = CO + H2
C + 2H2 = CH4
CO2 + H2 = CO + H2O
V. TYPES OF GASIFIER
There are three types of gasifiers
1.Downdraft 2. Updraft 3.Crossdraft
Various zone in updraft gasifier

Advantages and Disadvantages of various Gasifiers
Sr. Gasifier Advantage Disadvantages

VII. REACTION CHEMISTRY
No Type The following major reactions take place in combustion
. and reduction zone12.
1. Updraft - Small pressure - Great sensitivity to tar
drop and moisture and
1. Combustion zone
- good thermal moisture content of fuel The combustible substance of a solid fuel is usually
efficiency - relatively long time composed of elements carbon, hydrogen and oxygen. In
- little tendency required for start up of IC complete combustion carbon dioxide is obtained from
towards slag engine
carbon in fuel and water is obtained from the hydrogen,
formation - poor reaction capability
with heavy gas load usually as steam. The combustion reaction is exothermic
2. Downdraft - Flexible - Design tends to be tall and yields a theoretical oxidation temperature of 14500C
adaptation of gas - not feasible for very C + O2 = CO2 (+ 393 MJ/kg mole) (1)
production to load small particle size of fuel 2H2 + O2 = 2H2 O (- 242 MJ/kg mole) (2)
- low sensitivity to 2. Reaction zone
charcoal dust and
tar content of fuel The products of partial combustion (water, carbon dioxide
3. Crossdraft - Short design - Very high sensitivity to and uncombusted partially cracked pyrolysis products) now
height slag formation pass through a red-hot charcoal bed where the following
- very fast response - high pressure drop reduction reactions take place12.
time to load
- flexible gas
C + CO2 = 2CO (- 164.9 MJ/kg mole) (3)
production C + H2O = CO + H2 (- 122.6 MJ/kg mole) (4)
CO + H2O = CO + H2 (+ 42 MJ/kg mole) (5)
C + 2H2 = CH4 (+ 75 MJ/kg mole) (6)
VI. PROCESS ZONES CO2 + H2 = CO + H2O (- 42.3 MJ/kg mole) (7)
Four distinct processes take place in a gasifier as the fuel Reactions (3) and (4) are main reduction reactions and
makes its way to gasification. They are : being endothermic have the capability of reducing gas
1.Combustion temperature. Consequently the temperatures in the
2.Reduction reduction zone are normally 800-10000C. Lower the
3.Pyrolysis – a process in which tar and other reduction zone temperature (~ 700-8000C), lower is the
volatiles are driven off calorific value of gas.
4.Drying of fuel 3. Pyrolysis zone
Though there is a considerable overlap of the processes, Wood pyrolysis is an intricate process that is still not
each can be assumed to occupy a separate zone where completely understood14. The products depend upon
fundamentally different chemical and thermal reactions temperature, pressure, residence time and heat losses.
take place. However following general remarks can be made about
them.
Upto the temperature of 2000C only water is driven off.
Between 200 to 2800C carbon dioxide, acetic acid and
water are given off. The real pyrolysis, which takes place
257
between 280 to 5000C, produces large quantities of tar and Bean Cubed, 1.97 10.2 downdra Severe
gases containing carbon dioxide. Besides light tars, some straw 440 ft slag
kg/m3 formatio
methyl alcohol is also formed. Between 500 to 7000C the m.c. = n
gas production is small and contains hydrogen. 13%
4. Drying Barley Cubed, 0 10.3 downdra Slag
Finally in the drying zone the main process is of drying of straw 299 ft formatio
(75% kg/m3 n
wood. Wood entering the gasifier has moisture content of straw; m.c. =
10-30%. Various experiments on different gasifiers in 25% 4%
different conditions have shown that on an average the corn
condensate formed is 6-10% of the weight of gasified fodder
and 6%
wood. Some organic acids also come out during the drying orza
process. These acids give rise to corrosion of gasifiers binder
Coconu Crushed( 3 0.8 downdra Excellen
Composition of Producer Gas from various fuels : t shell 1-4 cm), ft t fuel.
435 No slag
kg/m3 formatio
Fuel Gasi Volume Percentage Calo m.c. = n
ficat rific 11.8%
ion valu
Coconu Pieces 2- Insignifi 3.4 downdra Slag on
met e
t husks 5 cm, cant tar ft grate but
hod MJ/
65 kg/m3 coconut no
m3
operatio
CO H2 CH CO2 N2 nal
4 problem
Charcoal Do 28- 5-10 1-2 1-2 55- 4.60 Corn 304 7.24 1.5 downdra Excellen
wnd 31 60 - cobs kg/m3 ft t fuel.
raft 5.65 m.c. = No
Wood with Do 17- 16- 2-3 10- 55- 5.00 11% slagging
12-20% wnd 22 20 15 50 - Corn Cubed, 1.43 6.1 downdra Severe
moisture raft 5.86 fodder 390 ft slagging
content kg/m3 and
Wheat straw Do 14- 17- - 11- - 4.50 m.c. = bridging
pellets wnd 17 19 14 11.9%
raft Cotton Cubed, 5 17.2 downdra Severe
Coconut Do 16- 17- - 10- - 5.80 stalks 259 ft slag
husks wnd 20 19.5 15 kg/m3 formatio
raft m.c. = n
Coconut Do 19- 10- - 11- - 7.20 20.6%
shells wnd 24 15 15 Peach Sundried, 1.1 0.9 downdra Excellen
raft pits 474 ft t fuel.
Pressed Do 15- 15- - 12- - 5.30 kg/m3 No
Sugarcane wnd 18 18 14 m.c. = slagging
raft 10.9%
Charcoal Upd 30 19.7 - 3.6 46 5.98
raft
Corn cobs Do 18.6 16.5 6.4 - - 6.29
wnd
VIII. GASIFICATION SYSTEMS
raft The combustible gases from the gasifier can be used a) in
Rice hulls Do 16.1 9.6 0.95 - - 3.25 internal combustion engines, b) for direct heat applications
pelleted wnd
raft
and c) as feedstock for production of chemicals like
Cotton stalks Do 15.7 11.7 3.4 - - 4.32 methanol.
cubed wnd However in order for the gas to be used for any of the
raft above applications it should be cleaned of tar and dust and
be cooled. As previously mentioned cooling and cleaning
Gasification characteristics of various fuels : of the gas is one of the most important processes in the
whole gasification system. The failure or the success of
Fuel Treatmen Tar Ash Gasifier Experien producer gas units depends completely on their ability to
t, bulk produce content ce provide a clean and cool gas to the engines or for burners.
density, d g/m3 %
moisture Thus the importance of cleaning and cooling systems
(m.c.)
Alfalfa Cubed, 2.33 6 downdra No
straw 298 ft slagging
kg/m3 , some
m.c. = bridging
7.9%
258
cannot be overemphasized. 8.) Biomass crops not available all year(Corn, wheat,
barley and the like are seasonal crops. They are not
available all year. Trees are also a slow growing resource
even though they are renewable. This would also tend to be
a negative on the side of biomass fuels).
IX. CONCLUSIONS
1.) Biomass gasification offers most attractive alternative
for future fuel.
2.)Most preferred fuels for gasification have been charcoal
and wood.
3.)Very limited experience has been gained in gasification
of biomass residues
4.)Most extensively used and researched systems have been
based on downdraft gasification.
5.)Maximum usage of producer gas has been in driving
Advantages of producer gas internal combustion engine, both for
1.)Producer gas obtained from gasification of biomass can Agricultural and Automotive.
be used in dryers, kilns,furnaces and boilers.
2.)Producer gas obtained in free from noxious substances X. REFERENCES
and contamainants.
[1] Dr. R. Mark BrickaDave C. Energy Crop Gasification
3.)The internal combustion engine fueled by fuel cases
and Gasification Issues. Swalm School of Chemical
from gasification have fewer emission compared to
Engineering Mississippi State University.
petroleum derivatives fueled engines.
[2] Yuan zhenhona,Wu chuang zhi,Sun li.Survey study on
4.)Sulphur dioxide and NOx are normally absent in fuel gas
biomass gasification.China.
from biomass gasification.
[3] Yoshio HIRAYAMA. What is Biomass?Types of
5.)Using this producer gas it is possible to operate a diesel
Biomass and it’s AvailabilityWhy Biomass for
engine on duel fuel mode.diseal substitution of the order of
Energy? TechnoSoft Co.,Ltd.China
80-85% can be obtained at nominal loads.
[4] Anil K. Rajvanshi.BIOMASS GASIFICATION.
6.)Mechanical energy derived from the producer gas can be
Director, Nimbkar Agricultural Research
used for driving water pumps,irrigation purposes or for
Institute.India.
coupling with an alternator for electrical power generation.
[5] This Pages.Modeling for control of a biomass
7.)High conversion efficiency of 70-8-% from solid
gasifier.Technische universiteit eindhoven.
biomass to gaseous fuel.
[6] Avdhesh Kr. Sharma* Experimental study on 75 kWth
8.)Each kilogram of biomass producer around 2.5 to 3.0
downdraft (biomass) gasifier system.Mech. Engg.
cubic meters of gas having a colorific value of 1000-1100
Dept., D.C.R. University of Science & Technology,
kilocalories per cubic meter.
Murthal (Sonepat), 131039 Haryana, India.
9.)A liter of liquid fuel (diesel / gasoline) can be saved with
only 3 to 4 kilogram of biomass.
10.)Extremely clean and complete combustion of gas due
high hydrogen content.
11.)Positive environmental impact through saving of
biomass in most cases.
Disadvantages of Biomass
1.) Biomass produces greenhouse emissions. The biggest
argument against biomass is that it produces carbon dioxide
and other greenhouse gases.
2.) Expensive to install technology to process and recycle
wastes
3.) Use up too much land
4.) Maintaining a supply of the waste product in sufficient
quantities to maintain energy production can be difficult
5.) The burning of biomass produces greenhouse gases,
which is dangerous for our earth
6.) Some waste materials may only be available during
seasonally (example: at harvest time)
7.) Could put environments at an even greater risk
259
Metallographic Investigations on a
Reheater Tube of a Subcritical Boiler
Mayank Jain
Department of Manufacturing Process and Automation Engineering

Netaji Subhas Institute of Technology
New Delhi 110078
mayank@nsitonline.in
ABSTRACT- Failure analysis can provide useful and level. Many defects are also generated during the
often critical information on material performance, service. The nature of these defects differs
component design and suitability for service. The according to design, processing, and fabrication
analysis process involves information retrieval non- and service condition under which the components
destructive and/or destructive material testing. The have to work. Knowledge of these defects with a
failure analysis process leads to the most likely cause view to detect and evaluate them and then
of failure along with suggestions to eliminate or
minimizing them in the product is essential to
significantly reduce the likelihood of future
failures. The failure analysis methodology is often
achieve improved or acceptable level of quality.
extended to improve existing products or develop new An improvement in quality brings economic
products that are significantly more robust and/or returns to user. There is, therefore, need to have
competitive in the marketplace. This report deals with methods by which the defects in the products can
the metallographic examination of the Reheater tube be examined.
sample of a power plant by microstructure study and
hardness testing etc. Metallurgical inspection is very useful for
checking grain size, non-metallic inclusions,
Keywords: submicroscopic pin holes, the type and distribution
of phases present in the materials or components or
Inspection, quality, material inspection, microscopic systems, and the response to the heat treatment.
examination, hardness, Vickers hardness test
These features can be appraised by certain
methods such as chill test; fracture test; macro-
etching test; and Microscopic examination.
I. INTRODUCTION
This report deals with the metallographic
examination of the reheater tube sample of a power
An industrial product is designed to perform a
plant by microstructure study and hardness testing
certain function. The user buys a product with
etc.
every expectation that it performs the assigned
function well and gives trouble-free service (which
is termed as ‘reliability’) for a stipulated period of
time. The reliability of machine or an assembly II. METHODS AND MATERIALS:
having a number of components depends upon the
Details of microstructure are not readily visible to
individual reliability factors of all components.
the naked eye, but grain structures in metals may
Most of the machines and systems, for example,
be seen with the aid of microscope. Metal
power plants, chemical plants, transport machines
characteristics, grain size, effect of heat treatment,
etc are quite complex having thousands of
and carbon contents of steel may be determined by
components on which reliable operation and
studying the micrograph.
smooth operation depends. To ensure the
reliability of such system as a whole, it is
2.1 Preparation of the Specimen:
important that each individual component is
reliable and performs its function satisfactorily for
Metallurgical cutoff saws with abrasive blades and
an assigned period of time.
coolant flow are used for preparing a small
Reliability comes through improving the quality specimen of nickel coated seal ring. The small
level of the components. Quality is related to the specimen was mounted in thermosetting plastic by
presence of those defects and imperfections in the using an automatic mounting press (Simplimet 3),
finished product which impair the performance which is formed by heat and pressure around the
260
specimen with appropriate curing period. It takes Vickers hardness was the quotient obtained by
about 4200 psi at 300F with a little cooling to dividing the kgf load by the square mm area of
make the mount. Then mounted specimen was indentation.
polished and grinded on Electromet 3 polisher and
grinder till specimen was mirror bright and showed III. OBSERVATION
no scratches or lines, it was cleaned in water. Soap
was also applied to remove oil and acetone was
used for further cleaning and specimen is dried
with a flow of hot air. To bring out grain structure
and other characteristics of the specimen, etching
of the polished specimen was done with Nital (2%
nitric acid in methyl alcohol), hydrochloric and
picric acid (5g HCl, 1g picric acid in 100 ml
methyl alcohol). The time of etching was
controlled carefully till the surface of the specimen
became dull. Then the specimen was placed a
stream of water followed by cleaning with acetone
and dried.
2.2 Microscopic Investigation
A metallurgical microscope and associated

techniques of photo microscopy were used to view
the specimen. The metallurgical reflected light
microscope is similar to other microscopes except
the fact that is contains an illumination system
within the lens system to provide vertical
illumination. Image analysis system is utilized in
analysis of microstructure displayed on screen.
.
2.3 Microhardness testing:
It is a precise method of hardness testing on

microscopic scale in comparison to Rockwell and
Brinell testers. It allows surface hardness testing of
homogenous microstructure, precise measurement
of surface-hardened case depth and micro-
constituents of interest. In metallurgical
Reheater tube failed with ruptured narrow opening &
laboratories, microhardness testing viz. Vickers
thick ruptured edges.
and Knoop hardness test are used.
Fig –1 Photographs of Reheater Tube sample

The Vickers hardness test method consists of
indenting the test material with a diamond
indenter, in the form of a right pyramid with a
square base and an angle of 136 degrees between
opposite faces subjected to a load of 1 to 100 kgf.
The full load was normally applied for 10 to 15
seconds. The two diagonals of the indentation left
in the surface of the material after removal of the
load were measured using a microscope and their
average was calculated. The area of the sloping
surface of the indentation was calculated. The
261
Visual Inspection & Observation:

Microstructure
Fig 5: Microstructure showed internal

Fig 2: Microstructure showed thin fracture
oxide layer (358µm)
tip
Fig 6: Microstructure showing fracture

tips micro crack and Hardness (144-148
Fig 3: Microstructure showing creep voids HV)
Fig 7: Microstructure showing ferrite and

Fig 4: Microstructure showed external degraded bainite. Hardness (164-168
oxide (436µm) &Hardness (80 –87 HV) HV)
3
262
V. CONCLUSIONS
The examination of the reheater tube lead to RH tube failed with narrow opening & thick
following : ruptured Edges. (fig 1). Internal oxide (358 µm) as
well as external oxide deposit (436 µm) was
Tube Microstructure showed ferrite and degraded observed. Hardness is low (140-170 HV)
bainite and creep voids typical of prolonged indicating softening has occurred. Microstructure
overheating. Internal oxide (358 µm) as well as showed creep voids and ferrite and degraded
external oxide deposit (436 µm) was there. bainite typical of prolonged overheating failures.
REFRENCES
IV. DISCUSSIONS
[1] Baldev Raj, T. Jayakumar, and M.
Failure analysis is the process of collecting and
Thavasimuthu, Practical Non-destructive
analyzing data to determine the cause of a failure.
Testing, Narosa, 2009
It is an important discipline in many branches of
[2] P L Jain, principles of Foundry Technology,
manufacturing industry, where it is a vital tool
Tata Mcgraw-Hill, 2008
used in the development of new products and for
[3] William D. Callister, Material Science and
the improvement of existing products. It relies on
Engineering: An Introduction, John Wiley and
collecting failed components for subsequent
Sons, 2006
examination of the cause or causes of failure using
a wide array of methods, especially microscopy
and spectroscopy. The reheater tube sample was
ACKNOWLEDGEMENTS
analyzed under microscopic examination after
etching the sample from the failure area as per the I would like to thank Dr. R.S.Parmar, Formely Prof.
metallographic procedure and then hardness test In Mechanical Engineering, IIT-Delhi and
was also performed on it. A study on the obtained Dr.S.K.Jha, Prof. In Department of MPAE, NSIT
experimental data was performed and conclusions who created interest in this field. I would like to
were drawn about the sample hardness and make special mention to Dr. Y Ravi Kumar, Senior
microstructure. Manager R&D, NETRA (NTPC Energy and
Technology Research Alliance) under whose
supervision the tests were carried.
263
Experimental Investigation of Fluid Flow

Phenomenon in a Delta Shape Tundish of Billet
Caster
Shivmohan Meena1, Sabin Kumar Mishra2, P.K. Jha3, Manish Mishra4
1,2,3,4
Indian Institute of Technology- Roorkee, Roorkee, 247667, Uttarakhand, India
1
shiv.yuvi@gmail.com
2
sabin.mishra@gmail.com
3
pkjhafme@iitr.ernet.in
4
mmishfme@iitr.ernet.in
Abstract For the underlying flow phenomena occurring inside day steelmaking tundish is designed to provide maximum
the tundish, a useful insight is tendered by the water model opportunity for carrying out various metallurgical operations
technique. For the similarity criteria, Re and Fr similarity has such as mixing, inclusion separation, flotation, with other
been used for the full scale parameter and model parameter. chemical reactions [1-4]. Fluid flow in steelmaking system has
Experiments were carried out for bare tundish and tundish with
been a subject of extensive study for many years. To study the
dams to find the maximum tundish utilization using delta shape
tundish. RTD curve were plotted using tracer dispersion fluid flow phenomena and to design tundishes is problematic.
technique. Ratio of mixed to dead volume is remarkably Direct observations and empirical investigations during
increased in the case where dam is used as compared to bare casting are difficult and expensive to make. Usually direct
tundish. Fluid flow phenomena in terms of mixing parameter are methods are replaced by using physical modeling with water,
observed to be good for tundish with dams. mathematical modeling or combinations of both. Physical
modeling gives significant insights into the flow behavior in a
Key words Water Modeling, Tundish Flow, Delta Tundish, tundish but due to limitations of the method, like the lack of
MRT, RTD. natural convection, exact knowledge of inclusion separation is
I. NOMENCLATURE difficult to obtain [5].
In recent years many of the researchers have made water
Fr Froude number model study to see the effect of fluid flow inside the tundish
Re Reynolds number with and without the flow modifiers like weirs, dams and
 Model ratio parameter turbulence inhibitors for clean steel production [6-9]. In the
 Density, kg/m3 present work, cold model studies were performed for delta
µ Molecular viscosity, kg/m.s shape with and without dams. Tracer dispersion studies were
ν Kinematic viscosity, m2/s carried out and the effect of dams on RTD was investigated.
σ Surface tension, N/m Different tundish volumes and mixing parameters namely
RTD Residence time distribution mean residence time and ratio of mixed to dead volume were
V Tundish volume, m3 calculated.
Vd Dead volume
Vp Plug volume III. EXPERIMENTAL PRINCIPLE
Vm Mixed volume
tp Plug time A. Similarity principle
 Theoretical mean residence time In cold model or water model studies geometrical and
tr Actual mean residence time dynamic similarities are required to be satisfied between the
C Concentration of tracer model and the full scale. Geometric similarity is concerned
t Time with the dimensions and it necessitates that the ratio of every
MRT Mean residence time dimension in the model to the corresponding dimension in the
Suffix full scale to be a fixed ratio. Dynamic similarity deals with the
FS Full scale parameter various forces acting on a fluid element and necessitates that
MOD Model parameter the ratios of the corresponding forces be equal between full
scale systems and model. The computational and water model
II. INTRODUCTION experimental work [11–13] shows that magnitude of Re under
turbulent flow conditions in different tundishes are estimated
The device located at the top of a continuous caster that
to be same, irrespective of the tundish geometry and
regulates the flow of molten steel is called tundish. A modern
264
dimensions. On this basis the Fr of the full scale and model should be same. That is
FrFS  FrMOD (1) Actual Residence Time,
When the dimensions of model and full scale system are tr 
 Caviti
(8)
identical the value of geometrical scale factor is unity. That is  Cavi
LMOD
 1 (2) IV. PHYSICAL DESCRIPTION OF THE PROBLEM
LFS The dimension of delta shape tundish is based on the work
In scaled down modeling studies (i.e. λ<1), water is by Jha et al. [9]. The geometry of multi strand delta shape
employed as a simulating fluid because of the kinematic tundish is shown in Fig. 1. Bath height of the tundish is
viscosity of water and molten steel are almost identical, shown 320mm with the diameter of the inlet and outlets as 12.5 mm
in Table 1. and 4.16 mm respectively. All other dimensions are shown in
the plan view in Fig. 3, which completes the detail geometrical
TABLE I description of the tundish taken for water model study.
PROPERTIES OF WATER AND STEEL Capacity of delta shape tundish is calculated as 0.0877 m³.
Position of near outlets (N.O.), middle outlets (M.O.), and
Property Water (200C) Steel (16000C)
far outlets (F.O.) are taken at the distance of 600 mm, 325
Density (), kg/m3 1000 7014
mm, and 50 mm from the side wall. For the experiments
Molecular viscosity(µ),
0.001 0.0064 related to flow modifiers, dam of 48 mm height is installed at a
kg/m.s
Kinematic viscosity(υ),
distance of 68.75 mm, 275 mm and 550 mm respectively from
10-6 0.913 x 10-6 the center of the tundish. Actual delta shape tundish on which
m2/s
Surface tension(σ), N/m 0.073 1.6 the experiments were performed is shown in Fig. 2.
The Froude similarity between model and full scale tundish

systems impose that the inflow rate of water in the model be
related to the inflow rate of molten steel in full scale system in
the following way :-
5
QMOD   2 QFS (3)
B. Experimental theory of residence time distribution (RTD) Fig. 1 Plan view of Delta Tundish (all dimensions are in mm) [9]
curves
The Residence time distribution (RTD) curve in the tundish
is studied by injecting a dye through the inlet stream for a very
short time and then the response of the concentration at all the
outlets is monitored. The plot of the exit tracer concentration
against time is known as the RTD curve, which in turns helps
to calculate the mixed and dead volumes as well as the mean
residence time for deciding the effective utilization of the
tundish volume and hence mixing in the tundish. Different
formulas used for calculating different tundish volumes, actual
mean residence time and theoretical mean residence time for Fig. 2 Delta Tundish
this study are:-
V. METHOD OF EXPERIMENT
Vd t (4)
Fraction of dead volume of the tundish  1- r A schematic of the experimental apparatus is shown in Fig.
V 
3. A RTD curve of the fluid flowing in the tundish can be
obtained by stimulus-response technique to investigate the
Vp tp
Fraction of plug volume   (5) effect of different tundish configuration on the fluid flow
V  characteristics. Before measuring, the liquid levels of the
tundish and ladle were raised to the predetermined height.
Vm  Vp Vd  Then tundish nozzles were opened. After attaining steady-state
Fraction of mixed volume   1     (6)
V  flow condition, NaCl saturated solution or a dye used as a
V  V tracer was injected into the water stream flowing through the
Theoretical mean residence time, inlet for a very short period of time with the flow rate same as
Volume of the tundish of water, which is controlled by Rota-meter. One conductivity
 (7) probe which was connected to a conductivity meter was
Volumetric flow rate
installed below one of the outlets of the tundish to measure the
265
instantaneous concentration of the tracer as a function of time Fig. 5 and Fig. 6 show the temporal variation of the tracer
(at a constant time interval of 5 sec). The plot of the exit tracer concentration (non-dimensional) with non-dimensional time. It
concentration against time, which is the RTD curve helps to can be seen from the figure that the tracer concentration has a
calculate different tundish volumes, actual and theoretical peak of maximum value of approximately 2.2 (at t = 0.15), 2.0
mean residence time as per equation (4)–(8), for every (at t= 0.17), 1.8 (at t=0.19) at near, middle and far outlets
experiment. Actual experimental set up is shown in Fig. 4. respectively for the bare tundish while when dam is used the
peak of the curve is lowered down to approximately 1.3 (at t =
0.19), 1.2 (at t=0.29), 1.1 (at t=0.45).
When the tracer is first added at the inlet it moves with the
flow field towards the outlet due to the steady velocity field
present in the tundish. It takes little time to reach the outlet and
that can be seen clearly in Fig. 5 and Fig. 6 when the
concentration just starts to rise from a value of zero. A sharp
increase in the tracer concentration for bare tundish shows the
short circuiting phenomena that means full utilization of
tundish volume is not being done and mixing has not taken
place in the tundish. That is why the tracer that has been added
has just found its way to the outlet for which there is a sudden
jump in the concentration at the outlet. After t>1, the tracer
slowly goes out of the system for which the concentration
slowly falls with time and after about 2 times the mean
residence time, the concentration falls to nearly zero.
For the RTD curve for delta shape tundish, when dam is
Fig. 3 Schematic of physical experimental apparatus for six strand Delta used, short circuiting is reduced remarkably and utilization of
tundish
tundish volume is increased. This would be more clear by
referring to Table 2, where the ratio of mixed to dead volume
for delta shape tundish is increased by 53% when dam is used
Ladle as compared to bare tundish. This is due to the gradual change
in the concentration at which is seen to be happening at a later
(t>0.85).
2.4
2.2
Near Outlet
Rota meter Middle Outlet
2.0 Far Outlet
Dimensionless Concentration
1.8
1.6
1.4
1.2
1.0
Tundish
0.8
0.6
Fig. 4 Experimental set up
0.4
VI. RESULTS AND DISCUSSION 0.2
From the RTD curve, different tundish volumes were 0.0
computed. The dead volume directly reflects the fluid flow 0.0 0.5 1.0 1.5 2.0
inside the tundish in terms of its mixing capability. It means
Dimensionless Time
that if the dead volume is low then most of the volume of the
tundish is utilized by the fluid inside the tundish. Similarly,
larger amount of time spent by the fluid inside the tundish will Fig.5 RTD curves of delta tundish without dam (Bare)
contribute to the fluid being mixed well inside the tundish and
hence mixing will be better. Hence, dead volume and mean
residence time are suitable parameters to describe the tundish
flow [14].
266
shape tundish with dam as compared to bare tundish, which

employs a better fluid flow parameter and mixing inside the
1.4 tundish. In billet caster (delta shape tundish) it is desirable that
Near Outlet steel in all the corners of the tundish should have nearly equal
Middle Outlet mean residence time. Use of dam serves this purpose in the
1.2
Far Outlet sense that MRT observed by the different outlets show
Dimensionless Concentration
minimum variation when dam is used in billet caster tundish

1.0
as compared to the bare tundish.
0.8 REFERENCE
[1] E. M. Tinez, M. Maeda, L. J. Heaslip, G. Rodriguez and A. Mclean,
0.6 Effects of fluid flow on the inclusion separation in continuous casting
tundish, Transactions ISIJ, Vol. 26, 1986 (724-731).
[2] A. Tripathi and S.K. Ajmani, Numerical investigation of fluid flow
0.4 phenomenon in a curved shape tundish of billet caster, ISIJ
International, Vol.45, No. 11, 2005, 1616-1625.
[3] P. Gardin, M. Brunet, J.F. Domgin, K. Pericleous, An experimental and
0.2 numerical CFD study of turbulence in a tundish container, Second
International Conference of CFD in the minerals and process industries
0.0 CSIRO, Melbourne, Australia, 6-8 December 1999, 47-52
[4] Damle and Y. Sahai, A criterian for water modeling of non isothermal
0.0 0.5 1.0 1.5 2.0
melt flows in continuous casting tundishes, ISIJ, Vol. 36, 1996 (681-
Dimensionless Time 689).
[5] P. Vayrynen, S. Vapalahti, S. Louhenkilpi, L. Chatburn, M. Clark and
T. Wagner, Tundish Flow Model Tuning and Validation : Steady State
Fig.6 RTD curves of delta tundish with dam and Transient Casting Situations, STEELSIM 2007 – September 12-14
2007, Austria, 147 – 152.
[6] L. Zhong, B. Li, Y. Zhu, R. Wang, W. Wang and X Zhang, Fluid flow
in a four-strand bloom continuous casting tundish with different flow
TABLE II modifiers, ISIJ International, Vol. 47 (2007), No. 1,88–94.
EXPERIMENTAL RESULTS FOR DELTA SHAPE TUNDISH [7] L. Jin-Gang , Y. Hui-Cheng , L. Liu and W. Xin-Hua, Water modeling
of optimizing tundish flow field, Journal of iron and steel research,
Over international. 2007, 14(3): 13-19.
Delta all [8] Y. Qiang , Z. Zong-Shu , H. Qin-Fu and C. Zhou, Water modeling of
Tundish
Strand
MRT
Vd/V Vp/V Vm/V Vm/Vd swirling flow tundish for steel continuous casting, Journal of iron and
steel research, international. 2009, 16(5): 17-22.
(tr) [9] P. K. Jha, P. S. Rao and A. Dewan, Effect of height and position of
Near 212.07 0.480 0.017 0.519 1.08 dams on inclusion removal in a six strand tundish, ISIJ International,
Without
Middle 245.60 0.398 0.025 0.601 1.51 Vol. 48 (2008), No. 2, pp. 154–160.
Dam
Far 264.08 0.352 0.036 0.647 1.84 [10] D. Mazumdar and R. I. L. Guthrie, The Physical and Mathematical
Near 278.97 0.316 0.025 0.659 2.09 Tundish Systems Modelling of Continuous Casting Tundish systems,
With ISIJ International, Vol. 39 (1999), No. 6, pp. 524-547.
Middle 287.30 0.296 0.037 0.667 2.25
Dam [11] Y. Sahai and M.D. Burval, Validity of Reynolds and Froude Similarity
Far 295.54 0.275 0.061 0.664 2.41 Criteria for water Modeling of Melt Flow in Tundishes, Electric
Furnace Conference proceedings, I.S.S. Publication, Vol. 50, 1992, pp.
469-474.
VII. CONCLUSIONS [12] S.Singh and S.C.Koria, Physical modelling of steel flow in continuous
Experiments were carried out for bare tundish and tundish casting tundish, Ironmaking Steelmaking, 20(1993),221-230.
with dams to find the maximum tundish utilization using delta [13] S.Singh and S.C.Koria,Physical Modeling of the Effects of the Flow
modifier on the Dynamics of Molten Steel Flowing in a Tundish, ISIJ
shape tundish. When dam is used for the study a remarkable International, Vol. 34 (1994) No. 10, pp. 784-793.
increase of about 53% is observed in the ratio of mixed to [14] Y. sahai and T. Emi, Tundish technology for clean steel production,
dead volume. Therefore, by referring to the RTD curves, one World scientific press, 2007.
can conclude that, short circuiting phenomena is less in delta
267
Waste Heat Harnessing in Automobiles for

Onboard Auxillary Power Generation using
Thermophotovoltaics
Sathish Krishna.R1, Subakar.S.E2
1,2
Sri Venkateswara College of Engineering
Chennai, India
1
rsathishkrishna@gmail.com
2
rakabus@gmail.com
Abstract - The increase use of electrical and electronics

features to improve vehicle performance, safety and
passenger comfort has resulted in the growth of electrical
loads in automobiles. We know that in IC engine only 30%
of the fossil fuel burnt in the combustion chamber is
converted into useful mechanical energy and the rest
70% is wasted in the form of exhaust gas and heat energy. In
this paper a new onboard power generation technology
based on thermophotovoltaic system in IC engine has been The miscellaneous component include losses due to incomplete
proposed and results were simulated. combustion, heat rejected to the lubricating oil and heat losses
Keywords: TPV, GaSb, Emitter, Engine cylinder. by convection and radiation from the engine external surfaces.
Abbreviations and Acronym: As seen from the table 1, a substantial amount of energy is being
TPV- Thermophotovltaics. wasted without any utilization.
MTPV- Micron gap Thermophotovoltaics. B. Utilization of waste heat:
IC- Internal combustion. This paper targets the transformation of the waste heat produced
PV- Photovoltaic. in the IC engine to electricity. From table 1 it is clear that nearly
IR- Infra red. 65 % of heat energy is wasted by cooling, exhaust etc. This heat
MPFI- Multi point fuel injection. energy can be recovered using Thermophotovoltaic materials.
By placing Thermophotovoltaic cells around the combustion
I. INTRODUCTION:
chamber of the IC engine, a proportional amount of waste heat
The conventional way of generating power in automobiles can be converted in to electricity which can be used for charging
mainly by using an alternator driven by a belt connected to the an on-board battery. In this paper a basic structure of the
shaft of the internal combustion engine. The power generation proposed system and several technologies for increasing the
by this alternator is limited to 2KW [5]. The increased use of system efficiency has been discussed.
electrical and electronics features to improve vehicle C. Basic structure and working of TPV systems:
performance, fuel economy, emission, passenger comfort have Thermophotovoltaic energy conversion is a direct conversion
created an excessive load demand. Though this high load can be process from heat differential to electricity via photons. A basic
supplied by a larger alternator, it would indirectly consume TPV system consists of a Thermal emitter, Filter and a
more fuel and leads to reduction in mechanical efficiency and Photovoltaic diode cell [1,2,3]. The principle of
also there would be space constraints as it is a main factor while Thermophotovoltaic (TPV) is the conversion of heat into
considering automobile design. electricity.
A. Waste Energy in Internal Combustion Engines The basic TPV conversion process is shown in Fig. 1
Energy balance for spark ignition (SI) and co(CI) automotive
engines is shown in table 1[4]
268
enabling higher power densities when used inconjunction with

manmade emission sources.
G. Fossil fuels: Such as natural gas are burned to generate
thermal radiation spectrum. The heat source should have a
temperature of no less than 1000K to achieve reasonable
conversion efficiency. The combustion heated emitter
produces electromagnetic radiation. The emitter consists of
surface coated with materials whose radiation emissivity is
maximum in a narrow spectral range. The TPV is similar to
solar photovoltaic cell except that the source for TPV
application is much closer and has a temperature of around
1500-2000K rather than 5800K for the sun. The infra-red
radiation is of larger interest in TPV applications instead ofthe
visible part of the spectrum for solar cells. Hence low band-
gap photovoltaic cell which have band gaps just below the
narrow emission band have to be chosen for maximum
efficiency of electrical power generation.
_TPV = (Pout/qtotal) = _cell * _spectral * _mod Eqn. 1

Where _TPV = conversion efficiency of the TPV system
(Pout/qtotal)
Pout = electric power output of the TPV system
qtotal = total heat absorbed by the TPV system
Fig.1.Basic structure of a TPV system. _spectral = efficiency of front surface spectral control filters
_mod = efficiency term to account for inactive areas .
D Emitter: A thermally excited selective emitter is a photon The efficiency and the power density of the TPV system
source which provides photons with a narrow energy band
matched to the PV cell band gap energy. The PV cells can Table.3. Technical specifications of the selected engine
then convert photon energy to electricity at high efficiency.
Therefore, using an efficient selective emitter enables depends on the temperature of the emitter for a given material
conversion of thermal energy to electric energy in an efficient having distinct band-gap which can be seen in figure.2. There
manner. In the last few years new selective emission studies of are several materials which can be used for fabricating the
rare-earth oxides have been reported since Guazzoni's TPV cells, the design of the emitter is based on the band gap
investigation (Guazzoni, 1972). Chubb etc. (Chubb, 1994) energy of the PV cell being used. Normally TPV systems
presented theoretical emittance results for rare earth thin film employ low band-gap PV cells, as they can also convert the
emitters. Up to 50% emitter efficiency at the temperature electromagnetic radiation (IR) having a larger wavelength,
1750K can be achievable based on their theoretical indirectly influencing the operating temperature of the emitter.
calculations[8,9]. Hence with low band-gap PV cells comparatively low
E. Filter: It is an optical filter which is placed in between the temperature TPV systems can be obtained. The recent research
emitter and the cell, which reflects the non ideal wavelengths has made TPV systems much effective, MTPV systems are
back to the emitter. An ideal filter transmits only the infra-red capable of producing electricity at a reduced emitter
radiation in the desired wavelength. temperature as low as 823K [6] .
F. PV array: The PV cell used in TPV system is similar to the H. Temperature analysis of an IC engine:
conventional solar PV cell, but for the material used for In order to study the temperature profile of a more generalized
fabrication. The most suitable material for this is the gallium internal combustion engine, we have selected 4-stroke spark
antimonide (GaSb) PV cell. The GaSb cell is recognized a key ignition engine in Maruti Omni for our simulation purposes.
development in the TPV community due to its narrow band
gap of 0.72 eV. This allows GaSb to respond to light at longer
wavelengths than the conventional silicon solar cell thus
269
Engine Displacement (Swept 796 cc

volume)
Max power 37 bhp @ 4500
r/min
Max torque 50 Nm @ 2500
r/min
Bore X Stroke 68.5 X 72 mm
Compression Ratio 8.8:1
Valve head diameter 31 mm
Clearance volume 102.05 cc
Clearance stroke length 9.23 mm
Fuel distribution MPFI Fig.4. Comparison of Peak cylinder temperature for different
Number of cylinders 3 fuels
From figure 3 and 4 the heat released in the internal

Piston type bathtub combustion engine for different fuels is observed . This heat
Connecting rod length 0.145 m
can be used to heat up the emitter of the TPV system which
in turn would convert it into electricity. Thus with a suitable
Table 3 shows the specification of the engine selected for design of the combustion chamber this heat be efficiently
temperature profile simulation using RICARDO VECTIS transferred to the emitter.
software package I. Thermophotovoltaic simulation and results:
For generation of electricity using TPV, TPV arrays are
The geometrical model of an IC engine is designed using placed on the wall of the combustion chamber as shown in
CATI A and imported to RICARDO VECTIS to simulate the the figure 5. For simplicity and experimental purposes TPV
temperature distribution in the IC engine. Simulation for the array are placed in a open environment and heated using a
considered engine model was carried out with gasoline, LPG gas source and its corresponding results are obtained from the
and CNG for the engine speed 5000rpm. reference[7]. From table.4 we can see that an 192 cell TPV
array produces nearly 35 watts for the emitter temperature of
Fig.3. Heat release rate for different fuels at 5000rpm 1223K and cell temperature of 298K with cell area 103.75
cm². Figure 6, shows the arrangement of the 192 TPV cell in
a panel for practical testing.
Parameters 192 cell 192 cell

TPV array TPV array
(modeled) (measured)
Power 0.473 0.331
density W/cm² W/cm²
Heat 3.30 2.66 W/cm²
Absorbed W/cm²
Isc/area 2.25 A/cm² 1.87 A/cm²
Voc/diode 0.268 V 0.292 V
Total 47 W 34.3 W
power
Table.4. Result for 192 cell TPV array
270
J. Proposed design of the engine cylinder: Overall system block diagram:

The engine cylinder is designed in such a manner that it can
accommodate the TPV array. The heat can be conducted
from the inner wall to the emitter of the TPV array with the
help ofhighly conductive nano tubes without affecting the
mechanical strength of the piston cylinder. The inner wall
must be fabricated with this technology in it. Thus the emitter
is directly connected with the nano tubes. Increase in the cell
operating temperature leads to reduction of the cell
conversion efficiency, hence the temperature must be
maintained at a reduced value, this is accomplished by using
a suitable organic coolant which is filled in the slots as shown
in the figure (5). In this way excessive heat can be cooled L. Constraints and Future work:
effectively. The inner wall and the outer wall of the cylinder The Main constraint in the proposed system is the effective
are connected with cross bars, this design makes the cylinder transfer of heat generated in the combustion chamber to the
mechanically strong and also helps in flow of the coolant emitter and difficulties in maintaining the cell
over the TPV array. temperature(cooling). With the help of nano materials and
K. PV substrate temperature management: nanotechnology effective heat transfer can be achieved. And
Various heat management techniques have been devised to another factor to be considered is cost, though the system
maintain the substrate temperature. This is done by isnot very cost effective, research is being done to reduce the
employing a most effective cooling system to maintain the cost of the TPV system without the decrease in efficiency.
substrate temperature. A coolant with high specific heat
capacity is used in the system proposed. Though water has II. CONCLUSION
the highest specific heat capacity it cannot be used as it leads In this paper, a system for utilizing the waste heat energy is
to formation of films, hence suitable organic liquids with proposed, which is based on thermophotovoltaic technology.
comparatively high Cp can be used. In order to substantiate the proposal simulations and
experimental results have been highlighted. Hence TPV
technology is found to be a promising method for onboard
ancillary power generation in automobiles. This proposed
system can be
employed in a Hybrid vehicle which runs on both fuel and
electricity.
III. REFERENCE:
[1] L. Broman. Thermophotovoltaics bibliography. Progress
in photovoltaics,3:65-74,1995
[2] T.J. Coutts, M.W. Wanlass, J.S. Ward, and S. Johnson.A
review of recent advances in thermophotovoltaics. In
Proceedings of the 25th IEEE Photovoltaic Specialists
Conference, Washington, pages 25-30, May 1996.
[3] M. Schubnell, H. Gabler, and L. Broman. Overview of
european activities in thermophotovoltaics. In John P. Benner
and Timothy. J. Coutts, editors, Proceedings of the second
NREL conference on thermophotovoltaic generation of
electricity, pages 3-22. The American Institute of Physics,
1997.
[4] Haywood, J.B. Internal Combustion Engines
Fundamentals, McGraw-Hill 1988.
[5] Kaushik Rajashekara. Comparative study of new onboard
power generation technologies for automotive
applications.Delphi corporation ,2002.
[6] R. DiMatteo, P. Greiff, D. Seltzer, D. Meulenberg,
E.Brown, E. Carlen,K. Kaiser, S. Finberg, H. Micron gap
271
Themophotovoltaics. The Charles Stark Draper Laboratory,

Inc., Cambridge, MA,2004.
[7] Steven R. Burger, Edward J. Brown†, Kevin D.
Rahner‡,Lee R. Danielson§, Jane E. Oppenlander, Jeffrey L.
Vell, and Darius M. Siganporia‡‡ Lockheed Martin, P.O.
Box 1072,
Schenectady, NY 12301,TPV array optimization,2004
[8]Guazzoni, G.E., 1972, “High Temperature Spectral
emittance of Oxides of Erbium, Samarium, Neodymium, and
Ytterbium,”
Applied Spectroscopy, Vol. 26, [ 11, pp.60-65.
[9]Chubb, D.L., Lowe, R.A., and Good, B.S., 1994,
“Emittance Theory for Thin Film Selective Emitter,”
Proceedings of the first NREL Conference on the, AIP
Conference Proceedings 321, pp.229-244
272
Experimentally and Theoretical Investigation of

Heat Transfer by Piston of Single Cylinder Petrol
Engine
Er.Jadhav Rajendra B 1, Dr. G. J. Vikhe Patil 2
1
P.G student, 2 Principal, Amrutvahini College, Sangamner,
Pune University, Maharastra.
1
Abstract—This paper explains validation results of a theoretical the combustion chamber can only withstand 600K for cast iron
and experimentally investigation of heat transfer by piston at and 500K for aluminum alloys.
maximum power condition of a single-cylinder, four-stroke S.I.
air-cooling engine. A experimentally expression of the heat
transfer of piston is calculated by measuring pressure and
temperature for one cycle at max power condition is measured by
using Engine Pro Analyzer software V3.9. Heat transfer
coefficient has been calculated by using Woschni’s heat transfer
correlation, which is as it is more accurate than other two
corrections and is less time consuming if it is programmed for the
computer solution. And theoretically heat transfer from piston is
calculated heat balance sheet in which carrying dry gas analysis of
exhaust gaseous i.e. by smookmeter testing. The computer
program is prepared in visual basic language software for heat
Fig.1. Piston Heat Transfer Model [3]
transfer correction analysis of the engine at the every crank
interval. Analysis of piston is carried out in Ansys software and
modeling in catia v 9 at maximum power of engine. Therefore, the cooling of the cylinder head, block and piston
is very important to keep the engine running in optimum
Keywords—Engine pro Analyzer, Heat Transfer, Visual Basic condition. The engine lubricant will oxidize if the temperature
program, Piston, Smoke meter reaches more than 450 K. Thus, investigating the heat transfer
by the piston in the cylinder is very significant.
This paper describes the heat transfer analysis carried out
I. INTRODUCTION and discuss together detailed experimentally and theoretically
Piston is the heart of the Internal Combustion Engines and it heat transfer analysis of piston under maximum power
used for converting chemical energy into mechanical work. condition.
One of the most highly stress component of a reciprocating
internal combustion engine is a piston. The type that is familiar II. MODELING AND STEADY STATE THERMAL
to most people, due to its almost universal adoption as the ANALYSIS OF PISTON
prime mover in motor vehicles, is the reciprocating engine This piston model includes curve surfaces and complex
running on either gasoline or diesel fuel. The operating shape (such as pin hole shape, slots on piston top surface etc.),
principle of the reciprocating engine is that a series of so it is very difficult to model this complex shape in ANSYS
processes occur sequentially during one or two revolutions of and it is time consuming also. Thus a special 3D modeling
the engine forming the ―working cycle‖. [8] software, CATIA V5 is used. CATIA is a fully 3-dimentional,
Heat transfer between the piston crown and combustion double precision system that allows you to accurately describe
gases of the internal combustion engine is transferred almost any geometric shape. [2, 5]
predominantly by convection and to only a small extends by Due to large amount of elements (i.e. 102577) so, large
number of degrees of freedom, it is difficult to do transient
radiation, which is the most important parameter for simulation coupled field analysis. Hence steady state coupled field
and analysis. Heat transfer by piston influence on the cylinder structural thermal analysis is done for calculating the centre
pressure and temperature level, engine efficiency, friction and temperature of piston, doing for analysis varieties of thermal
exhaust emissions. During the combustion process, the peak boundary conditions are necessary .[2]
gas temperature is limited to 2500 K as metal components of
273
 Exhaust system specs:

 Cam/Valve train dynamics:
 Turbocharger/supercharger specs:
TABLE I
PRESSURE AT MAXIMUM POWER CONDITION
Suction Compression Power Exhaust
 P  P  P  P
Deg Bar Deg Bar Deg Bar Deg Bar
0 0.894 360 36.4 360 36.4 720 0.893
Fig. 2. Modeling in Catia V9
15 0.858 345 14.8 375 56.9 705 0.819
30 0.737 330 9.14 390 39.7 690 0.789
45 0.655 315 5.45 405 24.1 675 0.901
60 0.607 300 3.47 420 15.7 660 1.065
75 0.598 285 2.39 435 11.0 645 1.255
90 0.624 270 1.79 450 8.35 630 1.461
105 0.671 255 1.43 465 6.62 615 1.707
120 0.727 240 1.21 480 5.51 600 2.054
135 0.778 225 1.07 495 4.75 585 2.476
150 0.817 210 0.98 510 4.25 570 2.935
165 0.848 195 0.92 525 3.89 555 3.289
180 0.879 180 0.87 540 3.60 540 3.601
Fig. 3. Thermal Analysis in Ansys software TABLE II

TEMPERATURE AT MAXIMUM POWER CONDITION
Thermal Boundary condition Suction Compression Power Exhaust
(a) Maximum Combustion Gas Pressure = 58.42 bar  T  T  T  T
(b) HTC Average gas temperature = 1270.34 K Deg (K) Deg (K) Deg (K) Deg (K)
(c) HTC Average on Top surface =358.7 W/m2-K 0 560.4 360 1389 360 1389 720 574.8
of the piston (hg). 15 488.4 345 678.4 375 2562. 705 707.4
30 437.5 330 607.5 390 2487 690 830.1
(d) Heat transfer coefficient between 45 389.0 315 537.1 405 2249 675 911.0
(i) Side surface of the piston a 60 353.2 300 481.3 420 2053 660 970.2
and oil film (hs) = 1000 W/m2-K 75 331.9 285 438.8 435 1898. 645 1021
(ii) Bottom surface of the piston 90 323.3 270 407.9 450 1780 630 1071
105 321.5 255 384.5 465 1679 615 1121
and splashing oil (hg). = 700 W/m2-K
120 323.0 240 367.7 480 1597 600 1183
135 325.8 225 355.4 495 1530 585 1246
150 323.0 210 346.4 510 1478 570 1308
III. EXPERIMENTALLY ANALYSIS 165 331.8 195 339.8 525 1435 555 1354
180 335.3 180 335.3 540 1396. 540 1396
A. Engine Simulation Program
The cycle simulation Engine pro analyse program require B. Calculations of Heat Transfer Coefficients between the
the basic engine design parameter as input in order to predict hot Gases and Piston Crown Surface
engine pressure and temperature for any condition. This data
The piston receives the heat from the hot gases formed by
can be practically measured but the cost of this is very high
burning mixture of a particular air/fuel ratio, the boundary
hence it is decided that to use simulation technique. The data is
conditions around the piston body are different from region to
calculated for maximum power condition. The main feature of
region .In this work the calculations of the coefficient of heat
pro is that calculation of all parameters every 4 degrees of
transfer above crown of piston. The mathematical description
crank rotation, including dynamic valve lift, valve flow area,
of the forced fluid flow on a cylinder surface is so complicated
etc. Some are calculated every 0.1 degrees cylinder pressure,
whereas in the parts of an internal combustion engine
port pressure, net valve flow, heat losses
especially the piston, the effect of the hot gases on it is very
The required input data of engine for cycle simulation
complicated, and in order to calculate the heat transfer
software. There are main seven blocks as follows
coefficient at the piston crown surface, the heat transfer is
described as a forced convection heat transfer inside a cylinder.
 Short block
The heat transfer from the combustion gases is assumed to be
 Cylinder head:
similar to the turbulent heat transfer of gases in a cylinder as
 Inlet system specs:
follows [6,7]
274
(b) A contribution due to combustion.

m n And given by,
Nu = C Re Pr (1)
u  C1Vp  C2  Vs Tr / Pr Vr   P  Pm  (6)
Where Nu is the Nusselt number, Re is Reynolds number
and Pr is Prandtl number. The m exponent is typically assumed Woschini expressed the contribution due to combustion as
to be 0.8 for fully developed turbulent flow and n = 0.3 or 0.4 function of pressure rise due to combustion, which (P - Pm).
for the cooling or heating respective.[6,8] Where Pm is the pressure (motoring pressure) that would
The heat transfer coefficient depends on the engine occur without combustion. Vs is the swept volume, Vp is the
geometric parameters, such as the exposed cylinder area and mean piston speed Vr, Pr, Tr evaluated at any reference
bore, as well as the piston speed. The coefficient varies with conditions, such as inlet valve closure. Reference pressure (P r),
location and piston position. Not surprisingly the different temperature (Tr) and volume (Vr) at inlet valve closure at 240ْ
correlations for heat transfer coefficient can lead to widely crank angle,
varying predictions of the instantaneous and the mean heat
transfer coefficient. [6,8] Value suggested by Woschni for C1 & C2 are
For gas exchange process C1 = 6.18 C2 = 0
a) Woschni For compression C1= 2.28 C2 = 0
h g = 3.26 b0.2 (2.28 Vp )0.8 Tg 0.53 P0.8 (2) For combustion and expansion C1 = 2.28 C2 = 3.2410-3
For IDI Engine C1 = 0 C2 = 6.2810-3
b) Hoenberg
0.06 0.8 0.4 0.8
Watson and Janota suggest that the motoring pressure is
h g =130 V (Vp + 1.4) Tg P (3) evaluated by assuming the compression and expansion to be
modeled by a polytrophic process
c) Eichelberg
Pm = Pr  Vr /V 
0.33 0.5 k
h g = 2.43 VP (P Tg ) (4) (7)
Where, Where K=0.3, Pr is the reference pressure, Vr is the

h g = Heat transfer coefficient reference volume at inlet valve closure at 240ْ crank angle.
Instantaneous engine cylinder volume without considering
P = Gas pressure the effect of combustion (V) calculate as follows,
Tg = Temperature of combustion gas
b = Bore diameter V = (Instantaneous piston displacement) x (Piston area)
VP = Mean speed of piston = (Xp x Ap) (8)
(Xp) = r cos θ + cos (2 θ) / n (9)
Three different heat transfer models have been considered
for calculating heat transfer coefficient. However, the
variation of heat transfer coefficient for three correlations is Where,
not too important, since errors in predicting the heat transfer r = Crank radius
coefficient only have a small effect on the engine performance θ = Crank Angle
prediction. In this paper, to model the heat exchange between n = Ratio of Connecting Rod Length to Crank radius
gas and cylinder wall, the modified Woschni correlation For gas side of combustion chamber components,
equation has been used, which is more suitable for spark application engine pro analysis results for the calculation of the
ignition engine and required less time if program it. This is instantaneous values for heat transfer coefficient and mean gas
given by,[6] temperature as a function of a crank angle. The time average
equivalent one h g and T g are calculated as follows for four-
0.8 0.8 0.2 0.53 stroke cycle engine with help of numerical method least curve
h g =129.8 P u b Tg (5)
fitting technique.[5]
Woschni assumed and subsequently justified the value of b 4π

as 0.8 and took the characteristics length (x) to be the piston h g = 1/4π   hg d θ (10)
bore (b) is 52 mm. Woschni argued that the characteristic 0
velocity would comprise two parts
(a) A contribution due to piston motion.
275
4π incomplete combustion of the fuel + unaccounted). (13)


T g = 1/4πh g  h g Tg d θ (11)
A. Heat equivalent to effective work
0
The first law of thermodynamics for engine cylinder systems
Notice that the mean heat transfer coefficient increase with states that [7]
engine speed. The former increase because there is less time
for the gases to lose heat as engine speed increases because of dUs = dQ + dW (14)
increased gas motion at higher speed. The later increases, as
the heat transfer coefficient is directly proportional to engine Where,
speed. dW = PdV
Heat transfer from Piston by experimentally is given by, dUs = mCv dT
Dt = d (PV)/mR

Q = h g A P T g - Tp  (12) R/Cv =k–1
Where dUs is the change in internal energy, dQ is the heat
Where,
added to the system, dW is the mechanical work done by the
T g = Mean temperature, system, m is the working charge mass Cv is the constant
Ap = Area of piston, volume specific heat, P is the pressure, V is volume, T is
Tp = Center temperature of piston calculated from temperature, k is adiabatic constant, and R is the gas constant.
thermal analysis, B. Heat carried away by exhaust gases (Q exhaust):
h g = Coefficient of heat transfer A dry gas analysis of engine exhaust gives CO, CO2, HC,
and O2 in volumetric percentages such as α, β, γ, ψ respectively
IV. VISUAL BASIC PROGRAM by carried out by smookemeter testing. The four components
The computer program has been developed in visual basic identified sum up (α + β + γ + ψ) = P % of the total, which
language program software to compute coefficient of heat means that the remaining gas (nitrogen) accounts for Q % of
transfer of the piston crown on gas side for the single-cylinder, the total. Volume percent equals molar percents, so if an
four-stroke petrol engine for the complete working cycle at the unknown amount of fuel burned with an unknown amount of
every crank interval. Output of the software can show by air, the resulting reaction is,[6,8]
numerical for one working at every crank angle.
XC8 H18 +YO2 +Y  3.76  N 2 
(15)
α CO + β CO2 + γ C8 H18 + ψO2 + ZH 2 O + QN 2
Where,
Z = no. of mole of water vapour removed before any
analysis.
Conversion of nitrogen during gives,

Y (3.76) = Q (i-16)
Fig. 4. Input Window calculation for Heat transfer coefficient for Piston
Conversion of carbon,
V. THEORETICAL ANALYSIS
8X = α + β + (8 + γ) (ii-16)
There are three modes of heat transfer and these modes are
conduction, convection and radiation. Heat transfer by Conversion of hydrogen,
conduction and convection requires the presence of an
intervening medium while heat transfer by radiation does not 18X = (18γ + 2Z) (iii-16)
require. Heat is transferred to the gases during intake and the
first part of the compression stroke, and the heat transfer takes A percentage of dry gas analysis components CO, CO2,
place from the gases to the walls and piston during the C8H18, O2 has been calculating for 1kg mole as well as
combustion and expansion. percentage of mass.
Total Heat Input = Heat equivalent to effective work + Heat Heat carried by exhaust gases is given by
carried away by exhaust gases + Heat transferred to ambient air
+ Heat transferred to oil + Heat loss due to chemically Q Exhausts = (mexhaust /100) [CO (mCp) + CO2 (mCp) +
276
C8H18 (mCp) + O2 (mCp) +H2O (mCp) + COEFFICIENT OF HEAT TRANSFER OF GAS TOP OF PISTON AT MAX.
N2 (mCp)] (Texhaust – Tambient) (17) POWER (7000 RPM)
Suction Compression Power Exhaust
 hg  hg  hg  hg
Where
W/m2 W/m2 W/m2- W/m2
Q Exhausts = overall heat transfer (W/m2) De Deg Deg Deg
g -K -K K -K
TExhuast = effective gas temperature, typically 800 °C 0 113.1 360 1378 360 1378.9 720 113.4
Tambient = ambient temperature, typically 80 °C 15 118.9 345 983.8 375 1473.5 705 94.1
30 110.6 330 647.9 390 1173.1 690 83.2
C. Heat Transfer to the oil: (Qoil) 45 106.7 315 503.2 405 851.4 675 87.8
60 105.7 300 371.4 420 637.9 660 97.4
Qoil = (m Cp ΔT) oil, (18) 75 108.1 285 290 435 502.2 645 108.7
90 113.8 270 238.7 450 415.3 630 120.8
105 121.4 255 205.7 465 354.8 615 135
Where,
120 129.6 240 184.7 480 313.5 600 154.3
m = is the mass of oil = 900 ml 135 136.7 225 170.7 495 283.4 585 177.2
Cp= Specific Heat of oil 150 141.9 210 160.8 510 262.8 570 201.3
ΔT= Temperature difference of oil after testing 165 145.8 195 153.9 525 247.4 555 219.3
180 149.3 180 149.3 540 234.3 540 234.3
D. Heat Loss due to unburned fuel
Loss due to unburned fuel
= Mass of fuel x calorific value of the fuel (19) 2) By using the numerical method least square curve
fitting technique the time average equivalent h g = 358.7
Where, calorific value of the petrol fuel is 47 × 103 KJ/kg.
and T g = 1270.34 are calculated for four-stroke cycle
E. Heat Transferred ambient air (Qair) [6,8]
engine. Steady state thermal analysis of piston is carried out
at Max. Power condition it gives 560 K temperature of
Heat transfer to the ambient air = (Heat transfer through crown piston.
engine cylinder block Qb) + (Heat transfer through engine
cylinder head Qh) + (Heat transfer through piston Qp) 3) A dry gas analysis of engine exhaust gives following
four contains by smookmeter test at the maximum power
     
Q Air =h g A b  Tg Tw  + h g A h  Tg Tw  + h g A p  Tg –Tw  condition
     
(20)
   TABLE .IV
= h g  Tg Tw   Ab + Ah +AP  RESULTS OF SMOOKMETER TEST
  
CO CO2 HC O2
6.47 9.4 0.0811 1.16
F. Heat carried by piston
Heat carried out by the piston crown, produced due the 4) Result of heat transfer by exhaust gas of engine
combustion of air fuel mixture at maximum power condition calculated by theoretically method
Ap
Qp = Q Air (21)
A p +A b +A h
TABLE V
Where, HEAT BALANCE SHEET CALCULATED BY THEORETICALLY
Ap= Area of piston METHOD
Ab = Area of block Parameter Heat Transfer (KW)
Ah = Area of head Heat equivalent to effective work (Qa) 6.25
Heat carried away by exhaust gases (Q
12.54
exhaust)
VII. RESULTS AND DISCUSSION Heat transfer to oil (Qoil) 2.064
1) The following result is computed from the visual basic Heat Loss due to unburned fuel (Quf) 1.065
computer program developed for coefficient of heat Unaccounted Heat loss (Qu) 4.0
Heat Transferred To ambient air (Qairr) 4.25
transfer of gas side piston crown for the complete working
Heat transfer from Piston (Qp) 0.5152
cycle is at the crank interval of 15 degree.
TABLE III
277
VI. CONCLUSION
Analysis is validated by comparing heat transfer from piston
from experimentally analysis results is 0.54137 KW and from
theoretically heat balance sheet is 0.5153 KW Therefore the
error between theoretical and numerically heat transfer is 5.175
%. The reason of deviation is that some constant are assumed
in theoretically analysis. But deviation is so less, which is
applicable, so our piston model can validate for further
analysis. Methodology of this paper can be used for all types of
pistons of internal combustion engine for calculating heat
transfer.
ACKNOWLEDGMENT
The author special thanks for valuable guidance by
Mechanical department of Amutvahini Egg. College, Pune
University, Maharastra, India
REFERENCE
[1] Manfred D.Roehrle (1979) ―Thermal Effect on Diesel Engine Piston‖,
SAE
780781, Mahle Gmbh, Stuttart, Germany, Pp: 2947-2963
[2] Telsuhiro Hosokawa, Hiroshi Tsukada, Yorishige Maeda, Tamio
Nskakobo and Masashiko Nakada, (1989) ―Development of Computer
Aided Engineering for Piston Design,‖ SAE 890775, Toyota Motor
Corporation, Pp: 916-921.
[3] J.H. Ong, ―Steady State Thermal Analysis of a Diesel Engine
Piston‖, Nanyang Technological Institute, School of Mechanical &
Production Engineering, Nanyang Aoenue, Singapore 2263,(1990),
Pp. 255-258.
[4] Ballaney, P. L., Internal Combustion Engines Theory and Practice.
Delhi, Khanna Publishers (2000)
[5] Manuel Valdes, ―Design of Carbon Piston using heat transfer and stress
Analysis,‖ SAE (2001-01-3217, (2001)
[6] V Gainsay, Internal Combustion Engine, Second Edition, Tata
McGraw-Hill, (2003), Pp. 469-495.
[7] Heywood John B, Internal Combustion Engine Fundamentals, McGraw-
Hill Book six edition Company, (2006) Pp. 668-712.
[8] Steven C. char, Raymond P. Canalled, Numerical methods for
Engineers, six Edition, Tanta McGraw- Hill, (2008), Pp. 456-460
278
Experimental Determination of Brake Thermal

Efficiency and Brake Specific Fuel Consumption
of Diesel Engine Fuelled with Bio-Diesel
A. V. Krishna Reddy 1 M. Shiva Shankar 2 K. Apparao3
1
M Tech student, 2Assistant professor, Siddaganga Institute of Technology, Tumkur-572103.
1
avkrishnareddy@gmail.com
3
Professor, Dept. of Mechanical Engineering, L.B. Reddy College of Engineering, Mylavaram-521230
Abstract - The rapid depletion in world petroleum growing at faster rate. To cope up the increasing
reserves and uncertainty in petroleum supply due to energy demand, majority of the developing
political and economical reasons, as well as, the sharp countries import crude oil apart from their
escalations in the petroleum prices have stimulated indigenous production. This puts extra burden on
the search for alternatives to petroleum fuels. The
home economy. Hence, it is utmost important that
situation is very grave in developing countries like
India which imports 70% of the required fuel, the options for substitution of petroleum fuels be
spending 30% of her total foreign exchange earnings explored to control this burgeoning import bill.
on oil imports. Petroleum fuels are being consumed There is limited reserve of the fossil fuels and
by agriculture and transport sector for which diesel the world has already faced the energy crisis of
engine happens to be the prime mover. Diesel fuelled seventies concerning uncertainties in their supply
vehicles discharge significant amount of pollutants fossil fuels are currently the dominant global
like CO, HC, NOx, soot, lead compounds which are source of co2 emissions and their combustion is
harmful to the universe. Though there are wide stronger threat to clean environment increasing
varieties of alternative fuels available, the research
industrialization, growing energy demand, limited
has not yet provided the right renewable fuel to
replace diesel. Vegetable oils due to their properties reserve of fossil fuels and increasing environmental
being close to diesel fuel may be a promising pollution have jointly necessitating exploring some
alternative for its use in diesel engines. The high alternative of conventional liquid fuels. Among the
viscosity and low volatility are the major drawbacks possible options of the conventional liquid fuels,
of the use of vegetable oils in diesel engines. India is vegetable oils have been considered as appropriate
the second largest cotton producing country in the alternative due to prevalent fuel properties [1]. It
world today. The cotton seeds are available in India was thought of as feasible option quite earlier.
at cheaper price. However despite the technical feasibility, vegetable
Experiments were conducted on 5.2 BHP single
oils as fuel could not get acceptance, as they were
cylinder four stroke water-cooled variable
compression diesel engine. Methyl ester of cottonseed more expensive than petroleum fuels. This led to
oil is blended with the commercially available the retardation in scientific efforts to investigate the
Xtramile diesel. Cottonseed oil methyl ester further acceptability of vegetable oil as fuel. Later
(CSOME) is blended in four different compositions due to numerous factors as stated earlier, created
varying from 10% to 40% in steps of 10 vol%. Using resumed interest of researchers in vegetable oil as
these four blends and Xtramile diesel brake thermal substitute fuel diesel engines. In view of the
efficiency (BTE) and brake specific fuel consumption potential properties, large number of investigation
(BSFC) are determined at 17.5 compression ratio. has been carried out internationally in the area of
vegetable oils as fuel [2]. Some of the vegetable
Key words – Bio-diesel, Cottonseed Oil,
Transesterification, Brake Thermal Efficiency, Brake oils from farm and forest origin have been
Specific Fuel Consumption identified. The most predominantly sunflower,
soybean, cottonseed, canola and peanut oil have
I. INTRODUCTION been reported as appropriate substitute of
petroleum based fuels. The vegetable oils can used
Energy is considered as a critical factor for in diesel engines by various techniques such as fuel
economic growth, social development and human modification by esterification, diesel-vegetable
welfare. Since their exploration, the fossil fuels blends, vegetable oil heating etc.[3]. The present
continued as the major conventional energy source work was undertaken to study the evaluation of
with increasing trend of modernization and diesel-cottonseed oil and their effects on engine
industrialization, the world energy demand is also
279
performance. Experiments are carried out at a acids, removing the glycerin and creating an
constant speed of 1500 rpm and at different loads alcohol ester. A catalyst is usually used to improve
between no-load to full-load with each combination the reaction rate and yield. Theoretically, the
of fuels. Various performance parameters such as transesterification reaction is an equilibrium
brake specific fuel consumption, brake thermal reaction. In this reaction, however, a larger amount
efficiency and exhaust gas temperature and smoke of methanol was used to shift the reaction
intensity are studied. equilibrium to the right side and produce more
methyl esters, the proposed product. Among the
II. VEGETABLE OILS AS ALTENATE FUELS alcohols that can be used in the transesterification
Vegetable oils have become more attractive reaction are methanol, ethanol, propanol, butanol
recently because of their environmental benefits and amyl alcohol. Methanol and ethanol are used
and the fact that it is made from renewable most frequently. Ethanol is preferred alcohol in the
resources. More than 100 years ago, Rudolph transesterification process compared to methanol
Diesel tested vegetable oil as the fuel for his because it is derived from agricultural products and
engine. is renewable and biologically less objectionable in
Vegetable oils have the potential to substitute for the environment. However methanol is used
a fraction of the petroleum distillates and petroleum because of its low cost and its physical and
based petrochemicals in the near future. Vegetable chemical advantages (polar and shortest chain
oil fuels are not now petroleum competitive fuels alcohol). Alkalis, acids or enzymes can catalyze the
because they are more expensive than petroleum transesterification reaction.
fuels. However, with the recent increases in The most important variables that influence
petroleum prices and the uncertainties concerning trans-esterification reaction time and conversion
petroleum availability, there is renewed interest in are: Oil temperature, Reaction temperature, Ratio
using vegetable oils in Diesel engines. The Diesel of alcohol to oil, Type of catalyst and
boiling range material is of particular interest concentration, Intensity of mixing and purity of
because it has been shown to reduce particulate reactants [5-7].
emissions significantly relative to diesel. There are B. Benefits of Biodiesel:
more than 350 oil bearing crops identified, among The lifecycle production and use of biodiesel
which only sunflower, safflower, soybean, produces approximately 80% less carbon dioxide
cottonseed, rapeseed and peanut oils are considered emissions, and almost 100% less sulphur dioxide.
as potential alternative fuels for Diesel engines [4]. Combustion of biodiesel alone produces over a
A. Direct Use of Vegetable Oils 90% reduction in total unburned hydrocarbons, and
a 75-90% reduction in aromatic hydrocarbons.
The use of vegetable oils as an alternative Biodiesel further provides significant reductions in
renewable fuel to compete with petroleum was particulates and carbon monoxide than
proposed in the beginning of the 1980’s. The most conventional diesel fuel. Neat biodiesel fuel is non-
advanced study with sunflower oil occurred in toxic and biodegradable. Cetane number is
South Africa because of the oil embargo. The first significantly higher than that of conventional diesel
International Conference on Plant and Vegetable fuel. Lubricity is improved over that of
Oils as fuels was held in Fargo, North Dakota, in conventional diesel fuel.
August 1982.
C. Disadvantages of Bio-diesel:
III. BIO DIESEL Quality of bio-diesel depends on the blend thus
Bio-diesel is the name for a variety of ester- quality can be tampered. Bio-diesel has excellent
based oxygenated fuels derived from natural, solvent properties. Any deposits in the filters and in
renewable biological sources such as vegetable the delivery systems may be dissolved by bio-
oils. Bio-diesel operates in compression ignition diesel and result in need for replacement of the
engines like petroleum diesel thereby requiring no filters. There may be problems of winter
essential engine modifications. Moreover it can operability. Neat bio-diesel demands compatible
maintain the payload capacity and range of elastomers (hoses, gaskets, etc.).
conventional diesel. Bio-diesel fuel can be made D. Cottonseed Oil
from new or used vegetable oils and animal fats.
India is the fifth largest cotton producing
Unlike fossil diesel, pure bio-diesel is
country in the world today, the first-four being the
biodegradable, nontoxic and essentially free of
U.S, china, Russia and Brazil. Our country
sulphur and aromatics.
produces about 8% of the world cotton. Cotton is a
A. Transesterification of Vegetable Oil tropical plant. Cottonseed oil is a vegetable oil
Chemically, transesterification (also called extracted from the seeds of the cotton. After being
alcoholysis) means taking a triglyceride a molecule freed from the linters, the seeds are shelled and
or a complex fatty acid, neutralizing the free fatty then crushed and pressed or treated with solvents to
280
obtain the crude cotton seed oil. Cotton seed oil is

one of the most widely available oils and it is
relatively inexpensive.
IV. FUEL PROPERTIES

The properties of the test fuels are determined
and are listed in table I
TABLE I
TEST FUEL PROPERTIES
Xtramile
CSOME
1_Heater 2_Flask 3_Stirrer 4_Stirrer stand 5_Power point
Diesel 6_Thermometer
Fig. 1 Experimental setup for esterification process
Specific Gravity 0.874 0.848 B. Engine experimental setup

The experimental setup used for finding the
Flash Point ˚C 138 46 performance of the engine is shown Fig. 2. The
specifications of the engine are listed below.
Fire Point ˚C 167 53 Specifications of the engine:

Name of the engine: KIRLOSKAR, TV1
Kinematic Viscosity General details: 4 stroke, C.I, Vertical
4.3 4.02 Type of cooling: Water cooled
at 40˚C (mm2/s) Number of cylinders: 1
Bore: 87.5 mm
Stroke: 110mm
Calorific Value (kj/kg) 40860 43130 Rated power: 5.2 B.H.P at 1500 rpm
Dynamometer: Eddy current dynamometer
V. EXPERIMENTAL SETUP Compression ratio: 12:1 to 17.5:1
The experimental setup consists of
1. Setup for transesterification of cottonseed
oil.
2. Setup for the investigation of the
performance characteristics of C.I engine
using cottonseed oil and diesel blends.
A. Transesterification of cottonseed oil:

The transesterification setup consists of a round
bottom flask. A heater with temperature control
was used for heating the oil in round bottom flask.
A stirrer was used for mixing the oil vigorously.
Transesterification involves making triglycerides of
cottonseed oil to react with methyl alcohol in the
presence of a catalyst (NaOH) to produce glycerol
and fatty acid ester. For this process, a specified
amount (1000gm) of cottonseed oil, (200ml)
methanol and sodium hydroxide (50gm) were taken
in around bottom flask. The contents were heated Fig. 2 Engine experimental setup
up to 70oC and stirred vigorously till ester
formation begin (approximately for one hour) .The Four stroke single cylinder water cooled variable
mixture was allowed to cool over night without compression ratio diesel engine used is shown in
stirring. Two layers were formed. The bottom layer Fig. 2 which is coupled to an eddy current
consists of glycerol and fatty acids and top layer dynamometer by using jaw coupling. A standard
was the ester. Fatty acids and glycerol were air tank with orifice plates is fixed within the rig
removed by using a separator vessel. Pictorial for measuring the actual volume of air drawn into
representation of the apparatus used for the the cylinder. The entire setup is mounted on a
transesterification of the cottonseed oil is shown in centrally balanced base frame. A differential
Fig. 1. transduce is provided at the orifice plate in order to
281
facilitate the measurement of air flow rate. Fuel increases as more fuel is burned and thus
sensor and glass tube mounted to the fuel tank resulting in higher exhaust gas
measures the fuel consumed by the engine. The temperature.
thermocouples necessary for the measurement of
temperature at different locations are provided. A
pressure transducer is fitted to the cylinder head.
The speed of the engine is measured using a non-
contact proximity sensor, while torque is measured
using strain gauge based load cell. All the sensors
are routed to the computerized data acquisition
system for acquiring the readings which is situated
in control panel.
In the present work, experiments were carried
out at a constant speed of 1500 rpm with varying
load conditions, from 20% to 80% in steps of 20%.
Engine is tested by using CSOME – Xtramile
diesel blends and Xtramile diesel (XB0). Blending
of cottonseed oil methyl ester with Xtramile diesel
is done from 10% to 40% in steps of 10 volume%.
Following notations are given XB10, XB20, XB30 Fig.3 Variation of brake thermal efficiency vs. load
and XB40 for 10%, 20%, 30%, and 40% blends
respectively
VI. RESULTS AND DISCUSSIONS

Experiments were conducted with Xtramile
diesel, blends of CSOME with xtramile diesel.
Performance of the engine was studied for the
above fuel combinations. The results were plotted.
1. The variation of the brake thermal

efficiency with load for xtramile diesel
and CSOME blends are shown in Figure3.
The brake thermal efficiency is always
found to be lower with CSOME blends as
compared with xtramile diesel. This is
because of the fuel properties such as
viscosity and density. Blends of CSOME
Fig: 4.Variation of brake specific fuel consumption vs. load.
are having It is observed that Brake
thermal efficiency is increasing with
increase in load.
2. Figure 4 shows the plots of brake specific

fuel consumption against load for the
CSOME blends and xtramile diesel. It is
observed that brake specific fuel
consumption for blends of CSOME in
different proportions is more when
compared with xtramile diesel. This is due
to the lower calorific values of the blends
of CSOME when compared with xtramile
diesel.
3. The variation of the exhaust gas

temperature with load for different fuels
used is shown in Fig. 5. It is observed that
exhaust gas temp is high for blends of Fig.5 Variation of exhaust gas temperature vs. load
CSOME when compared to xtramile
diesel for the operating range. This is
because with increase in load the
temperature of combustion chamber
282
VII. CONCLUSIONS
 Properties of the 10% and 20% blends of
CSOME are nearer to the diesel fuel.
 The performance of the cottonseed oil
methyl ester fuelled engine is comparable
with diesel engine.
 Engine could be run without any
difficulty using cottonseed oil methyl
ester blends.
 These blends of cottonseed oil can be
recommended for present diesel engines
without any modification.
 Thus the above investigations suggest
that esterified vegetable oils can be
effectively employed in emergency as a
suitable alternative fuel in existing diesel
engine.
REFERENCES
[1] B.S.Samaga, “vegetable oil as alternative fuels for the
C.I. engines”, VIII National conference on I.C engines
and combustion 1983.
[2] B.N.Jajoo and R.S.Keoti, “Evaluation of Vegetable oils
as Supplementary Fuels for Diesel Engines” XV National
conference on I.C engines and combustion, Anna
University, Chennai, 1997.
[3] Rosca Radu and Zugravel Mircea, “The Use of
Sunflower oil in Diesel Engines”, Transactions of
Society of Automotive Engineers, paper no.972979, USA
[4] V.V.Mahajani, “Sustainable development through bio
diesel”, Institute of chemical Technology, University of
Mumbai.
[5] Dr.D.K.Tuli,” Bio diesel: An alternative fuel”, Indian Oil
Corporation (R&D).
[6] Ayhan Demirbas, “A survey of bio diesel fuels from
vegetable oils via catalytic and non catalytic supercritical
alcohol transesterifications and other methods” Journal
of Energy Conversion and Management September 2002
[7] M.Sai Murugan, K.Ganesan and S.Karhtick, Bio diesel
as an alternative fuel for diesel engine”, proceedings of
the All India seminar/conference on advances in
Mechanical Engineering, S.V.U.College of Engineering,
Tirupati, Aug.2004.
[8] www.journeytoforever.com
[9] www.energyquest.ca.gov
[10] www.howstuffworks.com
283
Open and Closed Loop Pulsating Heat Pipes: A

Review
M. Khalid Usmani1, Mohammad Rafiq B2, Dr. Sanjay Kumar3
1,2,3
Automobile Engineering Department, Mumbai University
M.H. Saboo Siddik College of Engineering
Mumbai, India
1
usmanimk@gmail.com
2
engg_rafiq@yahoo.co.in
3
sanjaytanvi2003@yahoo.co.uk
Abstract— Thermal management is one of the highest T temperature, 0 C

priority items in the production of high performance up velocity of liquid plug (m/s)
microelectronic devices. Thermal management of x Axial coordinate, m
electronic equipment requires that the heat generated in ρ density (kg/m3)
the chip be removed efficiently to maintain electronic σ surface tension (N/m)
devices at acceptable temperature levels. High heat τ shear stress (N/m2)
transport capability, mechanical and thermal Subscripts
compatibility, long term reliability , and miniaturization c condenser
are some of the stringent boundary conditions which e evaporator
demand neoteric heat transfer strategies, such as pool h heating
boiling , jet impingement cooling and more recently l liquid
mini/micro channel flow boiling concepts. In line with p plug
these developments is the introduction of pulsating heat s sensible
pipes, as a very promising heat transfer technology, v vapor
especially suited for thermal management of electronics. w wall
This paper reviews the understanding and applications of
open and closed loop pulsating heat pipes (PHPs). I. INTRODUCTION
The heat generated on the active side of the chip (i.e. junction)
Keywords- Heat pipe, Pulsating heat pipe, Open and Closed loop of electronic equipment spreads throughout the chip, and is
Electronic cooling and Critical heat flux. conducted across the thickness of the silicon, then through the
thermal interface material to the heat sink where it is removed
Nomenclature- by convection and radiation both. The heat dissipation
phenomenon can be classified into two levels, internal and
Q Total heat flow rate, W external. The internal level is primarily concerned with the
∆T overall temperature difference, 0 C heat transfer from the silicon chip to highly conductive
Rwall Resistance due to wall, 0 C / W metallic interconnects and under fill materials. The external
Revp Resistance due to evaporation, 0 C / W level involves the heat rejection from the package to the
Rcond Resistance due to condensation, 0 C/W ambient. Since the thermal conductivity of the silicon is very
Rl-v Liquid-vapor thermal resistance, 0 C/W high, the heat generated in the junction is removed by
Reff Effective resistance, 0 C / W connecting a heat sink fan assembly to the silicon back. With
keff Effective thermal conductivity, W/m.0 C increasing power levels, the complexity of heat sinks has also
Leff Effective length, m increased. New heat sinks are now fabricated with elaborate
Ac Cross-sectional area, m2 cross cut extrusions to enhance air flow and their convective
Cp specific heat at constant pressure, J/kg K capabilities. More effective thermal interface materials are
Cv specific heat at constant volume, J/kg K also being used. However , with these efforts to push electrical
d diameter of heat pipe, m performance to higher levels, conventional cooling
h heat transfer coefficient, W/m2 K technologies and thermal management are facing growing
k thermal conductivity, W/m K challenges including; heat fluxes of 10 to 40 W/cm2, heat
L length, m loads of 10W to 150W, long term reliability etc. this
m mass, kg necessitates the development and use of more efficient, non-
R radius of heat pipe, m traditional cooling approaches. Pulsating heat pipes (PHPs)
Rg gas constant, J/kg K
284
characterized by highly effective evaporation and adiabatic zone in between. A PHP is essentially a non-
condensation cycles offer an effective thermal conductivity equilibrium heat transfer device whose performance success
several times greater than traditional heat sinks present depends primarily on the continuous maintenance of these
promising alternatives for removal of high localized heat non-equilibrium conditions within the system. Figure 2 shows
fluxes and a higher level of temperature uniformity across the a typical pulsating heat pipe.
electronic components. Compared to other cooling techniques,
PHPs do not require mechanical pumps, valves or consume
any power and consequently are quieter and more reliable.
These features are extremely promising for handling the heat
generated in the next generation of microelectronic
components or systems.
II. WICKED AND PULSATING HEAT PIPES

A traditional heat pipe consists of a vacuum tight envelope,
with the internal walls lined with a capillary structure or wick
with a working fluid as shown in figure 1. The heat pipe is
initially fully evacuated and then back filled with enough
working fluid to saturate the wick. The pressure inside the
pipe is equal to the saturation pressure associated with the heat
pipe temperature. As heat enters the evaporator, equilibrium is
perturbed generating vapor at a slightly higher pressure and
temperature. The higher pressure causes vapor to flow along
the pipe to the condenser end where a slightly lower
temperature causes the vapor to condense and release it‟s Fig. 2 Pulsating Heat Pipe
latent heat of vaporization. The condensed fluid is then
pumped back to the evaporator by the capillary forces 1) Constructional Details: The pulsating heat pipe (PHP)
developed in the wick structure. This continuous cycle can is a very effective heat transfer device. It consists of a
transfer large quantities of heat with very low thermal relatively long and thin sealed pipe containing both phases of
gradients. the working fluid. The inner diameter of the pipe must be
sufficiently small so that vapor bubbles can grow to vapor
plugs in the tube. The PHP is made from a long capillary tube
bent into many turns and the evaporator and condenser
sections are located at these turns. Compared with the
traditional heat pipe, the unique feature of PHPs is that there is
no wick structure to return the condensate to the evaporator
section, and therefore there is no counter current flow between
the liquid and the vapor. PHPs are characterized by the
following basic features:
(a) There is no internal wick structure as in conventional heat
pipes.
(b) At least one heat receiving zone (evaporator/heater), one
Fig. 1 Heat Pipe heat dissipating zone (condenser/cooler) and an optional
in-between adiabatic zone are present.
Pulsating heat pipes (PHPs) are passive two-phase thermal (c) The structure is made of a meandering /serpentine tube of
control devices first introduced by Akachi. Mainly, PHPs capillary dimensions with many turns, filled partially with
consist of a capillary tube bent in the several curves to form a suitable working fluid. There are two possible
parallel passages. This serpentine tube is evacuated and then configurations of PHPs.
partially filled with a working fluid. Filling results in a natural, Open Loop: Tube ends are not connected to each other;
uncontrolled, asymmetric liquid-vapor distribution (uneven essentially one long tube bent in multiple turns with both its
void fraction) in the tube sections, due to the dominance of ends sealed after filling the working fluid or one end of the
surface tension forces. One end of this bundle of tubes tube is pinched off and welded, while the other end may
receives heat (evaporator section) transferring it to the other present a service valve for evacuation and charging. Refer
end (condenser section), by a pulsating action of the liquid- figure 3.
vapor system. The vapor plugs generated by the evaporation Closed Loop: tube ends are connected to each other to form an
of the working fluid push the liquid slugs toward the endless loop and the working fluid is allowed to circulate
condensation section and this motion causes flow oscillations along it. Refer figure 3.
that guide the device operation. There may exist an optional
285
2) PHP Operation: As for as the internal At the „normal‟ operating condition OLPHP operates by the
hydrodynamics is concerned There occurs no „classical steady simultaneous oscillation of vapor plugs and liquid slugs inside
state‟ in PHP operation. During operation, there exists a the capillary tube. If the heat flux at the evaporator section is
temperature gradient between the heated and cooled ends. increased to a very high level, violent boiling will occur with a
Small temperature differences also exist amongst the very high evaporation rate. The oscillation is also violent. At a
individual „U‟ bends of the evaporator and condenser due to specific condition, the size of bubbles in the respective
local non uniform heat transfer rates which are always present evaporator tubes increases leading to partial dry-outs in some
in real systems. Since each tube section between the tubes. The liquid gets prevented from entering the evaporator.
evaporator and the condenser has a different volumetric The accumulated heat in the evaporator section results in a
distribution of the working fluid, the pressure drop associated very high wall temperature leading to a burn-out as shown in
with each sub section is different, this causes pressure figure 4. The associated heat flux is called the critical heat
imbalances leading to thermally driven two phase flow flux.
instabilities eventually responsible for the thermo-fluidic
transport. Pressure waves and fluid pulsations are generated in
each of the individual tube sections, which interact with each
other generating secondary and ternary reflections with
perturbations. Bubble generation processes in the heat tubes
sections and condensation processes at the other end create
sustained „non-equilibrium‟ state as the internal pressure tries
to equalize within the system. Thus a self sustained thermally
driven oscillating flow is obtained.
Fig. 4 Operational states of OLPHP
3) Vapor plug and liquid slug: The mass of the vapor

plug increases due to evaporation at the evaporator section,
and it decreases due to condensation at the condenser section.
The continuity equation for the vapor is expressed as:
The energy balance for the vapor phase is:
Fig. 3 Schematic of open and closed loop pulsating heat pipe

The above equation can be re written as:
It will be appreciated that PHPs are complex heat transfer
systems with a very strong thermo-hydrodynamic coupling,
governing the thermal performance. The construction of PHPs The vapor pressure is determined using ideal gas law:
is such that on a macro level heat transfer can be compared to
an extended surface „fin‟ system. Simultaneously, the internal The momentum equation for the liquid slug is written for the
fluid flow may be compared to flow boiling in narrow entire liquid slug both in the heat pipe and in the
channels. Rittidech et al investigated the effect of inclination surroundings:
angles and working fluid properties for an OLPHP. R123,
ethanol and water were used as working fluids with filling
ratio of 50%. The evaporator and condenser sections were The effect of surface tension on the motion of the liquid slug
maintained at fixed temperatures of 800C and 200C has been included in the momentum equation. The shear
respectively. The effect of operating inclination angles on stresses τp and τe can be calculated by using friction
Qmax/Qo (Qo: heat throughput for the horizontal operation), coefficients recommended by Dobson and Harms.
was seen. The maximum values of Q max/Qo for R123, ethanol
and water were 2.19, 2.15 and 1.98 respectively. In addition, it 4) Heat Transfer Mechanism: The net heat transfer is a
was found that a working fluid with lower latent heat of combination of the sensible heat of the liquid plugs and the
vaporization exhibited a higher Q max/Qo. In CLPHP the latent heat of the vapor bubbles. If the internal flow pattern
thermal resistance continuously decreases with increasing heat remains predominantly in the slug flow regime (as in case of
input until heat transfer gets limited by the external air-side OLPHPs and in case of CLPHPs at low heat flux), then it has
heat transfer coefficient. A combination of large number of been demonstrated that latent heat will not play a dominant
turns and high input heat flux ensures continuous CLPHP role in the overall heat transfer. If there is transition to annular
operation in any orientation without appreciable change in flow under the imposed thermo-mechanical boundary
thermal performance. Both the requirements should be conditions (in case of CLPHPs) then the dominance of latent
simultaneously satisfied to achieve this goal. heat increases leading to better performance. The most
286
interesting aspect is the fact that the best performing CLPHP and thus allow for greater heat transfer and improved
is no longer behaves as a pulsating device. Alternating tubes temperature control.
then have slug flow and annular flow and the bulk flow takes
a fixed direction. Strictly speaking, the term „pulsating heat
pipe‟ then becomes a misnomer. Another mechanism of heat
transfer that needs to be considered is that due to sensible heat IV. PERFORMANCE OF A PHP
exchange between the liquid slug and the tube wall. When The following parameters affect the performance of a PHP:
part of the liquid slug is located in the evaporator section, heat working fluid, internal diameter, and inclination angle,
is added to the liquid slug in the form of sensible heat. When number of turns and length of condenser, evaporator and
the liquid slug is moved to the condenser section, the sensible adiabatic sections. Apart from these parameters the
heat absorbed at the heating section is transferred to the wall performance of a PHP also depends on its structure, shape,
of the condenser section. Since the liquid slug oscillates in the material and total length. A major criterion for thermal
heat pipe at a very high frequency, the contribution of sensible performance is the temperature drop along the heat pipe for a
heat is expected to be very important. Since the liquid slug is required heat load. The heat transfer capacity of a PHP, Q, can
assumed to be incompressible, the entire liquid slug oscillates be calculated using the following equation:
with the same velocity, vp. The temperature distribution in the Q = ∆T / (2Rwall + Revp+ Rl-v+ Rcond)
liquid slug can be obtained by analyzing the heat transfer in Alternatively this equation can be written as:
the liquid slug. On the moving coordinate system, xl, that rides Q = ∆T/ Reff
on the liquid slug, the problem can be described by the Here Reff = Leff / (Keff *Ac)
following equation: Where ∆T is the overall temperature difference along the heat
pipe, Rwall is the resistance due to wall Rl-v is liquid-vapor
thermal resistance along the heat pipe length, Revp and Rcond
Where, Tw is wall temperature of the tube. It is equal to the are the thermal resistances due to evaporation and
heating section temperature, Th, for the portion of liquid condensation at the evaporator and Condenser respectively
located in the heating section. For the portion of liquid located Keff and Leff are the effective thermal conductivity and length
in the cooling section, the temperature is equal to the cooling respectively, Ac is the cross sectional area of the PHP. Figure
section temperature, Tc. The liquid slug velocity, vp is not a 5 shows the different resistances in a pulsating heat pipe.
constant, and therefore the Reynolds number of the liquid slug
varies in a wide range that covers laminar, transition and
turbulent flow. The heat transfer coefficient in the laminar
regime is obtained by using analytical solutions. The heat
transfer coefficient in transition and turbulent regimes are
obtained by using empirical correlations in the literature. The
heat transferred from the liquid slug to the tube wall is given
by:
Fig.5 Thermal resistances in a PHP

III. APPLICATION
As the chips in the lower end devices get smaller and operate Normally the contact resistances and wall conductive
hotter, thermal management is becoming one of the major resistances are very small, hence it is the resistance due to
considerations in creating tomorrow‟s more compact, complex evaporation (Revp), condensation (Rcond) and the two- phase
micro devices. Traditional microchip substrates are made of flow along the heat pipe (Rl-v), which plays the important
fiberglass-epoxy type materials loaded with copper role to the performance of the PHPs. For a typical PHP the
interconnects that help conduct heat into the substrate and value of the total thermal resistance lies in the range of
away from the microchip. In the recent past, highly 3.29×10-4/A oC/W and 2.10×10-3/A oC/W, where A is the
conductive diamond and diamond coated substrates have been heating area. The range of heat fluxes is reported as 5 kW/m2–
developed, but there use is drastically limited by their high 600 kW/m2 for mini tube diameters ranging from 400 µm to
cost. To solve the heat buildup problem in microelectronic 2.97mm .
devices, future electronic devices could benefit from V. CONCLUSION
embedded PHPs in their chips or PHP assisted heat sinks to This article reviews the operational understanding and
help carry some heat away from the hottest circuitry and application of OLPHPs and CLPHPs which are being
transfer it to the other structural elements. Micro PHPs can be employed in thermal management of electronic equipments.
built directly within the substrate material using micro The performance of a PHP is presented in terms of its heat
fabrication technology to carry heat away from the chip much transfer capacity. Unlike CLPHPs there is no possibility of an
more efficiently than conduction through solid copper or overall flow circulation to develop in OLPHPs. Thus the
transport through larger heat pipes on the substrate surface possibility of the development of well structured circulating
287
annular flow is also non-existent in OLPHP. Since local

internal heat transfer usually enhances in the convective
annular flow regime, CLPHPs in general show better
performance than OLPHPs. With the available trends on the
performance of pulsating heat pipes, it may be safely
concluded that the technology is very well suited for the
thermal management of high heat flux electronics.
VI. REFERENCES
1. Yuwen Zhang , Amir Faghri, “Heat Transfer in a Pulsating Heat Pipe
With Open End” International Journal of Heat and Mass Transfer pp.
755-764 vol.45, 2002.
2. Sameer Khandekar and Manfred Groll, “Closed and Open Loop Pulsating
Heat Pipes” 13th International Heat Pipe Conference, Shanghai, China,
2004.
3. Roger R. Riehl “Characteristics of an Open Loop Pulsating Heat Pipe”
SAE International, 2004.
4. G. Karimi and J.R. Culham, “Review and Assesment of Pulsating Heat
Pipe Mechanism for High Heat Flux Electronics Cooling.”, Inter Society
Conference on Thermal Phenomena.. (2004).
5. P. D. Dunn, and D. A. Reay, “Heat Pipes” Pergamon Press.
6. D. Reay and P.Knew, “Heat Pipes: Theory, Design and Applications”.
Fifth Edition (2006).
7. http:// www.cheresources.com/htpipes.html
8. http://www.heatpipes.com
288
Computational Studies of Energy Separation in

Co-Annular Axial Flows
R. Manimaran
Thermal and Automotive Division,
School of Mechanical and Building Sciences, VIT University,
Vellore-632014, Tamilnadu
manimaran.r@vit.ac.in
Abstract— Energy separation is the redistribution of total energy dependent characteristics. He also pointed out that energy
in a flow without external heat or work, so that some portion of separation of a viscous flow is caused by both the mechanisms.
the fluid has higher total energy and other portion has lower
total energy than the remaining fluid. In the present study, the Understanding the motion of the coherent structure around
mechanism of energy separation is numerically investigated in
a jet and its sensitive response to acoustic excitation has
two opposite free jet flows. A commercial code is used to solve
mass, momentum and total energy conservation equations. The drawn significant researchers’ attention. The experimental
physics of the flow is studied and found that vorticity plays an studies on free jets at Reynolds numbers 8000 and 120000 are
important cause for energy separation. Parametric studies are carried out by Han and Goldstein [7]. For the low Reynolds
also carried out to understand the effect of energy separation on number jet, spectral analysis of instantaneous velocity and
the Reynolds number and geometric length of free jets for two flow visualization by a schlieren system are performed
opposite axial flows. with/without acoustic excitation. The flow characteristics of
the high Reynolds number jet are also investigated with
Keywords: Energy separation, Shear flow, Turbulence, spectral analysis, since energy separation is more prominent in
Numerical computation, Parametric studies high speed flows. The results provide useful information on
the motion of the coherent structure and its response to
I. INTRODUCTION acoustic excitation. This forms the basic building blocks of
Energy separation presents the possibility to heat or cool energy separation mechanism. The jet in crossflow or
fluid without using a conventional heating or cooling system. transverse jet has been studied extensively because of its
Further research to enlarge the temperature difference is still relevance to a wide variety of flows in technological systems,
required. Not only this possiblilty, but also the understanding including fuel or dilution air injection in gas turbine engines,
of the mechanism involved is important to predict the accurate thrust vector control for high speed air breathing and rocket
temperature distribution in fluid flows where flows are used as vehicles, and exhaust plumes from power plants. These
heat transfer enhancement methods such as impinging jets. widespread applications have led over the past 50 years to
Recently few studies were performed to investigate the experimental, theoretical, and numerical examinations of this
instantaneous mechanism experimentally and numerically. fundamental flowfield, with and without a combustion
Experiments to measure instantaneous total temperature were reaction, and with single or multi-phase flow. The
performed in the wake of a circular cylinder [1], and a turbine complexities in this flowfield, whether the jet is introduced
blade [2]. Fox et. al [3] carried out a numerical analysis of the flush with respect to the injection wall or from an elevated
energy separation in a free jet with inviscid and non- pipe or nozzle, present challenges are lying in accurately
conducting fluid assumption. Han and Goldstein [4] interrogating, analyzing, and simulating important jet features.
performed a numerical analysis of the same problem in a plan
shear layer by solving the two – dimensional Navier-Stokes Numerical simulations of mean velocity and turbulent
equations. However their analysis assumed a non-conducting kinetic energy fields are presented by Ting and Li [8] for
fluid. Since Eckert and Weise [5] first found energy three-dimensional lateral jet in crossflow, at various injection
separation from the recovery temperature distribution on a angles with the RNG k-ε turbulence model, with the two-layer
circular cylinder, others have reported the existence of the wall function method, is adopted to simulate the
phenomenon in various flows including boundary layers, jet characteristics of this flow at the jet-to-crossflow velocity
flows and cross-flow across a circular cylinder and shear ratios, 1, 2 and 4. The results show that the injection angle and
layers. Eckert [6] suggested two physical mechanisms of jet-to-crossflow velocity ratio can change the flow fields, and
energy separation. One is the imbalance between the energy the range upstream affected by jet injected laterally and the
transport by viscous shear work and that by heat conduction. curvature of jet trajectories varies along the flow direction.
The other is due to pressure fluctuation within flow fields Furthermore, the separation events in the lee side of the jet
caused by moving vortices. Unlike the energy separation by exit and behind the jet bending-segment have been found, and
the imbalance of shear force / energy due to heat conduction, the mechanisms of two vortex systems are analyzed. The
energy separation from pressure fluctuation has time-
289
radial velocities of the closely spaced opposed jets across turbulent models are selected and problem is solved by finite
various exit velocities, nozzle diameters and nozzle volume method. The importance of vorticity at different
separations were studied experimentally by hot wire geometrical conditions are understood and turbulent
anemometry and analyzed theoretically on the basis of N-S intensities are calculated and compared among the various
equation. The criterion in determining the junctions of wake cases.
and jet flows lies in the velocity gradient equal to zero and
determined by Chou et al [9]. In the wake region, the
amplitude of the resonant instability appears to be much II. GEOMETRY OF THE MODEL
significant in both streamwise and transverse components. A The geometry chosen for the investigation of energy
succession of shedding vortices is then identified to dominate separation between two co-annular jets is simple as shown in
the wake flow dynamics. While in the jet region, both fig.1
resonant and its sub-harmonic instabilities prevail in the same
order of contributions to the development of the coherent Figure 1. Schematic diagram of model with boundary
structures. The vortex formation and merging processes now conditions
become dominant in the jet flow dynamics. As compared to
the natural jet, the evolution of the coherent structures is
greatly enhanced during the self-sustained oscillating flow
field, which extends from the jet exit to the cylinder. The local
maxima of fluctuation intensities, energy production and
energy convection occur in the jet shear layer close to the jet–
cylinder impingement region. The effect of unsteady vortical
structures on the adiabatic wall temperature distribution in an
impinging jet is explored by Fox et al [3]. A conceptual model
is introduced for the separation of the total temperature,
appealing to the dynamics of particle pathlines and vortex
rings in the jet. The presence of a region of higher total
temperature on the inside of the jet and a region of lower total
temperature toward the jet periphery, predicted by the model, The length (L) and characteristic dimension (D) chosen by
exhibits good agreement with the theoretical and experimental default are 0.1 m and 0.02 m respectively. However,
data taken at high subsonic Mach number. parametric studies are performed by changing the length and
characteristic dimensions. The geometry is meshed and shown
The vortex tube is a simple device used in industry in figure 2.
for generation of cold and hot air streams from a single
compressed air supply. This simple device is very efficient in FIGURE 2. GEOMETRY MESH CLUSTERED AT THE CENTRELINE
separation of air streams of different temperatures and has AND NEAR THE FARFIELD
been the focus of investigation since the tube’s discovery.
Different explanations for the phenomenon of the energy
separation have been proposed, however there has not been a
consensus in the hypothesis. Current explanations is based on
the working concept of a vortex tube. Hypotheses of pressure,
viscosity, turbulence, temperature, secondary circulation and
acoustic streaming towards the energy separation in vortex
tube. The accurate numerical simulation of the flow in a
vortex tube, resulting in an improved prediction capability of
the kinematic and thermal properties of outgoing jets, could
allow a correct estimation of the cooling performance of this
device in jet impingement operation. The computations by
Eiamsa [10] with selective source terms of the energy
equation suppressed show that the diffusive transport of mean III. NUMERICAL FORMULATION
kinetic energy has a substantial influence on the maximum Numerical simulation of flow between two co-annular
temperature separation occurring near the inlet region. In the opposite free jets is a very difficult and challenging task, as it
downstream region far from the inlet, expansion effects and deals with the prediction of compressible and turbulent flow.
the stress generation with its gradient transport are also Moreover, strong temperature gradients exist between the two
significant. jets where energy separation is investigated. The temperature
gradients arise in axial direction than in the radial direction.
In the present study, a two dimensional co-annular jet has Hence the problem is strongly coupled with the flow and
been considered for analysis of energy separation. Suitable thermal characteristics. Due to its characteristics,
290
mathematical modelling of the flow requires particular care in balances dissipation. In these cases the local character of the
establishing the governing equations, in setting the solution Boussinesque’s hypothesis is acceptable and a turbulent
techniques and in setting the turbulence closure models. As a viscosity model can be used. Moreover, in the first order
consequence of the relevance of the thermal gradients closure models there is an explicit assumption related to the
(separation effect) and of the flow compressibility, the structure of Reynolds stress tensor. In fact, the Boussinesque’s
continuity and Navier-Stokes equations are completed using relation imposes the isotropy of the normal components in the
the energy equation and the gas equation of state. Thermo- turbulent stress tensor. This assumption was found to be. The
physical properties of the air are assumed to be varying with complete transport equations for Reynolds stresses are directly
the temperature as a third order polynomial function. The obtained from the momentum conservation equations, written
general form of the conservation equations to be solved by following the RANS approach. Nevertheless, RANS and
fluent can be represented in general form by Reynolds stresses equations do not constitute a closed set
system; hence, several terms require further modelling, like
   triple correlation, pressure–strain correlation, Reynolds stress
   dV    n  (  u) dA   n  ( grad  ) dA   S dV dissipation, etc. In this work, these terms are modelled by

t  CV 
 A A CV
means of linear relations between them and Reynolds stresses
mean gradients. Anyway convection, production and
In the above equation, the left hand side represents the total molecular diffusion of Reynolds stresses are taken into
derivative terms (local and convective terms) and the right account exactly by the transport equation. The discretization
hand side represents the diffusion and source terms for of convective terms in the mass, momentum and energy
continuity () , momentum and energy. These equations are conservation equations relied on SOU (Second Order Upwind)
solved numerically by the built in coupled implicit solver of scheme, whereas a QUICK (Quadratic Interpolation for
the commercial finite volume code FLUENT6.3.26 [11]. Convective Kinematics) discretization scheme was used for
Boundary conditions are expressed by imposing pressure and the k, e and RSM equations. In fact, high values of Reynolds
temperature components values at the pressure inlet and outlet cell number advise against the use of centered schemes.
respectively. Frictionless flux treatment was performed by means of a Roe
Flux Difference Splitting scheme with the Courant number
Adiabatic conditions are set at the farfield conditions. The varying from 0.5 to 5. Lower under- relaxation factors ranging
internal heat source has been neglected here as the energy from 0.05 to 0.8 were chosen for momentum, pressure, swirl
separation between two jets are interested in the current velocity and turbulent dissipation rate. Convergence criterion
problem under investigation. Newtonian fluid is assumed and value for all the thermo-fluid dynamic variables was fixed to
turbulence closure model is varied and solutions are obtained 10-6. For convenience, the total temperature (To) difference
after the convergence criterion (1x10-6) are met for all the between the inlet (suffix ‘i’) and exit (suffix ‘e’) of upper and
equations of continuity, momentum and energy. The lower jets are calculated and presented for the grid
modelling of some unclosed terms presents particular independent numerical studies.
difficulties due to flow compressibility and their complete
formulation is not yet achieved. Anyway, in this work, the TABLE 1. GRID INDEPENDENCY STUDIES
RNG k–e model (Renormalization group k-e first order
closure model) where k being the turbulent kinetic energy and Sl. No. of To,i-To,e (k) for To,i-To,e (k) for
e being the turbulent dissipation rate. The RNG k-e model is No cells Upper Jet Lower Jet
based on the Boussinesque’s hypothesis, and the RSM 1 50,000 3 2
(Reynolds Stress Model second order differential closure 2 1,00,000 4 3
model) have been used. A correction term is introduced in the 3 2,00,000 5 3
k-e transport equation that is a function of the strain rate 4 2,50,000 5 3
tensor and makes the RNG model more responsive to the
effect of both rapid strain and streamline curvature with
respect to the standard k-e model. Being the RNG k–e more IV. RESULTS AND DISCUSSIONS
suitable than the standard k-e model for the prediction of high The geometry chosen for the investigation of energy
speed jet flows, an intrinsic assumption is made by using a separation between two co-annular jets is simple as shown in
turbulent viscosity model. In fact, the components of the fig.1 The Reynolds number (Re) chosen is UD/where is
Reynolds stress tensor at each point and time are determined kinematic viscosity of air, D – characteristic length and U-free
by the mean velocity gradient at the same point and time stream velocity prescribed at inlet. Re is found to be 80000 for
(local characteristic of the turbulence model). This assumption the following simulations. The residuals for the convergence
is verified only if the turbulence adjusts rapidly to the mean of three equations are shown in figure 3. From figure 3, it is
straining of the flow. This condition is true for simple seen that residuals reach to an order of 10 -3 as the iterations
turbulent flows (like round jet, mixing layer, boundary layer), progress in time towards a steady flowfield. The residual in
in which the mean velocity gradient can represent the ‘‘history the continuity equation seems to oscillate due to dispersion
of mean distortion of the flow”, the non-local transport and density field in the geometry gets affected by the two-jet
processes are small and the turbulence production almost shear mechanism.
291
FIGURE 3. RESIDUAL HISTORY OF CONTINUITY, MOMENTUM FIGURE 5. STATIC TEMPERATURE IN KELVIN

AND ENERGY EQUATIONS
As there is a change in total temperature, so does the total

energy and hence energy in the upper jet is depleted due to
lower jet and hence energy patches are formed as shown in
figure 6. The shear layer is well observed in figure 6 between
the upper and lower jets.
FIGURE 6. TOTAL ENERGY CONTOURS IN JOULES/KG
A. PhysicalMechanism:
The total temperature plot is shown in figure 4, from which

one can understand the energy redistribution in the geometry.
There are patches of total temperature regions seen in figure 4,
the coherent structure of vortices can attribute to the
separation of energy in the flow. The jets exchange
momentum and hence energy due to shear work and heat
transfer by conduction and convection are involved.
FIGURE 4. TOTAL TEMPERATURE IN KELVIN

The internal energy contours shown in Figure 7 present a
meaning among the energy transfer due to molecular activities
in turbulent flow. The internal energy produce a change in
temperature field by molecular thermal exchange and
viscosity tries to dampen the flow or the speed of molecules.
FIGURE 7. CONTOURS OF INTERNAL ENERGY IN JOULES/KG
The static temperature field in shown in figure 5. It is

clearly understood there is heat transfer by conduction from a
lower jet to an upper jet as there is a difference in static
temperature in the ‘y’ direction. Moreover there is a mean
static temperature at the centre-line in the geometry where the
flow is at inlet temperature. Jet shear is caused by some other
mechanism although heat transfer by conduction is one among
them. Hence shear work must be investigated to identify the Hence the energy redistribution in the two opposite free jets
cause for total energy separation. In shear work, viscosity gets are acknowledged and the flow details have to be identified
affected due to turbulent kind of flow. The velocity gradients and cause for the energy separation should be investigated.
provide a more useful information in the understanding of Details into the turbulence features in the flowfield can give
energy separation between two opposite jets. insight into the energy separation and is discussed next.
292
B. Turbulence phenomena: where vorticity magnitude is least. However, the production

The flow in the jets generally have many small structures or small scale vorticity is largely controlled by the straining
grains in the turbulent regime. Hence those grains can be seen provided by much larger scales of motion. Thus, the
in the turbulent kinetic energy and intensities and vorticity entrainment rate is controlled by the speed at which the
contours. The kinetic energy resulting from a turbulent flow is interface contortions with the largest scales move into the
shown in figure 8 and many features can be identified in it. surrounding fluid. These controlling large scale vortices tend
The production of kinetic energy happens at the shear layer to be coherent and easily recognizable features. Here the
between two jets and proceeds along the jet direction. correlation between total energy and vorticity can be
Turbulent kinetic energy is reducing its magnitude at the compared between figures 6 and 10.
middle of the flowfield while it again picks up at the opposite
FIGURE 10. VORTICITY IN 1/S
end of the jet, i.e. near the outlet.
FIGURE 8. TURBULENT KINETIC ENERGY IN M2/S2
The self similar structure of velocity is understood in the

single turbulent jets, but twin jets are not much explored and
The turbulent intensity is found to be maximum near the hence open for research studies. The energy changes
inlets and exits as shown in figure 9. The intensity of happening in the flowfield manifests the flow to happen and
turbulence is enormous that the flowfield is fully turbulent and the vice-versa.
the fluctuating velocities are significantly higher. It is also
understood from preliminary studies that energy redistribution
C. Parametric studies:
is nearly absent in laminar flow.
The jet studies provide knowledge about the energy
FIGURE 9. TURBULENT INTENSITY redistribution, shear layers, transition from laminar to
turbulent regime and many more. However, the parametric
studies form other side whether the length or characteristic
dimension can be changed and its effects are studied. Figure
11 shows the schematic where 3 stations are identified for
evaluation of temperature or vorticity magnitude for analysis.
For convenience, station 1 is at 0.025 m from the extreme left
and station 2 and 3 are 0.05 m and 0.075 respectively. x = 0 m
and x = 0.1 m represent the edges where the inlet and outlet
conditions are specified.
FIGURE 11. SCHEMATIC ILLUSTRATION OF 3 STATIONS IN THE

FLOWFIELD
The generation of vorticity at the source, and its convection
and diffusion into only a narrow portion of the total space
available, gives a jet its defining experience. The onset of
instability and the resulting amplification of fluctuating
vorticity, especially when the disturbances cause further
confinement of vorticity. For the plane jet issuing from the
line source of momentum, the equations reduce to simply a
balance between the convection of vorticity downstream and
viscous diffusion of vorticity into the surrounding stream. It is
well known that high Reynolds number laminar jets develop
into fully turbulent flows. Vorticity can be generated locally
by stretching and turning. The viscous diffusion of vorticity,
acting primarily at the smallest scales of motion where the
gradients are largest, acts to propagate vorticity into the region
293
FIGURE 12. TOTAL TEMPERATURE IN KELVIN AT 3 STATIONS where the effect of length to diameter ratio has significant
effect until 40, after which the energy separation decreases.
The magnitude of total temperature decreases as L is increased
by comparing the figures 12 and 14.
FIGURE 14. TOTAL TEMPERATURE IN KELVIN WHEN L IS

DOUBLED
The total temperature at three stations are plotted from y =

-0.01 to y= +0.01for Re = 80000 in the figure 12.. It can be
understood that the jets produce asymmetries in the flowfield
and thereby the total temperature distribution also. The
vorticity plots are shown for the same in figure 13 where again
asymmetry is present.the vorticity magnitude is maximum The dimension D also has a significant effect on the energy
near y=0.0 and is evident from the plot. The shear layer is at separation as it is doubled where D=0.2m and compared with
the centreline and hence vorticity can be expected to be the schematic shown figure 1. The Reynolds number is
maximum at the centreline. There is a positive correlation calculated based on the characteristic dimension D and hence
between total temperature and vorticity. The effects of Reynolds number is also doubled in this case.
increasing the length L and dimension D are mentioned next.
FIGURE 15. TOTAL TEMPERATURE IN KELVIN WHEN D IS
FIGURE 13. VORTICITY IN 1/S AT THREE STATIONS DOUBLED AND HENCE REYNOLDS NUMBER IS ALSO DOUBLED
When the length L is doubled the shear layer interaction

becomes ineffective and hence the energy distribution is less
The total temperature is less effective at x =0.075 m and this
affected. The total temperature is less affected in this case and
may be due to presence of larger turbulence structures.
the flowfield is responsible for energy separation effect. The
The flowfield has big turbulence scales and hence turbulent
same effect can be compared to the situation in a vortex tube
fluctuation terms are quite low in this case and this seems to
294
predict a lower energy separation. The final case is shown in [5] E. Eckert, W. Weise, Messungen der temperaturverteilumg auf der
overflache schnell angestrometer unberheizter korper, Jahrb deutschen
figure 16 where the velocity inlet U is increased such that
Luftfahrtforsch II (1940) 25-31.
Reynolds number is increased by a factor of 5. The plot shows [6] E.R.G. Eckert, Cross transport ofenergy in fluid streams, Warme-und
an intensive change in total temperature at three stations. As Stoffubertranung 21 (1987) 73-81.
the inlet velocity U is increased, The shear layer increases in [7] B. Han R. J. Goldstein. (2003) Instantaneous energy separation in a
free jet. Part 1. Flow measurement and visualization, Int’l J. Heat and
thickness and hence higher chance for energy redistribution in
Mass Transfer (46) pp 3975-3981.
the flowfield. Hence higher Reynolds number increases the [8] G. T. Ting and S. H. Li (2006) Numerical simulation of turbulent jets
energy distribution. with lateral injection into a crossflow, J of Hydrodynamics 18 (3) pp
319- 323
FIGURE 16. TOTAL TEMPERATURE IN KELVIN WHEN [9] Y. W Chou, F.B. Hsiao , C. C. Hsu, J. M. Huang (2002) Experimental
REYNOLDS NUMBER IS INCREASED BY 5 TIMES WHEN U IS thermal and fluid science (26) pp 445-454.
INCREASED BY FACTOR OF 10. [10] S. Eiamsa-ard and P. Promvonge (2007) Numerical investigation of the
thermal separation in a Ranque-Hilsch vortex tube, Int’l J Heat and
Mass Transfer (50) pp 821-832.
[11] Fluent User’s Guide, release 6.3.26, Ansys Inc. USA, 2006.
V. CONCLUSIONS
A numerical study examines the steady flow simulations of
the two co-annular jets where the mechanism of energy
separation is investigated. Two dimensional Navier-Stokes
equations with the k-e turbulence model constitutive equations
are solved until the convergence conditions are attained. From
the two jets, a strong correlation between vorticity and total
energy can be seen from the contours and it is found that
transport of vortices in the large coherent structure is
responsible for energy separation. As Reynolds number
increases, the energy separation is intensified due to more
rapid development of vortices. The energy separation gets
affected if there is an increase in length L and dimension D as
discussed in parametric studies.
REFERENCES
[1] W.F. Ng, W.M. Chakroun, M.Kurosaka, Time resolved measurements
of total temperature and pressure in the vortex street behind a cylinder.
Phys, Fluids A 2 (1990) 971-978.
[2] W. E. Carscallen, T. Cuurrie, S.I. Hogg, J.P. Gostelow, Measurement
and computation of energy separation in the vortical wake flow of a
turbine nozzle cascade, Technical Report, ASME 98-GT-477, 1998.
[3] M.D. Fox, M.Kurosaka, L.Hedges, K. Hirano, The influence of vertical
structure on the thermal fields of jets, J. Fluid Mech. 255 (1993) 447-
472.
[4] B. Han, R.J. Goldstein, Instantaneous energy separation in shear layer,
in : Proceedings of the seventeenth symposium on energy engineering
science, Argonne National Laboratory, Argonne, IL, 1999, pp. 63-73.
295
Hazards are the Challenges in Surface Mining

Areas – An Observation
1
Binay Kumar, 2Vikas Dhawan, 3R. K. Bansal,
1
Director, 3A P., Mechanical, SRMIET, Khorabhura, Naraingarh, Ambala, Haryana.
1
binaykumar36@mail.com
2
Addl.Director, GITM, Bilaspur,Yamuna Nagar, Haryana.
2
vikas251999@gmail.com
Abstract - Large-scale expansion of surface mineral industry wastes. However, all the developments of environmental
in these days caused steep deterioration in the safety protection technologies have been basically aimed at
standards and the poor quality of performance thus rendering reducing dust emission, energy consumption, protecting
the entire administration of mineral industry a farce. surface water and waste generated as co-products.
Revamping the system calls for bold steps and move for more
cares, which the limited resources of the government can Environmental protection is increasingly understood as a
hardly provide it for the system to improve. India is a vast common global concern.
country where the verities of surface mineral industries are
running. Some of them are now well established and accepted The major global issues arising as a threat to human life on
by Director General of Mines Safety (DGMS) regarding the planet are
safety aspects of human being. The performance of the human
beings is dependent on the working environment and types of  Global warming
job to be carried out.  Acid rain
 Ozone depletion
The cost of equipment deployed for the mining  Desertification
operation is the vital assets and its maintenance system plays  Deforestation
a key role on production system. The management and
workforce deployed for the work in mining areas are the  Depletion of water resources.
influencing factors for the production system.
Various agencies are set to take care of the water, air ENVIRONMENT: It refers to ecological, economical,
and lube control system and application that are suitable for political, social and technological.
use. Different External agencies are working and suggesting
for the betterment of environment in the working areas. The ECOLOGY: It pertains to the study of relationship between
various rules and regulations are made for improving the various organisms and their relationship.
system and safety in the mining industry by Director General
of Mines Safety (DGMS) that are not followed seriously which 1) Human ecology: which studies the relationship
affects the production system directly or indirectly. between human biological factors and the natural
environments.
The paper highlights the sources, precautions and 2) Social ecology: which studies the relationships
remedial action of water, lube and air hazards available in the
among natural environment, population, technology
surface mining industry that influencing the working
environment of human beings. and society.
The paper stress is to highlights environmental
Key Word: Motivation, Coordination and Teamwork, Safety, pollution developed in the surface mining areas
Rules. through water, lube and air hazards that would be
stated one by one with their sources, precautions and
I. INTRODUCTION remedial actions to minimize it in the mining areas.
Environmental pollution has always been a controversial A. Pollution affecting factors: -

issue. The reason for this is due to the fact that it is The level of pollution is the functions of so many
extremely difficult to draw the line between harmless factors:
emission and harmful emission. 1) It varies directly with the level of population and per
capita income and inversely with the extent of
Pollution caused[1] by an industry is mainly in the farm of recycling, technology, water, lube oil and air
air pollution, noise pollution, water pollution, oil & treatment.
lubricant pollution, solid waste and chemically hazardous
296
P = f(Population, per capita income, 1/recycling, The cost of equipment deployed for the mining operation is
1/technology, 1/treatment) the vital assets and its maintenance system plays a key role
on production system. The management and workforce
2) Pollution increases with the population density. deployed for the work in mining areas are the influencing
3) Environment population further increases at the factors for the production system. The performance of the
standard of living goes up. human beings is dependent on the working environment
4) Pollution is inversely related to the degree of and types of job to be carried out.
recycling. i.e. if the waste product is cleaned reused,
the pollution level will decrease. The various rules and regulations are made for improving
5) The intensity of pollution also depends upon the the system and safety in the mining industry by Director
amount of waste treatment. General of Mines Safety (DGMS) that are not followed
6) Technology acts to reduce pollution. i.e. more efficient seriously which affects the production system directly or
engine produce less pollution. indirectly. Various agencies are set to take care of the
7) Maintenance management system i.e. It plays a vital water, air and lube control system and application that are
role to minimize the environmental pollution through suitable for use. It is observed that the Oil and Lubricant
their action, motivation, talent, experiences, constitutes around 33% of total expenses per unit
coordination and teamwork. excavation in Heavy Earthmoving Equipment.
Fuel Oil on combustion gives rise to Nitrous fumes,

B. Effects of Water, Lube and Air Pollution on Human Carbon Monoxide, Carbon Dioxide, Aldehydes, which are
Health: considered noxious gases. Besides the afore stated gases
Pollution develops respiratory diseases, which cause unburnt fuel oil and carbon particles are found in the
disability and death. exhaust gases of internal combustion engine, water bath
Given list below are the various health problems. exhaust conditioner/Catalytic exhaust conditioner are fitted
1) Occupational skin disease i.e. Chemical burns on exhaust of the engine to absorb nitrous fumes, to
2) Dust diseases of lungs i.e. Silicosis found in foundry remove burning particles and to act as a flame arrestor.
workers.
3) Respiratory conditions due to toxic agents i.e. acute Ministry of Environment and Forest (MOEF) prescribes
congestion due to chemicals, dusts, gases or fumes. tolerable limit of pollutants for suspended particulate
4) Poisoning i.e. Pb, Hg, Cd, H2S, Benzol, Plastics and matter, noxious fumes, carbon monoxide and sulpher
resigns, etc. dioxide in the general ambient air and work zone air. As
5) Disorders i.e. due to physical agents like the major source of atmospheric pollutant[2] in the mines is
environmental heat or low temperature. due to the use of Oil and Lubricant[3] it is interesting to
6) Disorder due to repeated Trauma i.e. noise included note the pollution caused in the mine surface in relation to
hearing loss. the prescribed norms for the particular mine. The pollution
The information has been collected from different sources is hardly 20% of prescribed maximum, which indicates the
like literature, personnel deployed in the opencast mines, good standard of machinery maintenance.
the log book/ records of the register and the enquiry from Similarly, MOEF norms prescribe maximum limit of Oil
the responsible personnel for system & safety. and Lubricant in the water effluent to be 10 milligram
/litre. However, in the concerned mine, Oil and Lubricants
C. Surface Mining Area: waste production was being collected regularly and was
burnt periodically and hence the Oil and Lubricant in the
India is a mineral populated country where the verities of
mine discharge water was less than 0.01 mg./litre.
underground surface mineral industries are running. Some
of them are governed directly by government of India and II. WATER POLLUTION
some of them are taken care of public or private bodies. All
are working under the mining rules that are governed by The various types of water pollutions are observed in the
the governmental body. Some of the mineral industries are mining area, which are harmful to the human health or
well established and accepted by Director General of machines. The natural body of water diminishes with the
Mines Safety (DGMS) regarding the working system & optimal economic use of the water by the other sources of
safety aspects of human being. Large-scale expansion of pollutants, which it serves for different purposes or
surface mineral industry in these days caused steep atmosphere.
deterioration in the safety standards and the poor quality of
performance thus rendering the entire administration of
mineral industry a farce. Revamping the system calls for
bold steps and move for more cares, which the limited A. Water Pollutants:
resources of the government can hardly provide it for the
system to improve.
297
1) Chemical: Organic and inorganic pollutants- Oils will  It is a biological process – The activated sludge
form surface films, Phenols will affect the taste and process or an aerated lagoon.
odor or water and refractory organics will cause death  Activated sludge process consists of maintaining
of fish and other aquatic life. of an active floc in a tank well supplied with
2) Physical pollutants: oxygen in such a way that maximum contact is
i. Colour, ii. Turbidity, iii. Temperature, iv. made between the incoming wastewater and the
Suspended solids, v. Foam, vi. Radioactivity. organisms in the floc.
 Color though not necessarily harmful, is obviously  Another process is Trickling Filteration: The
undesirable in drinking water. wastewater is distributed from rotary nozzles over
 Temperature increase has only recently been the bed, which gives support to the biological
considered as a water pollutant. film. The material in the waste is oxidized after
 Suspended materials may go in water from assimilation by the bacteria, and then released in a
erosion processes or by various waste discharges. more stable form.
 The resultant foam produced in many waters from 4) Tertiary treatment:
detergents manufacturing industries may be  If the effluent from a secondary treatment plant is
objectionable from an aesthetic standpoint. not considered satisfactory, tertiary treatment may
3) Physiological be required. It may consists many processes:
 Undesirable taste and odor present in water used i. Coagulation
for drinking or food processing is objectionable to ii. Membrane separation processes
customer. iii. Filteration
 Taste and odor of water can easily change if iv. Coprecipitation
chlorophenols or H2S is present in it, even in very v. Adsorption, etc.
small quantities.  Coagulation: the reactions that take place upon the
4) Biological addition of a coagulant (e.g. inorganic metal salts
 It is most important of all water pollution and organic polymers) to water and result in the
problems. In fact, the single most important formation of insoluble products of reaction
process in the water treatment plant is between the coagulant and the impurity to be
disinfections, which helps insure the absence of removed.
pathogenic organisms in the drinking water.  Membranes: Used to concentrate and separate
 Biological pollutants cause bacterial bone soluble ions and molecules, colloidal species,
diseases, amoebic dysentery, cholera, etc. particulates and microorganisms in waste water.
5) Radioactive
 Radioactive pollution is the discharge of a
III FUNCTIONS OF LUBRICANTS
radioactive waste material into a receiving body.
Oil and lubricant is an essential resource requirement in the
mining industries like opencast mines and iron ore mines.
C. Treatment of Water Pollution: The most of the Heavy Earthmoving Machineries and
1) Pretreatment: assisting equipment are carried out with fuel oil as the
 It includes processes to remove larger aggregate motive power with matching consumptions of lubricating
of floating and suspended solid matter, grit and oil. Around 90% of the internal parts of earthmoving
much of the oil and grease content. machineries are lubricated. As a matter of fact Oil and
 It may also include flow measurement to prevent Lubricant is also of vital importance in the stationary
odors from emanating from the subsequent equipment like Pump, Compressor, Winding Engines,
processes. Haulage, Ropes, Drill Rig, Jack Hammer irrespective of
 The most common methods of removing large motive power being Fuel Oil or Electricity.
solid particles are passing the waste effluent
The following are the objectives of lubricants
through screens consisting of spaced metal bars.
2) Primary treatment:  Reduction of wear and friction by providing a film
 It consists of the pretreatment processes plus tank between the sliding parts.
sedimentation and usually chlorination prior to  Cooling by serving as a heat transfer media.
discharge into receiving water.  Damping and cushioning of components that
 It include the sludge digester, in which the solids operate under high stress, such as gears and push
removed from sedimentation tank are subjected to tubes.
anaerobic fermentation i.e. stabilization in the  Protection from oxidation and corrosion.
absence of free oxygen.  Hydraulic action for hydraulic controls and
3) Secondary treatment: brakes.
298
 Elimination of damage to sliding surfaces in the development of diseases like Bronchitis,

case of engines. Bronchopneumonia, Asthma, Emphysema, and
 Combustion sealing by filling in the uneven Tuberculosis. Many times unnatural growth i.e. tumor may
surfaces in the cylinder wall valve stems and turbo develop which may be benign or malignant in nature.
charger oil seals.
 Cleaning/ Detergence properties to prevent C. Oil and Lubricant Hazards:
deposit in the engine. Several incidence/ accidents do occur due to Oil and
 Transmission of power as in the case of Lubricant and all these accidents emanate from the Fire/
torquematic transmission. Explosion/ Heat of Oil and Lubricant. Utmost care is
therefore to be ensured while using lubricating oil in below
Types of lubricants generally used are as: a. Engine oil, b. ground mines due to the confined environment. Cotton
Gear oil, c. Hydraulic oil, d. Transmission oil, e. Brake oil, Waste material with lubricant should be disposed off by
f. Grease. burning out side the plant. Lubricant flowing out of the
maintenance yards are diverted through an oil and grease
High percentage of energy is wasted in friction with the trap which have to be periodically cleaned and burnt away
machinery in terms of Frictional Horse Power. Lack of in a remote area.
lubrication can result in increase in spare parts
consumption due to abrasive wear, heat and corrosion. A Jack Hammers are provided SERVONIUM-100. Due to
loss of energy can be observed in degrading the quality of shortage of this lubricant HLP-68 lubricants are used.
lubricant for the same machine. Besides, reducing the When this jackhammer was operated in a development face
friction between the two rubbing surfaces, lubricants below ground, the exhaust of the jackhammer machine
reduce the wear and tear, act as coolant, prevent corrosion, produces noxious gases, which caused strong irritation in
act as a carrier of dirt and metal particles. The economics the throat of the driller.
of machinery and equipment is significantly influenced by
The turbo-charger while in operation was in high
Oil and Lubricant, hazards of oil and lubricant should not
temperature and the lubricating oil of grade 20W/ 40W
be under estimated.
may catch fire. To prevent such accidents, the
A. Effect of Oil and Lubricant on the Human Body: manufacturer, recommends cooling of an asbestos rope
over the exhaust manifold.
Skin is a delicate structure. Whenever the Oil/ Lubricant
comes in contact with skin surface on a long-term basis, D. Precautions on Lube Management:
biological reaction over the skin takes place and as a result
different types of skin diseases appear which may be mild The most important precaution to be taken while using
variety as well as serious types. The diseases depend upon lubricants is to guard them from contamination or
the contact period, type of lubricants, and structure of skin intermixing during storage or usages. The first and
i.e. overall the resistance of body. foremost factors to be taken care in the operation of the
equipment are to create an adequate infrastructure with
The various skin diseases may appear as itching, provision for the lubricant in a clean and uncontaminated
discoloration of skin, dermatitis, eczema, thickening of state. This is all the more important since the mine
skin and xerodama etc. Due to prolonged contact to a environment is by and large polluted with airborne dust
particular area of skin, the morphology (structural pattern) particles all round despite the best precaution taken
of which is changed and the skin becomes ulcerated. including water sprinkling to suppress the dust emission at
Where skin diseases are detected due to the oil and its origin.
lubricant, the person concerned should be withdrawn from
the particular work. E. Lubricant Selection, Storage:
B. Effects of oil and lubricant over the respiratory system: 1) Selection and standardization of Lubricants:
Selection is important that lubricants of the right type is
Some times these lubricants emit upon combustion some used for the right application, as otherwise, there is every
gaseous substance containing hydrocarbon group carbon possibility of affecting the equipment performance, leading
monoxide, Carbon Dioxide and sulpher dioxide. These to damage or breakdown of the machinery components.
gases are poisonous and when inhaled by the individual
have poisonous effect to the body causing serious illness. To the extent possible, as few lubricant types as possible
As a matter of fact, some of the petroleum products are are used for operational convenience and simplicity and
volatile in nature and when it enters the respiratory system judicious selection is to be made taking into consideration
of human being, do cause irritation to the living tissue. the lubricant readily available in the market.
With prolonged exposure, constant irritation of tissue takes

place resulting in damage of the tissues leading to
299
2) Use of Fire Resistant Hydraulic Fluids 5) Carbon monoxide: It is a notoriously deadly gas. It
results from incomplete combustion of carbon-
This is of particular references in the present day high
containing materials like gasoline. It can affect the
incidence of hazards of fire experienced from hydraulic
eyesight, produce nervous reactions, cause headache,
fluids under high pressure coming in context with hot
etc.
surfaces of the engine, getting very easily ignited and the
6) Hydrocarbons: It results of incomplete burning of
equipment going into flames within minutes.
gasoline in automobiles. It contributes to
Hydraulic fluids coming in contact with the electric spark Photochemical smog, lung and eye-irritation and may
is also liable to lead to similar hazards. inhabit vegetation growth.
7) Organic and inorganic acids: It results of combustion
3) Storage: of various industrial process. It includes acetic,
Lubricants are stored in barrels. Precautions have fumaric and tannic acids. The inorganic acids include
to be taken to prevent contamination and wastage/ spillage sulphuric, hydrochloric, hydrofluoric and hydrobromic
during storage, and handling. The barrels have to be acids.
stacked properly in a weather proof shed or building to 8) Global Warming: Our Changing Atmosphere:
prevent moisture absorption. The detailed guidelines To understand this, we should know about the “Green
stipulated by the oil companies in this connection have to House Effect”. Energy from the sun drives the earth’s
be judiciously followed in both letter and spirit. Special
weather and climate and heats the earth’s surface.
fitting for special lubricants, proper color coding and
coloring lubricants suitably will help in proper In terms, the earth radiates energy back into the space.
identification and to avoid mistakes. Atmospheric green house gases (water vapour, Co 2 &
others gases) trap some of the outgoing energy
retaining appreciable heat essential for environmental
IV AIR POLLUTION AND ITS SOURCES pollution.
The last century witnessed a phenomenal growth in
Any gaseous, liquid or solid materials suspended in the air, diverse fields of science and technology including
which creates an undesirable effect is called Air Pollution. communication technology, information technology,
space technology, biotechnology, etc. This diverse
 Factory chimneys development helped in improving the living standard
 Home furnaces of mankind at large. But down the road of
 Burning refuse development, the environment becomes the casualty.
 Burning fuel for light, heat, power and transportation
During the third millennium, the entire human
 Gaseous emissions from automobiles.
civilization will confront the major challenges of
It is estimated that about 60% of air pollution is due to
protecting the environment from evils that would try to
transportation vehicles, 20% from combustion process
cast their shadows on the environment in the wake of
for heating, power generation and 20% from industrial,
development.
commercial and other sources.
A. Sources of Air Pollutants:
B. Factors influencing the Human health problem [4]
 Particulate matter i.e. smoke, fly ash, dusts, mists
[5] in mineral areas, causes and remedies:
and fumes.
 Gases – There are more dangerous to humans. 1) Caused by dust mites, other biological are:
1) Particulate matter: It is small solid or liquid  Recognized infectious disease
substances in the air resulting primary from fuel  Exacerbation of asthma
combustion, incineration of waste materials or
 Conjunctiva inflammation
industrial process losses.
 Recurrent fever
2) Sulpher oxides: It formed by combustion of fuel oil or
coal fog or thermal inversions can transform sulpher  Malaise
dioxide into toxic sulpher trioxide sulphuric acid mist,  Chest tightness
which can injure humans, animals plant life and even  Cough
damage buildings. Hypersensitivity disease:
3) Ozone: It is a toxic gas that causes irritation of eyes  Is the relative humidity in the home or workplace
and the respiratory system. consistently above 50 percent?
4) Nitrogen oxides: It is toxic pollutants that come from  Are humidifiers or other water-spray systems in use?
stationary combustion sources or from motor vehicle How often are they cleaned? Are they cleaned
exhausts. It damage vegetation and corrode metals. appropriately?
 Has there been flooding or leaks?
300
 Is there evidence of mold growth (visible growth or iii. Hypersensitivity Pneumonitis:

odors)? Another class of hypersensitivity disease is
 Are organic materials handled in the workplace? hypersensitivity pneumonitis, which may include
 Are there problems with cockroaches or rodents in humidifier fever. Hypersensitivity pneumonitis, also called
stores? allergic alveo-litis, is a granulomatous interstitial lung
disease caused by exposure to airborne antigens. It may
Remedial Action affect from one to five percent or more of a specialized
Provide adequate outdoor air ventilation to dilute human population exposed to appropriate antigens.
source aerosols. iv. Humidifier Fever:
Keep equipment water reservoirs clean and potable water Humidifier fever is a disease of uncertain etiology.
systems adequately chlorinated, according to manufacturer It shares symptoms with hypersensitivity pneumonitis, but
instructions. Be sure there is no standing water in air the high attack rate and short-term effects may indicate that
conditioners. Maintain humidifiers and dehumidifiers toxins (e.g., bacterial endotoxins) are involved. Onset
according to manufacturer instructions. occurs a few hours after exposure. It is a flu-like illness
Repair leaks and seepage. Thoroughly clean and dry water- marked by fever, headache, chills, myalgia, and malaise
damaged carpets and building materials within 24 hours of but without prominent pulmonary symptoms. It normally
damage, or consider removal and replacement. subsides within 24 hours without residual effects, and a
Keep relative humidity below 50 percent. Use exhaust fans physician is rarely consulted. Humidifier fever has been
in bathrooms and kitchens, and vent clothes dryers to related to exposure to amoebae, bacteria, and fungi found
outside. in humidifier reservoirs, air conditioners, and aquaria. The
Biological air pollutants are found to some degree in every attack rate within a workplace may be quite high,
home, school, and workplace. Sources include outdoor air sometimes exceeding 25 percent.
and human occupants who shed viruses and bacteria,
animal occupants (insects and other arthropods, mammals) 2) Caused by two Long-term risks like Radon:
that shed allergens, and indoor surfaces and water
reservoirs where fungi and bacteria can grow, such as Radon is the leading cause of lung cancer, following
humidifiers23. smoking. Its carcinogenic effects are not immediate but are
Components of mechanical heating, ventilating, and air evident only years, even decades, after prolonged exposure.
conditioning (HVAC) systems may also serve as reservoirs Radon is odorless, colorless, and tasteless. It is a naturally
or sites of microbial amplification25. These include air occurring radioactive gas resulting from the decay of
intakes near potential sources of contamination such as radium, itself a decay product of uranium. Radon in turn
standing water, organic debris or bird droppings, or integral breaks down into radon decay products, short-lived
parts of the mechanical system itself, such as various radionuclides. These decay products, either free or attached
humidification systems, cooling coils, or condensate drain to airborne particles, are inhaled, and further decay can
pans. take place in the lungs before removal by clearance
i. Tuberculosis: mechanisms. Tobacco smoke in combination with radon
The transmission of airborne infectious diseases is exposure has a synergistic effect. Scientists estimate that
increased where there is poor indoor air quality. The rising the increased risk of lung cancer to smokers from radon
incidence of tuberculosis is at least in part a problem exposure is ten to twenty times higher than to people who
associated with crowding and inadequate ventilation. have never smoked. Smokers are found in mineral industry
Evidence is increasing that inadequate or inappropriately in a large scale.
designed ventilation systems in health care settings or other C. Remedies of Air Pollution:
crowded conditions with high-risk populations can increase
the risk of exposure.  Install air purifying equipment
ii. Allergic Reactions:  Cleaner air
A major concern associated with exposure to  Gas purifier with transporting equipment
biological pollutants is allergic reactions[6], which range Some of the tips to make the planet better through
from rhinitis, nasal congestion, conjunctival inflammation, individual efforts are:
and urticaria to asthma. Notable triggers for these diseases  Plant trees: Trees absorbs CO2, a green house gas,
are allergens derived from mine dust mites; other from the air. Plant trees and encourages others to do
arthropods, including cockroaches; pets (cats, dogs, birds, so.
rodents); molds; and protein-containing furnishings,
 Reduce, Reuse and Recycle: Bye products that
including feathers, kapok, etc. In occupational settings,
features reusable, recyclable or reduced packaging to
more unusual allergens (e.g., bacterial enzymes, algae)
save the energy required to manufacture new
have caused asthma epidemics. Probably most proteins of
containers. By recycling cans, bottles, plastics bags
non-human origin can cause asthma in a subset of any
and papers we have natural resources like trees, oil
appropriately exposed population.
and elements such as aluminium.
301
 Save electricity: whenever we use electricity we help makes extrapolation to real world environments extremely
put green house gases into the air. By turning off the uncertain.
television and lights when not required, can help a
lot.
 Consider fuel smart car/bikes: When buying a V CONCLUSION AND SCOPE
car/bike, purchase a fuel-efficient vehicle that gives
Irrespective of the various hazards associated like Water,
more mileage. Keep the car/bike you are driving,
Oil and Lubricant and Air pollution has been discussed in
turned up and the tyres properly inflated to save on details. Human beings are always suffering from such
fuel costs. hazard and will be facing such problems. It may be
 Give an off day to the vehicle: Consider all minimized with due attention and care by following the
transportation alternatives such as mass transit, rules and systems of operation in the mineral industry. It is
car/bike pooling, bicycle as walking. inevitable that the modern civilization cannot survive
 Go Solar: Install a solar thermal system in the house without water, air Lubricant. However, due precautions
to help provide not water and reduce CO2 emission. and care is to be exercised for preventing incident/
 Read: Learning about the environment is very accident/ occupation health problem as well as for
important. consumption with economy in view of the plant as a whole
 Educate other: Exchange of knowledge and global nation.
issue problems will bring out awareness and help in
controlling the degradation. Detailed study may provide more information and
 Conserving Resources: Use as per requirement the prevention measure regarding the above hazards. The study
minimum amount of raw material, water, fuel and may be extended to manufacturing plants or production
energy. plants to get the relevant information about the said
 Minimize waste generation. hazards.
 Solar and wind energy are largely non-polluting and REFERENCE
above the earth’s atmosphere.
1) Air Cleaners [1] M K. Pujari, N Verra, Economic/Safety/Environment aspect of
Ion generators and ozone generators are types of oil/Lubricants in a chromite mine – A Case study, National Seminar
air cleaners; others include mechanical filter air cleaners, on oil and lubricants, 28-29 September 2001, Bhubneswar, p-26-39.
[2] Dr. Binay Kumar and Dr. M K Sharma, Assesment of Dumper’s
electronic air cleaners (e.g., electrostatic precipitators), and performance by Lubricants – A case study, National Seminar on oil
hybrid air cleaners utilizing two or more techniques. and lubricants, 28-29 September 2001, Bhubneswar, p-83-87.
Generally speaking, existing air cleaners are not [3] Wadden, R.A., Scheff, P.A. Indoor Air Pollution - Characterization,
appropriate single solutions to indoor air quality problems, Prediction, and Control. 1983.
John Wiley and Sons, Inc. New York.
but can be useful as an adjunct to effective source control [4] National Institutes of Health, National Institute of Allergy and
and adequate ventilation. Air cleaning alone cannot Infectious Diseases. "Something in the Air: Airborne Allergens".
adequately remove all pollutants typically found in indoor March 1993. NIH Publication No. 93-493.
air.
2) Ducts Cleaned
As awareness of the importance of air quality
grows, more people are looking at duct cleaning as a way
to solve air quality problems. Individuals considering
having ducts cleaned should determine that contaminated
ducts are the cause of their health problems. Even when
contaminants are found in ducts, the source may lie
elsewhere, and cleaning ducts may not permanently solve
the problem. The duct cleaning industry is expanding to
meet demand, using extensive advertising to encourage
people to use their services.
3) Plants control air pollution

It is true that plants remove carbon dioxide from
the air, and the ability of plants to remove certain other
pollutants from water is the basis for some pollution
control methods, the ability of plants to control indoor air
pollution is less well established. Most research to date
used small chambers without any air exchange, which
302
Fault Diagnosis of Centrifugal Pump using

Spectral Analysis
Neelam Mehala
Department of Electronics Engineering,
YMCA University of Science and Technology, Faridabad-121006 (Haryana) INDIA
neelamturk@yahoo.co.in
Abstract— Centrifugal pumps are used in a variety of different study, pump diagnosis is described for a specific hydraulic
applications such as a water supply system, where centrifugal problem: cavitation. It is demonstrated that the diagnosis of a
pumps are used in water wells to lift water to the surface. Some cavitating condition in a submersible water pump is possible
of the components in this installation are crucial for a larger by measuring the electrical variables of its motor drive, due to
system to work. Failures can lead to substantial economical losses the unique behaviour of the pump as a load to the motor.
and can affect the life comfort of many people when they occur. Current signature analysis is applied to diagnose the fault.
Therefore, detection of faults, if possible in an early stage, and This experimental part of the work certified that the diagnosis
isolation of their causes are of great interest. Especially fault
through current signature analysis is reliable, and also
detection, which can be used for predictive maintenance, could
minimize maintenance costs and increase reliability of the represents an easy way to overcome with the old diagnostic
application in which the pump is placed. In this work, problems for submersible pumps.
experimental diagnosis is carried out in motor driven centrifugal
pump. In this experimental study, current spectrum of induction II. CAVITATION IN CENTRIFUGAL PUMPS
machine with healthy pump is plotted. After this, the current Most difficulties at the suction of centrifugal pumps have as
spectrum of motor coupled with faulty centrifugal pump is their root cause the phenomenon known as cavitation: the
plotted. Both spectrums are then compared in search of fault phenomenon when the local absolute static pressure of the
frequencies. The experimental results show that current
fluid, somewhere in the flow, drops below the vapour pressure
spectrum with healthy pump is free from fault frequencies while
fault frequencies are present in the current spectrum of motor
of the fluid and vapour bubbles appear. As the bubbles are
coupled with faulty pump which is the clear indication of convected downstream, they reach a location where the
impeller fault. From this experimental study, it may be pressure increases again above the vapour pressure [2]. They
concluded that faults in centrifugal pumps may be effectively collapse and create a sudden, very high pressure pulse which
diagnosed with help of spectral analysis. can damage the material of a nearby flow passage wall. In
centrifugal pumps the lowest pressure usually appears on the
Keywords— Centrifugal pump, Fault diagnosis, spectral analysis impeller blades at the inlet, producing noise and erosion in the
vicinity of the collapsing vapour [3,4]. Pump designers wish
I. INTRODUCTION to know the conditions for the appearance of cavitation in
The operation of a centrifugal pump may be affected by pumps and the extent of the resulting damage. Prediction of
hydraulic or mechanical troubles. Hydraulic troubles may these items remains difficult because of the complexity of the
cause a pump to fail to deliver water altogether; or, the pump phenomena and because several factors affecting cavitation in
may deliver an insufficient capacity, develop insufficient a certain application remain unknown, such as the air content
pressure, lose its prime after starting, or consume excessive of the water handled by the pump. Commercially available
power. Mechanical difficulties may appear at the shaft seals pumps must be able to accommodate such uncertainties and
and bearings, or produce vibration, noise, or overheating of operate satisfactorily over a range of application conditions.
the pump. Sometimes there is a definite connection between Exact numerical calculations, executed for nominal operating
these two kinds of difficulties. For these reasons, a proper conditions, have uncertain general validity, and an uncertainty
diagnosis will avoid wear of the pump and prolong its service margin must be allowed [5]. In particular, cavitation damages
life. In general, centrifugal pump diagnosis has been based on the impeller and cannot be tolerated for long. Extensive
vibration analysis of the shaft, inlet and outlet pressure cavitations and significant amounts of vapor will impair
measurements, thermal analysis in the bearings and acoustic operation of the pump. That’s why its study and intends to
measurements in the volute [1]. These analyses have resulted diagnose is carried out. The main parts of centrifugal pump
very reliable to detect problems in the split case pumps, where are shown in figure 1.
the pump is vertical or horizontal mounted with a split volute
to allow direct maintenance. However, the development of
submersible pumps has represented a new challenge to the
diagnosis problem due to the restricted access to the
mechanical components of the pump. In this experimental
303
local shock wave that occurs as each bubble collapses.

Therefore, in the experiment, the current analyses of the pump
have been performed to diagnose the impeller fault which is
created due to cavitation. The signal that results will have
strong spectral responses. These components correspond to
the number of vanes multiplied by the pump speed, and its
multiples shows up along the frequency. The level of
cavitation, or a damage or imbalanced impeller can be
reflected in power spectrum of motor.
In order to diagnose the impeller fault of centrifugal pump
with high accuracy, a modern laboratory test bench was set up.
Schematic of the test rig is shown in figure 2. It consists of an
electrical machine coupled with centrifugal pump, transformer,
NI data acquisition card PCI-6251, data acquisition board
ELVIS and Pentium-IV Personnel Computer with software
LabVIEW. LabVIEW 8.2 software is used to analyze the
Figure1: Centrifugal pump signals. It is easy to take any measurement with NI LabVIEW.
Fig. 1: Parts of centrifugal pumps We can automate measurements from several devices and
analyze data spontaneously with this software. Data
III. EXPERIMENTAL SET UP acquisition card PCI-6251 and acquisition board ELVIS are
Centrifugal pumps are generally driven by an induction used to acquire the current samples from the motor coupled
motors. For a complete cycle of the impeller of pump, with centrifugal pump. NI M Series high-speed multifunction
oscillations of frequency multiples of the rotation speed data acquisition (DAQ) device can measure the signal with
(frequency of impeller rotation in one cycle) times the number superior accuracy at fast sampling rates. This device has NI-
of blades are induced in the shaft. This happens because the MCal calibration technology for improved measurement
blades hit the water with the same time difference every accuracy and six DMA channels for high-speed data
impeller cycle. This is reflected in the motor side as an electric throughput. It has an onboard NI-PGIA2 amplifier designed
torque oscillation. This particular feature has to be reflected in for fast settling times at high scanning rates, ensuring 16-bit
the current and power spectrum of the motor. Therefore, any accuracy even when measuring all channels at maximum
torque oscillation can be seen in power spectrum of motor. speeds.
Due to cavitation, there is uneven loading of the impeller as
the mixture of vapor and liquid passes through it, and to the
Centrifugal pump with motor Transformer ELVIS
Computer with LabVIEW software DAQ (PCI-6251)
Figure 2: Schematic of the test rig
304
Figure 3: Virtual instrumentation
This device has a minimum of 16 analog inputs, 24 digital

I/O lines, seven programmable input ranges, analog and Fault detection
digital triggering and two counter/timers. The NI ELVIS
integrates 12 of the most commonly used instruments – Centrifugal
including the oscilloscope, DMM, function generator, and pump
Bode analyzer – into a compact form factor ideal for the
hardware lab. Based on NI LabVIEW graphical system design
software, NI ELVIS offers the flexibility of virtual FFT
instrumentation and allows for quick and easy measurement
acquisition and display. The speed of the motor is measured
by digital tachometer. The power spectrum of motor coupled
with centrifugal pump under healthy and faulty condition is Motor
plotted using Vitual instrumentation. The virtual instrument
(VIs) was built up with programming in LabVIEW 8.2 as A/D converter
shown in figure 3. This VIs was used both for controlling the
test measurements and data acquisition, and for the data
processing. In order to test the system in practical cases,
several measurements were made to read the stator current of
a motor.
To detect the impeller fault in centrifugal pump, a system Current Anti-
for fault detection was designed based on Current Signature transducer Aliasing
Analysis (CSA) as shown in figure 4. The stator current is filter
first sampled in the time domain and in the sequence; the Figure 4: Motor fault detection and Diagnosis system
power spectrum is calculated and analyzed aiming to detect
specific frequency components related to impeller fault. For The fault is detected comparing the amplitude of specific
impeller fault, there is an associated frequency that can be frequencies with same motor which was coupled with healthy
identified in the spectrum. centrifugal pump. Based on the amplitude in dB it is also
305
possible to determine the degree of faulty condition. In the Fault. frequencies

described system, data acquisition board was used to acquire
the current samples from the motor coupled with centrifugal
pump. The current signals are then transformed to the
frequency domain using a Fast Fourier Transform (FFT) based
Power spectrum. The power spectrum is obtained by
programming in LabVIEW8.2. In the experimental work,
current spectrum of induction machine with healthy pump is
plotted. After this, the impeller of pump was artificially
damaged by grinding. The faulty impeller is shown in figure 5.
Figure 7: Power spectrum of induction motor coupled with faulty centrifugal

pump
These fault frequencies indicate that impeller of the

centrifugal pump is faulty. In this way, impeller fault in
centrifugal pump can be detected by monitoring of stator
current of motor. This method is best suited for submersible
centrifugal pumps because health of centrifugal pump can be
Figure 5: Faulty impeller monitored remotely. This is the main advantage of proposed
The faulty impeller was installed in centrifugal pump. fault detection method. All paragraphs must be indented. All
Then, stator current of induction motor was read which was paragraphs must be justified, i.e. both left-justified and right-
coupled with centrifugal pump having faulty impeller. The justified.
stator current was analyzed by plotting the current spectrum V. CONCLUSION
with help of virtual instrumentation. Both spectrums are then
compared in search of fault frequencies. There are many methods that can be used for fault
diagnosis of motor driven pumps, including vibration
IV. RESULTS AND ANALYSIS monitoring, chemical monitoring, acoustic emission
Figure 6 shows the power spectrum of induction motor monitoring, current monitoring, etc. Except for current
coupled with centrifugal pump. In this case, the healthy monitoring, all these monitoring methods require expensive
impeller was installed in centrifugal pump. The experimental sensors or specialized tools and are usually intrusive. In
results show that current spectrum with healthy pump is free current monitoring, no additional sensors are necessary. This
from fault frequencies. There are no sidebands around the is because the basic electrical quantities associated with
fundamental frequency. Figure 7 show the power spectrum of electromechanical plants such as currents and voltages are
induction motor coupled with centrifugal pump under faulty readily measured by tapping into the existing voltage and
condition. It may be observed from the figure that this power current transformers that are always installed as part of the
spectrum is different from the power spectrum plotted under protection system. As a result, current monitoring is non-
healthy condition. In this power spectrum, fault frequencies intrusive and may even be implemented in the control center
appear around the fundamental frequency with significant remotely from the motor driven pumps being monitored.
magnitude. Therefore, current monitoring offers significant
implementation and economic benefits. Current Signature
Analysis falls under electric monitoring. Current Signature
Analysis (CSA) is the most effective for detecting faults of
pumps. This technique depends upon locating specific
harmonic component in the line current. It is a noninvasive
technique which utilizes the results of spectral analysis of the
stator one-phase current signal. When a fault is present, the
frequency spectrum of the line current becomes different from
that of a non-faulted one. In this paper, hydraulic fault of
pump is successfully diagnosed with help of proposed
technique. The results obtained from the experiment have
proved effectiveness of Current Signature Analysis. Therefore,
this technique must be tested on centrifugal pumps of different
capacity to study its effectiveness.
Figure 6: Power spectrum of induction motor coupled with healthy centrifugal
pump
306
REFERENCES [3] Karassik I. et al. ―Centrifugal pumps‖. 2nd. Edition. International

[1] Kallesøe et al. “Model based detection in a centrifugal pump [4] Tuzson J. ―Centrifugal pump design‖. Wiley InterScience. 2000.
application‖. IEEE transactions on Control systems technology. Vol. [5] Karassik I. et al. ―Centrifugal pumps‖. 2nd. Edition. International
14. 2006. thomson Publishing. 1998.
[2] Nelik L. ―Centrifugal and rotary pumps. Fundamentals with
applications‖. CRC Press, 1999. New York.
307
Biodiesel Utilization in Diesel Engines-A Review

Rajesh Kumar Saluja1, Rajeev Pandey2
1,2
Mechanical And Automation Engineering Department, Amity School of Engineering & Technology
580, Delhi- Palam Vihar Road, Bijwasan, New Delhi-61.
1
rajeshsaluja@rediffmail.com
2
rajeev_mech@gmail.com
Abstract- There are several reasons for biofuels to be considered instability. The conventional diesel fuels also guzzle a lot of
as relevant technologies by both developing and industrialized pollutants in the air, most of which are CO, SO2, NOx,
countries. They include energy security reasons, environmental Particulate matter (PM), unburned hydrocarbons etc. which are
concerns, foreign exchange savings, and socioeconomic issues
causing serious health as well as environmental problems.
related to the rural sector. Vegetable oils have been seen as the
good alternative of the conventional diesel. Experiments around Therefore when the world is on the verge of facing energy as
the world are being performed on vegetable oils and their
well as facing environmental crises, researchers all over the
derivatives (biodiesels) obtained from the crops such as peanut,
world are keenly looking the alternative options so as to reduce
palm, sunflower, soybean, coconut, rape, karanja, jatropha ,
neem, mustard, linseed, cotton, caster etc. Bio-diesel production this high dependability on conventional fuels. Diesel fuel is
is a very modern and technological area for researchers due to mainly used in transportation sector. The demand for diesel in
the relevance that it is winning everyday because of the increase India is 5 times that of the petrol. Therefore it is urgent to find
in the petroleum price and the environmental advantages. This the alternatives for the diesel.
paper is an attempt to review the research being done in the
field of utilization of vegetable oils as Biodiesel. In this paper II. VEGETABLE OILS- A SUITABLE CHOICE
the various properties of Vegetable oils and conventional diesel 1912: In a speech, Diesel says, “The use of vegetable oils for
have been compared, various methods for transesterification engine fuels may seem insignificant today, but such oils may
have been discussed and the review of the chemical and
become, in the course of time, as important as petroleum and
technical properties of the biodiesel has been done.
the coal-tar products of the present time.” [2] He said these
Keywords- Biodiesel, Oxidation stability, vegetable oils, words a few years after the use of peanut oil as a fuel in his CI
Transesterification, Biodiesel utilization. engine. And today, the world well understands the value of
these words. Experiments around the world are being
I. INTRODUCTION performed on vegetable oils and their derivatives (biodiesels)
There is more than one reason to look for alternative to the obtained from the crops such as peanut, palm, sunflower,
conventional petroleum fuels. The crude oil reserves are soybean, coconut, rape, karanja, jatropha , neem, mustard,
limited and are falling short of supply in front of the surging linseed, cotton, caster etc.
demand for the fuels. Not only the transport sector but
agricultural sectors and even industrial sectors are dependent Vegetable oils or Triglycerides contain esters of three fatty
on the fuel supply. This leads to the sharp rise in the prices of acids and one glycerol. They also contain oxygen in their
crude oil. Since 2003-2004 to 2008-09, the crude oil prices structure. They can be classified on the basis of the carbon
have seen a steep rise from just above 20$/barrel to near chain length and the number of double bonds [3, 4]. Many
140$/barrel and then back to around 40$ [1]. This volatility in researchers have studied the use of various straight vegetable
the prices is creates uncertainty and also put a monetary oils in the compression ignition engines. Nwafar et al. studied
pressure on any country’s economy. This puts a lot burden on the performance of rapeseed oil blends in diesel engines.[5]
the oil importing countries. On a country like India, which
imports nearly 80% of the crude oil demand, the effect can be
understood from the fact that for each 1$ increase in the Table 1. Properties of Standard Diesel as compared to some vegetable oils
international average price of Crude oil per year, there is an
increased burden on India of approximately Rs 40 billion.
Most of these reserves are also limited to a particular Cetin et al conducted experiments on the hazelnut oil in a pre-
geographical region of the world which can cause political chamber diesel engine [6].
308
Standard
Property Method Corn Cottonseed Rapeseed Palm Soyabean Peanut
Diesel
ASTM
Cetane No. D613
44.9 37.6 41.8 37.6 42 37.9 41.8
ASTM
Flash Point (oC) D93-94 60-80 277 234 246 267 254 271
ASTM
Density (Kg/l) D4052-91 0.8464 0.9095 0.9148 0.9115 0.9180 0.9138 0.9026
Kinematic Viscosity ASTM
1.3 – 4.1 34.9 33.5 37 39.6 32.6 39.6
(cSt at 38oC) D445
Sulphur content (% ASTM
0.05 0.01 0.01 0.01 ---- 0.01 0.01
wt.) D5453-93
Calorific Value ASTM
43-48 39.5 39.5 39.7 ---- 39.6 49.8
(MJ/Kg) D2015-85
ASTM
Coud Point (oC) D2500-91
-15 to -5 -1.1 1.7 - 3.9 31.0 - 3.9 12.8
ASTM D97-
Pour point (oC) 93
-35 to -15 -40 -15 -31.7 ---- -12.2 -6.7
Cigizoglu KB et al have conducted experiments on used of either blends or emulsions, decomposed vegetable oils by
sunflower oil [7]. Rakopoulos CD et al [8] have used pyrolysis and transesterified oils (biodiesel) [15-20]. This
cottonseed oil for diesel engine. The suitability of vegetable paper discusses in detail, the production of biodiesel by
oils as a CI engine fuel comes from the facts that vegetable transesterification.
oils have good heating value and they give out almost no
sulphur or aromatic polycyclic compounds. The cetane Biodiesel (Greek, bio, life + diesel from Rudolf Diesel)
numbers and the heating values of the vegetable oils are refers to a diesel-equivalent, processed fuel derived from
comparable though slightly lesser than the conventional biological sources. Biodiesel is the name for a variety of
diesel. Also the carbon cycle is completed by their burning ester-based oxygenated fuels from renewable biological
as they are derived from plants [9-11]. sources. It can be made from processed organic oils and fats.
Chemically, biodiesel is defined as the monoalkyl esters of
The various properties of vegetable oils and their relevance long-chain fatty acids derived from renewable biolipids.
as the substitute for diesel oil are shown in table 1. Though Biodiesel is typically produced through the reaction of a
the vegetable oils show the potential of the substitute of the vegetable oil or animal fat with methanol or ethanol in the
use of straight vegetable oils has certain problems associated presence of a catalyst to yield methyl or ethyl esters
with them. The viscosity of the vegetable oils is very high (biodiesel) and glycerine [21]. Fatty acid (m)ethyl esters or
(usually 32-40 mm2s-1 at 38oC) as compared to that of the biodiesels are produced from natural oils and fats. Generally,
diesel (3 – 4 mm2s-1 at 38 oC). Hence the injection and methanol is preferred for transesterification because it is less
atomization characteristics of the vegetable oils are expensive than ethanol [22]. In technical terms (ASTM D
significantly different than those of petroleum-derived diesel 6751) biodiesel is a diesel engine fuel comprised of
fuels [7]. Therefore, there is requirement of engine monoalkyl esters of long-chain fatty acids derived from
modifications and preheating arrangement for using straight vegetable oils or animal fats, designated B100 and meeting
vegetable oils [12, 13]. the requirements of ASTM D 6751.
The short term problems caused by the use of neat vegetable The advantage of biodiesel over straight vegetable oils is that
oils are cold weather starting, engine knocking, plugging and can be readily used as a CI engine fuel. Its properties have a
gumming of filters lines and injectors. The long terms high resemblance with the chemical properties of the
problems associated with the use of neat vegetable oils are petrodiesel. Its viscosity ranges from 3.3-5.2 cSt at 40oC.Its
coking of injectors on piston and head of engine, carbon heating values are generally 90% of that of petrodiesel.
deposit on piston and head of engine, excessive engine wear Biodiesel has many advantages over petrodiesel in addition
and failure of engine lubricating oil due to polymerization to being fully competitive with petrodiesel in most technical
[14]. aspects:
 It is derived from a renewable resource, thus
removes dependency over conventional diesel.
 Higher flash point 150-180oC as compared to 70oC
of the conventional diesel, leading to safer handling
Therefore the use of vegetable oil in blended or modified and storage.
form has been attracting scientists. Many researchers have  Biodegradability.
preferred using the derivatives of vegetable oils in the form
309
 Reduction of most exhausts emissions (with the viscosity of the end product. The reaction takes place at
exception of nitrogen oxides, NOx). normal temperature and pressure. Transesterification is
 Excellent lubricity, a fact that is steadily gaining widely used to reduce vegetable oil. The oil (87%), alcohol
importance with the advent of low-sulfur petro- (9%), and catalyst (1%) are the inputs in the production of
diesel fuels, which have greatly reduced lubricity. bio-diesel (86%), the main output [32]. The most commonly
Adding biodiesel at low levels (1–2%) restores the used alcohol is methanol however in some countries like
lubricity. Brazil, where ethanol is in abundance and cheaper, it is used.
III. SOURCES OF BIODEISEL

There are various biodiesel sources: almond, andiroba CH2---OOC---R1 R1—COO—R CH2OH
Catalyst
(Carapa guianensis), babassu (Orbignia sp.), barley, CH---OOC—R2 + 3ROH R2—COO—R + CHOH
camelina (Camelina sativa), coconut, copra,cumaru
(Dipteryx odorata), Cynara cardunculus, fish oil, groundnut, CH2---OOC—R3 R3—COO—R CH2OH
Jatropha curcas, karanja (Pongamia glabra), laurel,
Triglyceride Alcohol Esters Glycerol
Lesquerella fendleri, Madhuca indica, microalgae (Chlorella
vulgaris), oat, piqui (Caryocar sp.), poppy seed, rice, rubber
Fig. 1 (Transesterification)
seed, sesame, sorghum, tobacco seed, and wheat etc[23].
Sunflower and rapeseed are the raw materials used in Europe
to produce biodiesel whereas soyabean is used in USA.
Thailand uses palm oil, Ireland uses frying oil and animal CH2-OOC-R1 R1—COO—R CH2OOCCH3
Lipase
fats whereas the countries like India are focusing on the non CH---OOC—R2 + 3RCOOH3 R2—COO—R + CHOOCCH3
edible oils more for the production of Biodiesel from
R3—COO—R
Vegetable oils [24]. CH2---OOC—R3 CH2OOCCH3
IV. BIODIESEL PRODUCTION - TRANSESTERIFICATION Fig. 2 (Interesterification)

There are a number of ways to reduce vegetable oils’
viscosity. Dilution, microemulsification, pyrolysis, and Several reviews dealing with the production of biodiesel by
transesterification are the four techniques applied to solve transesterification have been published [33-40].
the problems encountered with high fuel viscosity. One of Accordingly, the production of biodiesel by
the most common methods used to reduce oil viscosity in the transesterification has been the subject of numerous research
biodiesel industry is called transesterification. Chemical papers. Generally, transesterification can proceed by base or
conversion of the oil into its corresponding fatty ester is acid catalysis. However, in homogeneous catalysis, alkali
called transesterification [25]. catalysis (sodium or potassium hydroxide; or the
corresponding alkoxides) is a much more rapid process than
Transesterification (also called alcoholysis) is the reaction of acid catalysis (28,35). In addition to the type of catalyst
a fat or oil triglyceride with an alcohol to form esters and (alkaline vs. acidic), reaction parameters of base-catalyzed
glycerol. The general reaction can be transesterification that were studied include the molar ratio
of alcohol to vegetable oil, temperature, reaction time,
Triglycerides + Monohydric alcohol Glycerin + Mono- degree of refinement of the vegetable oil, and effect of the
alkyl esters. presence of moisture and free fatty acids (FFA) [36]. For the
transesterification to give maximum yield, the alcohol
The Chemical reactions of transesterification are shown in should be free of moisture and the FFA content of the oil
Fig 1 and fig. 2. Figure 1 shows transesterification reaction should be <0.5%. The absence of moisture in the
of triglycerides. A catalyst is usually used to improve the transesterification reaction is important because hydrolysis
reaction rate and yield [26, 27]. Because the reaction is of the formed alkyl esters to FFA can occur according to the
reversible, excess alcohol is used to shift the equilibrium to equation (shown for methyl esters)
the product side. Figure 2 shows enzymatic biodiesel
production by interesterification with methyl acetate in the R-COOCH3 + H2O ---------→ R-COOH + CH3OH
presence of lipase enzyme as catalyst. The biodiesel reaction
requires a catalyst which may be an acid hydrochloric acid, (R = alkyl)
sulphuric acid and sulfonic acid etc [28, 29], by an alkali
such as sodium hydroxide or Potassium hydroxide [30, 31], Similarly, because triacylglycerols are also esters, the
or enzymes to split the oil molecules and an alcohol reaction of the triacylglycerols with water can form FFA.
(methanol or ethanol) to combine with the separated esters.
The main byproduct is glycerine. The process reduces the Freedman et al.[37] found that transesterification of soybean
oil with methanol or 1-butanol was reported to proceed with
310
pseudo-first-order or second-order kinetics, depending on the explained by the researchers as primary and secondary
molar ratio of alcohol to soybean oil (30:1 pseudo first order, oxidation process [45-48] or vinyl polymerization process in
6:1 second order; NaOBu catalyst), whereas the reverse which higher molecular weight oligomers of the fatty esters
reaction was second order. Mittelbach, M. et. al [38] can be formed [49, 50]. Initially, hydroperoxides are formed
conducted methanolysis of soyabean oil and found that the during oxidation, with aldehydes, acids, and other
rate decreased due to the formation of glycerol because oxygenates constituting oxidation products further along the
methanol is not miscible with the vegetable oil starting reaction chain [51]. However, the double bonds may also be
material. prone to polymerization-type reactions so that higher-
molecular-weight products, leading to an increase in
In the conventional transesterification of vegetable oils for viscosity, can occur. This may lead to the formation of
biodiesel production, free fatty acids and water always insoluble species, which can clog fuel lines and pumps.
produce negative effects, since the presence of free fatty Bondioli et.al [52] reported that polymers formed during
acids and water causes soap formation, consumes catalyst storage under controlled conditions are soluble in biodiesel
and reduces catalyst effectiveness, all of which result in a due to its polar nature and are insoluble only when mixing
low conversion [39]. Therefore there is further scope of the biodiesel with petrodiesel.
research on the better methods of transesterification like
using the supercritical methanol. S. Saka et.al.[40] prepared In primary oxidation, [42] the carbon free radical is formed
biodiesel, via transesterification of from rapeseed oil, first. The presence of diatomic oxygen causes the carbon
without using any catalyst. They found that, in a preheating free radical to form peroxy radical which is reactive enough
temperature of 350°C, 240 s of supercritical treatment of to further form the carbon free radical and hydroperoxide by
methanol was sufficient to convert the rapeseed oil to methyl extracting hydrogen atom from carbon atom of the chain.
esters. The prepared methyl esters were not only the same as This again reacts with the diatomic oxygen and thus the
those of the common method with a basic catalyst, also the reaction propagates. This reaction terminates when two
yield of methyl esters by the former was found to be higher carbon free radicals react to form the stable products.
than that by the latter. In addition, it was found that this
supercritical methanol process required the shorter reaction The time period for which the formation of hydroperoxide is
time and simpler purification procedure because of the less is known as Induction period. After the induction period,
unused catalyst. the rate of ROOH formation increases suddenly. This marks
the propagation of oxidation. The induction period can be
V. STABILITY ANALYSIS determined by the oxidation stability. Hydroperoxide are
The properties of the biodiesel are much dependent on the measured by ASTM D3703 or by similar procedures.
parent vegetable oil/ fatty acid and since the long chain fatty
acids contain unsaturated bonds too, biodiesel is prone to In secondary oxidation, once the hydroperoxide have
interaction with oxygen, contaminants, light, and formed, they decompose and inter-react to form numerous
temperature, factors causing sediments formation, changes in secondary oxidation products including aldehydes, alcohols,
color and other changes that reduce the cleanliness of the shorter chain carboxylic acids, and higher molecular weight
fuel [41]. This is known as instability. These fuel instabilities oligomers often called polymers.
give rise to formation of undesirable substances in biodiesel
and its blends beyond acceptable quantities as per Metals [53], free fatty acids [54], acidic fuel additives, the
specifications and when such fuel is used in engine, it size of the alcohol group (for mono-esters), and the presence
impairs the engine performance due to fuel filter plugging, of natural antioxidants [55] can all impact the oxidative
injector fouling, deposit formation in engine combustion stability of fatty oils and/or esters. Oxidation can also be
chamber and various components of the fuel system [42, 43, catalyzed by light, but such photo-oxidation should not be a
44]. Therefore it is essential to conduct the stability analysis significant factor for the manufacture and transportation of
of the biodiesel. Stability of biodiesel comprises of oxygen biodiesel fuel [56].
stability, thermal stability and storage stability.
Thermal polymerization of fatty oils and esters does not
VI. OXIDATION STABILITY become important until temperatures of 250-300°C are
Biodiesel is susceptible to oxidation upon exposure to air. reached. This is because the methylene-interrupted
The oxidation process ultimately affects fuel quality. polyunsaturated structure cannot participate in such reactions
Accordingly, the oxidative stability of biodiesel has been the until it isomerizes into a conjugated configuration, and such
subject of considerable research. Biodiesel is also potentially isomerization will not occur until that temperature range is
subject to hydrolytic degradation, caused by the presence of reached. Thermal polymerization occurs by the Diels Alder
water. The oxidation stability standards are included in the reaction, and two fatty acid chains are linked by a
European biodiesel standards EN 14213 and EN 14214 and cyclohexene ring.
American standards D6751. The phenomenon of oxidation is
311
Higher order oligomers are also possible, although the exact oil as compared to the blend. It increased from 27.4% with
mechanism is still not established. Certain thermal neat Jatropha oil to a maximum of 29% with the methyl ester
polymerization products in used cooking oils may carry over and 28.7% in the dual fuel operation.
to non-distilled biodiesel. The verification of such
compounds and their impact on fuel quality has not been VIII. BIOFUEL POLICIES
determined. Thermal polymerization may be of limited Biofuels are expected to reduce dependence on imported
importance in biodiesel fuel that is repeatedly heated by the petroleum with its associated political and economic
engine and recycled to the fuel tank before actual vulnerability, reduce greenhouse gas emissions and other
combustion. However, thermal polymerization will not pollutants, and revitalize the economy by increasing demand
impact storage stability. and prices for agricultural products. Although most attention
focuses on ethanol, interest in biodiesel is also increasing.
The method to be used for assessing oxidative stability Rapeseed is the primary oil used to make European
utilizes a Rancimat apparatus. This method is very similar to biodiesel. Currently, biodiesel use is particularly strong in
the Oil Stability Index (OSI) method [54]. Oxidation Germany. Biodiesel is primarily produced from soybeans in
stability of biodiesel in presence of metal contaminants and the United States. Fuel use of ethanol in the European Union
their blends with different dosages of different antioxidants is much less important. Low European corn production and a
was studied in Rancimat equipment model 743 according to high proportion of diesel engines compared to the United
EN-14112 and Indian IS-15607 specifications. The biodiesel States make biodiesel a more attractive alternative in the
standard EN-14214 and IS-15607 call for determining European Union.
oxidation stability at 110 C with a minimum induction time
of 6 h by the Rancimat method (EN-14112) and ASTM IX. INDIAN SCENERIO
standard D-6751 recently introduced a limit of 3 h for
oxidation stability by Rancimat test. India has chosen 20% biodiesel blend as its main renewable
liquid fuel for diesel engines by 2020. The Indian
Many antioxidants are used to increase the Stability of the Government has since 2003 formed various policies which is
Biodiesel. a road to self-dependence of Energy resources. These
policies are:
VII. ENGINE PERFORMANCE
Yarbrough et al.[57] studied the performance of a diesel 1. National Mission on Biodiesel, discussed in report
engine with six variants of sunflower oil as fuel. They of Planning commission of India, 2003.
reported that refined sunflower oil gives satisfactory results
and found that degummed and dewaxed vegetable oil 2. Ethanol Blending Programme, discussed in report
prevents engine failure. They also concluded that raw of Planning commission of India, 2003.
sunflower oil cannot be a fuel but modified sunflower oil can
be used as a fuel for diesel engines [57]. The use of 3. The National policy on Bio-fuels, 2009.
sunflower, safflower and rapeseed oils as liquid fuels was
investigated by Bettis et al. [58]. They found that engine X. CONCLUSION
power output to be equivalent to that of diesel fuel, but long-
term durability tests indicated severe problems due to
carbonization. Strayer et al. [59] investigated the feasibility
of using degummed canola oil and high erucic rapeseed oil Vegitable oils offer tremendous potential for their use as
as diesel fuelsubstitutes in small and large diesel biodiesel. Even though 350 oil-bearing crops have been
engines.They reported that specific fuel consumption and identified so far, only few are potential biodiesel like
particulate matter with these oils were higher and concluded sunflower, rapeseed, palm and jatropha.
that the engine performance is better with degummed canola
oil when compared with crude canola oil for 25 hours of Biodiesel has many advantages over petrodiesel in addition to
operation. being fully competitive with petrodiesel in most technical
aspects. It is derived from renewable resources, thereby
Demirbas [60] reviewed performance parameters such as reducing the dependency on the conventional fuel. It has
brake thermal efficiencies, torque, fuel consumption and higher flash point (150-180oC) as compared to 70oC of the
power output of biodiesel fuels. He reported that oxygen conventional diesel, leading to safer handling and storage.
improves the efficiency of combustion, but it takes up space Apart from this, good lubricity, biodegradability, and
in the blend and therefore slightly increases the apparent fuel reduction in exhaust emissions (except NOx) are some other
consumption rate observed while operating an engine with advantages of the biodiesel as compared to the petrodiesel.
biodiesel. Brake thermal efficiency was found to be better in
the dual fuel operation and with the methyl ester of Jatropha
312
The drawbacks of using biodiesel as CI engine fuels include [21] Demirbas, A., Biodiesel from vegetable oils via
transesterification in supercritical methanol.Convers Mgmt
higher viscosity, lower energy content, higher cloud point,
2002. 43:2349–56.
higher pour point, Higher NOx emissions, lower engine speed [22] Graboski, M.S., McCormick, R.L. Combustion of fat and
and power, injector coking, engine compatibility, high price vegetable oil derived fuels indiesel engines. Prog Energy
and high engine wear. Combust Sci 1998. 24:125−164.
[23] Pinto, A.C., Guarieiro, L.L.N., Rezende, M.J.C., Ribeiro, N.M.,
Torres, E.A., Lopes, W.A., Pereira, P. A.P., Andrade, J.B.
Biodiesel: an overview. J Brazil Chem Soc 2005.
References: 16:1313−1330.
[24] Planning commission report, govt. of India, 2003.
[1] Website of ministry of petroleum and natural gas, Govt. of India. [25] Bala, B.K., Studies on biodiesels from transformation of
[2] Babu AK, Devaradjane D, vegetable oils and their derivatives as vegetable oils for diesel engines. Energy Edu. Sci. Technol,
fuels for CI Engines, An overview. SAE 2003-01-0767, 2003 2005, 15:1−43.
[3] Demirbas A, Kara H. New options for conversion of vegetable [26] Demirbas A. Biodiesel from sunflower oil in supercritical
oils to alternative fuels. Energy Sour 2006; 28:619–26. methanol with calcium oxide. Energy Conv Mgmt 2006; 48:937–
[4] Balat M. Production of biodiesel from vegetable oils: a survey. 41.
Energy Sour A 2007; 29:895–913. [27] Demirbas A. Biodiesel production via non-catalytic SCF method
[5] Nwafor OMI, Rice G. Performance of rapeseed oil blends in a and biodiesel fuel characteristics. Energy Conv. Mgmt 2006;
diesel engine.Appl Energy 1996; 54:345–54. 47:2271–82.
[6] Cetin M, Yuksel F. The use of hazelnut oil as a fuel in pre- [28] Canakci, M., and J. Van Gerpen, Biodiesel Production via Acid
chamber diesel engine. Appl Thermal Eng 2007; 27:63–7. Catalysis, Trans. ASAE 42:1203–1210 (1999).
[7] Cigizoglu KB, Ozaktas T, Karaosmanoglu F. Used sunflower oil [29] Lee Y, Park SH, Lim IT, Han K, Lee SY. Prepration of alkyl(R)-
as an alternative fuel for diesel engines. Energy Sour 1997; (2)-3-hydroxybutyrate by acidic alcoholysis of poly-(R)-(2)-3-
19:559–66. hydroxybutyrate.Enzyme microb Technol 2000;27:33–6.
[8] Rakopoulos CD, Antonopoulos KA, Rakopoulos DC, Kakaras [30] Meher LC, Kulkarni MG, Dalai AK, Naik SN. Transesterification
EC, Pariotis EG. Characteristics of the performance and of karanja (Pongamia pinnata) oil by solid basic catalysts. Eur J
emissions of a HSDI diesel engine running with cottonseed oil Lipid Sci Technol 2006;108:389–97.
or its methyl ester and their blends with diesel fuel. Int J Vehicle [31] Ohi A, Aoyama H, Ohuchi H, Kato A, Yamaoka M. Fatty acid
Des 2007;45:200–21. ester from palm oil as diesel fuel. Nenryo Kyokaishi
[9] Wang YD, Al-Shemmeri T, Eames P, McMullan J, Hewitt N, 1983;62:24–31.
Huang Y, et al. An experimental investigation of the [32] Goff MJ, Bauer NS, Lopes S, Sutterlin WR, Suppes GJ. Acid-
performance and gaseous exhaust emissions of a diesel engine catalyzed alcoholysis of soybean oil. J Am Oil Chem Soc
using blends of a vegetable oil. App. Thermal Eng 2004;81:415–20.
2006;26:1684–91. [33] Lucia LA, Argyropoulos DS, Adamopoulos L, Gaspar AR.
[10] Dmytryshyn SL, Dalai AK, Chaudhari ST, Mishra HK, Reaney Chemicals and energy from biomass. Can J Chem 2006;8:960–
MJ. Synthesis and characterization of vegetable oil derived 70.
esters: evaluation for their diesel additive properties. Bioresour [34] Schuchardt, U., R. Sercheli, and R.M. Vargas,
Technol 2004; 92:55–64. Transesterification of Vegetable Oils: A Review, J. Braz. Chem.
[11] Stavarache C, Vinatoru M, Nishimura R, Maed Y. Fatty acids Soc. 9: 1998:199–210.
methyl esters from vegetable oil by means of ultrasonic energy. [35] Freedman, B., and E.H. Pryde, Fatty Esters from Vegetable Oils
Ultrason Sonochem 2005; 12:367–72. for Use as a Diesel Fuel, Vegetable Oil Fuels, Proceedings of
[12] Barnwal BK, Sharma MP. Prospects of bio diesel production the International Conference on Plant and Vegetable Oils as
from vegetable oils in India. Renew Sust Energy Rev 2005; Fuels, Fargo, ND, 1982, ASAE Publication 4-82, pp. 117–122.
9:363–78. [36] Freedman, B., E.H. Pryde, and T.L. Mounts, Variables Affecting
[13] Sundarapandian S, Devaradjane G. Experimental investigation the Yields of Fatty Esters
of the performance on vegetable oil operated CI engine. 19th from Transesterified Vegetable Oils, J. Am. Oil Chem. Soc. 61,1984:
National Conference on I.C. engine and combustion, Annamalai 1638–1643.
University, Chidambaram, December 21–23, 2005. p. 87–94. [37] Freedman, B., R.O. Butterfield, and E.H. Pryde,
[14] Mustafa Balat, Havva Balat, A critical review of bio-diesel as a Transesterification Kinetics of Soybean Oil, J. Am. Oil Chem.
vehicular fuel, Energy Conversion and Management 49 (2008) Soc. 1986. 63: 1375–1380.
2727–2741 [38] Mittelbach, M., and B. Trathnigg, Kinetics of Alkaline Catalyzed
[15] Altın R, Cetinkaya S, Yucesu HS. The potential of using Methanolysis of Sunflower Oil, J. Am. Oil Chem. 1990 Soc. 92:
vegetable oil fuels as fuel for diesel engines. Energy Conv 145–148.
Mgmt 2001; 42:529–38. [39] Dadan Kusdiana, Shiro Saka, Effects of water on biodiesel fuel
[16] Srivastava A, Prasad R. Triglycerides-based diesel fuels. production by supercritical methanol treatment, Bioresource
Renew Sust Energy Rev 2000;4:111–33. Technology, Volume 91, Issue 3, 2004, 289-295
[17] Demirbas A, Kara H. New options for conversion of vegetable [40] S. Saka, D. Kusdiana, Biodiesel fuel from rapeseed oil as
oils to alternative fuels. Energy Sour 2006; 28:619–26. prepared in supercritical methanol, Fuel, Volume 80, Issue 2,
[18] Balat M. Production of biodiesel from vegetable oils: a survey. 2001, 225-231.
Energy Sour A 2007; 29:895–913. [41] Dunn Robert O. Effect of temperature on the oil stability index
[19] Tippayawong N, Wongsiriamnuay T, Jompakdee W. (OSI) of biodiesel. Energy & Fuels 2008; 22(1):657–62.
Performance and emissions of a small agricultural diesel engine [42] Siddharth Jain, MP Sharma, Stability of biofuel and its blends,
fueled with 100% vegetable oil: effects of fuel type and elevated Renewable and Sustainable Energy Reviews, 14 (2010) 667–
inlet temperature. Asian J Energy Environment 2002; 3:139–58. 678
[20] Ozaktas T. Compression ignition engine fuel properties of a [43] Van Gerpen JH, Hammond EG, Liangping Y, Monyem A.
used sunflower oil–diesel fuel blend. Energy Sour 2000; Determining the influence of contaminants on biodiesel
22:377–82. properties. SAE paper 971685; 1997.
[44] Yamane K, Kawasaki K, Sone K, Hara T, Prakoso T, oxidation
stability of biodiesel and its effect on diesel combustion and
313
emission characteristics, International journal of Engine

Research 2007; 8(3):307–319.
[45] Refaat AA. Correlation between the chemical structure of
biodiesel and its physical properties. International Journal of
Environmental Science and Technology 2009;6(18):677–94.
[46] Canakci M, Monyem A, Van Gerpen J. Accelerated oxidation
processes in biodiesel. Transaction of the ASAE 1999;42:1565–
72.
[47] Mittelbach M, Gangl S. Long storage stability of biodiesel made
from rapeseed and used frying oil. Journal of the American Oil
Chemists Society 2001;78(6):573–7.
[48] G. Yildiz, Wehling Randy L, Cuppett Susan L. Comparison of
four analytical methods for the determination of peroxide value
in oxidized soybean oils. Journal of the American Oil Chemists
Society 2003; 80(2).
[49] Formo MW, Jungermann E, Noris F, Sonntag NOV. Bailey’s
industrial oil and fat products, vol. 1(4), 4th edition John Wiley
and Son; 1979. p. 698–711.
[50] Korus RA, Mousetis TL, Lloyd L. Polymerization of vegetable
oils. American Society of Agricultural Engineering 1982;18–223.
[51] Frankel, E.N., Lipid Oxidation, The Oily Press, Dundee,
Scotland, 1998.
[52] Bondioli, P., A. Gasparoli, L. Della Bella, and S. Tagliabue,
Evaluation of Biodiesel Storage Stability Using Reference
Methods, Eur. J. Lipid Sci. Technol. 2002; 104: 777–784.
[53] Amit Sarin, Rajneesh Arora, N.P. Singh, Meeta Sharma, R.K.
Malhotra, Influence of metal contaminants on oxidation stability
of Jatropha biodiesel, Energy; 34; 2009; 1271–1275.
[54] Miyashita K, Takagi T. Study of the oxidative rate and
prooxidant activity of free fatty acids. Journal of the American
Oil Chemists Society 1986;63(10):1380–4.
[55] Rosen Dinkov , Georgi Hristov, Dicho Stratiev, Violeta Boynova
Aldayri, Effect of commercially available antioxidants over
biodiesel/diesel blends stability, Fuel 88 ;2009, 732–737.
[56] Konishi, H.; Neff, W.E.; Mounts, T.L. Oxidative Stability of
Soybean Oil Products Obtained by Regioselective Chemical
Interesterification. JAOCS, 1995, 72(11), 1393- 1398.
[57] Yarbrough CM, LePori WA, Engler CR. Compression ignition
performance using sunflower seed oil. ASAE paper number 81-
3576.
[58] Bettis BL, Peterson CO, Auld DL, Driscoll DJ, Peterson ED.
Fuel characteristics of vegetable oil from oil seed crops in the
Pacific Northwest. Agronomy Journal 1982;74:335–9.
[59] Strayer RC, Blake JA, Craig WK., Canola and high erucic rape
seed oil as substitutes for diesel fuel: preliminary tests. JAOCS
1983;60:1587–96.
[60] Demirbas A., Progress and recent trends in biodiesel fuels.
Energy Conversion and Management 2009;50:14–34.
314
Experimental Investigation on Heat Transfer

and Friction Factor Characteristics of a Tube
Equipped with Perforated Twisted Tape Inserts
P.K. Chandrashekara 1, V. N. Kapatkar 2
1,2
Sinhgad College of Engineering, Pune, India
1
chandraa2208@gmail.com
2
vnkapatkar@gmail.com
Abstract — This paper presents an experimental study of heat electric or magnetic fields (use of a magnetic field to disturb
transfer and friction factor characteristics of a tube equipped the seeded light particles in a flowing stream), injection or
with full-length perforated twisted tape inserts with uniform suction, etc. These are more complicated in construction and
heat flux under laminar flow condition. The experimental data costlier than passive techniques. Passive techniques do not
obtained are verified with those obtained from plain tube require external power. The additional power needed to
published data. Water is made to flow through a brass tube of enhance the heat transfer is taken from the available power in
16 mm ID and 1 m length. Perforated twisted tape with 5mm the system, which ultimately leads to a fluid pressure drop.
diameter holes and 10 mm pitch is inserted in the tube. The tube
is heated by Nichrome wire. Thermocouples are used to Passive techniques, where inserts are used in the flow
measure the temperatures. Pressure drop was measured with passage to augment the heat transfer rate, are advantageous
the help of micro-manometer and inverted U tube manometer. compared with active techniques, because the insert
Experiments were conducted on plain and perforated twisted manufacturing process is simple and these techniques can be
tapes inserts with twist ratio y = 5.2, 4.2, 3.2 and the results are
tabulated. Friction factor got reduced by 30 % by making
easily employed in an existing heat exchanger.
perforations in the twisted tape. The decrease in Nusselt number According to recent studies, twisted tapes and wire coils
for the perforated twisted tape is within 10%. are known to be the most economic heat transfer
augmentation tools. The twisted tape insert is found to be
Keywords — Heat exchanger; Heat transfer; Pressure drop; suitable in a laminar flow regime and the wire coil insert is
Swirl flow devices; Helical tape insert suitable for turbulent flow.
Saha et al. [1] observed that short-length twisted tape is a
1. INTRODUCTION good choice because in this case swirl generated by the
twisted tape decays slowly downstream which increases the
The major challenge in designing a heat exchanger is to heat transfer coefficient with minimum pressure drop,
make the equipment compact and to achieve a high heat compared with full-length twisted tape. Lokanath and Misal
transfer rate using minimum pumping power. Techniques for [2] found that twisted tapes of tighter twists are expected to
heat transfer augmentation (HTA) are relevant to several give higher overall heat transfer coefficients, i.e. “lesser the
engineering applications. In recent years, the high cost of twist ratio, greater will be the heat transfer”. Lokanath [3]
energy and material has resulted in an increased effort aimed investigated that, for a laminar flow of water through a
at producing more efficient heat exchange equipment. horizontal tube fitted with half-length twisted tape, for unit
Furthermore, sometimes there is a need for minimizing the pressure drop and unit pumping power, half-length tapes are
size of a heat exchanger in specific applications, such as more effective than full-length tapes. Sivashanmugam and
space application, through an augmentation of heat transfer. Suresh [4] found that the Nusselt number is greater for tapes
An increase in the efficiency of the heat exchanger through of lesser twist ratio. Masoud Rahimi et al. [5] investigated
an augmentation technique may result in a considerable that Nusselt number and performance of the jagged insert
saving in the material cost. were higher than plain and perforated twisted tape. But
Heat transfer augmentation finds vast application in friction factor is also high.
heating ventilation and refrigeration and air conditioning, Date and Singham [6] numerically investigated that heat
boiling and condensing, automotive industries, power sectors, transfer enhancement in laminar, viscous liquid flows in a
process industries, electronic cooling etc. The heat transfer tube with a uniform heat flux boundary condition. They
augmentation techniques are broadly classified into two idealized the flow conditions by assuming zero tape
categories, active techniques and passive techniques (or one thickness, but the twist and fin effects of the twisted tape
can have the combination of these two methods). Active were included in their analysis. Hong and Bergles [7]
techniques require external power for operation. Active reported heat transfer enhancement in laminar, viscous liquid
techniques have not shown much potential owing to flows in a tube with uniform heat flux boundary conditions,
complexity in design. Furthermore, external power is not but their correlation has limited applicability as it is valid for
easy to provide in several applications. Examples are a high Prandtl number (approximately 730). The
mechanical aids (induced pulsation by cams and circumferential temperature profile for swirl flow is related to
reciprocating plungers), surface vibration, fluid vibration, tape orientation.
315
NOMENCLETURE
v = Velocity of water in the tube (m/s) V = Volume flow rate of water in tube (m3/s)
a = c/s area of tube (m2) A = Area of measuring tank (m2)
V = Volume of water collected in measuring jar (m3) T = Time taken (s)
3
ρ = Density of water (kg/m ) D = Internal diameter of tube (m)
µ = Dynamic viscosity of water (Pa-s) hf = Head loss due to friction (m)
f = Darcy’s friction factor l = Length of tube (m)
2
g = Acceleration due to gravity (m/s ) m = Mass flow rate of water (kg/s)
Cp = Specific heat at constant pressure of water (W/kgK) Ti = Temperature of water at inlet of tube (C)
To = Temperature of water at outlet of tube (C) h = Convective heat transfer coefficient (W/m2K)
Tw = Average surface temperature of tube wall (C) Tb = Bulk mean temperature (C)
Nu = Nusselt number k = Thermal conductivity of water (W/mK)
Tariq et al. [8] found that in a laminar flow the centrifugal pump with inlet and outlet connections of ¼
introduction of turbulent promoters, such as an internally inch. A bypass valve was fitted at the out let of the pump
threaded tube, is not efficient compared with a twisted tape through which, excess of flow was bypassed so as to reduce
insert on the basis of the overall efficiency. Depending the load on the pump. The supply line has a coarse control
upon the flow rate and tape geometry, the enhancement in valve to control the rate of flow. Water flows through a
heat transfer is due to the tube partitioning and flow rotameter (0 – 150 lph) to adjust the rate of flow. For
blockage, the large flow path and secondary fluid accurate measurement, measuring flask and stop-watch
circulation. were used.
Manglik and Bergles [9] considered all these effects Water flows through the calming section, which was a
and developed laminar flow correlations for the friction brass tube of 16 mm diameter and 1.5 m length. The
factor and Nusselt number, including the swirl parameter, calming section allows the velocity profile to develop fully;
which defines the interaction between viscous, convective the calmed flow is laminar because it has a very full
inertia and centrifugal forces. velocity profile. After passing through calming section,
water enters the test section of length 1 m and of the same
Ray and Date [10] derived a correlation for the friction
diameter as the calming section.
factor and Nusselt number for a square duct from the
predicted data. They compared the correlation for the Twisted tapes shown in Figure 1 used in the
friction factor with experimental data and the agreement investigation were made of aluminum strip of 15 mm width.
was found to be within ±10 per cent. Saha et al. [11] found Twisting was done using torsion testing machine. Holes
that pinching (placing of a twisted tape exactly at the centre were punched on the tape using punching machine. The
of the tube) of twisted tape in a tube performs better than a perforated helical screw-tape inserts with three different
twisted tape inserted by a loose fit. They further showed twist ratios were made, 3.2, 4.2 and 5.2. This range was
that a non-zero phase angle in-between the segmented selected with reference to very widely reported literature
twisted tape gives poor results because the swirl will break value between 2 and 7 for twisted tape inserts.
easily in-between the two segmented twisted tapes.
Furthermore, reduction in the width of the twisted tape is
not effective, compared with a twisted tape of width equal
to the inside diameter of the tube. Al-Fahed et al. [12]
observed that, for a low twist ratio (Y =5.4) and high
pressure drop, a loose fit is recommended for design of the
heat exchanger, since it is easier to install and to remove for
cleaning purposes. Other than this twist ratio, a tight-fit
twisted tape provides better performance than a loose-fit
twisted tape.
2. EXPERIMENTAL SET-UP
The flow loop used for experimental setup and test
Fig. 1 Photograph of perforated twisted tapes
section is shown schematically in Figure 2. Water pumped
from the main reservoir tank flow to the apparatus through
control valve. The pump was 0.5 hp single phase
316
Fig. 2 Construction of experimental set-up
The test section was a brass tube of 16mm internal temperatures (T1 to T12), time taken for 1000 ml of water
diameter and 1 m length. It was heated by winding a flow and manometer readings (h1 and h2)
Nichrome wire over it. The wire was insulated from the
tube wall by means of porcelain beads. The element was
designed for 4 kW of power consumption. The power input 4. DATA REDUCTION
was controlled using voltage regulator. Wattage supply was
Data Reduction is the transformation of numerical or
measured by voltmeter and ammeter pair.
alphabetical digital information derived empirical or
After completing the winding of heater wire, twelve experimentally into a corrected, ordered, and simplified
calibrated thermocouples were installed, six on the top and form.
six on the bottom, equally spaced and diametrically in
A. Determination of heat transfer coefficient and Nusselt
opposite location. Digital temperature indicators were
number
installed to display the temperature.
The heat transfer coefficient was calculated by using the
Two pressure taps, one on each end of the test section
were fitted for measurement of pressure drop across the test heat input rate, inside surface area, the average inner wall
section. Incase of plain tube without insert, the pressure temperature and calculated bulk mean temperature.
drop was very less, hence micro-manometer containing Rate of heat transfer = Q = m Cp (To – Ti) ……..….(1)
benzyl alcohol and calcium chloride solution was used. For
readings after placing twisted tape inserts, there was Q
Heat transfer coefficient = h = ………..(2)
sufficient pressure drop to show readings on inverted U A (Tw  Tb)
tube manometer containing kerosene as manometer liquid.
hD
Nusselt Number = Nu = ………………………..(3)
3. EXPERIMENTAL PROCEDURE k
Experiments were conducted for nine sets of flow rates B. Determination of other dimensionless parameters
by operating the flow control valves for plain tube without Dimensionless parameters, Reynolds number and
insert and six types of twisted tape inserts (Plain twisted friction factor were calculated form the following equations.
tape inserts with twist ratios 5.2, 4.2, 3.2 and perforated
twisted tape inserts with twist ratios 5.2, 4.2, 3.2). Each vD
time flow of water is adjusted for required rate of flow with Reynolds Number = Re = ……… …………..(4)

the help of rotameter and measured accurately with the help
of measuring flask and stop watch. Heat flux is adjusted 2 g D hf
Friction factor = f = ………………………(5)
using voltage regulator, and a sufficient time was allowed lv
2
to reach steady state. After reaching a steady state,

following observations are noted down. Inlet and outlet For plain tube without inserts, as the pressure drop was
temperatures of water (Ti and To), tube surface less than 0.5 mm of water, inverted micro manometer
317
(containing benzyl alcohol and calcium chloride) solution is

used. The pressure drop is given by the equation
hf = h 
 a ( s - s ) + ( s - s )  …………………..(6)
 A w k k a

For tube with twisted tape inserts, inverted
manometer (containing kerosene as manometric liquid) was
used. The pressure drop is given by the equation
hf = h  (sw - sk) ………………..…………………….(7)
4. RESULTS AND DISCUSSION

A. Tube without insert
The friction factor obtained from the experiment agree
with the correlation f = 64/Re. the values are given in the
table1.
TABLE 1 VALIDATION OF TEST RIG FOR FRICTION FACTOR Fig.3 Nu v/s Re for plain and perforated twisted tape with y = 5.2
Experimental
0.2353 0.0784 0.0628 0.0384 0.0309
values
f = 64/Re 0.2305 0.0795 0.062 0.0383 0.0309
Nusselt number obtained from the experimental

investigation and that from Dittus-Boelter correlation
( Nu = 0.023  Re  Pr ) are given in the table2. There is
0.8 0.4
a close agreement between them with a maximum variation

of 20%
TABLE 2 VALIDATION OF TEST RIG FOR NUSSELT NUMBER
Reynolds
278 805 1032 1884 2071
number
Experimental
3.06 8.84 10.43 15.23 15.46
values
Dittus Boelter
3.5 8.34 10.35 17.46 19.03
relation
Fig.4 Nu v/s Re for plain and perforated twisted tape with y = 4.2
B. Tube with “plain twisted tape inserts” and “perforated

twisted tape inserts”
1) Heat transfer analysis

Figures 3,4 and 5 show the relation between Nusselt
number and Reynolds number, for plain aluminum twisted
tapes with twist ratio 5.2, 4.2 and 3.2 respectively.
Figures show that, perforations on the twisted tapes
reduced the Nusselt number in the range 5 - 15 % due to
less turbulence created.
2) Friction factor analysis
Figures 6, 7 and 8 show relation between friction factor
and Reynolds number, for plain aluminum twisted tapes
with twist ratio 5.2, 4.2 and 3.2 respectively.
Figures show that perforated twisted tapes reduced the
friction factor by 30 %. Fig.5 Nu v/s Re for plain and perforated twisted tape with y = 3.2
318
C. Comparison of “plain tube” and “tubes with various

twisted tapes”
Figure 9 shows the relation between friction factor and
Reynolds number for plain tube and tube with various
inserts, the Figure concludes that the friction is minimum
when the twisted tape is not inserted. Further, with the
increase in twist, i.e. with the decrease in twist ratio, the
friction factor goes on increasing for a particular Reynolds
number. Perforated tapes show lesser friction factor
compared with plain twisted tapes.
Fig.6 f v/s Re for plain and perforated twisted tapes with y = 5.2
Fig.9 Re v/s f – comparative study of friction factor of all types of twisted

tapes (plain and perforated, y = 3.2, 4.2 and 5.2) and plain tube
Figure 10 shows the relation between Nussult number

and Reynolds number for plain tube and tube with various
inserts, the Figure concludes that the Nusselt number
increases with increase in Reynolds number.
Further, it can be concluded that, twisted tapes with
tighter twist (with lesser twist ratio) give increased Nusselt
number for a particular Reynolds number. Perforated tapes
Fig.7 f v/s Re for plain and perforated twisted tapes with y = 4.2
shown greater Nusselt number compared with plain twisted
tapes.
Fig.8 f v/s Re for plain and perforated twisted tape with y = 3.2
Fig.10 Re v/s Nu – comparative study of Nu of all types of twisted tapes

(plain and perforated, y = 3.2, 4.2 and 5.2) and plain tube
319
5. CONCLUSIONS [7] Hong, S. W. and Bergles, A. E. Augmentation of

laminar flow heat transfer in tubes by means of
Experimental investigation of heat transfer and friction
twisted tape inserts. Trans. ASME J. Heat Transfer,
factor characteristics of circular tube fitted with full-length
1976, 98, 251 – 256.
perforated twisted tape inserts of different twist ratio has
been presented. The results showed that there was an [8] Tariq, A., Kant, K. and Panigrahi, P. K. Heat
appreciable enhancement in heat transfer and that the heat transfer enhancement using an internally threaded
transfer is more with lesser twist ratio. tube. In Proceedings of 4th ISHMT–ASME Heat
and Mass Transfer Conference, India, 2000, pp.
 Maximum increase in Nu for plain twisted tape with y =
277–281 (Tata McGraw-Hill, New Delhi).
5.2 was found to be 56 % whereas, maximum increase in
Nu for perforated twisted tape with y = 5.2 is 34 % [9] Manglik, R. M. and Bergles, A. E. Heat transfer and
pressure drop correlations for twisted tape insert in
isothermal tubes. Part 1: laminar flows. Trans.
4.2 was found to be 100 % whereas, max. increase in Nu
ASME, J. Heat Transfer, 1993, 116, 881 – 889.
for perforated twisted tape with y = 4.2 is 72 %
[10] Ray, S. and Date, A. W. Friction and heat transfer
characteristics of flow through square duct with
3.2 was found to be 143 % whereas, max. increase in Nu
twisted tape insert. Int. J. Heat and Mass Transfer ,
for perforated twisted tape with y = 3.2 is 110 %
2003, 46, 889 – 902.
Friction factor got reduced by 30 % by making
[11] Saha, S. K., Dutta, A. and Dhal, S. K. Friction and
perforations in the twisted tape. Meanwhile, there was
heat transfer characteristics of laminar swirl flow
reduction in Nusselt number by 12 %
through a circular tube fitted with regularly spaced
twisted-tape elements. Int. J. Heat and Mass
Transfer, 2001, 44, 4211–4223.
REFERENCES:
[12] Al-Fahed, S., Chamra, L. M. and Chakroun, W.
[1] “Friction and heat transfer characteristics of
Pressure drop and heat transfer comparison for both
laminar swirl flow through a circular tube fitted
micro-fin tube and twisted-tape inserts in laminar
with twisted tape elements” by S.K. Saha, A. Dutta,
flow. Exp. Thermal and Fluid Sci, 1999, 18, 323–
S.K. Dhal, International Journal of Heat and Mass 333.
Transfer 44 (2001) pp. 4211-4223.
[13] Suresh Kumar, P., Mahanta, P. and Dewan, A.
[2] Lokanath, M. S. and Misal, R. D. An experimental
Study of laminar flow in a large diameter annulus
study on the performance of plate heat exchanger
with twisted tape inserts. In Proceedings of 2nd
and an augmented shell and tube heat exchanger for
International Conference on Heat Transfer, Fluid
different types of fluids for marine applications. In
Mechanics, and Thermodynamics, Vic- toria Falls,
Proceedings of 5th ISHMT–ASME Heat and Mass Zambia, 2003, paper KP3.
Transfer Conference, India, 2002, pp. 863–868
(Tata McGraw-Hill, New Delhi). [14] Suresh Kumar, P., Mahanta, P. and Dewan, A.
Study of heat transfer and pressure drop in a large
[3] Lokanath, M. S. Performance evaluation of full
hydraulic diameter annulus. 17th National Heat and
length and half length twisted tape inserts on
Mass Transfer Conference and 6th ISHMT/ASME
laminar flow heat transfer in tubes. In Proceedings
Heat and Mass Transfer Conference, Indira Gandhi
of 3rd ISHMT–ASME Heat and Mass Transfer Centre for Atomic Research, Kalpakkam, India,
Conference, India, 1997, pp. 319–324 (Tata 2004, pp. 62–66.
McGraw-Hill, New Delhi).
[15] Saha, S. K. and Chakraborty, D. Heat transfer and
[4] “Experimental studies on heat transfer and friction
pressure drop characteristics of laminar flow
factor characteristics of laminar flow through a
through a circular tube fitted with regularly spaced
circular tube fitted with helical screw-tape inserts” twisted tape elements with multiple twists. In
by P. Sivashanmugam, S. Suresh, Applied Thermal Proceedings of 3rd ISHMT–ASME Heat and Mass
Engineering 26 (2006), pp.1990–1997
Transfer Conference, India, 1997, pp. 313–318
[5] “Experimental and CFD studies on heat transfer (Tata McGraw-Hill, New Delhi).
and friction factor characteristics of a tube
[16] Heat Exchanger Design Handbook by T. Kuppan,
equipped with modified twisted tape inserts” by
ISBN:0-8247-9787-6, Copyright © 2000 by Marcel
Masoud Rahimi, Sayed Reza Shabanian, Ammar Dekker, Inc., 270 Madison Avenue, New York, NY
Abdulaziz Alsairafi, Chemical Engineering and 10016
Processing 48 (2009), pp.762–770
[17] Heat Exchanger Design Handbook by D. Brian and
[6] Date, A. W. and Singham, J. R. Numerical
J. Taborek Copyright © 1983 by Hemisphere
prediction of friction and heat transfer
Publishing Corporation.
characteristics of fully developed laminar flow in
tubes containing twisted tapes. Trans. ASME, J. [18] Engineering data book III, Wolverine Tube Inc.
Heat Transfer, 1972, 17, 72 website http://www. wolverine.com
320
To Investigate the Effect of Coolant Temperature

on Multi Cylinder Si Engine Performance with
L.P.G. as a Fuel
Praveen sharma1, Rajiv saxena2
1
Praveen73sharma@yahoo.com
2
rajit3@yahoo.co.nz
Abstract: An engine is a device which transforms the chemical load efficiency due to large losses during gas exchange and
energy of a fuel into thermal energy and uses this energy to low combustion and thermodynamics efficiency. The CI
produce mechanical work done. In the present scenario the engine is much more fuel efficient and hence the natural
L.P.G is using in S.I. engines automotives by various choice in applications where fuel cost is more important than
manufactures are not properly suitable to out climatic
condition. As our country is among tropical countries where the
first cost.
variation in the temperature is having very vast range i.e. from
00C to 48◦C in various regions of the country. Looking in to this The experimental study is carried out on a three cylinder,
vast varying temperature range it is very difficult to say that four stroke, petrol carburettor, water cooled, maruti 800
which temperature is most suited to operating condition of engine connected to eddy current type dynamometer for
engines and gives us best performance level as for as SFC and loading. The objective of this project is to examine engine
brake power is concerned. In my work I have tried to performance parameter i.e. specific fuel consumption (SFC),
investigate the best option to run the S.I engine when using brake power (BP) regarding coolant temperature at 45 , 55 ,
L.P.G. Today research and development in the field of gasoline
65 ,75 C and at an engine speed of 1500 , 2000 , 2500 rpm
engines have to face a challenge: on fuel consumption has to be
reduced. The development of engines with its complexity of in- with respect to dynamometer load 5 ,8, 11, 14 kg. The results
cylinder processes requires modern development tools to exploit are shown by various graphs i.e. between coolant temperature
the full potential in order to reduce fuel consumption. There are and specific fuel consumption, engine temperature and brake
many strategies for improving fuel economy .A three cylinder, power, engine speed and specific fuel consumption, engine
four stroke, petrol carburettor maruti 800 engine connected to speed and brake power, dynamometer load and specific fuel
eddy current type dynamometer for loading was adopted to consumption, dynamometer load and brake power.
study engine power, fuel economy. The performance results that
are reported include brake power and specific fuel consumption
(sfc) as a function of coolant temperature; i.e. 55,65,75 and 85°C
with varying engine speed of 1500, 1800,2100, 2400, rpm at
varying dynamometer load 5,8,11,14 kg.
I. INTRODUCTION
The internal combustion engines the combustion of fuel takes
place inside the engine cylinder which is using in Fig 1.1 Engine construction of typical four stroke petrol engine.
automobiles. The development of living standard of human
being is closely related to improvements in transportation A. Engine performance parameter:
facilities. I.C engines play a very important role in 1) Specific fuel consumption: Specific fuel consumption
development of transport throughout the world. Without the is defined as the amount of fuel consumed per unit of
transportation performed by the millions of vehicles on road power developed per hour. It is clear indication of the
and at sea we would not have reached the living standard of efficiency with which the engine develops power
today. We have two types of internal combustion engines, from fuel. Brake specific fuel consumption (bsfc) is
A. The spark ignition, SI or petrol engines. determined on the basis of brake out put of the engine
B. The compression ignition, CI or diesel engines. while indicated specific fuel consumption (isfc) is
Both have their merits and demerits. The SI engine is a determined on the basis of indicated out put of the
rather simple product and hence has a lower first cost. The engine.
problem with the SI engine when using L.P.G is the poor part
321
2) Brake power: The power developed by en engine at Manometer (orifice dia 35 mm)
the out put shaft is called the brake power (B.P.). The Stork leanth : 72.0mm
measurement of power involves the measurement of Connecting rod : 114mm
force (or torque) as well as speed. The power is done Compression ratio : 9.2:1
with the help of a dynamometer and torque is by a Stroke type : variable
tachometer or by some other suitable device. Cooling type : water
Dynamometer type: eddy current
B. Combustion: Indicator used type : cylinder pressure
It is a complex sequence of exothermic chemical reactions Interface type used : PCI-1050
between a fuel (usually a hydrocarbon) and an oxidant Calorimeter used : pipe in pipe
accompanied by the production of heat or both heat and light
in the form of either a glow or flames, appearance of light C. Features
flickering.  Online measurements and performance analysis
The conditions necessary for combustion are:  PΘ-PV plots, performance plots and tabulated
1) The presence of combustible mixture. results
2) Some means of initiation combustion.  Data logging, editing printing and export
3) Stabilization and propagation of flame in the combustion  Configurable grpahs
chamber.  IP, IMEP, FP indication
A chemical equation for combustion of any hydrocarbon can  Combustion anaylysis
be easily written. For C18H18 (iso-octane) the equation is  Morse test
C18H18 + 12.502 = 8C02 + 9H20
D. Range of experiments
II. EXPERIMENTAL SET UP AND METHODOLOGY  Study of engine performance (Manual
Mode)
A. Description: The setup consists of three cylinder, four  Study of engine performance
stroke, Petrol Carburettor engine connected to eddy current (Computerized mode)
type dynamometer for loading. It is provided with necessary
instruments for combustion pressure and crank-angle
measurements. These signals are interfaced to computer
through engine indicator for Pø-PV diagrams. Provision is
also made for interfacing airflow, fuel flow, temperatures and
load measurement. The set up has stand alone panel box
consisting of air box, fuel tank, manometer, fuel measuring
unit, transmitters for air and fuel flow measurements, process
indicator, load indicator and engine indicator. Rota meters are
provided for cooling water and calorimeter water flow
measurement. The setup enables study of engine performance Fig.1 Three cylinder, fur stroke Maruti 800 engine test rig.
for brake power, indicated power, frictional power, BMEP,
IMEP, brake thermal efficiency, indicated thermal efficiency,
Mechanical efficiency, volumetric efficiency, specific fuel
consumption, A/F ratio and heat balance. Windows based
Engine Performance Analysis software package "Engine
soft" is provided for on line performance evaluation.
B. Specification:
Product: engine test setup 3 cylinders, 4stroke, petrol
(Computerized)
Engine: make maruti, model maruti 800, type cylinder 3,
max power At5000rpm, torque 59 nm at 2500rpm, stroke 72
mm, Bore 66.5 mm, 796 cc, CR 9.2 Fig:2 complete arrangement with LPG kit (Computerized)
Dynamometer : type eddy current, water cooled, with
loading Unit Propeller shaft: with universal joints
Air box : m s fabricated with orifice meter and
322
engine is measured manually by Rota meter. The values

of engine performance parameter are directly obtained
by "Engine Soft" software.
 A test matrix is created to record the engine performance
parameter but main focal point was on specific fuel
consumption and brake power of the engine at different
engine speed1500, 1800, 2100, 2400 rpm with the
dynamometer load of 5, 8, 11, 14 kg at coolant
temperature 55,65,75,85 °C.
Table No. 1.1 Test Matrix load
S.No. Dynamometer load Coolant Engine Speed

(Kg) temp. (rpm)
(oC)
1 5 55 1500,1800,2100,2400
65
75
85
Fig: 3 Digital Weight machine to measure the weight of cylinder. 2 8 55 1500,1800,2100,2400
65
75
85
3 11 55 1500,1800,2100,2400
65
75
85
4 14 55 1500,1800,2100,2400
65
75
85
A Results & Discussions:

Engine performance characteristics can be determined either
experimentally or analytically based on the experimental
data. The term "performance" usually means how well an
engine is doing its required task in relation to the input
energy or how effectively it provides useful energy in
relation to some other comparable engines. It is represented
Fig: 4 the schematic block diagram of 3-cylinder 4-stroke S.I engine by typical characteristic curves, which are a function of the
engine's operating parameters.
An Experiment was conducted on a three cylinder, four
III METHODOLOGY: stroke, Petrol Carburettor Maruti 800 engine which is
connected to eddy current type dynamometer for loading.
 Experiment was conducted on a three cylinder, four The performance results which include Brake Power (B.P.)
stroke, Petrol Carburettor Maruti 800 engine which is and Specific Fuel Consumption (SFC) as a function of
connected to eddy current type dynamometer for coolant temperature; i.e. 55, 65, 75, 85 °C are reported.
loading. The performance results which include Brake Following are the graphs which has obtained for various
Power (B.P.) and Specific Fuel Consumption (SFC) as a engine performance parameters:
function of coolant temperature; i.e. 55, 65, 75, 85 °C i. The effect of coolant temperature on specific fuel
are reported. The test has been conducted to study the consumption with varying engine speed.
effect of coolant temperature on SFC and B.P. with ii. The effect of engine speed on brake power with varying
varying engine speed i.e. 1500,1800,2100,2400 rpm with coolant temperature.
the dynamometer load of 5,8,11, 14, kg. iii. The effect of engine speed on specific fuel consumption
 Engine temperature has been controlled by controlling with varying coolant temperature.
cooling water flow rate. The cooling water flow rate for
323
B. Effect of coolant temp. On SFC. Varying engine speed. C. Effect of engine speed on brake power with varying
coolant temperature.
0.35
2.7
BRAKE POWER (KW)

1500
sfc(kg/kwhr)
0.3 2.5 55
1800
2.3 65
2100
0.25
2.1 75
2400
1.9 85
0.2
55 65 75 85 1.7
1500 1800 2100 2400
temperature
ENGINE SPEED (RPM)
Fig.5 The effect of coolant temperature on specific fuel consumption
dynamometer load of 5kg for LPG fuel Fig.9 The effect of Engine Sped. On brake power
with varying Coolant temp. and at 5 kg Dynamometer load
BRAKE POWER (KW)

0.32 4
0.3 55
1500 3.5
sfc(kg/kwhr)
0.28 65
1800 3
0.26 75
2100
0.24 2.5
2400 85
0.22
2
0.2
1500 1800 2100 2400
55 65 75 85
ENGINE SPEED (RPM)
temperature
Fig.10 The effect of Engine Speed. On brake power with

Fig 6 The effect of coolant temp. on specific fuel Consumption with varying varying Coolant temp and at 8 kg Dynamometer load
engine speed and at 8 kg engine load for LPG fuel
5.5
BRAKE POWER (KW)
5.25
0.3 5
0.28 4.75 55
1500
sfc(kg/kwhr)
4.5 65
0.26 1800 4.25
4 75
0.24 2100 3.75 85
0.22 2400 3.5
3.25
0.2 3
55 65 75 85 1500 1800 2100 2400
temperature ENGINE SPEED (RPM)
Fig 11 The effect of Engine Speed. on brake power with varying Coolant
Fig. 7 The effect of coolant temp. On specific fuel Consumption
temp and at 11 kg dynamometer load.
withvarying engine Speed and at 11 kg engine load for LPG fuel.
6
BRAKE POWER(KW)
6
5.5
brake power (kw)
55
5 1500 5 65
1800 4.5 75
4
2100 4 85
3 2400 3.5
1500 1800 2100 2400
2
ENGINE SPEED (RPM)
55 65 75 85
engine temperature (deg c)
Fig 12 The effect of Engine Speed. on brake power with varying coolant
Fig. 8 The effect of coolant temp. On specific fuel Consumption Varying Coolant temp and at 14 kg dynamometer load.
withvarying engine Speed and at 14 kg engine load for LPG fuel
324
Fig 14 the effect of coolant temperaturewith varying engine speed at 8 kg
0.3
0.28 55
sfc(kg/kwhr)
D. effect of engine speed on SFC with varying coolant temp
0.26 65
0.24 75
RESULTS OBTAINED BY RESULTS OBTAIN BY
0.22 85
USING L.P.G AS A FUEL. USING GASOLINE AS A
0.2
FUEL.
1500 1800 2100 2400
1) it has been seen that by using 1) Specific fuel consumption engine speed (rpm )
L.P.G results we can conclude falls with the increase in
that with the increase in engine engine temperature. Average Fig 15 the effect of coolant temperaturewith varying engine speed at11 kg
temperature there is fall in fall in specific fuel
specific fuel consumption but consumption is 10-15% at 0.3
0.29
does not has much effect on different engine speed and at 0.28
brake power. But with increase in lower engine load upto 5% at 0.27 55
sfc(kg/kwhr)
engine speed brake power also increased load on the engine. 0.26 65
0.25
increases. 2) It is important to mention 0.24 75
2) Best result we obtained in this that the fall in SFC at higher 0.23 85
0.22
study is load is significant at a 0.21
0.198 Kg/kwhr specific fuel temperature of 55-650C at 0.2
consumption which is minimum various load on the engine. 1500 1800 2100 2400
at 5.46 KW brake power at 85 This reduction is in the range engine speed (rpm)
deg. C engine temperature and of 20-30% from the max.

Fig 16 the effect of coolant temperaturewith varying engine speed at 14 kg
2400 rpm engine speed with 14 Value. At engine temperature
kg engine load. above 650 it is observed that
3) It has been also found that at the reduction in SFC from its Following are the additional scope of future scope:
11kg dynamometer load the max. Value in the range 5- 1. Effect of cooling system modification on engine
behavior of SFC curves and B.P. 15%. This is the most performance under the present test procedure.
curves are almost similar for all important information as its
temperatures suggests the importance of 2. Effect of ignition tuning on engine performance
engine temperature in the light under the present test procedure.
of engine performance at
different temperature.
3. Effect of coolant type on engine performance under
the present test procedure.
4. Effect of compression ratio on engine performance
0.35 under the present test procedure.
55 5. Effect of lubricants on engine performance under the
sfc(kg/kwhr)
0.3
65 present test procedure.
75
0.25
85
REFERENCE
0.2 1. Modelling of methanal Combustion phenomema with application
1500 1800 2100 2400 to S.I Engines by Browning & PefleyIII International symposium
engine speed (rpm) on Alcohal fuels, (May 1979)
2. M. Al-Hasan, (2007),"Evaluation of Fuel Consumption and
Fig- 13 The effect of coolant temperature with varying engine speed at 5 kg Exhaust Emissions During Engine Warm-up," American Journal
dynamometer load of Applied Sciences 4 (3), 106-111, ISSN 1546-9239.
3. D. BRADLEY, G. T. KALGHATGI, M. GOLOMBOK, JINKU
YEO, (1996) "Heat Release Rates Due to Autoignition, and Their
0.32
Relationship to Knock Intensity In Spark Ignition Engines",
Twenty-
0.3
55
Sixth Symposium (International) on Combustion/The Combustion
sfc(kg/kwhr)
0.28 Institute, pp. 2653-2660.

65
0.26 4. J.W.G.TURNER, R.J.PEARSON, M.D.BASSETT,
75
0.24 (2003),"Performance and Fuel Economy Enhancement of Pressure
85
0.22 Charged SI Engines Through Turboexpansion- An Initial Study,"
0.2
5. Combustion, flames, & Explosions of gases, Academic Press 2 nd
1500 1800 2100 2400
Edi, 1961.
6. Y. OHYAMA, (February 2001), "Engine Control Using
engine speed (rpm)
Combustion Model," Hitachi Car Engineering Co., Ltd., 2520
Takaba, Hitachinaka 312-8503, Japan
325
7. Guillemot, P., Gatelier, B. and Rouveriolles, P. The influcnce of 29. Willumeit, H.P. Steinberg, P. Scheibner, B. And Lee, W. New
coolant temperature on uburned hydrocarbon emission from spark temperature control criteria for more efficient gasoline engines, SAE
ignition engine SAE paper no 941962, 1994 paper no. 841292, 1984
8. LI, (1982),"Piston Thermal Deformation and Friction 30. Colugh, M. J. Precision cooing of a four valve per cylinder engine.
Considerations," SAE paper 820086. SAE paper no. 931123, 1993.
9. ROBINSON, K, N.CAMPBELL, J.HAWLEY. (1999) and D. 31. The utilisation of l.p.g. As fuel for internalcombustion Engines *s.c.
TILLEY (1999),"A Review of Precision Engine Cooling," SAE Sistemgas ** universitatea politehnica timisoara
paper 1999-01-0578. 32 Performance and Emissions Characteristics of An LPG Direct Injection
10. BENDERSKY, D. (1953),"A Special Thermocouple for Measuring Diesel Engines (SAE)Document Number: 2002-01-0869
Transient Temperature," Mech. Eng., 75, p.l 17. Date Published: March 2002
11. Kubozuka, T., Ogava, N. Hirano, Y. And Yayashi, Y. The Author(s):
development of engine evaporative cooling system. SAE Paper no. Shinichi Goto - National Institute of Adv Ind. Sci & Tech.
870033, 1987 Masataka Kajiwara - Iwatani International Corp.
12. Nishano, T., Seneba, H. and Murakami, N Study of enigine cookng Kouseki Sugiyama - Iwatani International Corp.
technologies for knock suppression in spark ignition engines. Makoto Sagara - Iwatani International Corp.
Mitsuhibishi Motors Techinical Reveiwew 2004 no 16. Makihiko Mori - Iwatani International Corp.
13. SHAYLER, P., S. CHARISTIAN, and T. MA, (1993), "A Model Mahabubul Alam - Pennsylvania State Univ.
for The Investigation of Temperature, Heat Flow, and Friction 33 Modelling Combustion Variability in LPG-Injected Engines for
Characteristics During Engine Warm up," SAE paper 931153 Improved Engine Performance At Idle (SAE) Document Number:
14. BRUCKNER,M,GRUENBACHER,E, ABERER,D,RE,L.D., 2004-01-0420 Date Published: March 2004Author(s):
ATSCHREITER, F, (Oct 2006), "Predictive Thermal Management Chris Manzie - Univ. of Melbourne
of Combustion Engine,", page 2778-2783. Harry C. Watson - Univ. of Melbourne.
15. BORMAN, G. and K. NISHIWAKI (1987), "International 34 Using of DEE as an ignition enhancer while using L.P.G
Combustion Engine Heat Transfer," Prog. Energy Combustion (SAE)Document Number: 2004-28-0020 Date Published: January 2004
Sci., 13, p. 1 - 46. Author(s):
16. Frank, F.M., Heywood, J.B., The effect of piston temperature of G. Nagarajan - Anna University.
the hydrocarbon emission from a spark-ignited direct-injection N. K. MillerJothi - Anna University.
engine. SAE technical paper no 910558, 1991 S. Renganarayanan - Anna University.
17. WHITEHOUSE, N.D. (1970-1971), "Heat Transfer in a Quiescent 35- Gas Assisted Jet Ignition of Ultra-Lean LPG in a Spark Ignition
Chamber Diesel Engine," Proc. instn. Mech. Engrs., 185, p. 963- Engine(SAE)Document Number: 2009-01-0506 Date Published: April
975. 2009 Author(s):
18. HEYWOOD,J.(1988),"mternational Combustion Engine Elisa Toulson - Univ of Melbourne
Fundamentals," Me Graw Hill, New York Harry Watson - Univ of Melbourne
19. Application of Alternative fuels by Roberta J. Nichols, SAE Paper William Attard - Univ of Melbourne
821070 (1982). 36. Emissions Generated from a Suzuki Liane Running on Unleaded
20. BREHOB, DIANA D., ANDERSON, RICHARD YANG, JIA Gasoline and LPG under the Same Load Conditions (SAE)Document
LIN, (January 9, 1996), "Reduction of Cold-Start Emissions and Number: 2008-01-2637
Catalyst Warm-Up Time With Direct Fuel Injection". Date Published: October 2008 Author(s):
21. HIRES, S.D. and G.L. POCHMARA (1976),"An Analytical Study Dimitrios Savvidis - Technological Educational Institute of
of Exhaust Gas Loss in a Piston Engine Exhaust Port", SAE paper Thessaloniki, Greece Kristof Ceustermans - Karel de Grote-
760767. Hogeschool Pieter Huyskens - Karel de Grote-Hogeschool
22. CATON, J.A. and J.B.HEYWOOD (1981),"An Experimental and 37. Evaluation of Ignition Quality of LPG With Cetane Number Improver
Analytical Study of Heat Transfer in An Engine Exhaust Port", hit. (SAE)Document Number: 2002-01-0870
J. Heat Mass Transfer, 24(4), p. 581-595. Date Published: March 2002 Author(s): Kohtaro Hashimoto - Univ. of
23. TAYLOR, C.F. (1985), "The Internal Combustion Engine in Tokyo Haruya Ohta - Univ. of Tokyo Tomoko Hirasawa - Univ. of
Theory and Practice," MIT Press, Cambridge, Massachusetts. Tokyo Mitsuru Arai - Univ. of Tokyo
24. INCROPERA, F. and D. DEWITT, (2001), "Fundamental of Heat Masamitsu Tamura - Univ. of Tokyo
and Mass Transfer," John Wiley and Sons, NEW YORK. 38 Air-Fuel Ratio Control in a Spark-Ignition LPG Engine Using Grey
25. OSMAN AKIN KUTLAR, HIKMET ARSLAN, ALPER TOLGA Forecasting Model (SAE)Document Number: 2002-01-1741
CALIK, (December 2005)," Methods to Improve Efficiency of Date Published: May 2002 Author(s): Hongwei Cui - Southeast
Four Stroke, Spark Ignition Engines at Part Load", Energy University Yifang Liu - Southeast University
Conversion and Management, Volume 46, Issue 20, Pages 3202- Yujian Zhai - Southeast University.
3220. 39. Combustion of LPG in a Spark-Ignition Engine (SAE)Document
26. LI JAFARI, SIAMAK KAZEMZADEH HANNANI, (January Number: 2004-01-0974 Date Published: March 2004 Author(s):
2006),"Effect of Fuel and Engine Operational Characteristics on Michael Campbell - Univ. of Oxford Luke Paul Wyszynski - Univ. of
The Heat Loss From Combustion Chamber Surfaces of SI Oxford Charles Richard Stone - Univ. of Oxford
Engines", International Communications in Heat and Mass 40. The Effects of Fuel Composition, System Design, and Operating
Transfer, Volume 33, Issue 1, Pages 122-134. Conditions on In-System Vaporization and Hot Start of a Liquid-Phase
27. LI WEI, WANG YING, ZHOU LONGBAO, SU LING, (10 April LPG Injection System (SAE)Document (SAE) Number: 981388 Date
2007), "Study On Improvement of Fuel Economy and Published May 1998 Author(s):
Reduction in Emissions for Stoichiometric Gasoline Engines,". Barry R. Lutz - Univ. of Texas at Austin
28. Finlay, I.C., Tugwell, W., Biddulph, T. W. and Marshall, R.A. The Rudolf H. Stanglmaler - Univ. of Texas at Austin
influence of coolant temperature on the performance of a four Ronald D. Matthews - Univ. of Texas at Austin
cylinder 1000cc engine employing dual circuit cooling, SAE Jimmy Cohen - Siemens Automotive Corp.
Paper, NO. 880263, 1988 Ryan B. Wicker - Univ. of Texas at El Paso
326
41. An Experimental Study of Knock in a Spark Ignition Engine Fueled

With LPG (SAE)Document Number: 2004-01-0976 Date
Published: March 2004 Author(s):
Radu Chiriac - Univ. Politehnica of Bucharest
Nicolae Apostolescu - Univ. Politehnica of Bucharest
Dan Niculescu - Univ. Politehnica of Bucharest .
327
Improvisation of Inlet Manifold to Facilitate

Uniform Flow to All Combustion Chambers
using CFD
B.Antony Ashley Raja1, Abdul Khadeer2
Mechanical Department, KCG College of technology
Karapakkam, Chennai
1
kingantonyashley@yahoo.com
2
arsenalunveiled@gmail.com
Abstract—The usual design of an inlet manifold

distributes air which comes in, in a non uniform
manner. It eventually results in the formation of a lean
mixture on one end and a rich mixture on the other.
This restricts the complete utilization of chemical
energy generated. In these times where even a minute
loss might become a big disaster, this problem calls for
a proper engineering solution.
This paper investigates the problem using

computational fluid dynamics (CFD) and proposes a
possible solution. The whole fluid domain is three
dimensionally drawn and meshed into finite elements.
Boundary conditions for the domain are mentioned for
outlet and the wall. The operating fluid is air at 25
degree centigrade and the fuel is made to be injected
into the domain at specific locations. A converging
solution is obtained using finite element analysis. The Fig. 1 Honda CRX-Civic 84-87 Performance Intake
whole mechanism is simulated in ANSYS CFX and the Manifold
flaws in the present design are studied using contour
plots. Alterations are made on the domain, so as to Function and Location: An intake manifold is a series of
facilitate uniform distribution and homogeneous tubes or channels connecting the cylinder heads to a central
mixture to every cylinder. Structures which facilitate air chamber called a "plenum." The throttle body or
distribution are added on the domain and are solved for carburetor is bolted to the plenum.
a solution. Thus a favorable solution is proposed by
Materials: Older engines often used heavy iron manifolds,
trial and error method through this paper.
which are being replaced by lighter and better-flowing
Keywords-Inlet manifold, Computational Fluid aluminum units. Dry-Flow fuel-injection engines often use
Dynamics (CFD), Ansys CFX. high-temperature plastic manifolds.
Dry vs. Wet: A "wet-flow" manifold is defined as one

whose plenum and passages carry both air and gasoline. A
I. INTRODUCTION "dry flow" manifold (used on multipoint fuel-injected
engines) carries only air.
An intake manifold or inlet The primary function of the intake manifold is
manifold is a part of an engine that supplies the fuel/air to evenly distribute the combustion mixture (or just air in a
mixture to the cylinders. The intake manifold (Fig. 1) is direct injection engine) to each intake port in the cylinder
located between the carburetor and the cylinder head. On head(s). Even distribution is important to optimize the
multi point injected engines, the intake manifold holds the efficiency and performance of the engine.
fuel injectors.
II. SPECIMEN
Honda CRX-Civic 84-87 Performance Intake Manifold
328
Bosh Fuel Injector VI. SIMULATION
III. WORKING The domain was then meshed into finite elements. Meshing
was done using CFX mesh. The surface meshing was done
The inlet manifold is a chamber where in air and fuel is at a default body spacing of 3cm. The default body spacing
mixed before sent to combustion. Fuel is forcefully injected was also assigned to be 3cm. The surfaces where in the
into the chamber via injectors powered by the fuel pump. inlet comes into the chamber and the four ports leave out
Air is sucked into by the action of the piston. This results in are assigned with a inflated boundary of thickness 2 cm.
the occupation of the entire chamber by air.
TABLE 1
IV. FLAW
MESH STATISTICS
Because of the physical structure of the fluid domain inside
the chamber air sucked in is partially distributed to the Structure Number Of Elements
cylinders. This results in the formation of rich and lean Nodes 4317
mixtures. Tetrahydra 19070
Pyramids 134
V. DOMAIN Pyramids 70
Elements 19274
First of all, the whole problem is studied by simulating it in
ANSYS CFX. For this the three dimensional domain is
developed. The domain consists of a opening through After the input of above settings the domain was meshed
which air enters. The air which enters then passes on to a using CFX mesh yielding no errors or warnings.
space which is divided into four inlet port for four
cylinders. Each of these ports house the fuel injector along
the surface of the ports.
Fig. 3 Meshed Fluid Domain
After meshing of the domain, the surface areas of the

domain were assigned boundary conditions. The boundary
conditions are listed in Table 2.
Fig. 2 Fluid Domain inside a Inlet Manifold
TABLE 2
Along these ports come the valves. The valves are usually
closed, but open during the suction stroke. Since the BOUNDARY CONDITIONS
problem is considered at that instant where the valve will
be open, the presence of valve is not considered in the fluid Name Type Boundary Physics
domain. The whole domain was initially meshed with a
small element size for which the occurrence of errors was
checked. After this the domain was finely meshed.
329
Air in inlet Flow Direction = Zero Gradient These streams oppose the flow of incoming air. The
Flow Regime = Subsonic following table and figure 6 show the partial distribution of
Mass And Momentum = Static air.
Pressure
Relative Pressure = 0 [Pa] TABLE 3
Volume air fraction =1
Volume petrol fraction =0 MASS FLOW RATE
Fuel Inlet Flow Direction = Normal to Boundary Cylinder Mass Flow Rate
in Condition (Kg/s)
Flow Regime = Subsonic 1 1.575e-01
Mass Flow Rate = 0.0017025 [kg s^-1] 2 2.488e-01
Mass And Momentum = Bulk Mass 3 1.798e-01
Flow Rate 4 0.000e+00
Volume air fraction =0
Volume petrol fraction =1
Air outlet Flow Regime = Subsonic

Fuel Mass And Momentum = Static
Out Pressure
Relative Pressure = -0.4 [bar]
The problem is solved at an accuracy of 0.001 and iterated

for 50 times. The momentum equation and force equation
were solved to obtain a converging solution
Fig. 5 Fuel Streamlines
Fig. 4 Air Streamlines
From the above stream path (Fig. 4) and the fuel

streamlines (Fig. 5) it is evident that fraction of air in the
second cylinder. This can be explained the fact that the
suction from the second cylinder is close to the stream and
Fig. 6 Mass Flow Rate at Outlet
therefore has a more fraction. This could raise the query
why the first cylinder has a less fraction. That’s because the The fuel stream (Fig. 5) lines also prove the fact that
suction was not effective enough, but was just enough to fraction of air entering second cylinder is high. Since the
divert the path flow. In case of cylinders three and four the flow of fuel is disturbed by air, its velocity is decreased.
amount of air that they receive is just the remaining of air The flow of air over the stream of fuel can be considered as
left out by cylinders one and two. Another phenomenon of per the model of flow of fluid over cylinders.
vorticity can be seen in the space opposite to the ducts to
the cylinders. The division of air stream into fraction by the VII. SOLUTION
colors of the ducts results in the change in direction of flow
of these streams. This is yet another loss in the manifold.
330
The distribution of air into the cylinders can be done using

guide vanes. Guiding vanes are provided inside the
manifold facilitating the distribution of air. Two vanes are
provided for cylinders one and three. One of them starts
cutting the air from one fourth of its diameter and the other
at a distance one third from the circumference of the inlet
duct. These guide the air until they reach the duct. The
position and geometry of these vanes were obtained by trial
and error method. In order to attend the problem of
vorticity of air the whole structure of manifold was altered
in such a way that it avoided any space for air to rotate.
This also acts as a guiding vane for cylinder four.
Fig. 7 Air Streamlines
The plots showed an appreciable improvement as shown

in figure 7 and 8. Air was distributed evenly and vorticity
was avoided. The vanes divided the air in appreciably
uniform manner. This is shown in the table below. These
results show a fair bid of improvement from the previous
design.
TABLE 5
Fig. 6 Altered Geometry
MASS FLOW RATE
The altered geometry (Fig. 6) was once again meshed and
solved for results. . The surface meshing was done at a Cylinder Mass Flow Rate
default body spacing of 3cm. The default body spacing was (Kg/s)
also assigned to be 2.5cm. The surface area of the second 1 -0.005672
vane and the outer contour which cuts off the tail of the 2 -0.006768
manifold were assigned with an inflated boundary of 3 -0.004919
thickness 2 cm along with surfaces where in the inlet comes 4 -0.004740
into the chamber and the four ports leave out. The surface
area of the two vanes along with the outer contour were
provided with a face spacing of 1cm. These were provided
so that the mesh would cover all of the intricate contours in
the geometry.
TABLE 4
MESH STATISTICS
Structure Number Of Elements

Nodes 29929
Tetrahydra 94594
Pyramids 807
Prisms 19949
Elements 1153504317
Fig. 8 Fuel Streamlines
331
VIII.FUTURE WORK ACKNOWLEDGEMENT
In order to improve the control of air entering as per the The authors of this paper wishes to acknowledge the
throttle requirement the vanes provided can be controlled contribution made by AUFRG-ICC (Anna University
electronically. This will let only the required amount to let Federal Republic of Germany Institute for CAD and
in and by pass the rest. CAM).
IX. CONCLUTION They also remember the encouragement made by their

teachers and friends.
This paper discovered the problem in a conventional inlet
manifold and studied it. It came up with a solution of REFERENCES
having guiding vanes to solve the problem. The problems [i] John D. Anderson Jr., Computational Fluid Dynamics
were solved using finite element method with ANSYS The basics with applications, McGraw Hill, Inc.
CFX. [ii] H.Versteeg W.Malalasekra, An Introduction to
Computational Fluid Dynamics The finite Volume
Method Second edition, Pearson.
[iii] R.K Rajput, Automobile Engineering, Lakshmi
Publications.
[iv] www.robietherobot.com
[v] www.3dcadbrowser.com
332
Structural Dynamic Vibration Analysis of

Piston of Four Stroke S.I. Engine
Er. Jadhav Rajendra B 1, Er. Chaudari S.N. 2, Dr. G. J. Vikhe Patil 3
1,2
P.G. Students, Department of mechanical Engineering, Pune University,
Maharashtra
1
2
suyog1234567@rediffmail.com
3
Principal of Amrutvahini College of Engineering,
Sangamner, Pune University, Maharastra-4226
Abstract— This paper illustrates Structural dynamic analysis of resonance it is necessary to study of free vibration of all
piston of a single-cylinder, four-stroke S.I. air-cooling engine. parts of system during designing step
Structural dynamic analysis is the study of free vibration
In automobile industries increasing demand of higher
analysis of structure, involves determination of mode shape and
natural frequencies. The aim of this paper is to discuss the productivity and economical design lead to higher speed for
interrelationship between the modal analysis and finite element machinery and efficient use of materials though lightweight
analysis. The properties and techniques of modal Analysis by structure. For obtaining these demands one parameter should
experiment on FTT and by theoretically in Finite Element consider the term, ―structural dynamics vibration‖ that is
Analysis codes such as i.e, ANSYS software, are discussed, essential for the design and higher productivity for
together with the present advantages. Modal analysis and finite
development of new structures material selection.
element analysis are coordinated into an effective diagnostic
procedure for free vibration analysis and demonstrated by This paper discusses two popular method of modern day
piston structural analysis, also validate the results obtained by structural dynamics vibration technology for; the
experiment and theoretically for automobile piston for dynamic experimental method, which is carried on FTT analyzer,
structural analysis. referred to as experimental modal analysis or modal testing,
and the analytical method, which is carried on Ansys
Index Terms—Design, Finite element, FTT, Frequency,
software referred to as Finite Element Analysis (FEA) or
Structural
Finite Element Modeling (FEM). This paper discusses how
experimental and analytical methods are used to solve
I. INTRODUCTION dynamic response by measuring natural frequency and mode
shape. The paper concludes with an example of automobile
Structural dynamics vibration involves study of resonance
piston showing how experimental modal analysis, finite
and forced vibration of a structure or machine. This
element analysis are used to analyze the dynamic properties
structural dynamic behavior results from complex
of an automobile piston. The results is validated by two
interactions between applied forces and the mass-elastic
methods, this method showed the weakness of the piston,
properties of the structure. . No vibration can occur at all
which would provide the reference to dynamics analysis and
unless forces are applied to the structure. However, resonant
structural optimization for piston in the future.[4]
vibration can still occur after the forces have been removed.
Resonant vibration is also conveniently characterized in
terms of the modes of vibration of a structure or machine. II. MATERIAL SPECIFICATION OF PISTON
All structure or machines that posses mass and elasticity
TABLE .I
are capable of structural vibration. If a system, after an CHEMICAL COMBINATION OF MATERIAL ALUMINIUM ALLOY AC 8A-T7
internal disturbance, is left to vibrate on its own, the ensuing C Si Mg Zn Fe Mn Ni Ti Al
vibration is known as free vibration or resonace vibration if 0.8- 11- 0.7 0.15 0.8 0.15 0.8- 0.2
Rest
no external force acts on the system. And the system 1.3 13 1.3 Max Max Max 1.5 Max
undergoes dangerously large oscillations. So that most noise,
vibration or failure problems produced in of this Failure have  Physical Property:
has been associated with the occurrence of resonance. So a) Density: 2710 Kg/m3
avoiding system, this is caused due the behavior such type of  Mechanical Property:

333
a) Tensile strength (ultimate): 296 MPa In general, all the Eigen values of Eq. 3 will be different,
b) Tensile strength (yield): 145 MPa and hence the structure will have n different natural
c) Modulus of elasticity: 71 GPa frequencies. Only for these natural frequencies, a nonzero
d) Poisson’s ratio: 0.33 solution can be obtained for Q from Eq. 2 We designate the
 Mechanical Property: eigenvector (mode shape) corresponding to the j th natural
a) Coefficient of Thermal Expansion: 20.4 x 10-3 m/m.ºC frequency (J) as Qj
b) Thermal Conductivity: 121.3 W/m-K. It is assumed that the rigid body degrees of freedom are
eliminated in deriving Eq. 2. If rigid body degrees of
freedom are not eliminated in deriving the matrices [K] and
III. THEORY OF FREE VIBRATION ANALYSIS [M], some of the natural frequencies  would be zero. In such
a case, for a general three-dimensional structure, there will be
If we disturb any elastic structure in an appropriate manner
six rigid body degrees of freedom and hence six zero
initially at time t = 0 (i.e., by imposing properly selected
initial displacements and then releasing these constraints), the frequencies. It can be easily seen why  = 0 is a solution of
structure can be made to oscillate harmonically. This Eq. 1,for  = 0, Q = Q = constant vector in Eq. 2and Eq.3
oscillatory motion is a characteristic property of the structure gives,
and it depends on the distribution of mass and stiffness in the
structure. If damping is present, the amplitudes of oscillations [K] Q rigid body = 0 [4]
will decay progressively and if the magnitude of damping
exceeds a certain critical value, the oscillatory character of
the motion will cease altogether. On the other hand, if This is obviously satisfied due to the fact that rigid body
damping is absent, the oscillatory motion will continue displacements alone do not produce any elastic restoring
indefinitely, with the amplitudes of oscillations depending on forces in the structure. The rigid body degrees of freedom in
the initially imposed disturbance or displacement. The dynamic analysis can be eliminated by deleting the rows and
oscillatory motion occurs at certain frequencies known as columns corresponding to these degrees of freedom from
natural frequencies or characteristic values, and it follows the matrices [K] and [M] and by deleting the corresponding
well-defined deformation patterns known as mode shapes or elements from displacement (Q) and load (P) vectors.
characteristic modes. The study of such free vibrations (free
because the structure vibrates with no external forces after t
= 0) is very important in finding the dynamic response of the
elastic structure.[7] IV. STRUCTURAL DYANMIC ANALYSIS BY FINITE
The equation of motion for a multiple degree of freedom ELEMENT METHOD
undamped structural system is represented as follows
A. Geometry modeling of piston
[M] {y} + [K]{y}= {F(t)} (1) FE model required for analysis of free vibration of a test of
piston based on numerical method. Modeling in such way
Where y and y are the respective acceleration and that FE model should be validated by measured results
displacement vectors for the whole structure and {F (t)} is through FTT analyzer. This piston model includes curve
the external force vector. Under free vibration, the natural surfaces and complex shape (such as pin hole shape, slots on
frequencies and the mode shapes of a multiple degree of piston top surface etc.), so it is very difficult to model and it
freedom system are the solutions of the eigen value problem. is time consuming also. Thus a special 3D modeling
By assuming the external force vector P to be zero and the software, CATIA V5 is used. CATIA V5 is a fully 3-
displacements to be harmonic as  Q.ei w t gives the dimentional, double precision system that allows to
accurately describe almost any geometric shape. 3D modeled
following free vibration equation
of piston is drawn in CATIA V5
 K  – ω 2  M  Q = 0 (2)
Where Q represents the amplitudes of the displacements

Q (called the mode shape or eigenvector), and  denotes the
natural frequency of vibration. Equation (2) is called a
"linear" algebraic eigen value problem since neither [K] nor
[M] is a function of the circular frequency , and it will have
a nonzero solution for Q provided that the determinant of the
coefficient matrix ([K] — 2 [M]) is zero that is [7]
  K  – ω2  M   = 0 (3)
334
Fig.1 Model of Piston in Catia V9 frequency range. However to understand the behavior of a
machine, it is necessary to analysis its signature by spectrum
B. Finite element model of piston analysis. Some important terms are defined as follows.
The mesh production for finite element analysis using the A two channel spectrum analyzer is more powerful than
geometry model of automobile piston. Fig. 2 shows the FE the signal analyzer, this because of the following things.
model of piston used for this study. In meshing 102577  Half the number of lines of resolution as the same
elements are found. analyzer in the channel mode.
Through the finite element analysis, model parameter such  Two inputs buffers/controlled by the same analyzer in
as mode shape, natural frequency and model vector are the internal clock.
calculated [2,7]  Two input channel.
 Calculation of the cross channel properties such as
transfer function, coherence and coherent output power.
Equipments Required:
 Accelerometer. Larson and Davis
 Model hammer.
 Connectors – Model no: AO 0087D
 Specimen (Piston)
 Display Unit
Fig.2. Vibration Analysis Model of piston

a) Deltatron Accelerometer: Larson and Davis
Deltatron accelerometer combines high sensitivity, low
V. STRUCTURAL DYANMIC ANALYSIS BY and small physical dimensions making them ideally suited for
EXPERIMENT METHOD model analysis. The slits in the oscilrometer housing make it
simple to mount with bee box that one easily fitted to the
A. Experimental Apparatus
plate.
1) A. Vibration measuring devices
The vibrometer is most and widely used, because of its
low natural frequency, consequently of its high mass rarely
finds its application in practice, particularly to mechanical
system. The accelerometer is another device used because of
its high natural frequency and consequently very light in its
construction, finds immediate use in the measurement of
vibration characteristics of a machine. The accelerometer as
a measuring device has become more popular advent of
sophisticated electronics for integration to determine the
Fig .3.Deltatron Accelerometer
velocity as well as displacement amplitudes.[7]
2) FFT Analyzer: Larson Davis 2009 B b) Model hammer

The vibrating signal of a machine running under steady The model hammer exits the structure with a constant
condition in time domain is often called as signature and is force over a frequency range of interest. Three interchange
generally periodic in nature, since disturbing force may have tips are provided which determine the width of the input
different frequencies and their harmonics. Rarely one would pulse and thus the bandwidth the hammer structure is
find the signature to be purely harmonics. Hence the acceleration compensated to avoid glitches in the spectrum
vibratory signal should be properly analyzed in frequency due to hammer structure resonance.[1,7]
domain. A periodic motion can be broken down into several
harmonic motions by using Fourier analysis. Fast Fourier
Transformer is an electronic device that is capable of taking
the time waveforms of a given signal and converting it into a
frequency domain.[1,4,7]
Quite often it is sufficient to know the peak and average,
absolute and RMS values of vibratory amplitude to check the
condition of machine. These values are obtained by simply
over-ranging of the signal commercial vibration meters give
ahead out these values directly for a signal in a given
335
3
Fig.4 Model Hammer 8. The above procedure is repeated for all the nodal
points.
9. The values of natural frequencies and resonance
c) Display unit
frequencies obtained from the FRF spectrums are
This is mainly in the form of PC (Laptop) when the compared with respect to the FEM analysis as
excitation occurs to the structure the signals transferred to the
follows.
portable PULSE and after conversion comes in graphical
form through the software. Mainly the data includes graphs
VI. RESULTS AND DISCUSSION
of force Vs time, frequency Vs time resonance frequency
data etc. A. Ansys Software Gives Output of Natural Frequency
and Mode Shape
Fig.5. Display unit
Fig.7.1st mode Frequency plots
Fig.6. Piston Specimen with Accelerometer and FTT analyzer
B. Setup and Procedure Fig.8.2nd Mode Frequency Plots
Larson Davis 2009 B is used to measure the frequency

ranges of an automobile piston.
1. The connections of the FFT analyzer, laptop,
transducers, and model hammer along with the
requisite power connections are made.
2. The accelerometer -4507 type is fixed by beeswax to
piston at one of the nodal points.
3. The 2302-5 modal hammer is kept ready to strike the
piston at the singular points.
4. Then at each point the modal hammer is struck once
and the amplitude Vs frequency graph was obtained
from graphical user interface 0.3 Fig.9. 3rMode Frequency Plots
5. The FFT analyzer and the accelerometer are the
interface to convert the time domain response to
frequency domain. Hence the frequency response
spectrum H1 (response, force) is obtained.
6. By moving the cursor to the peaks of the FFT graph
(m/s2/N), the cursor values and the resonant
frequencies are recorded.
7. At the time of the striking with modal hammer to the
singular point precautions were taken whether the
striking should have been perpendicular to the piston
surface.
336
with theoretical values. The lowest frequency was in 1stmode.

Fig.10.4th Mode Frequency Plots
The frequency is increasing with each subsequent mode of
vibration. The predicted values of natural frequencies and
mode shapes for the piston model with ansys analysis are
close to natural frequency and mode shapes those obtained
experimentally. The average percentage of deviation of
natural frequencies by FTT analyzer and Ansys software are
found to be 6.71 %. The reason of deviation is that piston
model includes curve surfaces and complex shape (such as
pin hole shape, slots on piston top surface etc.). Deviation is
so less, so this piston Catia model is validated for further
Fig.11.5th Mode Frequency Plots analysis transient dynamic response forced harmonic
response) random forced response. Methodology of this
paper can be used for dynamic structural analysis all types of
piston internal combustion engine for higher reliability and
more life.
ACKNOWLEDGEMENTS
The author special thanks for valuable guidance by
Mechanical department of Amutvahini Engg. College and
also thankful to the Structural Engineering Laboratory, of
Fig.12.6th Mode Frequency Plots Pravara Engg. College, Loni of Pune University, Maharastra,
for helping me for the experiments.
REFERENCES
[1] Chopra, Anil K. Dynamics of Structures, Prentice Hall, New
Jersey, 1995,Pp: 24-53
[2] Klaus Jurgen Bathe Finite Element Procedures’ Prentice Hall,
Uppersaddle River, New Jersey, 1996
[3] Brian J. Schwarz, Mark H. Richardson, “Experimental Modal
Analysis‖ Vibrant Technology, Inc.Jamestown, California 95327
October 1999.
[4] Patrick Ryan Turner ―Integrating Experimental and Finite Element
Fig.13.7th Mode Frequency Plots Method Modal Analysis‖ Schlumberger Technologies, CAD/ CAM
Division, Ann Arbor, Michigan, USA 48106,1999.
[5] Neville F. Rieger, The Relationship Between Finite element Analysis
B. Comparison Result Of Experimentally and And Modal Analysis ― Stress Technology Incorporated, Rochester,
Theoretically Methods Network, 2007, Pp: 1234-1240
[6] Dr Neil Bishop, MSC Frimley‖Vibration Fatigue Analysis in the
TABLE. II
Finite Element Environment‖ Americas User Conference, Oct 5-
COMPARISON RESULT OF ANSYS SOFTWARE AND
9,2008
FTT ANALYZER
[7] Govardhana rao, thesis on, Vibration Analysis Of Structures,
Department Of Civil Engineering, National Institute Of Technology
Mode ANSYS FTT Percentage Rourkela 2009
(By (By of Deviation
theoretical practical
Method) Method)
1 5598.3 5150 8.0
2 10459 9894 5.4
3 11247 11979 6.11
4 15215 14758 3.0
5 16039 14675 8.5
6 18893 17570 7.0
7 21712 19757 7.1
VII. CONCLUSION
The structural dynamic analysis of a piston holds a lot of
significance in its designing and performance over a period
of time. FTT test analysis is carried out with free-free
condition it is seen that the results are in good co ordinance
337
Hydraulic Regenerative Braking System

Anil Kumar1, Vikas Dhawan2
1
H.O.D.,Mechanical Engineering Department, Indo Global College of Engineering
Abhipur Mohali (Punjab)
1
anilsview@gmail.com
2
Addl. Director, Ganpati Institute of Technology & Management
Bilaspur, District: Yamunanagar
2
Abstract-This paper is about one of those technologies accelerate the vehicle. As the vehicle apply brakes, a
that will be the integral part of futuristic automobiles. hydraulic pump connected to the drive train pumps hydraulic
With the ever increasing petrol cost, depleting natural oil into the high-pressure accumulators. During vehicle
resources, and the necessity to accomplish the acceleration, the energy stored in the accumulators is
governmental goals with protocol of Kyoto, many released back. This paper looks at the systems on offer and
efforts have been made in the last decade, to develop their potential applications for both commercial vehicles and
new technologies that can help to minimize material handling or construction equipment. It describes the
environmental damages. In this way, it is natural that working of Braking Energy regeneration system in the
much research work has been done to develop Hydraulic Hybrid vehicles and shows their benefits and their
alternative systems. Many automotive industries have disadvantages when compared with the other kind of vehicles
put in the market revolutionary solutions that can help that are categorize as “Environment friends”. Also one
saving money with the fuel and are less aggressive for example of a real implementation, the UPS delivering trucks,
the environment. One of among hem is Hydraulic and his referenced also an investigation work.
Regenerative braking system, which has lot of scope to
work on the medium and heavy duty on road Keywords — Regenerative braking, Hydraulic Hybrid
applications. The primary concept of hydraulic hybrid vehicles, momentum-energy, Accumulator, hydraulic pump.
technology is to capture and utilize the energy that
would otherwise be lost during braking and use it to
I. INTRODUCTION regenerative braking to store energy in

Fossil fuel reserves, petrol in special, are pressurized fluids. This energy is then released to
becoming increasingly scarce around the assist in vehicle acceleration. The U.S.
world with rapid economical development Environmental Protection Agency (EPA) is
of poor countries, which greatly influences researching hydraulic hybrid transportation
petrol prices in areas all over the world. Not systems in an effort to address the growing
only that, but burning fossil fuel increases concerns about global climate change and
the pollution of the planet, thus accelerating insatiable fossil fuel demands. Hydraulic hybrid
the climate change and the global warming vehicles use regenerative braking to store energy
effects that are now on the verge of taking in pressurized fluids. This energy is then released
over the Earth. Hydraulic Hybrid system to assist in vehicle acceleration. The EPA has
describes the state of art of this mechanism. demonstrated 20-40 percent fuel economy
The Hydraulic Hybrid system’s benefits, improvements by installing HRBS on vehicles
costs, the possible configurations, give a with internal combustion engines. The possibility
prevision of the future of this new of clean, efficient transportation with hydraulic
technology. Hydraulic hybrid vehicles use assistance bears exploration. [5] The EPA has
338
been working with U-M students on the energy that would otherwise be lost during
hydraulic bicycle implementation since braking and use it to accelerate the vehicle. As
2002, but the project has produced only one the vehicle apply brakes, a hydraulic pump
functional product another hybrid option has connected to the drive train pumps hydraulic oil
been put forth and tested by a number of into the high-pressure accumulators. During
businesses, as well as the American vehicle acceleration, the energy stored in the
Environmental Protection Agency (EPA): accumulators is released back into the drive
hydraulic hybrids. Hydraulic hybrids use train, as the fluid flows through a hydraulic
many of the same principles as electric motor [6]. This significantly lowers the amount
hybrids, but instead of using potentially of fuel needed to accelerate back to normal
polluting and heavy batteries, they use a operating speeds [3]. The result of this
Braking Energy Regeneration using a regenerative braking is a marked improvement in
hydraulic system, this system is compose of fuel economy – a feature that is not just better for
lightweight components and clean fluid to the environment, but also reduces fuel costs by
power the vehicle while it's at slow speeds almost 60-70% in city traffic conditions.. A
[1, 3]. The primary concept of hydraulic diagram showing this hydraulic regenerative
hybrid technology is to capture and utilize braking system (HRBS)
Figure 1: The hydraulic fluid’s path in an HRBS
Hydraulic systems are used in a variety of taken to prevent high-pressure systems from
applications such as machinery, braking rupturing.
systems, and energy storage. They are often
used because of their ability to transfer large 2. REGENERATIVE BRAKING SYSTEM
forces and convert kinetic energy into
potential energy efficiently. To safely utilize The Braking Energy Regeneration using
this technology, many precautions must be hydraulic systems describes the state of art of
mechanism, the benefits, costs and possible
339
configurations gives a prevision of the future reclaim some of this energy that would normally
of this new technology. be lost due to braking using the vehicle's inertia.
During braking the kinetic energy is transferred
to a hydraulic accumulator (blue) and
immediately used when accelerating again (light
blue).
Regenerative braking takes energy normally
wasted during braking and turns it into usable
energy. It is not, however, a perpetual motion
machine. Energy is still lost through friction with
the road surface and other drains on the system.
The energy collected during braking does not
Graph 1: Energy-time cycle diagram
restore all the energy lost during driving. How
much energy you can reclaim depends on a lot of
Conventional braking systems use friction to factors. There are different regeneration theories
counteract the forward momentum of a and designs, which fall into two groups: one
moving car. As the brake pads rub against being called parallel regeneration and the other
the wheels (or a disc connected to the axle), called series regen, which are different from the
excessive heat energy is also created. This parallel and series hybrids. Commonality of
heat energy dissipates into the air, wasting these systems is recovering and storing energy
up to 30% of the car's generated power [1]. normally wasted in heat and friction pads during
Over time, this cycle of friction and wasted braking. The objective of a Hybrid Transmission
heat energy reduces the car's fuel efficiency. is to store and re-use as much as possible of this
More energy from the engine is required to wasted energy [3].
replace the energy lost by braking. On a
hybrid that has regenerative brakes, you can
3. HYDRAULIC HYBRID SYSTEM efficiently. A pump/motor unit is the primary

This section discusses the technical concepts working mechanism in a hydraulic hybrid
regarding hydraulic hybrid vehicle system. Based on vehicle needs, it can pump
technology. A hybrid vehicle is one that has hydraulic fluid up to high pressures for storage in
more than one source of power. In a an accumulator. Conversely, it can operate as a
hydraulic hybrid system the engine is motor powered by the accumulated high-pressure
coupled with a hydraulic pump/motor fluid. While in the pumping mode (during slow
assembly and hydraulic accumulator down), it provides a reaccelerating force that
whereas in electric hybrid systems the absorbs energy from the driveline and
engine is coupled with an electric consequently aids in braking. In the motoring
generator/motor and batteries or other mode it returns energy to the vehicle in the form
electrical storage devices. Both technologies of accelerating torque and thus reduces the load
are available in either series or parallel on the engine. To safely utilize this technology,
configurations. Hydraulic systems are used many precautions must be taken to prevent high-
in a variety of applications such as pressure systems from rupturing.
machinery, braking systems, and energy The EPA has been developing hydraulic hybrid
storage. They are often used because of their systems for three main automotive sectors:
ability to transfer large forces and convert conventional vehicles, urban delivery trucks, and
kinetic energy into potential energy large SUVs and pickup trucks [3]. Each of these
340
three sectors utilizes parallel and series vehicles and has provided the EPA with delivery
hydraulic hybrid systems. The EPA has trucks to retrofit. Using hydraulic hybrid
teamed up with UPS, Eaton, International, technology, it has been shown that the fuel
and the U.S. Army to develop the next economy of these trucks can be increased from
generation of urban delivery vehicles using 10 mpg to 18 mpg. Delivery trucks are strong
hydraulic hybrid technology. UPS is candidates for hybrid systems due to their
currently the main customer of these frequent stops
supplemented by the addition of the hybrid

hydraulic system. Parallel hydraulic hybrid
systems utilize HRBS to pump incompressible
hydraulic fluid into high-pressure accumulators.
Much of the energy that is lost through
conventional braking systems is recovered
through this technique. This energy is then
released by directing the pressurized fluid
through a hydraulic motor. This hydraulic motor
powers the car during acceleration. These
systems are ideal for vehicles that operate under
frequent stop-and-go driving. Eaton uses parallel
Figure 2: Model of Eaton Corporation’s HLA hybrid technology in its Hydraulic Launch
system for a refuse truck Assist™ (HLA®) system designed for refuse
trucks and buses [6]. In a parallel hybrid
4. PARALLEL HYDRAULIC HYBRID hydraulic system, the conventional vehicle
SYSTEM power train is supplemented by the addition of
In a parallel hybrid hydraulic system, the the hybrid hydraulic system [4].
conventional vehicle power train is
Figure 3: Hydraulic Hybrid – Parallel
The next figure demonstrates the high pressure

accumulator storing energy during the brake process.
Figure 4 – Storing energy in Parallel Hydraulic
Hybrid
341
Figure 5 – Releasing energy in Parallel Hydraulic

Hybrid
Series hydraulic hybrid systems replace the emissions [3]. The EPA-modified Ford
conventional drive train with a hydraulic Expedition obtained a combined city/highway
drive train. The EPA applied this technology fuel economy rating of 32 miles per gallon (mpg)
to a Ford Expedition. In this setup a pump compared to its standard 14 mpg rating [7].
powered by an internal combustion engine is The EPA has teamed up with UPS, Eaton,
used to force fluid through a hydraulic International, and the U.S. Army to develop the
motor. The motor uses the energy stored in next generation of urban delivery vehicles using
the fluid to power the vehicle. Along with a hydraulic hybrid technology. UPS is currently
hydraulic drive train, series vehicles use the main customer of these vehicles and has
HRBS to recover energy lost during braking. provided the EPA with delivery trucks to retrofit.
The regenerative system is directly plumbed Using hydraulic hybrid technology, it has been
with the hydraulic drive train and helps the shown that the fuel economy of these trucks can
vehicle accelerate. The EPA estimates that be increased from 10 mpg to 18 mpg. Delivery
full hydraulic drive vehicles could result in trucks are strong candidates for hybrid systems
30-40 percent improvements in combined due to their frequent stops.
city/highway fuel economy and lower
Graph 3: Stopping distance Vs stored energy
Graph 2: Torque vs. speed graph As we said in chapter before, in 2005 EPA
made a partnership with the delivering
company UPS. The benefits of this
partnership are demonstrated in this
chapter. As we explained before, the
hydraulic hybrid system gets its power
342
significant. The system used in this truck is

a series hydraulic hybrid. In this type of
system the driveline is replaced by the
hybrid system. The transmission is removed
and energy is transferred from the engine to
the drive wheels through fluid power.
Graph 4: Stored energy in parallel & series

hydraulic system
through regenerative braking. That means

that, flying down the highway, a hydraulic
hybrid isn't much different than a regular
car. But in traffic, particularly stop and go
traffic, a series hydraulic hybrid can shut its
engine off and use hydraulic power alone.
Stopping and starting is the key to saving
fuel with a hydraulic hybrid.
Figure 6 – Series Hydraulic Hybrid UPS Truck
5. SERIES HYDRAULIC HYBRID
SYSTEM
A series hydraulic hybrid power system 6. A REAL CASE: THE UPS
combines a combustion engine and a HYDRAULIC HYBRID
hydraulic propulsion system to replace the The value proposition is provided by
conventional drive train and transmission. operating the engine at a “sweet spot” of
The vehicle uses hydraulic pump/motors and best fuel consumption facilitated by the
hydraulic storage tanks to recover and store CVT functionality of the hybrid system-
energy. It makes the engine operate at its regeneration of braking energy-shutting the
“sweet spot” of fuel consumption facilitated engine off when not needed
by the continuously variable transmission -Fuel economy improvements with this
(CVT) functionality of the series hybrid technology are significantly higher than
hydraulic system and by regenerative those attainable by the HLA system.
braking. In a series hybrid hydraulic system,
demonstrated fuel economy improvement is
343
whether a hybrid hydraulic system is best suited

for the application.
References:
[1] Rexroth and Boch S., “Hybridcars with
Regenerative Braking”, EPA, Vol. 114, No.024,
pp 232-241, 2009.
[2] G. Celentano, R. Iervolino, S. Porreca, V.
Fontana, “Car Brake System Modeling for
Figure 7: A UPS Hydraulic Hybrid system Longitudinal Control Design”, IEEE, 2003
UPS trucks go from one stop to the next, [3] Pacejka, H.B., and Bakker, E., "The Magic
often in urban traffic, and are rarely used on Formulae tire model", Proceedings 1st Int.
the highway. This vehicle was first shown Colloquium on Tire Models for Vehicle
publicly in June 2006. The series hybrid Dynamics Analysis, Delft (WE), Oct. 1991
hydraulic UPS truck demonstrated 50-70% [4] Rexroth and Boch S. “Management for a
better fuel economy than a standard UPS Hydraulic Hybrid Delivery Truck”, Journal of
truck over the EPA City Cycle with no Automotive systems, Vol. 11, No.51, pp.113-
degradation in performance. 142, 2010.
[5] Makoto Yokoyama, Yoshiaki Iwata, Shinji
A UPS truck equipped with the series hybrid Katayose, Masarnichi IMAMURA and Makoto
hydraulic drive train was placed in service in NIBE, “Sliding Mode Based ABS System”
the Detroit area and achieved 45-50% better JSME paper, Vol. 63, No. 611, pp.2302-2307,
fuel economy in “real world” use. The EPA 1997.
estimates that CO2 emissions from [6] Jamie G., Piege and Deaton W., “Recent
hydraulic hybrid UPS trucks are 40 percent Hybrid Systems in Auto Industries”, Journal of
lower than conventional UPS trucks, and a Eaton Corporation, 2008.
fleet of trucks could save 3785 liters of fuel [7] Jamie P. & Deaton, “How Hydraulic Hybrids
a year. The EPA also estimates that with less Works”, Hydraulic Hybrid Technologies,
maintenance than a gas/electric hybrid and Publication No. EPA420F, pp.04-024, 2004.
less fuel then a conventional truck, UPS
could save up to $50,000 over the lifespan
of each hydraulic hybrid truck.
7. CONCLUSION
The hydraulic regenerative systems have
wide scope for heavy vehicles with
significant start/stop operation, hydraulics is
better at capturing lost energy than electric
systems. The real advantage of hydraulics is
in its power density. A hydraulics system is
capable of transferring energy very quickly.
Also, the rate of energy transfer in a hybrid
electric system of a similar size is much
lower. Therefore the specific vocation or
driving cycle of the vehicle determines
344
Performance Evaluation of Lean Combustion

Technology In Diesel Engine
Puli.Danaiah1, Puli.Ravi Kumar2
1,2
Department of mechanical engineering
N.I.T.Warangal-506004
1
danaiahpuli@gmail.com,
2
ravikumar.puli@gmail.com
Abstract: The fuel consumption in an internal combustion amount of fuel metered in the cylinders. Here are some
engine forms a major portion of the total petroleum ideal combustion ratios.
consumption in India and abroad. Hence it is imperative to
use them with the highest possible efficiency in internal II. HISTORICAL VIEW
combustion engines. One of the latest methods to achieve the
Studies of lean combustion are among the oldest in the
above goal is a lean mixture operation in an engine.
combustion literature because its extreme represents the
The present work is planned to develop and evaluate the lean limit of inflammability, which was a well-recognized
performance, combustion and emission characteristics of the hazard marker from the inception of combustion science. In
lean burn fore stroke spark ignition engine. In practice the fact, Parker (1914) argues that the first useful estimates for
use of homogeneous lean mixtures in engine has been the lean limit of methane/air mixtures were reported by
handicapped by several difficulties. The most serious one is Davy (1816) in his efforts to prevent explosions of methane
that the flame propagation through mixtures becomes gas (called “fire-damp”) in coal mines. Davy reported
progressively slower as the mixture becomes leaner. The limits of inflammability between 6.2% and 6.7%. In
mixture distribution in an multi-cylinder engine is a problem
because even small variation in mixture ratio on the linear
modern terminology, this represents an equivalence ratio
side will strongly effect power output. Enhancement of lean range for methane between 0.68 and 0.74. Parker also
combustion of homogeneous mixtures can be achieved by (i) reports a three-fold variation in the limits reported by the
using higher ignition energy (ii) providing high compression early literature (with Davy’s near the upper end), which he
ratios (iii) creating high swirl in the combustion chamber and attributes to the fact that the limit of inflammability
(iv) using methanol and its blends with gasoline. depends on the vessel used for the test, among other
experimental variations. This recognition led eventually to
Keywords: fuel consumption, internal combustion standard inflammability measurements based on the
engines, lean mixture, lean burn, swirl. upward propagation of a flame through a mixture
indefinitely. However, Parker further complicated the
I. INTRODUCTION concept of the lower limit of inflammability by examining
mixtures of oxygen and nitrogen rather than using the
Lean-burn combustion technology uses a concept of excess standard ratio of these molecules in air.
air. The main purpose of using excess air is to increase fuel
consumption efficiency. Ideally, during the combustion III. APPLICATIONS OF AN LEAN COMBUSTION
process, an engine ingests air, and then supplies enough A lean burn mode is a way to reduce throttling losses. An
fuel to sufficiently burn the air in the cylinder. Most engine in a typical vehicle is sized for providing the power
engines consume a fuel, such as gasoline, diesel, natural desired for acceleration, but must operate well below that
gas, propane, or mixtures of these fuels. Most of these point in normal steady-speed operation. Ordinarily, the
fuels (with the exception of diesel) have an ideal air-to-fuel power is cut by partially closing a throttle. However, the
ratio, called the Stoichiometric Ratio. This ratio describes extra work done in pumping air through the throttle reduces
the ideal thermo chemical process, where all of the air and efficiency. If the fuel/air ratio is reduced, then lower power
all of the fuel is consumed during the combustion cycle, can be achieved with the throttle closer to fully open, and
leaving no residual exhaust by-products. the efficiency during normal driving (below the maximum
Also realize that all internal combustion engines control the torque capability of the engine) can be higher.
amount of power by controlling the amount of air that is The engines designed for lean burning can employ higher
ingested in the engine, then supplying enough fuel to burn compression ratios and thus provide better performance,
efficiently. (Diesel engines allow for an unthrottled efficient fuel use and low exhaust hydrocarbon emissions
operation, and control the amount power by varying the than those found in conventional petrol engines. Ultra lean
345
mixtures with very high air-fuel ratios can only be achieved of commercially available gasoline and methanol with
by Direct Injection engines. carburetion and spark ignition.
1. The squish heights are varied by changing the
thickness of the gasket and varying the number of
IV TECHNIQUES USED IN LEAN COMBUSTION gaskets.
 Turbulence 2. The fuel injection system is replaced by a
 Swirl carburetor and a spark plug. The spark plug is
 Squish located in place of the injector with an inclination
 Compression ratio of 65° to the horizontal.
 Combustion chamber geometry 3. Ignition system is of conventional low energy 12 v
 Ignition timing magnet and coil contact-less system is fitted to the
engine, by mounting the coil and magnet on the
 Influence of ignition system
crank shaft.
 Catalytically activated combustion
4. Provision for a pressure transducer and intake
 Lean combustion using alternative fuels and its
manifold vacuum tapping are made in the cylinder
additives
head.
 EGR ( exhaust gas recovery) 5. Exhaust gas sampling points are provided in the
exhaust pipe for emission measurement.
V. APPROACHES FOR CONTROLLING NOX FOR 6. Thermocouple arrangement is made to measure
LEAN COMBUSTION the temperature of the exhaust gases.
A) Air/fuel ratio adjustment: In a lean-burn engine,
7. A selected carburetor jet among the available jets
of different sizes is used to operate this engine on
adjusting the air/fuel ratio towards the lean operation side
methanol and its blends with gasoline.
increases the volume of air available for the combustion
process. This increases the heat capacity of the mixture and
lowers the combustion temperature, resulting in lower NOx B) Important Components of the Experimental Setup: The
formation. various components of the experimental setup are detailed
B) Exhaust Gas Recirculation (EGR): EGR (whether below. Fig 3.1 gives the schematic diagram of the layout
internal or external) reduces oxygen concentration in the of experimental setup. The important components of the
combustion chamber by diluting the incoming ambient air system are
with exhaust. During combustion, the lower oxygen
content has the effect of reducing flame temperatures, (i) The engine
which in turn reduces NOx production since the NOx (ii) Dynamometer
production rate is exponentially proportional to flame (iii) Spark plug
temperature. (iv) Data acquisition
(v) Computer
VI. EXPERIMENTAL SETUP
A single cylinder Kirlosker made direct injection diesel C) Engine specifications:

engine was chosen to carry out the experiments. This No. of cylinders one
engine was modified to SI engine by incorporating spark Bore 80.0 mm
plug, ignition system and timing. The experimental Stroke 110.0 mm
investigations have been performed in two stages. In the Vdisp 552.94 cc
first stage pure methanol is used separately in the single Rated output 3.68 kW (5.0 hp)
cylinder CI modified SI engine. In the second stage, Connecting rod length 230.0 mm
methanol blends with gasoline are used to ascertain the Compression ratio 12
performance. Exhaust valve opens at 340°
Exhaust valve closes at 554°
A) Modifications of the Engine: The following Inlet valve opens at 527°
modifications are made to the engine for a lean combustion Inlet valve closes at 750°
Spark advance 27° BTDC
Speed 1500 rpm
346
D) Experimentation: The exhaust gas analyzer is switched

on quite early so that all its systems will get stabilized
before the commencement of the experiment. The data
length, frequency range to trigger the data acquisition for
computer are carefully selected, based on the approximate
cycle time of the engine operation, such that there appeared
three TDC signals on the display, with the combustion
period occupying the center stage. Ambient condition of
pressure and temperature are noted. After the starting of the
engine and stabilizing it, air flow, fuel flow, temperature of
ambient air, temperature of exhaust gases are noted. The
dynamometer readings such as load and speed are also
noted. For all the tests the dynamometer is set on constant
speed mode. The pressure and TDC signals are recorded in
computer and averaged for 100 consecutive cycles.
Fig6.2 : Arrangement of ignition coil and magnet on the diesel engine
VII. EXPERIMENTAL APPROACH
The experimental investigations have been performed in

two stages. In the first stage pure methanol and normal
gasoline are used separately in the catalytic and non-
catalytic combustion chamber with a manifold vacuum of
30mm Hg. Then in the second stage, catalytic with a
manifold vacuum of 60 mm Hg, to ascertain the
performance.
For all the tests a cyanide bath coated piston with hemi-
spherical combustion chamber which has a squish height of
2.4 mm, with a compression ratio of 12:1used. High
energy electronic contact-less ignition system with
extended electrode is used. The electrode is centrally
located with a deep penetration of 15mm into the
combustion chamber. The plug is water-cooler to avoid
pre-ignition. These above techniques are employed based
on the test results obtained in the earlier investigations
which are presented.
VIII. RESULTS AND DISCUSSIONS
The result of methanol and its blends with gasoline are

discussed here. The specific values compared are
corresponding to an equivalence of 0.65 Φ.
A) Performance: Figure 1 gives the variation of indicated

Fig 6.1 Single cylinder Kirlosker diesel engine power, brake power and brake thermal efficiency
respectively. At a given equivalence ration when
percentage of methanol in the base fuel increases, the
power developed also increases. An increase of 10.1% and
16.4% in the indicated power for 15M gasoline and pure
methanol respectively is noticed compared to 10M
gasoline. Similarly there is 10.1% and 15% increase in
brake power for 15M and pure methanol respectively
compared to 10 M gasoline. The brake thermal efficiency is
improved by 5.4% for 15M gasoline and 7.7% for pure
methanol compared to 10M gasoline. It is known that, even
347
at the same compression ratio, an engine will have a higher

power output and higher efficiency for methanol than
operating for gasoline operation. This is due to higher
cooling of the charge and faster combustion with methanol.
This holds good for blends of methanol-gasoline also.
The variation of brake specific energy consumption

(BSEC) in MJ/Kg with equivalence ratio can be noticed
that the increase of methanol in the gasoline increases
BSEC. This is expected because of the improvement in the
combustion process
B). Combustion: Figures 2, 3, 4 and 5 explain the variations

of MBT timing, exhaust temperature, peak pressure,
ignition delay and combustion duration with equivalence
ratio respectively. It is noticed that, as the methanol blend
in gasoline decreases, the MBT timing increases. The
percentage decrease in MBT timing for 15 M gasoline and
pure methanol are 6.4% and 18.3% respectively compared
to 10M gasoline. There is no appreciable change in the
exhaust temperature between blends and pure methanol.
The peak pressure is the highest for pure methanol and is
decreased as the methanol proportion in gasoline is
reduced. This trend again confirms that addition of
methanol enhances the combustion rate. The combustion
duration and ignition delay are decreased as the methanol
Fig:3,4 .Variation Of Mbt Timing And Exhaust Temparature With
content in the blend is increased. This is probably due to Equivalence Ratio
the enhanced pre-flame reaction.
Fig:1,2. Variation of brake power and brake thermal efficiency with air Fig 5,6::Variation Of Peak Pressures And Ignition Delay With
fuel ratio. Equivalence Ratio
348
Resulting Health Damages and Economic Costs,” Atmospheric

Environment, Paper 39 (2005) 2851- 2866, 2004.
[4]. International Association for Natural Gas Vehicles, “IANGV

Emissions Report,” March 31, 2000.
[5]. Soliman, A., Jackson, P., Midlam-Mohler, S., Zou, Z., Guezennec, Y.
and Rizzoni, G. “Diagnosis of a NOx Aftertreatment Systems,” SAE
Paper No. 2005-24-004, Warrendale, PA, 2005.
[6]. Callahan, T. J. “Reciprocating Engine Technology - Can We Get

There From Here?” Southwest Research Institute, Reciprocating
Engines Peer Review, Chicago, IL, April 23-24, 2002.
[7]. Office of Air Quality Planning and Standards, “How nitrogen oxides
affect the way we live and breathe,” Research Triangle Park, NC
27711, EPA-456/F-98-005, September 1998.
Fig 7::Variation Of Combustion Duration With Equivalence Ratio
[8] Thompson, S. A. “Nitrogen Dioxide,” Publication issued by the
Department of Environmental Quality, Oklahoma Department of
IX. CONCLUSIONS Libraries, 2003.
Based on the experimental investigations of this work on [9] Clean Air Technical Center (MD-12). “Nitrogen Oxides (NOx), Why
lean burn combustion the following conclusions have been and How They are Controlled,” U.S. Environmental Protection
made: Agency, Research Triangle Park, NC, 27711, EPA 456-99-006R,
November, 1999.
1. Brake power and brake thermal efficiency are [10] Encyclopedia Britannica, Volume 16, page 470, William Benton
higher for methanol compared to gasoline in all Publisher, 1957.
the cases. The percentage increase in brake
thermal efficiency is 2.53% for methanol and 1.53 [11] Alpha-Gamma Technologies Inc. “Natural Gas-Fired Reciprocating
Engines,” Emission Factor Documentation for AP-42 Section 3.2,
% for gasoline. Prepared for U.S. Environmental Protection Agency, Raleigh NC,
2. Increase of the methanol proportion in the blend July 2000.
increases power and brake thermal efficiency.
3. Combustion duration and ignition delay are lower [12] Johnson, R. H. and Wilkes, C. E. “Emissions Performance of Utility
and Industrial Gas Turbine,” American Power Conference, April 23-
for methanol compared to gasoline. 25, 1979.
4. Increase in methanol proportion in the blend
decreases the combustion duration and ignition [13] Campbell, L. M., Stone, D. K. and Shareef, G. S. “Sourcebook: NOx
delay. Control Technology Data,” U.S. Environmental Protection Agency,
5. In the leaner region the CO emission for methanol Research Triangle Park, NC, Document No. EPA-600/2-91-029,
1991.
is marginally higher compared with that of
gasoline. CO emission is not influenced by higher
percentage of methanol in the blend. HC emission
is found to be reduced with methanol and its
blends with gasoline.
6. Higher swirl increases the heat transfer and hence
reduces the efficiency of the engine.
7. High energy, high compression ratio with
optimum swirl and the use of methanol and its
blends with gasoline will extend the LML
significantly.
X. REFERENCES
[1]. Distributed Energy Resources. “Advanced Reciprocation Engines
Systems,” U.S. Department of Energy, 1000 Independence Ave, SW
Washington, DC, February 2001.
[2]. Cackette, T. “Reducing the Impact of Diesel on Air Quality and

Public Health,” California Environmental Protection Agency,
August 20, 2000.
[3]. Mauzerall, D. L., Sultan, B., Kim, N. and Bradford, D. F. “NOx

Emissions from large Point Source: Variability in Ozone Production,
349
An Identification Of Solution And Simulation Of

Supersonic Combustion Ramjet Engine
Rajneesh
Department of Mechanical Engineering, ,Kurukshetra University, Kurukshetra
Ganpati Institute of Technology and Management, Bilaspur, Yamuna Nagar, Haryana.
rajneesh41@gmail.com
Abstract— The development of hydrocarbon fuelled The SCRAMJET engine is essentially a simple device,
SCRAMJET engines has become an exciting area of research with no moving parts required in the combustion chamber.
in the field of supersonics. Hydrocarbons provide an energy Combustion air is slowed and compressed using an inlet
dense fuel source, with the added benefits of safe storage and prior to entering the isolator and subsequently the
wide availability. This project aims to develop the combustor; however the flow remains supersonic through-
mechanisms necessary for achieving sustainable combustion, out the engine, unlike a RAMJET, where the combustion
and hence flight, in a small scale hypersonic cruise vehicle.
This was to be achieved through the computational fluid
air is subsonic upon entering the combustion chamber.
dynamics analysis of the entire engine. In addition to the This results in less inlet drag, due to less compression of
combustion aspects of the engine also provide a cooling the incoming air, and a smaller total pressure loss.
mechanism for the engine’s structure. Initial engine However, it is challenging to initiate and sustain
parameters, such as size, fuel and air flow rate were combustion within this supersonic flow. Fuel is added
calculated using analytical methods to provide a basis from within the combustion chamber, and ignited in order to
which to design the engine. From these parameters, initial generate additional heat and a static pressure increase, prior
CFD models were undertaken, with the aim of refining the to being expanded through a diverging nozzle to generate
engine design to achieve the maximum thrust for the given thrust.
application. From the resultant simulations it was apparent
that sustained, effective combustion was achieved, with a
In order to specify engine performance an analysis and
positive net thrust obtained. The thrust achieved was less than review of previous works in the area was undertaken. As
the desired design thrust due to the reduced fuel flow rate; the design of the engine is to be applied to a hypersonic
however, with development of the design, to avoid choking, it missile-like vehicle, the vehicle performance parameters
would be possible to achieve the design thrust. Further, the have been defined. Given the wide ranging use and success
regenerative cooling system was able to cool the structure of the Tomahawk cruise missile, it was decided to use this
effectively to reduce the thermal load on the engine to a as the bench mark for a number of important parameters,
satisfactory level. Future work would require in the redesign including missile length, diameter and weight. The design
of the engine, increasing the flow of air into the combustion specifications are outlined below in Table 1.
chamber to allow the full fuel flow rate to be delivered to the
flow without causing thermal choking.
Table 1 - Basic System Constraints
I. LITERATURE REVIEW Flight Mach Number 8
The literature surveyed for the SCRAMJET mainly Operational altitude 30 km
consists of recent research papers and related books viz. Mass 550 kg
Ben-Yakar, A 2000 “Experimental Investigation of Mixing Fuel Mass 100 kg
and Ignition of Transverse Jets in Supersonic Cross flows”, Isp (Specific Impulse) 880 s
Ferri, A. 1973, Mixing Controlled Supersonic Combustion,
Hypersonic Range 1000 km
New York University, New York., Heiser, W. H. & Pratt,
D.T., “Hypersonic Airbreathing Propulsion”, AIAA Missile diameter 40 cm
Education Series, 1994, Washington DC. And Krauss, R.H.
and McDaniel, J.C. “ A Clean air continuous flow II. DESIGN PROCEDURE
propulsion facility” AIAA Paper 92-3912, July 1992. The
books consulted for this work are Yaha, S.M., Identification & Analysis of issues
”Fundamentals of Compressible Flow With Aircraft and Solution of Problems
Rocket Propulsion”, 2003, New Age International, New Simulation of Scramjet
Delhi., Fluent Inc. 2005, “FLUENT 6.2 Users Guide” and
Air Craft Propulsion Data Book published by General
Electric (a major manufacturer of jet engines) in 1957.
A. Identification & Analysis of issues:
II. INTRODUCTION
350
The following issues with the design of a Scramjet were

encountered: -
1) Compression of incoming air to the requisite pressure
and temperature.
2) Adequate mixing of fuel & air inside the combustor.
3) Prevention of choking and unstart condition.
4) Provisions for sufficient cooling to ensure structural
integrity.
5) Selection of suitable fuel for the Scramjet engine.
B. Solution of Problems:
The following solutions to the problems were chosen: -
1) A simple single angle ramp was chosen for
compression.
2) Adequate mixing of fuel was achieved using angle
dual injection.
3) A mixing length was obtained for proper mixing and
no choking and unstart condition. Fig. 2 Rayleigh Analysis
4) A Regenerative cooling method was utilized to ensure
sufficient cooling.
5) A cracked hydrocarbon fuel was chosen for the
Scramjet engine.
C. Simulation of Scramjet:
The following CFD analysis of the Scramjet engine were
conducted using Fluent: -
1) Compression of incoming air using inlet ramp.
2) Rayleigh analysis for the combustion chamber to
ensure no choking or unstart condition occurred.
3) Single injector normal injection of fuel in the Scramjet.
4) Dual injector normal injection of the fuel in the
Scramjet.
5) Dual injector angled injection of the fuel in the
Scramjet.
Fig. 3 Normal injection of methane
Contours of pressure for angled injection

Fig. 1 Contour of pressure for inlet
351
G. During angled injection the problem of shockwave

creation still remains, just like normal dual injection.
The injection angle of 45 causes relatively less
resistance to flow and effective mixing of the fuel.
H. The injection and subsequent combustion of the
pyrolysed fuel has been another area of significant
research for this engine design.
I. Despite the reduced fuel flow rate, a net thrust of 1610
N was obtained, equating to a specific impulse of 746
s. The net thrust obtained was 64% of the design
thrust; however the achieved specific impulse was
85% of the design target.
J. With increased development of the nozzle and the
overcoming of the issues relating to the thermal
choking of the flow, significant increases on the
Contour of static pressure for dual injection
performance achieved by this design could be
obtained.
Contours of temperature for angled injection
III. CONCLUSIONS
A. This investigation aimed to design a hydrocarbon
fuelled SCRAMJET engine, with integrated cooling
system, and to obtain and sustain combustion in such a Blueprint of Scramjet Design
manner as to generate a useful thrust output.
B. Computational Fluid Dynamics was applied to speed REFERENCES
up the design of the engine. The use of this technique [1] Ben-Yakar, A 2000 “Experimental Investigation of Mixing and
Ignition of Transverse Jets in Supersonic Cross flows”
allowed for rapid development of the design and [2] Drummond, J.P., Rogers, R.C. and Hussaini, M.Y. “ A Detailed
quantification of the results, without the high costs Numerical model of a Supersonic Reacting Mixing Layer” AIAA
associated with experimental testing and prototyping. Paper 86-1427,1986.
C. It was demonstrated that simple single angle ramp was [3] Ferri, A. 1973, Mixing Controlled Supersonic Combustion, New
York University, New York.
sufficient for obtaining the requisite in-flow conditions [4] Fluent Inc. 2005, „FLUENT 6.2 Users Guide‟
at the combustor inlet (2.5 Mach and1200K) [5] Fry, Ronald S 2004, “A century of RAMJET propulsion technology
D. During Rayleigh analysis it can be confidently stated evolution”, John Hopkins University, Columbia, Maryland
that the flow will not choke with the heat addition due [6] Heiser, W. H. & Pratt, D.T., “Hypersonic Airbreathing Propulsion”,
AIAA Education Series, 1994, Washington DC.
to combustion and internal viscous heating and neither [7] Huebner, L.D., Rock, K.E., Ruf, E.G., Witte, D.W. and Andrews,
will an unstart condition occur. E.H. Jr., “ Hyper-X Flight Engine Ground Testing for flight risc
E. It was demonstrated that normal injection of fuel failed reduction”,
to achieve adequate mixing with air resulting in [8] Journal of Space Craft and Rocket, Vol. 38, No. 6, 2001, pp. 844-
8852
incomplete combustion and hence no significant [9] Krauss, R.H. and McDaniel, J.C. “ A Clean air continuous flow
increase in the static pressure. propulsion facility” AIAA Paper 92-3912, July 1992.
F. Using CFD it was shown that each injector creates a [10] Mc Clinton, C.R., Ferlemann, S.M., Rock, K.E. and Ferlemann,
shockwave which impinges on the turbulent boundary P.G., “ The Role of Formal Experiment Design in Hypersonic Flight
system Technology Development”, AIAA Paper 2002-0543, January
layer of the opposite side. This enhances the mixing of 2002.
the fuel with the air aiding the combustion.
352
Advancements in IC Engine by the Idea of

6-Stroke Engine in the field of Thermal
Engineering
Gaurav Tiwari1, Rohit Bali2, Abhijeet Pal3, Sandeep Kr. Kesari4
B.E. Students Third Year, Mechanical Engineering,
Hitkarni College of Engineering and Technology, Jabalpur (M.P) – 482005
1
gauravtiwari19@gmail.com
Abstract - The internal combustion engine is an engine make it more efficient and reduce emissions (Internet
in which the combustion of a fuel (normally a fossil 3).
fuel) occurs with an oxidizer (usually air) in a But, “As all the fingers of a hand are not same we also
combustion chamber. In an internal combustion think some think some thing different.” “Some people
engine the expansion of the high temperature and are thinking for changing the conventional fuels
pressure gases, which are produced by the (Petrol/ Diesel). But come to those people who think
combustion, directly applies force to component of the that changing the technology is much better than
engine, such as the pistons or turbine blades or a changing the conventional fuels (Petrol/ Diesel).” “As
nozzle, and by moving it over a distance, generates come under those peoples who want/think that
useful mechanical energy. Basically the process changing the technology is much better than changing
happened in an IC Engine are Suction, Compression, the conventional fuels (Petrol/ Diesel). We are also
Power Stroke and Exhaust. According to the going to share an idea for the fulfilment of the above
continuing the trend that when the cycle completes in statement made by us.”
2 stroke of piston (one revolution of crank ) such The use/ search for the alternative fuels are just for
engines are called 2-stroke engine , when the cycle the saving of conventional fuels (petrol/Diesel). So,
completes in 4 stroke of piston (two revolution of when the cycle completes in 6 stroke of piston (three
crank ) such engines are called 4-stroke engine. revolution of crank ) such engines are called 6-stroke
With reference to Idea of 6-stroke IC Engine, just engine or we can also say that when piston moves 6
trying to take one step forward in the field of IC times from TDC to BDC/ BDC to TDC, to make 3
Engine. As in the whole world the search for new revolution of crankshaft that engines are called “6-
(alternative/ non conventional) fuels is going on very Stroke Engine”
rapidly. Peoples are trying for searching the best / “I also want to share that we are not in favour of
economic/ nature friendly fuels. The six-stroke engine saving, but we are against the wastage of fuels”.
is a type of internal combustion engine based on the
Keywords : IC Engine, 2-Stroke, 4-Stroke, Engine,
four-stroke engine, but with additional complexity to
Conventional Fuels, Power Stroke.
The internal combustion engine (or ICE) is quite
I. INTRODUCTION different from external combustion engines, such as
The internal combustion engine is an engine in which steam or Stirling engines, in which the energy is
the combustion of a fuel (normally a fossil fuel) occurs delivered to a working fluid not consisting of, mixed with,
with an oxidizer (usually air) in a combustion chamber. or contaminated by combustion products. Working fluids
In an internal combustion engine the expansion of the can be air, hot water, pressurized water or even liquid
high-temperature and -pressure gases produced by sodium, heated in some kind of boiler (Internet 1).
combustion applies direct force to some component of A large number of different designs for ICEs have been
the engine, such as pistons, turbine blades, or a nozzle. developed and built, with a variety of different strengths
This force moves the component over a distance, and weaknesses. Powered by an energy-dense fuel
generating useful mechanical energy (Internet 2). (which is very frequently petrol, a liquid derived from
The term internal combustion engine usually refers to an fossil fuels), the ICE delivers an excellent power-to-
engine in which combustion is intermittent, such as the weight ratio with few disadvantages. While there have
more familiar four-stroke and two-stroke piston engines, been and still are many stationary applications, the real
along with variants, such as the Wankel rotary engine. A strength of internal combustion engines is in mobile
second class of internal combustion engines use applications and they dominate as a power supply for
continuous combustion: gas turbines, jet engines and cars, aircraft, and boats, from the smallest to the largest.
most rocket engines, each of which are internal Only for hand-held power tools do they share part of the
combustion engines on the same principle as previously market with battery powered devices.
described. There are several types of engine:
353
1. Two stroke engine III.2 COMPRESSION STROKE: With both intake and
2. Four stroke engine exhaust valves closed, the piston returns to the top of the
3. Six stroke engine cylinder compressing the fuel-air mixture. This is known
as the compression stroke (Internet 4).
II. TWO STROKE ENGINE
A two-stroke engine is an internal combustion engine
that completes the thermodynamic cycle in two
movements of the piston (compared to twice that number
for a four-stroke engine). This increased efficiency is
accomplished by using the beginning of the compression
stroke and the end of the combustion stroke to perform
simultaneously the intake and exhaust (or scavenging)
functions. In this way two-stroke engines often provide
strikingly high specific power. Gasoline (spark ignition)
versions are particularly useful in lightweight (portable)
applications such as chainsaws and the concept is also
used in diesel compression ignition engines in large and
non-weight sensitive applications such as ships and
locomotives (Internet 1).
Figure 2: Working of 4- Stroke Engine
III.3 POWER STROKE : While the piston is close to

Top Dead Center, the compressed air–fuel mixture is
ignited, usually by a spark plug (for a gasoline or Otto
cycle engine) or by the heat and pressure of compression
(for a diesel cycle or compression ignition engine). The
resulting massive pressure from the combustion of the
compressed fuel-air mixture drives the piston back down
Figure 1: Working of 2- Stroke Engine
toward bottom dead center with tremendous force. This is
III. FOUR STROKE ENGINE known as the power stroke, which is the main source of
the engine's torque and power.
Today, internal combustion engines in cars, trucks,
III.4 EXHAUST STROKE: During the exhaust stroke,
motorcycles, aircraft, construction machinery and many
the piston once again returns to top dead center while the
others, most commonly use a four-stroke cycle. The four exhaust valve is open. This action evacuates the products
strokes refer to intake, compression, combustion (power), of combustion from the cylinder by pushing the spent
and exhaust strokes that occur during two crankshaft fuel-air mixture through the exhaust valve(s).
rotations per working cycle of the gasoline engine and
diesel engine. IV. 6-STROKE ENGINE
The cycle begins at Top Dead Center (TDC), when the
With reference to my idea of 6-stroke IC Engine, I just
piston is farthest away from the axis of the crankshaft. A
want to or I am just trying to take one step forward in the
stroke refers to the full travel of the piston from Top
field of IC Engine. As in the whole world the search for
Dead Center (TDC) to Bottom Dead Center (BDC). (See
new (alternative/ non conventional) fuels is going on
Dead centre.)
very rapidly. Peoples are trying for searching the best
III.1 INTAKE STROKE: On the intake or induction
/economic / nature friendly fuels. But, “As all the fingers
stroke of the piston, the piston descends from the top of
of a hand are not same we also think some think some
the cylinder to the bottom of the cylinder, reducing the
thing different.”
pressure inside the cylinder. A mixture of fuel and air is
“Some peoples are thinking for changing the
forced by atmospheric (or greater) pressure into the
conventional fuels (petrol/ diesel). But we come under
cylinder through the intake port. The intake valve(s) then
those peoples which want/ think that changing the
close.
354
technology is much better than changing the conventional but also increases the compression ratio. The currently
fuels (petrol/Diesel).” notable designs in this class include two designs
“As we come under those peoples who want/ think that developed independently: the Beare Head engine,
changing the technology is much better than changing the invented by Australian Malcolm Beare, and the German
conventional fuels (petrol/ diesel). We are also going to Charge pump, invented by Helmut Kottmann.
share an idea for the fulfilment of the above statement These concepts/technologies are not commonly used in
made by us.” automobile engines because of some drawbacks. But,
The use/ search for the alternative fuels are just for the Now we are going to introduce you all with our:
saving of conventional fuels (petrol/ diesel). I also want V. CONCEPT OF 6-STROKE IC ENGINE
to tell that, “we are not in favour of saving, but we are “Actually the concept of 6-stroke engine is taken from
against the wastage of fuels” the concept of Hydrogen Bomb in which before blasting
IV.1 IDEA OF 6-STROKE IC ENGINE the Hydrogen Bomb an Atom Bomb is fired to raise due
Talking according to the continuing the trend that when temperature to about 6000-7000 ° C which makes due to
the cycle completes in 2 stroke of piston (one revolution blasting of Hydrogen Bomb much easier & effective”.
of crank ) such engines are called 2-stroke engine , when VI. WORKING OF 6-STROKE IC ENGINE
the cycle completes in 4 stroke of piston (two revolution Therefore, 6-stroke engine requires two fuels (primary &
of crank ) such engines are called 4-stroke engine. secondary fuels) since due to compression ratio of
So, when the cycle completes in 6 stroke of piston (three Gasoline fuel (primary fuel) is about 15-16 &
revolution of crank ) such engines are called 6-stroke compression ratio of Diesel (secondary fuel) is about 22.
engine or we can also say that when piston moves 6 times So, in this engine firstly "A little amount of primary fuel
from TDC to BDC/ BDC to TDC, to make 3 revolution (Gasoline/LPG/CNG) is injected & then without exhaust
of crankshaft that engines are called “6-Stroke Engine” again secondary fuel (Diesel) is injected.
You might have heared about the 6-stroke Engines. Many In this cycle power stroke is repeated & power is
organisations or people are working/ trying for this new produced twice in one complete cycle:
technology: I just want to share some of those: 1. Suction
In the first approach, the engine captures the heat lost 2. Compression
from the four-stroke Otto cycle or Diesel cycle and uses 3. Power
it to power an additional power and exhaust stroke of the 4. Compression
piston in the same cylinder. Designs use either steam or 5. Power
air as the working fluid for the additional power 6. Exhaust
stroke.[1] The pistons in this type of six-stroke engine go “It's the first time ever when this new concept related
up and down three times for each injection of fuel. There to idea of 6-stroke engine is presented”
are two power strokes: one with fuel, the other with VI.1 SUCTION STROKE
steam or air. The currently notable designs in this class This process takes place when piston moves from TDC to
are the Crower six-stroke engine, invented by Bruce BDC in which the primary fuel & air (called as Charge)
Crower of the U.S. ; the Bajulaz engine by the Bajulaz is supplied to the engine cylinder.
S.A. company of Switzerland; and the Velozeta Six- VI.2 FIRST COMPRESSION STROKE
stroke engine built by the College of Engineering, at When the Charge is inside the engine cylinder, then
Trivandrum in India. because of Inertia of Flywheel the piston moves from
BDC to TDC, and the pressure inside cylinder is
increased.
VI.3 FIRST POWER STROKE
When the piston is at TDC (theoretically), the spark plug
produces a spark & the fuel is ignited with a normal blast
the piston is pushed back in the cylinder (i.e. from TDC
to BDC). Simultaneously we can say that the pressure
inside the cylinder also increases by the power stroke
(Internet 6).
Figure 3: Bruce Crower (U.S)

The second approach to the six-stroke engine uses a
second opposed piston in each cylinder that moves at half
the cyclical rate of the main piston, thus giving six piston
movements per cycle. Functionally, the second piston
replaces the valve mechanism of a conventional engine
355
Figure 5: Normal vs. Explosion Combustion

The first power stroke (expansion) is produced by
Normal combustion and suddenly the second power
stroke (expansion) is explosion combustion
VI.6 EXHAUST STROKE
When the Second Power Stroke occurs then finally the
burnt gases are released in exhaust stroke
According to the above working of the Engine, it is
clearly shown that, at the net amount of fuel supplied, the
crank shaft is making 3- revolutions, while in 4-stroke
engine, the crank shaft makes 2 revolutions
VII. SAVING OF FUEL IN THIS 6 STROKE ENGINE

Firstly when primary fuel (CNG/LPG) is supplied in that
quantity(0.5 to 0.6 % of fuel used in normal cycle) that
an initial stroke can be produced and the pressure in the
cylinder is increased and the temperature reached upto
1500°C after that when first power stroke is
obtained ,then the hot gases and the unburnt fuel is again
compressed ,at TDC of piston the secondary fuel(Diesel)
is injected in the cylinder which is about 0.4 to 0.5 % of
normal used in diesel cycle.
So, as mentioned above “the mileage of vehicle increases
50% of the previous.”
For Example, if a vehicle giving 100km/lit average, it
will give about 150km/ lit i.e. km/lit is directly changes
to miles/litre.
VII.1 ADVANTAGES
It saves the consumption of fuel used in overall cycle, It
creates comparatively less pollution because complete
combustion of fuel takes place and so no such reactions
occur by the exhaust gases to form poisonous gases or
the gases which are harmful to the atmosphere,
Efficiency of the Engine increases a lot (directly by 50%)
Figure 4: Working of 6-Stroke Engine
and This technology can easily be applied to all
previously made Engines also.
VI.4 SECOND COMPRESSION STROKE
VII.2 REQUIREMENT
Here the piston moves from BDC to TDC and the Burnt
The engines of this technology requires comparatively
gases after First Power Stroke are compressed which
heavier flywheel, the casing of this engine must be much
increase the temperature about 1500°C & pressure inside
stronger to face continuously power strokes under very
cylinder.
high pressure and temperature and a well developed
VI.5 SECOND POWER STROKE
cooling system is required for the purpose of cooling of
Then in continuation when the piston is at TDC, the
Engine
secondary fuel (i.e. Diesel) is injected by the injectors at
the extreme position of piston i.e. at the TDC in the VIII. REFERENCES
cylinder. Because of increased temperature & pressure
[1] Internet 1: http://en.wikipedia.org/wiki/Two-
the Diesel can be easily ignited and again power stroke is
stroke_engine
produced.
356
[2] Internet 2: http://en.wikipedia.org/wiki/Six- http://www.cleanmpg.com/forums/showthread.p

stroke_engine hp%3Ft%3D152&h=227&w=397&sz=22&tbni
[3] Internet 3: www.wisegeek.com/what-is-the- d=h8SOSbkIj2Y4M:&tbnh=71&tbnw=124&pre
difference-between-a-two-stroke-and-four- v=/images%3Fq%3D6%2Bstroke%2Bengine&z
stroke-engine.htm oom=1&q=6+stroke+engine&hl=en&usg=__w5
[4] Internet 4: CHyG_OphcdQ8hjOTR4bGD374=&sa=X&ei=
http://www.google.com/imgres?imgurl=http://w LdKlTNqdCYuevQPR3LGZDQ&ved=0CDQQ
ww.cleanmpg.com/photos/data/501/Bruce_Cow 9QEwBw
ers_6 Stroke_Engine.jpg&imgrefurl [6] Internet 6:
[5] Internet 5: www.sixstroke.com/
357
Automobile Pollution in India: A Review

Sumit Tripathi1, Amir Shaikh2
1,2
Department of Mechanical Engineering, Graphic Era University
Dehradun, Uttarakhand, India
1
tripsumit@gmail.com
2
amir.shaikh7@gmail.com
Abstract— Automobiles have become a considerable source of II. FACTORS DETERMINING VEHICULAR EMISSIONS
atmospheric pollution at global level. The pollution caused by
Every automobile industry has to consider the
automobiles has a significant fraction of total greenhouse gas
emissions. The rapid urbanization and dependency on environmental impacts at all the stages of vehicle manufacture.
automobiles has caused a considerable deterioration of urban air There are a number of technical and non technical factors that
quality. This paper focuses on various aspects of automobile are used to determine the emissions from vehicles. As per the
pollution and its adverse effects in India. The paper starts with a Society of Indian Automobile Manufacturers (SIAM) there
discussion on various factors that are used to determine the are four factors that have direct environmental implications,
automobile pollution. The paper discusses the Bharat Stage IV these are: ‗Vehicular Technology‘, ‗Fuel Quality‘, ‗Inspection
norms and auto-fuel quality specifications as prescribed by & Maintenance of In-Use Vehicles‘ and ‗Road and Traffic
Central Pollution Control Board Delhi along with other Management‘[5]. The rapid urbanization in India has fuelled
initiatives that have been taken for reducing the vehicular
the rapid increase in number of vehicles along with the
pollution. Also, some future estimation on automobile pollution
has been reviewed. traveling distance. As a result there is a higher consumption of
energy with an average annual rate of 2.9%. During the last
two decades, number of registered motor vehicles has
Keywords— Automobile Pollution, Emission standards, Bharat increased dramatically from 5.4 million in 1980–1981 to 72.7
Stage norms million in 2003–2004 [6].
I. INTRODUCTION In India, the vehicle population is growing at rate of over

5% per annum and today the vehicle population is more than
Atmosphere is significantly affected by the conversion of 40 million. In this number of vehicles there is a considerably
energy from one form to another [1]. The cultural and large proportion of two wheelers, about 76% [5]. In India, the
technological revolutions of automobiles have made our Ministry of Environment and Forests formally notified fuel
present life more convenient and easy, but the toxic pollutants specifications in year 1996. There was a region-wise
emitted by them have made the present and future of human introduction of fuels of particular specifications, instead of
lives more vulnerable. Pollution caused by automobile is upgrading it phase-wise. Throughout the country the leaded
consistently poisoning the atmosphere [2]. Automobiles are petrol was eliminated because it caused a high degree of
the largest source of air pollution. Pollutants emitted by pollution [5]. In a research the traffic composition of six mega
automobiles are largely responsible for smog, acid rain, global cities of India (Delhi, Mumbai, Bangalore, Hyderabad,
warming and climate change. The pollutants released by the Chennai and Kolkata) shows that there has been a significant
automobiles are usually grouped as NOx (nitrogen oxides), shift from public transport to private transport and also in the
HC (hydrocarbons), CO (carbon monoxide), PM (particulate share of slow moving vehicles to fast moving vehicles [7]. At
matter) and fuel vapors. A large component of VOCs (volatile present, in India, only transport vehicles are required to
organic compounds) emissions are the hydrocarbon emissions. undergo periodic fitness certification and not the large
The evaporation of fuels during refueling or from the gas populations of personal vehicles. In India the fitness
tanks causes a significant portion of the HC or VOC emissions. certification is a statutory requirement for commercial
In India the air quality has reached an alarmingly low level. vehicles and public transport vehicles, while in case of two
The National Ambient Air Quality Standards (NAAQS) are wheelers no such requirement exists. Pollution Under Control
exceeded in most of the cities. The central, state and local (PUC) certificates are required to be obtained every three
governments are implementing many policies to control the months for all categories of vehicles. In case of diesel vehicles,
automobile emissions. A significant attention is focused on free acceleration smoke is measured and in case of petrol
improving vehicular engine technology, stricter emission vehicles idling CO measurements are taken. RTOs, filling
controls, promoting alternative fuels (CNG and LPG) and stations & service stations are authorized to issue PUC
revising traffic-management schemes etc [3]. In India, from certificates [8].
the consumption of fossil fuels, the CO2 emissions have
increased to 1293MMT (million metric tons) from 293MMT Inspection & Maintenance of all categories of vehicles is
between 1980 and 2006 [4]. extremely important to control vehicular pollution
considerably. The Vehicle Operation Cost considerably
358
depends on the quality of roads. Inadequate and poor quality control strategies in India, different automobile pollutants are
of road surface also leads to increase the emissions. In a study estimated up to year 2025 for three different scenarios in India
of SIAM, it has been estimated that improvements in roads [3]. These scenarios are: BAU (Business as usual), IM
will result in savings of about 15% of Vehicle Operation Costs (Intermediate) and EH (Enhanced). In the BAU scenario it is
[5]. assumed that the growth in vehicles will continue as expected
and all the vehicles will follow the Bharat Stage emission
III. EMISSION NORMS IN INDIA norms based on current policy. The IM scenario considers the
The amounts of pollutants that can be released directly into greater changes by advanced technologies and traffic
the environment are specified through the emission standards. management schemes. In EH scenario some even more
In the year 1991, the first stage emission norms came into ‗difficult to implement‘ technologies are considered [3]. The
force for petrol vehicles and in 1992 for diesel vehicles. From results obtained are shown in Fig. 1 for NOx emission in tons
April 1995 onwards mandatory fitment of catalytic converters per day, Fig. 2 for CO emission and Fig. 3 for VOC emission
in new petrol passenger cars sold in the four metros of Delhi, [3].
Calcutta, Mumbai and Chennai along with supply of Unleaded TABLE I
Petrol (ULP) was affected. Availability of ULP was further EMISSION NORMS FOR PASSENGER CARS [9]
extended to 42 major cities and now it is available throughout
Norms CO( g/km) HC+NOx(g/km)
the country [5].
1991Norms 14.3-27.1 2.0(Only HC)
1996 Norms 8.68-12.40 3.00-4.36
In the year 2000 passenger cars and commercial vehicles 1998Norms 4.34-6.20 1.50-2.18
were meeting Euro I equivalent India 2000 norms, while two India stage 2000 norms 2.72 0.97
wheelers were meeting one of the tightest emission norms in Bharat stage-II 2.2 0.5
the world. Euro II equivalent Bharat Stage II norms were Bharat Stage-III 2.3 0.35(combined)
came in force from 2001 in 4 metros of Delhi (NCR), Mumbai, Bharat Stage-IV 1.0 0.18(combined)
Chennai and Kolkata. In 2003 the Bharat Stage II norms were
came in force in Delhi (NCR) plus 12 major cities of India
(Mumbai, Kolkata, Chennai, Bengaluru, Hyderabad, TABLE II
Ahmedabad, Pune, Surat, Kanpur, Lucknow, Sholapur, and EMISSION NORMS FOR HEAVY DIESEL VEHICLES [9]
Agra). In year 2005 the Bharat Stage II norms were applicable Norms CO HC NOx PM
nationwide and Bharat Stage III norms came into force to ( g/kmhr) (g/kmhr) (g/kmhr) (g/kwhr)
Delhi (NCR) and 12 major cities of India. In year 2010 the
Bharat Stage III norms are applicable nationwide and Bharat 1991 Norms 14 3.5 18 -
1996 Norms 11.2 2.4 14.4 -
Stage IV are introduced in Delhi (NCR) and 12 major cities of
India stage 2000 4.5 1.1 8.0 0.36
India. Table I shows the emission norms for passenger cars
norms
from 1991 norms to Bharat Stage IV norms. Table II shows Bharat stage-II 4.0 1.1 7.0 0.15
the emission norms for heavy diesel vehicles. It can be seen Bharat Stage-III 2.1 1.6 5.0 0.10
that the limits of CO, HC, NOx and PM has been remarkably
Bharat Stage-IV 1.5 0.96 3.5 0.02
decreased in Bharat Stage IV norms. Table III shows the
emission norms for 2/3 vehicles.
TABLE III
EMISSION NORMS FOR 2/3 WHEELERS [9]
IV. AUTO FUEL QUALITY
The Central Pollution Control Board (CPCB) India has Norms CO( g/km) HC+ NOx)(g/km)
defined several standards for auto fuel quality. In 1996 the 1991Norms 12-30 8-12 (only HC)
diesel specification contains only Cetane number (min) and 1996 Norms 4.5 3.6
sulphur (%w/w, max). In 2000 the ‗distillation T95‘ and in India stage 2000 norms 2.0 2.0
2010 ‗polyaromatic‘ parameters are also added. The diesel Bharat stage-II 1.6 1.5
specifications are shown in Table IV. Similarly in gasoline Bharat Stage-III 1.0 1.0
specifications several parameters are added in 2005 and
further modified in 2010. The gasoline specifications are
shown in Table V. TABLE IV
DIESEL SPECIFICATION [9]
V. SOME FUTURE ESTIMATION Year 1996 2000 2005 2010
The Economic Research Group (ERG) of SIAM Cetane No, Min 45 48 48 51
commissioned to develop the forecasting model for domestic sulphur % W/w, Max 0.50 0.25 0.05 0.035
Auto Industry with statistical methods. The summery of 0.25(metro)
forecast prepared for 2010-2011 is shown in Table VI [5]. In Distillation T95 - 370 370 360
another research on estimation of automobile emissions and Polyaromatic - - - 11
359
TABLE V
GASOLINE SPECIFICATION [9]
Year 1996 2000 2005 2010
RVP at 35-70 - 35-60 60
38Deg.c,kpa
BENZENE %by 5.0 5.0 3.0(all) 1.0
Vol.,max 3.0(Metro) 1.0(Metro)
Lead G/m3, max 0.15 %(low pb) 0.013 0.013 0.005
0.013%
(unleaded)
Sulphur % by 0.10(unleaded) 0.10 0.05 0.015
mass, max 0.20 (leaded)
Aromatics % v/v., - - 45 42
Max Fig. 3 Estimated emission of VOC under two different scenarios [3]
Oxygen %by - - 2.0 2.7
Vol., Max VI. CONCLUSIONS
The vehicular pollution problem in India is of significant
TABLE VI importance. In the last several decades there has been a
FORECAST PREPARED FOR 2010-2011 [5]
significant increase in vehicle density in Indian urban centers.
Automobile/Bike Segments 2010-2011 growth over The older vehicles have captured a larger segment and they
2009-2010 (%) are based on older emission standards. There are also
Passenger Cars 12-13 inadequate inspection & maintenance facilities. The traffic
Utility Vehicles 13-14 management system & road conditions are not up to the mark
Commercial Vehicles (goods) 19-20 and results in a higher level of pollution. Also there is a high
Commercial Vehicles (buses) 4-5 level of pollution at traffic intersections. Considering all these
Two Wheelers 9-10 problems a number of initiatives are taken by the central, state
Three Wheelers (goods) 5-6
and local government along with the automotive industries.
Three Wheelers (passenger) 8-9
There have been significant improvements in automobile
engines and fuel quality for reducing the emissions as much as
possible. A strong focus is on alternate fuels such as LPG and
CNG. Some other technological improvements such as after
combustion technology and concept of zero emission vehicles
have also attracted researchers and engineers at a significant
level. Urban road and flyover projects along with the fast and
comfortable mass transit systems (such as Delhi Metro) are
also gaining more and more attention. These developments
not only bring pride and honor to nation but also contribute to
reduce the atmospheric pollution at a considerable level.
REFERENCES
[1] Cengel Yunus A., and Boles Michael A., ―Thermodynamics: An
engineering approach‖, Tata McGraw Hill, pp 86-91 (2009).
Fig. 1 Estimated emission of NOx under two different scenarios [3] [2] Sinha Rajiv K., ―Automobile Pollution in India and its Human Impact‖
The Environmentalist, Vol 13, Number 2, 111-115 (1993).
[3] Nesamani K.S., ―Estimation of automobile emissions and control
strategies in India‖ Science of the Total Environment 408, 1800–1811
(2010)
[4] Energy Information Administration (EIA). International Energy Annual,
(2006).
[5] Society of Indian Automobile Manufacturers, An ISO 9001-2008 certified
organization, extracted from website on Aug 2010.
[6] Ramachandra T.V., and Shwetmala ―Emissions from India‘s transport
sector: Statewise synthesis‖ Atmospheric Environment 43, 5510–5517
(2009).
[7] Jalihal, S.A., Ravinder, K., Reddy, T.S., ―Traffic characteristics in India‖,
In: Proceedings of the Eastern Asia Society for Transportation Studies,
vol. 5, pp. 1009–1024 (2005).
[8] Sengupta B., ―Vehicular pollution control in India: Technical and non-
technical measure policy‖ Central Pollution Control Board, Delhi 2001
Fig. 2 Estimated emission of CO under two different scenarios [3] [9] Central Pollution Control Board, Ministry of Environment & Forests,
Government of India, extracted on Aug 2010.
360
Access to success: Value Engineering

Mani Mala1
Department of Management,
Panipat Institute of Engineering & Technology, Panipat (Haryana) India
1
mani.manu@rediffmail.com
Abstract: Value management is the modern name given to the services; and so on anything that costs money. VE is
concept which was till, recently referred to as value performed to eliminate or modify any element that
engineering and / or value analysis. This concept was significantly contributes to the overall cost without adding
developed by L. D. Miles of General Electric (USA) after the commensurate value to the overall function. VE is not
Second World War, & quickly spread to other countries.
Economic prosperity of a country is achieved through rapid
primarily centered on a specific category of the physical
industrialization. Industrialization is possible by making sciences; it incorporates available technologies, as well as
products internationally competitive. In order to be successful the principles of economics and business management, into
in the global market, the products must excel in three areas its procedures. When viewed as a management discipline, it
i.e. price, quality & technology. The experiences of Japan, uses the total resources available to an organization to
Korea, Taiwan, Switzerland, Holland, Denmark & others achieve broad management objectives. Thus, VE is a
have proved that through innovations & creativity even small systematic and creative approach for attaining a return on
countries can challenge the industrial giants. One of the main investment (by improving what the product or service does
reasons for the success of these countries is that they have in relation to the money spent on it.
given emphases on value management. Indian products are
not competitive in global market and the main reason for this
is the price factor. Therefore the need to cut down costs is the II. HISTORY
most important factor for the Indian industries. By reducing
the cost of production it is able to provide highest value for During World War II, many manufacturers were forced to
the money to the customers. This consciousness for value is use substitute materials and designs as a result of critical
the underlying principle of value management. There are material shortages. When the General Electric Company
number of evidences that one cannot practice these techniques found that many of the substitutes were providing equal or
without proper training. Training is also necessary because better performance at less cost, it launched an effort (in
thought the rules appear simple, interpretation of the same & 1947) to improve product efficiency by intentionally and
application of such rules in real life situation is complex. Rules
can be easy to learn & follow but it needs special ability,
systematically developing less costly alternatives.
ingenuity & creativity, to master them. Value management is Lawrence D. Miles, a staff engineer for General Electric,
not confined to industries alone. It is equally applicable to led this effort. Miles combined a number of ideas and
business, industry & even in govt. departments. This paper techniques to develop a successful methodological
will study all the things which are related with the concept of approach for ensuring value in a product. The concept
value engineering/value analysis and value management. quickly spread through private industry as the possibilities
for large returns from relatively modest investments were
I. INTRODUCTION recognized. This methodology was originally termed value
analysis or value control. In 1957, the Navy‟s Bureau of
VE is an organized/systematic approach directed at Ships became the first Department of Defense organization
analyzing the function of systems, equipment, facilities, to establish a formal VE program. Miles and another
services, and supplies for the purpose of achieving their General Electric employee, Raymond Fountain, set up the
essential functions at the lowest life-cycle cost consistent Bureau of Ships program to help reduce the cost of ship
with required performance, reliability, quality, and safety. construction, which had nearly doubled since the end of
The implementation of the VE process on a problem World War II. The Bureau of Ships asked that the
typically increases performance, reliability, quality, safety, technique be called “Value Engineering” and staffed the
durability, effectiveness, or other desirable characteristics. office with people under the general engineer position
Because “costs” are measurable, “cost reduction” is often description.
thought of as the sole criterion for a VE application, and
indeed, cost reduction is primarily addressed in this III. APPLICATION OF VALUE ANALYSIS
document. It is, however, important to recognize that value
improvement is the real objective of VE, and that may not Value analysis can be applied universally, i.e., to
result in an immediate cost reduction. In fundamental everything – materials, methods, processes, services, etc.,
terms, VE is an organized way of thinking or looking at an where it is intended to bring about economics. One should
item or a process through a functional approach. It involves naturally start with items where the maximum annual
an objective appraisal of functions performed by parts, saving can be achieved. This immediately suggests that
components, products, equipment, procedures, and items whose total annual consumption in Rupees is high
361
should receive top priorities in the application of Value

Analysis. In the same manner, scarce materials, imported V. HOW IS A VALUE ENGINEERING STUDY
materials, or those difficult to obtain should also receive CONDUCTED?
the attention of the value analyst. Bearing this in mind, VE methodology is based on three specific phases:
Value Analysis can be systematically applied to categories A. The Pre-study Preparation Phase often commences
of items, such as those listed below in order to bring about with a meeting between the owner, designer and VE
substantial cost reduction. team leader to promote a common level of
A. Capital goods – plant, equipment, machinery, tools and understanding on the objectives of the study, to confirm
appliances. the schedule of events of the study and to review the
B. Raw and semi-processed material, including fuel; required information. Project data provided by the
C. Sub-contracted parts, components, sub-assemblies, etc; owner and designer are distributed to the team for
D. Purchased parts, components, sub-assemblies, etc., review prior to a formal workshop in order to develop
E. Maintenance, repairs, and operational items; relevant questions. Models of appropriate capital costs,
F. Finishing items such as paints, oils, varnishes, etc. energy costs and life cycle costs are prepared by the
G. Packing materials and packaging; team leader.
H. Printing and Stationery items; B. the Project Study Workshop Phase is conducted at a
I. Miscellaneous items of regular consumptions; location convenient to the owner and designer,
J. Power, water supply, compressed air, steam and other frequently at the owner‟s premises near the project site.
utilities (services) and It lasts for a minimum of three days to a maximum of
K. Materials handling and transportation costs. five, with an agenda for the first meeting including:
• Introduction
• Briefing on Value Engineering
IV. VALUE ENGINEERING PRINCIPLES • Presentation of project design by project designer
• Outline of project constraints
Value Engineering principles consist of key questions, • Questions by VE team members for the designer
techniques, and procedural tasks used in pursuing the After the designer‟s oral presentation with question-and
objective of the VE Job Plan. The objective is to achieve answer period, it is desirable for the owner and designer
design excellence. These principles are explained in to escort the VE team on a brief site visit. The team then
subsequent chapters, where each phase of the Job Plan is proceeds with the following basic job plan, common to
discussed. Certain VE techniques are applicable throughout all VE studies:
the formal VE study. They are of significant importance in 1) Information Phase: Further familiarization of the
the area of decision-making and problem-solving. project by the team; all team members participate in a
A. Use Teamwork: function analysis of the project as a whole, and then of
A fundamental principal of VE is to employ teamwork. its component parts, to determine the true needs of the
In a complex design, with many different functions project. Areas of high cost or low worth are identified.
and people contributing to project cost, cost- 2) Creative Phase: The team lists creative ideas
effectiveness is enhanced when the team blends their generated from its review of the project with the aim
talents toward that common objective. Although Value of obtaining a large number of ideas through
Engineering can be accomplished, minimally, through brainstorming and association of creative proposals.
concentrated individual effort, the results can be 3) Judgment Phase: Creative ideas are analyzed, and the
magnified several times with teamwork. team selects the best ideas for further development.
B. Overcome Roadblocks: 4) Development Phase: The team prepares alternative
Roadblocks are obstacles in the path of progress, designs with capital and/or life cycle cost comparisons
often occurring whenever a change is proposed. Some of original designs and proposed alternatives. All
roadblocks are real (those of others), and some are recommendations are supplemented with written
imaginary (those of your own). Roadblocks are an descriptions, sketches, basic design concepts, technical
expression of resistance to change. Value Engineering information and cost summaries.
techniques are designed to help "overcome 5) Presentation Phase: The team presents an oral
roadblocks," therefore; existence of roadblocks should summary of its findings to the owner and the designer,
be recognized. Be prepared to refute roadblocks when explaining the basic ideas recommended their cost-
encountered. saving implications and their attendant rationales.
C. Use Good Human Relations: 3 In the Post Workshop Phase the team prepares a
Because VE is concerned with creating change, report for the owner, completed and submitted in a
concern is with human relations. In VE, there is a high timely manner, such that the design process may
degree of dependence on cooperation with other continue. The owner and designer consider the VE
people. Therefore, good or poor human relations can recommendations, and jointly decide which items have
relate directly to success or failure of the project. merit for implementation in a revised design
362
of the business is important and assists the

communication within the group. A convenient area
VI ACCESS TO SUCCESS can also be used to dismantle the product and also the
walls of the area can be used to record, on paper
There are many keys to the success of a VA programme charts, the issues that have been discovered by the
and it is wise to consider these issues before commencing team (and the associated actions that must be
the project, as errors in the project plan are difficult to undertaken).
correct, without causing frustration, once the VA project H. Select the product for the first study. Ideally the
has started. One of the most important initial steps in existing product, or family of products, will be one that
developing the VA process is to create a formal team of is established, sells in volume and has a relatively long
individuals to conduct the exercise. These individuals must life expectancy. As such any improvement in the cost
be drawn from different parts of the business that affect the performance of the product will provide a large
costs associated with design, manufacturing, supply and financial saving to the business
other relevant functions. In addition, the team must be I. Write down the objectives of the project and the key
focused on a product or product family in order to begin project review points. Estimate the targets to be
the exercise. Further key success factors include: achieved by the project. These objectives provide a
A. Gain approval of senior management to conduct a reference point and framework for the exercise. The
Value Analysis exercise. Senior management support, objectives also focus attention on the outputs and
endorsement and mandate for the VA project provide achievements required by the company.
legitimacy and importance to the project within the J. Select and inform any personnel who will act in a part
business. This approval process also removes many of time or temporary role during the project. This process
the obstacles that can prevent progress from being is used to schedule the availability of key specialist
made by the team. human resources to support the team throughout the
B. Enlist a senior manager as a champion of the project duration of the project.
to report back directly to the board of directors and K. Train the team in both the process of VA and also in
also to act as the program leader. basic team building activities. It is important that all
C. Once a program team has been developed it is members understand the nature of the project and its
important to select an operational leader to co-ordinate importance. The initial team building exercises are
the efforts, monitor progress and to support the project also a good way of understanding the attitude of all
champion. This leader will remain with the VA team members to the project – especially those with
throughout the life of the project and will be the reservations or a negative attitude to what can be
central linking pin between the team and the senior achieved. As with most team exercises there is a
management champion. requirement to allow the team to build and bond as a
D. Establish the reporting procedure for the team and the unit. It is often difficult for individuals, drawn from
timing of the project. This project plan needs to be throughout the factory, to understand the language that
formal and displayed as a means of controlling and is used throughout the business and also to understand
evaluating achievements against time. the „design to market‟ process when their own role
E. Present the VA concept and objectives of the team to impacts on a small section of this large and complex
all the middle and senior managers in the business. process.
Widespread communication of the VA project is
important so that other employees, particularly VII CONCLUSION
managers (who may not be involved directly with the
process) understand the need to support the project The VE process and procedures are generally well defined
either directly by assigning staff or indirectly through and well-understood at most levels, including senior
the provision of data. management. VE is recognized as an effective way to
F. Maintain a list of those business functions that should improve the performance of a project and/or reduce
receive a regular communication of progress even unnecessary capital and operating costs. The quality
though they may not be directly involved with the (qualifications and experience) of the team leader and
project. This process allows other individuals in the specialists is a key ingredient to the success of the VE
business to be informed about the progress and program. VE is more effective and influential on the
findings of the group. This form of promotion is performance, quality, and cost of a project when done
important as it maintains a momentum and relatively early in the project schedule.
communicates the findings of the team as widely as
possible.
G. Provide an office space and co-locate the team
members where practical and possible to do so. The
ability to locate a VA improvement group in one area
363
[16] Patrick Sik-wah Fong, Qiping Shen, Eddie W.L. Cheng, (2001) "A
framework for benchmarking the value management process",
BIBLIOGRAPHIC REFERENCES Benchmarking: An International Journal, Vol. 8 Iss: 4, pp.306 – 316
[1] Bicheno, J, (1998), 'The Lean Toolbox', PICSIE Books, [17] John C. Groth, Michael R. Kinney, (1994) "Cost Management and
Buckingham, ISBN0951382985 * Introduction to basic lean and Value Creation", Management Decision, Vol. 32 Iss: 4, pp.52 – 57
related operations concepts. Provides a good overview and an
excellent basis for further reading. [18] Mark Rainbird, (2004) "A framework for operations management:
the value chain", International Journal of Physical Distribution &
[2] Bicheno, J, (1998), 'The Quality 60', PICSIE Books, Buckingham * Logistics Management, Vol. 34 Iss: 3/4, pp.337 – 345
Introduction to quality management tools and techniques. As the
Lean Toolbox, the Quality 60 are excellent introductory reading in [19] Mark Rainbird, (2004) "A framework for operations management:
easy to understand style. the value chain", International Journal of Physical Distribution &
Logistics Management, Vol. 34 Iss: 3/4, pp.337 – 345
[3] Dell‟Isola, A. and Dell‟Isola, A., (1998), „Value engineering:
Practical Applications…for Design, Construction, Maintenance and [20] Stuart Green, (1990) "The essentials of value engineering",
Operations‟, Robert s Means Co, ISBN0876294638 * A complete Facilities, Vol. 8 Iss: 10, pp.15 – 17
system for understanding and conducting value engineering and life
cycle costing studies for design, construction and facilities [21] Stuart D. Green, (1993) "VALUE ENGINEERING DURING
operations. Contains stepby-step instructional chapters, seven case EARLY DESIGN", Facilities, Vol. 9 Iss: 9, pp.10 – 13.
studies and electronic forms in LOTUS and EXCEL format on a
separate disk.
[4] Cooper, R., Slagmulder, R., and Barth, C., (1997), „Target Costing
and Value Engineering‟ (Strategies in Confrontational Cost
Management Series), Productivity Press, ISBN1563271729 *
Describes the combination of target costing process and value
engineering in the new product development process (NPD) (5)
Shillito, L. M. and Demarle, D. J., (1992), „Value: Its Measurement,
Design and Management‟, John Wiley and Sons, ISBN0471527386
* Focuses on product development, and provides a structured
approach to professionals. Contains four chapters: nature,
measurement, design and management of value.
[6] Gage, W. L., (1967), „Value Analysis‟, McGraw Hill, London * One
of the first textbooks on VA. Easy to read, well structured and
provides many examples. (7) Norton, B. R. and McElligott, W. C.,
(1995), „Value management in construction: a practical guide‟,
MacMillan
[8] Gibson, J. F., (1968), „Value Analysis: The Rewarding Infection‟,

Pergamon Press Limited, Oxford * A ‘quick-and-dirty’ guide to VA.
[9] Taguchi G (1979) „Introduction to Off-line Quality Control‟,

Central Japan Quality Control Association, Magaya Japan
(10] Cohen L (1995), „Quality Function Deployment: How to make QFD

work for you‟, Addison Wesley, Reading MA
[11] Adebayo Agbejule, María Fernández, Sergio d'Espiney, (2004)

"Approaches to environmental value analysis of products, processes,
and services", Management of Environmental Quality: An
International Journal, Vol. 15 Iss: 2, pp.111 – 130
[12] Verna Allee, (2008) "Value network analysis and value conversion of
tangible and intangible assets", Journal of Intellectual Capital, Vol. 9
Iss: 1, pp.5 – 24
[13] Eero J. Pätäri, Timo H. Leivo, J.V. Samuli Honkapuro, (2010)

"Enhancement of value portfolio performance using data
envelopment analysis", Studies in Economics and Finance, Vol. 27
Iss: 3, pp.223 – 246
[14] David H. Taylor, (2005) "Value chain analysis: an approach to

supply chain improvement in agri-food chains", International
Journal of Physical Distribution & Logistics Management, Vol. 35
Iss: 10, pp.744 – 761
[15] R. Graeme Willersdorf, (1993) "Adding Value through Logistics

Management", Logistics Information Management, Vol. 3 Iss: 4,
pp.6 – 8
364
Identification of Different Enablers in the

Implementation of Total Quality Management
Vineet Jain1, Rajesh Attri2
1
Department of Mechanical Engineering, Gurgaon Institute of Technology and Management, Gurgaon, India
vjdj2004@gmail.com
2
Department of Mechanical Engineering, YMCA Institute of Engineering, Faridabad, India
rajeshattr2005@gmail.com
Abstract-Major differences between the pre-industrial 2) TQM is viewed as an organization wide philosophy
revolution capitalism era and the current era of requiring all employees at every level of an
globalization is the ‘customer focus’ and ‘continuous organization to focus his or her efforts to help improve
improvement’, which has emerged as a mantra for the each business activity of the organization [2].
success of the organizations since 1980’s. To achieve the 3) It is an organization-wide process, where employees
customer’s requirements and continuous improvements are motivated and empowered to do the right things,
various tool and techniques have been developed in the right first time and every time, to reflect on what they
industries. A large number of new concepts have been do and to improve what they do. This results in
emerged in the field of quality such as FMEA, Kaizen, customer satisfaction, employee satisfaction, product
Quality function deployment etc. One of such tool is TQM quality, continuous improvement and innovation [1].
i.e. Total Quality management. In this work various 4) The process wherein the top management along with
enablers for the successful implementation of Total Quality other people in an organization, works to improve the
Management have been identified. product quality and work environment continuously at
Keywords- TQM, Evolution of TQM, Enablers in TQM.
all stages, at all levels, with the aim of improving
customer and employee satisfaction [3].
Introduction
TQM has been an organization-wide activity and has to reach TQM redefined
every employee within the organization. TQM has also been TQM redefined as “Managing the attributes that affect the
considered as a combination of various processes representing quality of subsystems in an organization, which help it to
the dynamic behavior of an organization. For this, an achieve desired goals, fulfilling constraints of time and cost, and
organization is referred to as a socio-technological system, is called Total quality management”[4].
where the activities carried out are geared towards the customer Exploring the definition will lead to insight to TQM. The
requirements with efficiency and effectiveness in mind, and desired goals or benefits of TQM are unarguable. Organizations
where the health of the business is considered by measuring adopt TQM not only for the stated reasons but also for the
costs/returns at each stage of the business cycle [1]. offshoots of the benefits, which are referred to here as implied
reasons.
Definitions of TQM
1) According to ISO 8402:1994 Total quality Stated reasons
management (TQM) as a management approach of an  Customer satisfaction
organization centered on quality, based on the  Profitability
participation of all its members and aiming at long-  Quality of the product
term success. This is achieved through customer
satisfaction and benefits to all members of the
organization and to society.
365
TQ M Ev oluti on
Incorporates QC/QA activities into a

Proactive Approach Total Q uality company-wide system aimed at satisfying
Management the customer.
Pre vention 4 (involves all organizational functions)
Stop defects at source.
Zero defects
Quality Planned and systematic actions to insure
Assurance that products or services conform to
3
company requirements
Reactive Approach Operational techniques to make

Quality inspection more efficient & to
Control reduce the costs of quality.
Detection 2
(example: SPC)
Finding & Fixing
mistakes
Inspection Inspect products
1
Fig. 1 Evolution of TQM
Implied reasons Stage – 1 Inspection

 Productivity improvement Increased customer base This stage is referred to as inspection phase and it has following
(market share) distinguishing features.
 Customer loyalty  Inspection Stage employs simple inspection based
 Reputation in market systems.
 Low cost of quality  Teams of inspectors are employed to examine measure
 Optimum utilization of resources or test a product and compare it with product standard.
 Improved work culture  Inspection is conducted at various stages of
 Employee satisfaction manufacturing such as incoming materials, semi
finished and finished goods. Often, lots of products are
Evolution of TQM subjected to 100 % inspection.
 Nonconforming products are segregated from good
TQM has evolved after undergoing the 4 stages of changes as ones.
under [5]  Nonconforming products are subsequently scrapped,
Stage- 1 Inspection reworked or sold at lower prices. Inspection based
Stage- 2 Quality Control systems often fail to find poor quality items and are
Stage- 3 Quality Assurance costly as they usually employ 100% inspection
Stage- 4 Total Quality Management  Persons are employed to look for faulty work and
persons are employed to repair/ rectify it.
366
Stage – 2 Quality Control d) Improvement in product service

This stage can be labeled as Quality control and it has following e) Improvement in employee morale and quality
distinguishing features. consciousness
 Acceptance function is replaced by corrective function f) Improvement in market place acceptance
i.e. utilizing inspection results for prevention of 2. Customer satisfaction oriented benefits
defectives in future lots. a) Reduction in operating cost
 Data on defects is generated from the inspection results b) Reduction in operating losses
of product testing done at various stages of c) Reduction in field service cost
manufacturing. d) Reduction in liability exposure
 Sampling inspections plans are adopted for product
control, thereby replacing 100 % inspection by Enablers in TQM process
sampling inspection.
 Statistical quality control (control charts) are employed Enablers are the drivers or critical success factors which helps in
for process control. implementation of TQM process. They inhibit the
implementation process. The various enablers of TQM are
Stage – 3 Quality Assurance
Quality Assurance stage has the following distinguishing 1. Top management leadership, commitment and involvement
features. According to Karuppusami, it includes top executive support,
 Quality control (inspection based) is substituted by top management commitment, top management support, top
Quality Assurance management, committed leadership, visionary leadership, senior
 Emphasis is placed on quality of process executive leadership, supervisory leadership, leadership
 Quality planning and Quality manuals are prepared creativity and quality strategy, management leadership,
with an object to build quality in processes. executive commitment. Management must participate in quality
Quality Assurance however pays little or no attention to service programme. TQM programme must be communicated to the
industries and soft areas of quality such as delivery, customer operational level. Top management commitment and
satisfaction etc. involvement is required in creating and deploying clear quality
values and goals consistent with the objectives of the company,
Stage – 4 Total Quality Management and in creating and deploying well defined systems, methods
TQM is the current stage in quality and has the following and performance measures for achieving those goals. Such
distinguishing features. systems and methods guide all quality activities and encourage
 TQM covers all kinds of industries manufacturing as participation by all employees [7].
well as servicing.
 TQM implementation requires clear and unambiguous Top management must ensure that organization focuses on the
vision of top management and gradual removal of needs of customer. They must do strategy formulation and
inter-departmental barriers. implementation. Strategy formulation consists of defining
 TQM places great emphasis on customers (internal and mission of organization- the concept of business, vision- where
external focus) it is headed, setting objectives- translating mission into specific
performance objectives and defining a strategy – determining
 TQM believes that good training based on systematic
specific actions to achieve performance objectives [8].
training needs identification is necessary to attain
greater quality.
Implementation focuses on executing the strategy effectively
 TQM lays greater on business processes and advocates
and efficiently as well as on evaluating performance and making
in continuous improvement in every business activity.
corrective adjustments when necessary. They must promote the
mission, vision and values of the company throughout
Benefits of TQM organization [9]. Top management must identify the critical
Benefits of TQM has classified into following two categories [6] processes that need attention and improvement and resources
1. Customer satisfaction oriented benefits and trade-offs that must be made to fund the TQM activity.
2. Economic improvements oriented benefits They must review the progress and remove barriers to
implementation. Finally they must improve the processes in
1. Customer satisfaction oriented benefits which they are involved both to improve the performance of the
a) Improvement in product quality process and to demonstrate their ability to use quality tools for
b) Improvement in product design problem solving.
c) Improvement in production flow
367
2. Customer focus 5. Benchmarking

It means customer focus and satisfaction, customer involvement, Benchmarking is the practice of identifying, studying and
customer orientation, customer relationship, customers, TQM building upon the best practices in the industry or in the world.
link with customers, closer to the customers and relations with Dynamic companies are constantly monitoring information from
the customer. It is ultimate goal in TQM and thus forms the the external environment to compare their process, products and
focal element in TQM. The company should exceed the services with the best industry practices. Such companies help
customer’s expectations and make them delighted. This means establish quality targets which enhances the competitive
giving the customer more than he ever thought possible. TQM strength of the organization. It means benchmarking on quality
aims at satisfying customer’s requirements which never remain and service, benchmarking of cost and use of benchmarking
constant, but keep on changing with the change in times, [11].
environment, circumstances, needs, fashion, standard of living
etc. 6. Performance measures
It has discussed that initially, the organization must identify and Measures play a vital role in the success or failure of an
define the customers in terms of internal, external, short term, organization. It has discussed that performance measures helps
long term, end users, intermediate users, product/service user to achieve
and their categories as industrial, consumer, their buying 1. Establish baseline measures and reveal trends.
capabilities and locations. After identifying the customers, their 2. Determine which process need to be improved.
needs and requirements should be established and defined. The 3. Indicate process gains and losses.
organization should then establish its quality policies, code of 4. Compare goals with actual performance.
conduct, legislation etc. keeping in view the defined customer 5. Provides information for individual and team evaluation.
requirements [10]. 6. Provide information to make informed decisions.
7. Determine the overall performance of the organization.
3. Training By the performance measures one can calculate the deviations
It involves quality training, specialized training, personnel of results from desired, corrective actions can be taken, thereby
training, education, education and training, employee training. helps in achieving the desired goals [12].
Training enhances the knowledge and skill of the employee.
Communicating the need of alternatives procedures, new 7. Continuous improvement
methods of empowerment and benefits that are likely to accure The organization has to cope up with the changing requirements
to the organization is an important aspect of training. The aspect of the customers. The various factors in improving the quality
relates to educating all employees in using new quality control may be the change in environment, development of new
tool and techniques to be adopted for quality management. At process, equipments, materials, innovations in a particular field,
the operational level, several new quality control tools are advancement in the technology, change in fashion etc. TQM
available. Employees need to be trained in using these tools. strives for ever better quality, cost reduction to face competition
Supervisors require training in problem solving approaches and and for the survival of the organization [11].
working in small group improvement teams. Skills in Continuous improvement of all operations and activities is an
identifying problem areas, setting targets for improvement, important aspect of TQM. Because customer satisfaction can
participating in improvement process, facilitating the process only be achieved by providing a high-quality product,
and monitoring and guiding them over time are the important continuous improvement of the quality of the product is seen as
new skills that supervisors and middle managers need in a TQM the only way to maintain a high level of customer satisfaction.
training programme [7]. As well as recognizing the link between product quality and
customer satisfaction, TQM also recognizes that product quality
4. Employee involvement and relations is the result of process quality. As a result, there is a focus on
It includes employee participation, employee satisfaction, continuous improvement of the company's processes. This will
employee empowerment, employee involvement, employee lead to an improvement in process quality. In turn this will lead
fulfillment, interactions. All the employees working in to an improvement in product quality, and to an increase in
organization should be involved in TQM operation. Employee customer satisfaction. Improvement cycles are encouraged for
involvement is one approach to improving quality and all activities from design and development of products, through
productivity. It is a means to better meet the organization’s routine support and administrative services, to customer
goals for quality and productivity at all levels of an relationship management. To achieve continuous improvement
organization. Involving employees, empowering them and the company has to measure and analyze its own performance
bringing them into decision making process provide the and that of other companies. Elimination of waste is a major
opportunity for continuous process improvement [7]. component of the quality improvement approach [8].
368
8. Empowerment TQM process. People must come to work not only to do their
Empowerment is an environment in which people have the jobs but also to think about how to improve their jobs. People
ability, the confidence, and the commitment to take the must be empowered at lowest possible level to perform
responsibility and ownership to improve the process and initiate processes in an optimum manner [12].
the necessary steps to satisfy customer’s requirements within
well-defined boundaries in order to achieve organizational 12. Recognition and reward
values and goals. Empowering the staff assists to accomplish Recognition is a form of employee motivation in which the
optimal business results through the teamwork. Empowerment organization publicly acknowledges the positive contributions
occurs when employees are adequately trained, provided with an individual or team has made to the success of the
all relevant information and the best possible tools, fully organization. This acknowledgement is delivered using verbal
involved in key decision and are fairly awarded for the best and written praise and may include symbolic items such as
results. This involves training and focuses on communication certificates and plaques. Reward is something tangible such as
skills, interactive skills and effective meting skills. Such training cash reward to promote desirable behaviour. Recognition and
enables people to think for themselves and to take decisions for reward go together to form a system for letting people know
themselves. This principle of empowerment may result in few they are valuable members of the organization.
mistakes but the risks of staff errors are overweighed by According to Besterfield an effective recognition and reward
increase in creativity, productivity, motivation, commitment, system
and customer service that results from empowerment [11]. 1. Serves as a continual reminder that organization regards
quality and productivity as important.
9. Feedback mechanism 2. Provides employee a specific goal to work toward. It
The customer feedback and employee feedback mechanisms are motivates them to improve the process.
the essentials requirements to create customer oriented quality 3. Makes the employee more committed towards the work.
culture. These feedback mechanisms provide an accurate 4. Boosts morale in work environment by creating a healthy
evaluation of the operations of the company from both internal sense of competition among individuals and teams seeking
and external perspectives. This evaluation indicates how the recognition [12].
operations affect internal and external customers and provide a
measurement of customer satisfaction. The information can be 13. Values and ethics
gathered through questionnaire surveys, interviews, use of focus Values enable a framework for leaders throughout the
groups and field complaints and suggestions systems. organization to make right decisions. They foster TQM
behaviour and define the culture. Each organization will need to
10. Communication develop its own values.
The TQM programme must be properly communicated by the Ethics is a body of principles or standards of human conduct
top management to the operational/lower level. They must be that govern the behaviour of individuals and organizations.
informed about the policies, strategies, objectives. Employee Ethics is the discipline concerned with good and bad in any
will work according to the plans if they are properly situation. It is a two-faceted subject represented by
communicated by the management about their objectives, plans organizational and individual ethics. Organizational ethics
and quality policies [8]. establish a business code of ethics that outlines guidelines that
all employees are to adhere to in the performance of their work.
11. Workforce commitment Individual ethics include personal rights or wrongs [13].
A successful TQM environment requires a committed and well-
trained workforce that participates in quality improvement 14. Quality council
activities. Such participation is reinforced by reward and In order to build quality into culture, a quality council is
recognition systems emphasizing the achievement of quality established to provide overall direction. It is the driver of the
objectives. On-going education and training of all employees TQM engine. A quality council must be established to develop a
supports the drive for quality. Employees are encouraged to take clear vision, set long term goals and direct the programs. Quality
more responsibility, communicate more effectively, act goals are included in the business plan. An annual quality
creatively, and innovate. Their knowledge and skills are improvement is established and involves input from the entire
respected by management. workforce. Besterfield has discussed following functions of
quality council [12]
TQM is an organization wide challenge that is everyone’s 1. To develop core values, vision statement, mission statement
responsibility. All the personnel’s must be trained in TQM, and quality policy statement.
statistical process control (SPC) and other appropriate quality 2. To develop a strategic long term plan with goals and quality
improvement skills so that they can effectively participate in improvement program with objectives.
369
3. To create total education and training plan. Vol. 42, No. 19, pp 4031-4053 (2004).
[5] Jhamb, L.C., “Production/operations Management” Symbosis centre for
4. To determine performance measures for the organization.
distance learning, Pune (2003).
5. To determine and continually monitor the cost of poor [6] Panneerselvam, R., “Production and Operations Management” Prentice
quality. Hall of India Pvt. Ltd., New Delhi (2006).
[7] Karuppusami, G. and Gandhinathan, R., “Pareto analysis of critical
success factors of Total quality management”, The TQM magazine, Vol.
15. Work culture
18, No. 04, pp 372-385 (2006).
Work culture in an organization, which is also referred as [8] Mahadevan, B., “Operations Management: Theory and Practice”, Pearson
climate, atmosphere or internal environment, is another critical Education, New Delhi (2007).
element of TQM culture. It is summation of habits, attitude and [9] Grover, S., Agrawal, V.P. and Khan I.A., “Role of human factors in Total
quality management”, Benchmarking: An international journal, Vol. 13,
behaviour of members of organization. It may vary from one
No. 4, pp 447-468 (2006).
organization to another and different in different countries. [10] Humble, J.E.and Meitz, R.O., “Field studies in implementation of quality
Readiness of an organization to adopt TQM requires a change in management programs”, pp 160-164 (1992).
mindset of people to overcome inertia. Quality consciousness [11] Mahajan, M., “Statistical Quality Control”, Dhanpat Rai & Co. Pvt. Ltd.,
New Delhi (2004).
and involvement of employee are to be ensured by the policies
[12] Besterfield, D.H., Michna-Besterfield, C., Besterfield, G.H. and
of management. Once top management accepts the need and Besterfield-Sacre, M., “Total Quality Management” Pearson Education,
responsibility for organizational change, intended goals can be New Delhi (2006).
realized [9]. [13] Bottroff, D.L., “How ethics can improve business success”, Quality
Progress, pp 57-59 (1997).
16. Trust
Trust is a by-product of integrity and ethical conduct. Without
trust, the framework of TQM cannot be built. Trust fosters full
participation of all members. It allows empowerment that
encourages pride ownership and it encourages commitment. It
allows decision making at appropriate levels in the organization,
fosters individual risk-taking for continuous improvement and
helps to ensure that measurements focus on improvement of
process and are not used to contend people. Trust is essential to
ensure customer satisfaction. So, trust builds the cooperative
environment essential for TQM.
Conclusion
Total quality management has played an important role in the
success of any industry. Forgetting the major share of market
and customer satisfaction (internal and external), quality
improvement in all the aspects of an industry has become very
essential. Various benefits can be achieved through successful
implementation of Total quality management but TQM
implementation is not an easy job. In the present work an effort
has been made to identify various enablers have also been
searched through the literatures which help in implementation of
TQM. During the study it has been found that it is not mere
sufficient to identify these enablers but their analysis is also very
important. It is proposed for future work to find the driving
enablers through which TQM implementation is easy and
successful.
References
[1] Mohanty, R.P. and Behera, A.K., “TQM in the service sector”, Work
Study, vol. 45, no. 3, pp 13-17 (1996).
[2] Mehra, S., Hoffman Joyee, M. and Sirias, D., “TQM as a management
Strategy for the next millennia”, International Journal of Operations and
Production Management, vol. 21, no.05/06, pp 855-876 (2001).
[3] Lakhe, R.R. and Mohanty, R.P., “Understanding TQM”, Journal of
Production, Planning and Control, Vol. 5, No. 5, pp. 426-441 (1994).
[4] Grover, S., Agrawal, V.P. and Khan I.A.,“A digraph approach to TQM
evaluation of an industry”, International Journal of Production Research,
370
Artificial Intelligence Tools in Financial

Prediction: Emperical Study in Indian Share
Market
Satyajit Dhar1 , Tuhin Mukherjee2 , Arnab Kumar Ghoshal3
1
Department of Business Administration , University of Kalyani , India
1
satyajitdhar@yahoo.co.in
2
Department of Computer Science and Application , Ramakrishna Mission Vidyamandira , India
2
tu_2002@rediffmail.com
3
Department of Computer Science and Application , Ramakrishna Mission Vidyamandira , India
3
mr.arnabghoshal@gmail.com
Abstract - Financial prediction, though controversial, has been I. INTRODUCTION

the center of attraction for the investors around the glob due to
high return. The controversy is mainly due to the popularity of Financial prediction, though controversial, has been the center
several well known theories which ultimately concludes that of attraction for the investors around the glob due to high
price movement in financial markets can never be predicted. The return. The controversy is mainly due to the popularity of
most important of such theories is Efficient Market Hypothesis several well known theories which ultimately concludes that
(EMH) (Fama,E. , 1964). The success of ANN-based methods price movement in financial markets can never be predicted.
for financial forecasting at various frequencies is thus a well The most important of such theories is Efficient Market
established fact. It is, however, well known that a solution Hypothesis (EMH) (Fama,E. , 1964).
obtained through standard neural network training algorithms
like back propagation suffers from serious drawbacks. These A different perspective on the prediction comes from Random
include the possibility of convergence to a local minima and a Walk theory (Malkiel, B. G. 1973). In this theory, financial
search for optimum network architecture through market prediction is believed to be impossible where prices
experimentation.
are determined randomly and outperforming the market is
To overcome such difficulties, this paper is involved to develop infeasible.
Artificial Intelligence (AI) models for forecasting financial time
series. A hybrid methodology combining Artificial Neural In view of the above circumstances, it is evident that
Network (ANN) and Genetic Algorithm (GA) has been proposed uncertainty and consequent investment risk is common to all
for forecasting any financial time series, after Discrete Wavelet kind of financial markets. Such risk is associated with short
Decomposition (DWD) of the series. We apply the proposed as well as long term future state of the market returns. The
technique to build one step ahead as well as multi step ahead best that an investor can do is to try to reduce this risk but can
forecasting models for some randomly selected stocks traded in not eliminate it completely. There are several ways like
Indian Capital Market. In the empirical study, a comparison of diversification, forecasting model building etc. for such risk
the proposed method with Fixed Geometry Neural Networks
minimization.
(FGNN) and various conditional heteroscedastic models (say
ARCH/GARCH Models) is carried out. We judge the Artificial Neural Networks (ANNs) are patterned after the
performance of the proposed modeling techniques from their parallel processing methods of the human brain. The
out-of-sample predictive ability in terms of certain evaluation biological brain is composed of several interconnected
criteria like Absolute Average Error (AAE), Mean Absolute
processing elements called neurons, which transmit
Percentage Error (MAPE), Mean Square Error (MSE),
Maximum Absolute Error (Max AE), R-Square (R-SQ) between information when the brain learns. Although human brain is
actual and predicted values etc. Results of the empirical study slower than traditional computers in numeric calculations, the
indicate superior performance of the proposed modeling human brain can abstract and generalize data instantly on
technique as compared to traditional time series forecasting problems which a computer could not even understand.
models. Similarly ANN use interconnected processing elements
Keywords - Artificial Neural Network (ANN) forecasting models, governed by algorithms that allow them to learn from
Genetic Algorithm, Discrete Wavelet Decomposition (DWD) of mistakes, recognize patterns in noisy data, and operate with
financial time series, Artificial Intelligence (AI), Heteroscedastic incomplete information. By emulating the processing
models. capabilities of the human brain, ANN (which is nothing but a
371
non-linear statistical model) attempt to overcome the III. DIFFICULTIES in FINANCIAL FORECASTING
limitations of traditional computational tools. and SUITABILITY of ANN MODELING
The prediction of the price movement of the stocks is one of Stock market has long been considered a high return
the issues on research of stock market. Because the neural investment field. Due to the fact that stock markets are
network can find a model proved by the training set, so the affected by many highly interrelated economical, political and
training set and the settings of the parameters become even psychological factors that interact with each other in a
extremely important. In addition, because the stock market‟s very complex fashion, it is very difficult to forecast the
dynamics are very quick and the model for this system may movement in stock market.
change in the short term, the more recent data should be given
Predicting is telling about the future which will incur certain
much weight to on the consideration of the market. On the
error. To produce a meaningful prediction, the error incurred
other side, the old data should be lower estimated by the
must be minimum. There are several ways Wavelet
network, without loosing much of the general characteristics
Decomposition (DWD) of financial time series, Artificial
of the model of the domain.
Intelligence (AI) used by investors to predict stock market
While numerous scientific attempts have been made, no returns such a technical analysis, fundamental analysis and
method has been discovered to accurately predict stock price mathematical models. However these techniques incapable of
movement. The difficulty lies in the complexity of modeling determining the exact forecast price. Due to these
human behavior. This paper is an attempt to use ANN imperfection factor current studies using soft computing
approach for financial forecasting (direction of price techniques (Soft Computing represents that area of Computing
movement as well as future estimate). adapted from the physical sciences.) such as Granular
Computing, Rough sets, Neural Networks, Fuzzy sets and
The rest of this paper describes basics of stock market
Genetic Algorithms are highly used to improve the prediction
dynamics, difficulties in financial forecasting and suitability
accuracy and computational efficiency compared to earlier
of ANN modeling in this respect, review and classification of
techniques.
literature, experiment of this study comprising of searching
for optimal parameter selection of ANN approach, and a final With the advancement being made in computer and
conclusion indicating major findings with new area of telecommunication technologies today, the world‟s major
investigation as well as limitation of this research study. economies and financial markets and becoming more and
more globalize. As this trend accelerates, financial markets
II. BASICS of STOCK MARKET DYNAMICS
are becoming more and more interrelated and fundamental
When predicting the future prices of Stock Market securities, factors will become increasingly critical to financial market
there are several theories available. The first is Efficient analysis. In the global marketplace, the prevailing methods of
Market Hypothesis (EMH) (Fama, E. , 1964). In EMH, it is technical analysis where a single market is modeled through
assumed that the price of a security reflects all of the historical simulation and back testing of its own past price (or
information available and that everyone has some degree of volume) behavior is rapidly losing its competitive advantages.
access to the information. Fama‟s theory further breaks EMH Institution and individual traders both are increasingly
into three forms: weak, semi-strong, and strong. In weak applying new technologies to financial forecasting. Recent
EMH, only historical information is embedded in the current research shows that these nonlinear domains can be modeled
price. The semi-strong form goes a step further by more accurately with these technologies (like ANN) than with
incorporating all historical and currently public information the linear statistical and single-market methods that have been
into the price. The strong form impounds historical, public the mainstay of technical analysis throughout the past decade.
and private information such as insider information in the
Another advantage of ANN implementation is that the
share price. From the tenets of EMH, it is believed that the
processing is distributed among many nodes. Even if some of
market reacts instantaneously to any relevant information or
the nodes fail to function properly, the effect on the overall
news and so it is impossible to consistently outperform the
performance of the system will not be significant. This
market.
assertion can be verified by turning off m randomly selected
Thus, no method can beat the market news, events and new hidden layer nodes and observing the resulting effect on the
fundamental developments which influence price movements system performance.
that occur randomly and are unknowable in advance.
However due to their large number of inputs, network pruning
A different perspective on prediction comes from Random is important to remove redundant input nodes and speed up
Walk theory (Malkiel, B. G. 1973). In this theory stock training and recall. Essential features of a neural network are:
market prediction is believed to be impossible where prices The network topology, Computational functions, and Training
are determined randomly and outperforming the market is algorithm. Decisions on the target output with respect to
infeasible. concerned inputs will select these features along with their
respective parameters like learning rate, number of hidden
layers, and number of nodes in each layer etc.
372
Financial neural network must be trained to learn the data and another time series (such as volume) to be considered
generalize, while being prevented from overtraining and „reliable‟ (Pring, 1999). Non-pattern matching techniques
memorizing the data. Once trained, the network parameters which also attempt to predict future direction of a time series
(weights) will be kept fixed. The model is then used with the are also classification problems. Quite often, in addition to
input data set for prediction. A neural network can be predicting future direction of a time series, classification
designed to predict the direction, magnitude or just turning research attempts to classify stocks into two main groups,
points in the stock price movement. namely „Winner‟ and „Loser‟ as in bankruptcy and financial
distress predictions.
IV. LITERATURE REVIEW
Wavelet Decomposition (DWD) of financial time series,
This review classifies the literature into the topics proposed by
Artificial Intelligence (AI)The following papers are
Tan (2001) and augments these classifications with one more
representative of the current research in pattern recognition,
category, namely Hybrid. In the following sections we
classification and clustering: (Tan, 1996; Tan and Dihardjo,
present a brief overview of the studies with appropriate
2001; Mozuno Kosaka et al. 1998; Baba Yangun et al. , 2001;
classification.
Skabar and Cloete, 2001;Suh and La Barre, 1995;Fu Chung et
A. Forecasting Time Variant Series: al. , 2001;Kamijo and Tanigawa, 1990;Baba and Handa,
1995;Baek and Cho, 2000). As described above, the research
Research reviewed in this area generally attempts to can generally be classified as „Winner‟ and „Loser‟ detection
predict the future data points of some time series using or pattern matching. The work of Tan, and later Tan and
historical data sets. Possible time series include: Base time
Dihardjo uses the concept of „Winner‟ and „Loser‟
series data (e.g. closing prices) or time series derived from classification, as does Lango, Suh and La Barre, and Skabar
base data (e.g. indicators which are frequently used in and Cloete. Specifically Skabar and Cloete do not predict
Technical Analysis). There are many studies that attempted to
„Winner‟ and „Loser‟, but predict two disparate categories,
predict future values of a series from the past values of that namely „up‟ and „down‟ (direction of returns). The work of
same series or using data from different series. The studies Kamijo and Tanigawa provides an excellent example of
those are representative of the current research in the time
pattern matching, with the authors building ANNs to identify
series prediction include (Chan and Foo, 1995; Quah and „triangle‟ pattern in stock market data (the „Triangle‟ is a
Srinivasan, 2000; Yao and Poh, 1995; Hobbs and Bourbakis, specific pattern used in technical analysis). Researchers are
1995; Austin Looney et al. , 1997; Falas Charitou et al.
encouraged to determine a fixed period of time in which a
,1994). These studies consider data from both fundamental pattern should occur. The work of Fu Chung et al. (2001)
and technical analysis. For example Falas et al. (1994) used provides examples of using genetic algorithms to „fix‟ the
ANNs to attempt to predict future earnings based on reported
length of patterns, making them suitable for study using
accounting variables. They found no significant benefit using ANNs.
ANNs and concluded that accounting variables chosen were
not appropriate earning predictors. Quah and Srinivasan C. Optimization Searching:
(2000) used mainly accounting variables to predict excess
Research in this area covered the problems where patterns
returns (with limited success). Chan and Foo (1995) used
in the data are not known, often optimal or sub-optimal
ANNs to predict future time series values of stock prices, and
selection of parameters and determining the optimal or near
used these „future‟ values to compute a variety of Technical
optimal point at which to enter into the transactions. For an
Indicators. They concluded that the networks ability to
example of this style of optimization using ANNs, index
predict, allows a trader to enter a trade a day or two before it is
arbitrage (taking the advantage of price differential in two
signaled by regular technical indicators, and this accounts for
markets without assuming risk) timing has been proposed by
the substantially increased profit potential of the market
Chen Chianglin et al. (2001). Their model attempts to
participants.
optimize the correct entry point timing for index arbitrage
B. Pattern Matching, Classification, and Clustering: positions. Current arbitrage models propose establishing an
arbitrage position, immediately when an opportunity arises;
Pattern recognition, classification and clustering techniques
the neural network approach is to attempt to locate the timing
have been grouped together as their goal is normally not to when there will be a maximum basis spread for the arbitrage,
predict future values of a time series, but to predict future thereby increasing profit potential. Their research concludes
direction of a time series. For example, the primary goal of
that the neural model significantly outperforms the traditional
chartists (a style of technical analysis) is to attempt to predict approach.
trend turning points by studying chart price, looking for
certain patterns. Chartists have noticed that these patterns D. Hybrid:
tend to reoccur, and are reasonably reliable indicators of the
This category is used to distinguish research which
future directions of price trends. There are great deals of these
attempted to exploit the synergy effect by combining more
chart patterns, and different analysts attach different
than one of the above styles. There appears to be a wide
weightings to the predictive power of any given pattern. Also,
acceptance of the benefit of the synergy effect, whereby the
these patterns normally need to be confirmed by values from
whole is seen as being greater than the sum of the individual
373
parts. Technical analysis particularly lends itself to this style variable in all these case studies is 'Closing Price‟ at
of research, as a large focus of technical analysis concerns the the end of the next day'. A comparison of the
detection of patterns in data and the examination of the proposed method with the usual fixed-geometry neural
behavior of market participants when these patterns are networks and various types of conditional heteroscedastic
manifest. models is also carried out. The daily 'spot market'
rate data on the three series from January 2006 to
There is a growing trend towards using the ensemble
December 2009 have been taken from the official
approach(combining features from two or more approaches) to
web site of National Stock Exchange of India.
leverage the synergy effect. The papers which are
representative of the current research in this category include Different types of neural networks constructed for the
(Liu and Lee, 1997; Leigh Purvis et al. , 2002; Baba Inove et present study are:
al. ,2002; Jang Lai et al. , 1991; Wong and Lee, 1993;
A. Genetically Optimized Neural Networks (GNN) :
Chenoweth Obradovic, 1995; Abdullah and Ganapathy,
2000). GNN are constructed using the methodology described in
the previous section. Both genetically optimized feedforward
The majority of the ensembles draw their components from a
(GFF) and genetically optimized feedback (GFB) networks
variety of soft computing methods. An approach combining
have been considered. Results for the usual square error
ANNs and genetic algorithms (GAs) is provided by Baba
loss (SEL) and the absolute error loss (AEL) functions
Inove et al. (2002) using ANNs for their predictive ability and
are reported. The initial parameter space on which GA is
GAs to determine the best way to react to that information.
applied for optimization is described below:
Some ensembles combine multiple ANNs, for example, Jang
Lai et al. (1991) combine two ANNs, one that takes a short  Input layer neurons: lagged dependent variable
term view of market movement, with one that takes a longer and technical indicators.
term view. They then build a model which reacts to a  Hidden layers: maximum two.
weighted output sum of the outputs of both models.  Hidden layer neurons: maximum 16.
V. EXPERIMENT of THIS STUDY  Activation functions: sigmoid, tanh and linear.
 Size of initial population: 100.
According to our plan, after a given stock price series is  Learning rate parameter range: 0.1 to 0.85
decomposed using a DWT, we obtain the corresponding
 Momentum rate parameter range: 0.1 to 0.70
approximation and details series at a predetermined level of
 Network architecture: feed-forward and feedback.
resolution. Our understanding is that the observed price rate
We have reported performances of the following four
series can be thought of as a mixture of some distinct
types of GNN:
process components at different scales and volatility levels,
which is typical of financial time series. Since the observed  Genetically optimized feed-forward network using
time series is a mixture of such complex processes, a absolute error loss function (GFF, AEL)
forecaster who is unable to identify the separate scale-  Genetically optimized feedback network using
related components of the series, is unable to produce absolute error loss function (GFB, AEL)
models which is capable of giving accurate forecasts. On  Genetically optimized feed-forward network using
the other hand, if we are able to decompose the original square error loss function (GFF, SEL)
time series into scale or frequency related components and  Genetically optimized feedback network using
model each component separately, we can produce more square error loss function (GFB, SEL)
accurate models. With this understanding, after obtaining the
wavelet decomposition, we design neural network predictive B. Fixed Geometry Neural Networks (FNN):
models for each of the decomposed components of the
original series. Input variables of the neural network models For the purpose of comparison of the proposed GNN
for each of the decomposed series, comprise the lags of the networks with the fixed-geometry networks we report the
respective series (up to 12) and moving averages (centered performance of eight different types of networks. The
at the most recent point) up to a window length of 12. We networks are different in terms of the number of hidden
consider a multiple hidden layer (maximum of two layers) neurons (8 or 16), the type of loss functions (AEL or
feed-forward neural network design for modeling the SEL) and the type of activation function (sigmoid or
component series. We finally arrive at the Genetically tanh). We consider networks with all possible
Optimized Neural Network forecasting model for each of the combination of these parameters.
wavelet decomposed series. We call the resulting model, a
Wavelet Decomposed Genetically Optimized Neural Network
(WDGNN) forecasting model.
In this paper we present the performance of the
proposed genetically optimized neural network models
developed for the said stock price rates. The target
374
VI. RESULT OF THIS EXPERIMENT AGARCH(1,1) 0.02579 47 0.96438

EGARCH(1,1) 0.02578 49 0.96438
TABLE I
WDGNN and GNN for LEAD PERIOD 1
HINDAL- ARCH(1) 0.00867 45 0.96214
Stock Method AAE PCM RSQ CO ARCH(1)-M 0.00865 45 0.96290
BPCL WDGNN 0.00681 84 0.98211 (Alumini- GARCH(1,1) 0.00865 48 0.96234
(Refineries) GNN 0.01132 51 0.91837 um) GARCH(1,1)- 0.00859 55 0.96311
CIPLA WDGNN 0.00343 89 0.92253 M
(Pharmaceutical) GNN 0.00614 46 0.70671 AGARCH(1,1) 0.00865 50 0.96237
DLF WDGNN 0.45465 90 0.99702 EGARCH(1,1) 0.00865 50 0.96235
(Construction) GNN 1.32432 51 0.97075
HCLTECH WDGNN 0.00143 89 0.99418 HINDUN- ARCH(1) 0.00848 47 0.96516
(Software) GNN 0.00557 55 0.89287 ILVR ARCH(1)-M 0.00844 51 0.96609
HERO HONDA WDGNN 0.00885 87 0.99589 (Diversifie- GARCH(1,1) 0.00846 48 0.96525
(Auto-mobiles) GNN 0.02611 47 0.96189 d) GARCH(1,1)- 0.00874 53 0.96608
HINDA-LCO WDGNN 0.00336 88 0.99448 M
(Aluminium) GNN 0.00887 50 0.95573 AGARCH(1,1) 0.00847 47 0.96522
HINDU-NILVR WDGNN 0.00325 87 0.99601 EGARCH(1,1) 0.01305 46 0.92239
(Diversified) GNN 0.00892 49 0.95911
NTPC WDGNN 0.00282 91 0.99608 NTPC ARCH(1) 0.00763 46 0.96470
(Power) (Power) ARCH(1)-M 0.00762 46 0.96552
GNN 0.00783 53 0.96232
GARCH(1,1) 0.00762 47 0.96482
GARCH(1,1)- 0.00782 53 0.96565
TABLE II M
ARCH/GARCH MODELS for LEAD PERIOD 1 AGARCH(1,1) 0.00762 46 0.96481
EGARCH(1,1) 0.00762 46 0.96481
Stocks Model AAE PCM RSQ
BPCL ARCH(1) 0.01221 46 0.91439
TABLE III
(Refine- ARCH(1)-M 0.01120 56 0.92449
ries) GARCH(1,1) 0.01121 50 0.92470 OUT of SAMPLE PERFORMANCE at DIFFERENT
GARCH(1,1)- 0.01261 50 0.92354 LEVELS of WAVELET DECOMPOSED SERIES
M
AGARCH(1,1) 0.01122 50 0.92473 Stocks Component AAE RSQ
EGARCH(1,1) 0.01122 50 0.92473 BPCL a(3) 0.00674 0.98023
CIPLA ARCH(1) 0.00607 47 0.91439 (Refineries) d(3) 0.00129 0.97976
(Pharmace- ARCH(1)-M 0.00620 40 0.92449 d(2) 0.00134 0.93313
utical) GARCH(1,1) 0.00607 45 0.73632 d(1) 0.00139 0.89895
GARCH(1,1)- 0.00616 43 0.92354 CIPLA a(3) 0.00294 0.91027
M (Pharmace- d(3) 0.00071 0.98361
AGARCH(1,1) 0.00607 47 0.32473 utical) d(2) 0.00073 0.94512
EGARCH(1,1) 0.00607 47 0.92473 d(1) 0.00073 0.89650
DLF ARCH(1) 1.34068 41 0.97459 DLF a(3) 0.37441 0.99744
(Construc- ARCH(1)-M 1.32856 47 0.97549 (Construc- d(3) 0.11790 0.98223
tion) GARCH(1,1) 1.33800 39 0.97456 tion) d(2) 0.12016 0.95349
GARCH(1,1)- 1.35050 44 0.97464 d(1) 0.15881 0.88863
M HCLTECH a(3) 0.00086 0.99821
AGARCH(1,1) 1.33861 42 0.97452 (Software) d(3) 0.00046 0.98509
EGARCH(1,1) 1.33861 43 0.97453 d(2) 0.00087 0.94114
HCLTECH ARCH(1) 0.00466 47 0.93463 d(1) 0.00083 0.91023
(Software) ARCH(1)-M 0.00466 47 0.93492 HERO a(3) 0.00756 0.99702
GARCH(1,1) 0.00465 48 0.93481 HONDA d(3) 0.00162 0.98491
GARCH(1,1)- 0.00576 50 0.93250 (Auto- d(2) 0.00326 0.95389
M mobiles) d(1) 0.00299 0.89098
AGARCH(1,1) 0.00465 47 0.93479
EGARCH(1,1) 0.00465 49 0.93483 HINDALCO a(3) 0.00268 0.99545
HERO ARCH(1) 0.02580 45 0.96432 (Aluminium) d(3) 0.00061 0.98373
HONDA ARCH(1)-M 0.02572 49 0.96521 d(2) 0.00112 0.94796
(Auto- GARCH(1,1) 0.02578 47 0.96436 d(1) 0.00103 0.89212
mobiles) GARCH(1,1)- 0.02639 55 0.96522 HINDUNIL a(3) 0.00254 0.99727
M VR d(3) 0.00049 0.98649
375
(Diversified) d(2) 0.00119 0.94674 GARCH(1,1)- 0.00717 50 0.86770

d(1) 0.00105 0.87397 M
AGARCH(1,1) 0.00681 50 0.86839
EGARCH(1,1) 0.00681 48 0.86841
NTPC a(3) 0.00224 0.99715 HERO ARCH(1) 0.03874 45 0.92334
(Power) d(3) 0.00042 0.98607 HONDA ARCH(1)-M 0.03865 49 0.92407
d(2) 0.00092 0.95681 (Auto- GARCH(1,1) 0.03874 45 0.92337
mobiles) GARCH(1,1)- 0.03857 54 0.92357
d(1) 0.00089 0.90346
M
TABLE IV AGARCH(1,1) 0.03876 45 0.92339
EGARCH(1,1) 0.03875 44 0.92339
WDGNN and GNN MODELS for LEAD PERIOD 2 HINDAL- ARCH(1) 0.01283 48 0.91544
CO ARCH(1)-M 0.01427 53 0.84463
Stock Method AAE PCM RSQ (Alumini- GARCH(1,1) 0.01283 48 0.91557
BPCL WDGNN 0.00795 77 0.96823 um) GARCH(1,1)- 0.01275 52 0.87517
(Refineries) GNN 0.01611 59 0.85568 M
CIPLA WDGNN 0.00391 83 0.87265 AGARCH(1,1) 0.01283 48 0.91559
(Pharmaceutical) GNN 0.00866 52 0.47261 EGARCH(1,1) 0.01282 48 0.91557
DLF WDGNN 0.98249 82 0.98943 ARCH(1) 0.01304 46 0.92235
(Construction) GNN 1.87900 53 0.93997 ARCH(1)-M 0.01304 48 0.92326
HCLTECH WDGNN 0.00258 90 0.98044 HINDUNI GARCH(1,1) 0.01305 46 0.92240
(Software) LVR GARCH(1,1)- 0.01314 52 0.92262
GNN 0.00654 61 0.87673
(Diversifie- M
HERO HONDA WDGNN 0.01428 84 0.99073 d)
(Auto mobiles) AGARCH(1,1) 0.01306 46 0.92239
GNN 0.05750 52 0.84156
EGARCH(1,1) 0.01659 46 0.88424
HINDALCO WDGNN 0.00514 87 0.98786
(Aluminium) GNN 0.01263 54 0.91257
NTPC ARCH(1) 0.01158 47 0.92241
HINDUNILVR WDGNN 0.00545 80 0.98835 (Power) ARCH(1)-M 0.01156 52 0.92303
(Diversified) GNN 0.01297 50 0.92006 GARCH(1,1) 0.01157 47 0.92249
NTPC WDGNN 0.00458 84 0.98946 GARCH(1,1)- 0.01163 50 0.92269
(Power) GNN 0.01148 54 0.91999 M
AGARCH(1,1) 0.01158 47 0.92248
TABLE V EGARCH(1,1) 0.01158 47 0.92248
ARCH/GARCH MODELS for LEAD PERIOD 2
VII. CONCLUSION
Stocks Model AAE PCM RSQ There has been a growing interest in modeling and
BPCL ARCH(1) 0.01815 53 0.81244 forecasting financial market movements over the past
(Refiner- ARCH(1)-M 0.01601 56 0.85980 couple of decades. As changes in financial rates are known
ies) GARCH(1,1) 0.01602 54 0.85995 to exhibit non-linear dependencies, ANN techniques have
GARCH(1,1)- 0.01957 54 0.85228 been successfully used by researchers for forecasting.
M
Results from these studies indicate a superior performance
AGARCH(1,1) 0.01603 49 0.85996
EGARCH(1,1) 0.01603 54 0.85996
of ANN models as compared to traditional statistical
CIPLA ARCH(1) 0.00853 57 0.50541 models. A major problem under the traditional ANN
(Pharmace ARCH(1)-M 0.00871 49 0.48487 approach is that the network builder has to decide
utical) GARCH(1,1) 0.00852 58 0.50580 subjectively about the values of a number of network
GARCH(1,1)- 0.00858 51 0.49753 parameters such as the number of hidden layers, the
M number of nodes in each hidden layer, the number of
AGARCH(1,1) 0.00853 57 0.50533 input nodes, etc. As a result, there exists a substantial risk
EGARCH(1,1) 0.00853 57 0.50534 of convergence to a local minimum rather than to the
DLF ARCH(1) 1.89953 42 0.94381 global minimum.
(Construc- ARCH(1)-M 1.86407 47 0.94678
tion) GARCH(1,1) 1.89400 42 0.94376 With a view to exploring the non-linearity and
GARCH(1,1)- 1.90841 41 0.94295 overcoming the shortcomings of the traditional ANN
M models, we provide an alternate approach using ANN and
AGARCH(1,1) 1.89538 43 0.94370 genetic algorithm optimization techniques for building
EGARCH(1,1) 1.89538 43 0.94370 forecasting models for stock market price rates. The out-of-
HCLTECH ARCH(1) 0.00682 49 0.86832 sample forecasts obtained using the proposed approach are
(Software) ARCH(1)-M 0.00680 49 0.86951 significantly better than those obtained using a traditional
GARCH(1,1) 0.00681 48 0.86840 ANN and statistical time series modeling approach. An
376
exhaustive comparison of the proposed technique with

fixed-geometry neural networks proves that the proposed
approach is better suited to obtain the optimal topology of
a neural network. The best experimental results are
achieved with genetic neural networks using robust cost
functions.
From the extended experiment (based on discrete
wavelet transformation) of the multi-step ahead
forecasting models, we once again observe superior
performance of the wavelet decomposed artificial intelligence
WDGNN models. The performance of the WDGNN
forecasting models are quite encouraging, even for the
four-step ahead forecasting, the WDGNN models provide
fairly accurate forecasts with low AAE (around one percent)
and reasonably high PCM values. The performance of all
the three types of models, WDGNN, GNN and
ARCH/GARCH models, deteriorate as the lead period of the
forecasting horizon increases, which is quite natural.
ACKNOWLEDGEMENT
This paper is original work and really an advancement in
interdisciplinary research field of computer science and financial
management. All the authors contribute in this paper truly and
sincerely. Valuable references are given along with this paper.
We thank National Stock Exchange of India for supplying huge
data required for our research work in this paper.
REFERENCES
[1] Abdullah, M. H. L. b. and V. Ganapathy (2002). “Neural
Network Ensemble for Financial Trend Prediction”. Tencon 2000:
Proceedings: Theme: Intelligent Systems and Technologies for the
new millennium.
[2] Austin, M. , C. Looney et al. (1997). “Security Market Timing

Using Neural Network Models”. New Review of Applied Expert
System, Vol. 3, pp. 3-14.
[3] Baba, N. and H. Handa (1995) “Utilization of Neural Network

for Constructing a User Friendly Decision Support System to Deal
Stock”. IEEE International Conference on Neural Networks.
[4] Baba, N. , N. Inoue, et al. (2002). “Utilization of Soft Computing

Techniques for Constructing Reliable Decision Support System to Deal
Stocks”. IJCNN‟02: Proceedings of the 2002 International
Joint Conference on Neural Networks, Honolulu, Hawaii.
[5] Baba, N. , Y. Yangun, et al. (2001). “Knowledge-Based Decision
Support Systems for Dealing Nikkei-225 by Soft Computing
Techniques”. Knowledge-Based Intelligence Information Engineering
Systems and Allied Technologies KES 2001, IOS Press, Netherlands .
377
Implementation of Maintenance Management for

Productivity Improvement
Jatinder chhabra,
Asstt. Professor,Mech. Deptt. M.M University, Mullana
jatinderchhabra@yahoo.com
Abstract- In today’s scenario equipments and machinery are As maintenance leaders, we have many strategies and
part and parcel of modern industry. All the equipments and weapons at our disposal, some new, some old, some complex
machinery are subject to wear and tear and thus, the and some simple, some effective in one theatre of operations
primary goal of maintenance is to avoid or mitigate the and some better in another.
consequence failure of equipment. The object of this paper is The word maintenance does not mean repairs. But
to analyse the maintenance management in the modern maintenance really means to keep up and not only repair when it
industry. As we see that the purpose of maintenance breakdown. It must be regular and methodical process.
management is to optimize the performance of productive “The emphasis should be on the maintenance not on repair.”
facility of an organization by ensuring that they function Thus it can be said that the maintenance is responsible for
efficiently and regularly, which can be achieved by smooth and efficient working of the industrial plant and helps in
preventive maintenance and condition based maintenance. improving the productivity.
Preventive maintenance includes partial or complete In words of A Kelley and Harri S.M.J. “Maintenance is
overhauls at certain specific intervals. In this paper we will related to profitability running cost. Maintenance work raises
be taking the case study on the total productive the level of equipment performance and availability but at the
maintenance. Thus the goal can be accomplished by same time it adds to running cost.
educating and convincing the employees by this restorative
function of production management, which will lead to II. MAINTENANCE OBJECTIVE
improvement of quality of product an ultimately the Maintenance purposes, functions and objectives are inter-
productivity of the plant. related and are overlapping to some extent. The purpose of
maintenance management is to optimise the performance of
Keywords - Maintenance Management, Preventive Maintenance productive facility of an organization by ensuring that these
(PM), Productivity Improvement. function regularly and efficiently. The main objective of
maintenance management is as follows:-
1. Minimizing the loss of productive time because of
I. INTRODUCTION equipment failure to maximize the availability of plant,
Today, in modern industry, equipments and machinery is a equipment and machinery for productive utilization
very important part of the total productive effort that was the through planned maintenance.
years ago. The efficiency of production function solely depends 2. Minimizing the loss due to production stoppages.
upon functional reliability of the production facilities which are 3. To maximise efficiency and economy in production
nothing but a packaged or combination of load, building, plant, through optimum utilization of available facilities.
tools, equipment and services, utilized in the plant such as 4. To improve the quality of products and to improve the
material handling power plant, water supply and fire fighting productivity of the plants.
facilities etc. All these facilities are subject to wear and tear, 5. To minimize the total maintenance cost which may
hence proper attention should be given to protect them from consist of cost of repairs, cost of preventive
undue wear as well as wear and tear by elapse of time or by the maintenance and inventory cost, associated with spare
frequency of their use. parts / materials required for maintenance.
It has rightly said by „Joel Levitt‟ in his paper the ‘The Battle 6. To improve reliability, availability and main tenability.
of Maintenance‟ that maintenance is war. Your enemies are the Maintenance management is responsible for the smooth and
triumvirate of break downs, deterioration and all types of efficient working of the industrial plant and helps in improving
unplanned events. Your soldiers are the maintenance department the productivity. It also helps to keep the machine / equipment
and as many civilians as you can recruit. in their optimum operating conditions.
378
Thus maintenance management is associated with the availability of components in time etc. Other forms of wastes
direction and organization of various resources so as to control includes idle machines, idle manpower, breakdown machine,
the availability and performance of the industrial unit to some rejected parts etc. are all examples of waste. The quality related
specifies level. waste are of significant importance as they mater the company
Basically, maintenance work can be planned or unplanned. in terms of time, material and the hand earned reputation of the
Planned maintenance is maintenance work organized and company.
carried out with foresight, control and records to a Zero oriented concepts such as zero tolerances for waste,
predetermined plan defects, breakdown and zero accidents are becoming a pre-
Unplanned maintenance is caused due to break down that has requisite in the manufacturing and assembly industry. In this
not been fore seen. situation has been a revolutionary concept of TPM has been
Maintenance can be classified into:- adopted in many industries across the world to address the
above said pros cause.
TPM is an innovative Japanese concept. The origin of TPM
can be traced back to 1951 when preventive maintenance was
introduced in Japan.
TPM can be considered as the medical science of machines.
Total productive maintenance is maintenance program, which
involves a newly defined concept for maintaining plants and
equipments. The goal of the TPM problem is to markedly
increase the production while, at the same time, increasing
employee moral and job satisfaction.
TPM brings maintenance into focus as a necessary and vitally
important part of the business. It is no longer regarded as a non-
profit activity. Down time for maintenance is scheduled as a part
of the manufacturing day. The goal is to hold emergency and
unscheduled maintenance to a minimum.
A. Why TPM
TPM was introduced to achieve the following objectives. The
important ones are listed below:-
 Avoid wastage in a quickly changing economic
Fig. 1 Maintenance Classification environment.
Two main classes of maintenance work, the most important,  Producing goods without reducing product quality.
which accounts for most of the maintenance work you do, is  Reduce Cost.
preventive maintenance.  Product a low batch quality at the earliest possible
Preventive maintenance attempts to prevent any probable time.
failures/ breakdown resulting in production stoppage. It is said  Goods send to the customer must be non-defective.
that “Preventive maintenance is a stitch in time save nine.” So it
follows a slogan that prevention is better then cure. B. Motives of TPM
The preventive maintenance consists mainly of the regular
lubrication, inspection, calibration, replacements and clearing of Adoption of life cycle approach for improving the overall
your equipment. performance of production equipment.
The purpose of preventive maintenance is to prevent Improving productivity by highly motivated workers, which
malfunction before they appear and discover existing is achieved by job enlargement.
malfunction before they become critical. Preventive The use of voluntary mall group activities for identifying
maintenance is based on the well-known principle that announce the cause of failure, possible plant and equipment
of prevention in the form of adequate routine maintenance is modification.
worth a proud of cure in the form of emergency repair,
replacement and overhaul. C. Objective of TPM
In today‟s industrial scenario Hugh losses / wastage occur in
the manufacturing shop floor. This waste is due to operators,  Achieve zero defects, zero breakdown and zero
maintenance personal, process, tooling, problems and non accidents in all functional areas of the organization.
379
 Involve people in all levels of organization. Institute of Plant Engineers (JIPE) was formed in 1969,
 Forms different teams to reduce defects and self- which was the predecessor to the Japan Institute of Plant
maintenance. Maintenance (JIPM). In 1969, JIPE started working closely
with the automotive component manufacturer - Nippondenso
- on the issue of PM, and when the company decided to change
roles of operators to allow them to carry out routine
maintenance this was the beginning of TPM. Tajiri and
D .Benefits of TPM Gotah 1992) point out that whilst TPM was communicated
 Increase in productivity and OEE (overall equipment throughout apan only a small number of factories took up the
efficiency) challenge. It was the severe economic situation in the
 Reduction in customer complaints. early 1970s that accelerated the adaptation of TPM,
 Reduction in the manufacturing cost by 30%. propagated by the seven-step programme developed by the
 Satisfying the customers needs by 100%. Tokai Rubber Industries (see Nakajima, 1989).
 (Delivering the right quantity at the right time, in the In the early 1990s, Western organisations started to show
required quality,) interest in TPM following on from their total quality management
 Reduced accidents. (TQM) interventions. Whilst there are a number of publications
(e.g. Nakajima, 1988, 1989; Suzuki, 1994; Sekine and Arai, 1998; Hai
III. CASE STUDY ON TPM IMPLEMENTATION tinann, 1992; Wilmott, 1994) on the subject, there is little in the
Now, we take case study on TPM implantation with the help way of empirical study and analysis. The more academic
of Paper published by F. Ireland and B.G. Dale “A study of total papers focus on the relationship of TPM with other
productive maintenance implementation productivity initiatives (e.g. Maggard and Rhyne, 1992) and
This paper focuses on a study of total productive maintenance discussion of a specific application of TPM and the benefits (e.g.
in company. The company implemented TPM because of the Koelsch, 1993). This paper examines how TPM was
business difficulties they faced. In the company senior implemented at three companies, with particular focus on the:
management had supported TPM and set up suitable TPM journey; TPM processes used; role of TPM co-
organizational structure to facilitate its implementation. The ordinators; and the company's TPM goals. In summarising
companies had followed Nakijima‟s seven steps of autonomous the main findings of the study, a comparative analysis of the
maintenance, although different TPM had been adopted, with different approaches is presented. The study was conducted
the common ones being improvements, education and training, by semistructured interviews with key personnel, note-taking
safety and quality maintenance. of TPM meetings, and analysis of company documentation.
A. Practical implications C. Company Survey

This paper details for practitioners how three companies have This case study is based on a UK plant which was opened in
approached the implementation of TPM. It provides practical 1968 to increase production in the range of rubber products
guidance on the type of TPM process which is suitable for produced by the group. The group has around 38,000
different circumstances and in relation to specific strategic company employees and achieves annual sales of some £4.5 billion
objectives. From the data provided practitioners are able to grasp covering a range of products.
the importance of a relevant infrastructure, in particular, the role The economic recession of the early 1990s badly affected the
played by TPM co-ordinators and the type of training which is markets for the products of the plant at the focus of the study.
required for different levels of the organisational hierarchy. The In order to achieve success in this highly competitive
seven TPA-1 pillars (i.e. focussed improvements, autonomous market, Company A recognised it would have to become
maintenance, planned maintenance, quality maintenance, "world class". An analysis of the product market
education and training, early equipment maintenance, and safety highlighted the constant growth rate of the high-performance
and the environment) are critical to the success of TPM, and product segment and the need for: innovative products with
each case study highlights the means of putting these pillars in progressively shorter life cycles; more rigorous quality
place. standards for both original equipment (OE) and
replacements; and greater attention to environmental
B. Introduction matters. At the time this analysis was undertaken there was
The Japanese, based on the planned approach to preventive a gap between the activities of Company A and the
maintenance (PM), evolved the concept of total productive strategic targets of the group. Company A was also
maintenance (TPM). Nakajima (1986) outlines how, in 1953, 20 experiencing inadequate skill levels, low employee participation
Japanese companies formed a PM research group and, after a mission in its affairs, and a lack of application of appropriate' continuous
to the USA in 1962 to study equipment maintenance, the Japan improvement methodologies. To address these issues Company
380
A decided to implement TPM. fitting countermeasures to make it easier for operators to clean,
The TPM journey started in the early 1990s when the company inspect, ensure quality and optimise output. With the
launched its seven pillars of TPM: individual improvements; implementation of autonomous maintenance, the gradual change
autonomous maintenance; education _and training; TPM in from breakdown maintenance, to planned, preventative and
the offices; safety; early equipment management and quality predictive maintenance -was achieved, with consequential
maintenance. Two years later they were awarded the JIPM changes to the organisation, and operation of the maintenance
preventive maintenance (PM) award, and are now regarded as one of function.
the TPM leaders in the UK. All the managers were trained in TPM and this knowledge
helped them to support the strong TPM drive from senior
D. TPM Process management down to the shop floor. Operators were trained
A TPM steering committee was set-up with the site mainly on autonomous maintenance techniques. The
director as chair and production, maintenance, human company suggestions scheme was removed after the
resources, and continuous improvement managers as members, management team decided that it hindered progress with TPM.
along with trade union representation. The overall aims for TPM
were to achieve zero losses in accidents, defects and failures; '
 create a corporate system to maximise efficiency of the E. TPM Co-ordinators
process; When TPM was first implemented, three TPM co-ordinators
 involve all sectors including production, development were appointed, reporting to the continuous improvement manager.
and administration; Their role was to facilitate the implementation of TPM by working
 involve all employees from senior management to operators with the TPM teams and team leaders. The company still has the
and clerical staff; and co-ordinators, but the cell leaders carry out the majority of
 develop small group activities. the facilitation work. To provide technical support to the
Under a cost deployment pillar, the actual costs for each function teams, improvement engineers were allocated to each department.
were broken down. Pareto analysis was carried out to identify
the relevant costs and their associated benefits to enable F. Strategic objective
improvements to be assessed with respect to financial benefits. The strategic objectives for the group of which company A is part
For the latest two-year period for which data were available, the are to:
costs of TPM were estimated to be £400,000, with benefits of over  standardise organisational models world-wide;
£2m.  increase autonomy and empowerment to all organisational
The company analysed its six big losses (i.e. breakdowns, levels;
set-ups, speed losses, minor stoppages, lack of material and  introduce effective and efficient teamworking;
defects), according to the methodology of Nakajima (1989), and  make empowered team structures;
used the overall equipment effectiveness (OEE) measure to set  improve flexibility and reaction time to customer needs;
targets to reduce these losses. It also identified its valueadded, semi- and
value added and non-value added operations; with semi-value  improve competitiveness, quality, performance and cost.
added operations being minimised and non-value added
operations eliminated. The organisational model involves reducing the number of
The autonomous maintenance process provided the layers from five to three in the organisation (i.e. director,
company with its biggest changes to organisational culture manager, depai Unent manager, supervisor and director) (i.e.
and competencies. The company followed Nakajima's (1988) factory management team, factory team, and shift teams (i.e.
seven steps of autonomous maintenance (i.e. initial cleaning, cells) respectively. The factory management team is
countermeasures for the causes and effects of dirt and dust, cleaning responsible for the strategic plans, policies, procedures and
and lubricating standards, general inspection, autonomous know-how, as well as external communication and internal
inspection, organisation and tidiness, and full co-ordination. It is the team's responsibility to ensure
implementation of autonomous maintenance) and during standardisation and consistency of application throughout the
the first step of cleaning and tagging, which were undertaken factories. The factories have their own manager and a team
in the first two years, they generated 11,600 tags. of support staff, in maintenance, quality, process efficiency and
In order to prioritise improvement activities, the company planning. The shift teams are selfmanaged work teams whose
adopted an ABC classification system similar to that detailed by cell leaders have expertise in coaching, communication, team
Suzuki (1992). Out of a total of 329 machines, TPM activities were working and problem solving.
carried out on only the top ten, with detailed breakdown analyses
and corrective measures instituted. A programme of
machine restoration- was then followed with emphasis on
381
IV CONCLUSION
Thus, it is clear from the above discussion that the primary
goal of maintenance is to avoid or mitigate the consequence of
failure of equipment. This may be by preventing the failure
before it actually occurs which PM and condition based
maintenance helps to achieve. It is designed to preserve and
restore equipment reliability by replacing worn components
before they actually fail. PM activities includes partial or
complete overhauls at specified periods. Moreover, today with
competition in industry at an all time high. Employees must be
educated and convinced that TPM is not just another. “Program
of the month”. and that management is totally committed to the
program and the extended time frame necessary for full
implementation.
Thus maintenance management may be created as a
restorative function of production management which is
entrusted with the task of keeping in proper operating
condition.Till now, maintenance has been considered just to
repair the faculty equipment and put them back in order in
minimum possible time.
With the maintenance management, quality of product
improve and ultimately improve the productivity of the plant.
REFERENCES
[1] Joel Levitt, (1998), The battle of maintenance, www.maintenance.com,

www.maintenanceresources.com
[2] Venkatesh. J „An introduction to T.P.M,
www.plant-maintenance.com/articles/tpmintro.shtml
[3] Srivastava Sushil KUMAR (2009), Maintenance functions, Maintenance
engg. andMgt.Chapter-1, pp-2
[4] F. Ireland and B. G. Dale „A study of total productive maintenance
implementation‟ Journal of Quality in Maintenance Engineering.Vol.7
No.3, 2001, pp 183-191.
[5] Savita and S. K Sharma (2006), Introduction, Meaning and Definition,
„Industrial engg. and operation management, chapter-40, pp-811, S. K
Kataria and sons, Delhi.
[6] Nakajima, S. (1986), “T.P.M- a challenge to the improvement of
productivity by Small group activities” Maintenance Management
International, Edition No.6, Pp 73-83.
[7] Nakajima, S. (1988), Introduction to total productive maintenance,
Productivity Press, Cambridge, MA.
[8] Nakajima, total S. (1989), T.P.M Development programme: Implementing
Total Productive Maintenance, Productivity press, Cambridge, MA.
[9] Tajiri, M. and Gotah, F. (1992), T.P.M. Implementation: A Japanese
Approach, Mc Graw Hill, New York, NY.
382
Implementation of Adaptive Control using

Spindle Power
Prveen Bidare1, AyushGarg2, Lander Unanue3, Mihir Shah4, Pedro J. Arrazola5, Karunakaran, K.P.6
1,2,3,4
Department of Mechanical Engineering, Indian Institute of Technology Bombay
Powai, Mumbai-400076
bidare@iitb.ac.in
ayush.me.garg@iitb.ac.in
mihirshah@iitb.ac.in
karuna@iitb.ac.in
5,6
Department of Manufacturing, Faculty of Engineering Mondragon University
Loramendi, Arrasate/Mondragon, Spain-20500
lunanue@eps.mondragon.edu
pjarrazola@eps.mondragon.edu
Abstract -Adaptive Control (AC)primarily reduces the machining

time. It also contributes to improvements in part quality and tool Adaptive control is technique ofcontrolling the cutting parameters
life. Existing AC uses explicit sensors which are expensive and (speed, feed, depth of cut)with respect to the cutting conditions
not robust. In this paper an AC without explicit sensor is during machining operation. Cutting conditions varies during the
presented. It keeps track of spindle power and correspondingly machining due to tool wear, non-homogenous material composition
corrects the cutting parameter.For development of robust AC (especially in casting parts)and varying depth of cut.Different models
various machining signals are analyzed and results show that the are used for the implementation of adaptive control system and the
spindle power is the best indicator of instantaneous machining model shows typical relationship between the input signal and the
conditions. Today’s CNC machines provide facility to monitor output signal. The input signal is captured from the cutting zone and
spindle power online using oscilloscope. The spindle power is converted into the output signal as per the algorithm. The output
used as input signal for the proposed AC system and the output signal may be in the form of feed override, feedrate or spindle speed.
is in the form overrides of spindle speed and feed rate. During And the input signal may betool vibration, force and torque on tool,
machining spindle power varies due to spindle load variation spindle motor or feed motor current or power.These signals have
because of non-homogenous part material and varying depth of been analyzed by the researchers and they found that the spindle
cut. Researchers have already proved that spindle power motor power signal is perfect indicator ofinstantaneous machining
consumption increases as tool wear increases. Some simple condition, and hence it is best input signal for adaptive control of
methods have been developed which relate spindle power and the machining. Force and torque signal also good indicator instantaneous
feedrate override (FRO). Machining time can be reduced by machining condition but due to certain limitations with workpiece
manipulating the value of FRO during the machining i.e. when and high cost of dynamometer, the signal is not used.
the tool passes through hard zone in the part material or as
depth increases during the machining the feed override will
decrease. As per the algorithms the PLC of CNC machine Here we developed certain modelsfor converting the
modified. Here we used the CNC 8070 FAGOR simulator for the spindle motor power signal into the feed override signal. These
execution of modified PLC program and also monitoring of the modelsare used in form a computer program instructions and these
corrected feed override values. computer program instruction loaded onto the computer or any
programmable apparatus to produce a machine, such that the
instructions which execute on the computer or other programmable
Keywords- Adaptive control, Tool condition Monitoring, PLC, apparatus create means for implementing the function specified in
Feedrate Override, CNC Simulation the model. This model can be easily converted into the C program.
The modification of PLC program in CNC 8070 is done in two ways.
First, develop a C program in the PLC environment and add it to the
I. INTRODUCTION PLC project and the other is to modify PLC program itself.
Machining is one of the main activities of the manufacturing

In CNC 8070, the PLC may be accessed to check its own
industry. If the manufacturing industry has better productivity and operation or the status of the different PLC variables. It is also
profitability, the machining process should be more flexible and possible to edit and analyse PLC program, message and error files of
automated. Today’s CNC machine depends on the programmer’s the PLC. In short, the PLC mode offers the following operations:
input and operator’s skill and the feed override is decided by the
operator at the time of machining. The operator always puts feed
override in safe side meaning much lower compared tooptimal value  Edit, modify or view the contents of the PLC project.
and this leads to loss of productivity in the form of time  Debug the PLC program by executing the different parts of
consumption. If the operator puts feed override value higher than the
optimal, it leads to tool wear and worst product quality. the program separately
383
 Monitor the status of PLC resources and variables. When machining process is on, tremendous amount of heat is
generated due to the friction between chip and tool, tool and
 Check all the resources used in the PLC project and in workpiece. Tool deformation, tool wear, tool vibration also occurs
which program of the project they are being used. due to heat and friction. Many signals captured from machining zone
like acoustic emission (AE), temperature, forces and torque, current
 Edit, modify or view the texts associated with the messages and power of feed and spindle motor etc. In signal analysis different
and errors of the PLC. signals were analyzed based on certain criteria and the results are
discussed in table 1 for finding the signal more appropriate for the
adaptive control of machining. There are two type of signal captured
The Fagor 8070 CNC simulator permits editing and simulating the i.e. external and internal. For capturing external signal extra
program away from the noise and distortions of the manufacturing accessories are used, like for force and torque KISTLER 9272 4-
plant and later send that program to CNC for execution. The component dynamometer. Bruel&Kjaen Type 4321 Triaxial Charge
simulator can also be used for the execution of PLC program. Here Piezoelectric Accelerometer is used to measure the tool vibration in
we modified the PLC program according to models and executed. x, y & z axis. Thermocouple is used for measuring the temperature of
And the result of execution was available on the monitor window. workpiece. For, capturing the internal signal like power and current
There are many PLC variables for the monitoring of machining of spindle and feed motor, the data is directly captured from the
parameter but here we are need only two for spindle motor power controller of CNC machine,
and feed override.
TABLE 1
I. LITERATURE REVIEW
COMPARISON OF VARIOUS SIGNALS
Lot of parallel research is going on in the field of adaptive control of
machining (milling, drilling, and turning). Implementation of
adaptive control system for CNC machine requires an input signal, Vibra Force / Tem spindle
which can show the instantaneous machining conditions. The variety tion Torque perat motor
of signals are being analyzed for the adaptive control like Acoustic ure
emission (AE), vibration , force and torque, temperature, current of
spindle motor and feed motor, power of spindle motor. Some Linearity Not linear linear linear
signalsdo not give enough information about the machining; hence with tool linear
they may not be used as input signal for the robust adaptive control
system.N. K. Mehta has successfully developed a methodology for wear
the solution of profile error of slender parts by online optimization of
machining parameter based on real time monitoring of cutting force. Cost costl Costliest chea Cheapest
P. Bhattacharyya replaced force signal by the spindle motor power
y p
For finding the amount of tool wear during the machining, and he Ease of Easy Difficult Bit N
proved that spindle power is the accurate and reliable signal for the
placement diffic A
identification of tool wear.Kim et al. was presented the sensitivity of
the spindle power signal for performing tool condition monitoring on ult
common machining processes such as milling, turning, drilling.
Milling as an intermittent machining operation when one tooth of Workpiece Const Constrain No No
milling cutter chipped, spindle power was not enough sensitive such constraint raint ts const constraint
an event. But force and torque are the signal can show the chipping raint
of even one tool. Turning and drilling as continuous machining
operation and sensitive to get the chipped and gradual wear. M. Lang Other Recal No Coola No
et al. successfully developed a fuzzy control of spindle power in operational ibrati constrain nt constraint
CNC end milling process. The system is capable of adjusting the
feedrate and spindle speed. constraint on t insul
and ation
II. METHODOLOGY coola
nt
insul
Three basic steps have been followed for implementation of adaptive ation
control. Identification of appropriate signal which can be used as
input signal for instantaneous machining condition. Decision models
have been developed for converting input signal (spindle power) into
From the external signals analysis and above comparison from above
the output signal (feedrate override). Modification of PLC of CNC
table we can see that, Force and torque are the best indicators of the
machine has been done using these models.
instantaneous machining conditions and the instantaneous tool wear
but because of other disadvantages, it is preferred to use
1. Identification of signal accelerometer signal for adaptive control. From the internal signals
analysis, we see that power consumed by the spindle motor (in case
384
of drilling) is the best indicator of the instantaneous machining

conditions and the instantaneous tool wear.
2. Decision models
The spindle power value changes with the depth changes in

machining. Most of the time tool wears or breaks (chipping) due to
the constant feedrate in machining even the tool passes through a
hard material zone or large depth (casting parts). Here we developed
some models for converting the online power value signals into the
federate override signals. The models can easily be converted into
the computer program instructions and these computer program
instructions can be loaded into the computer or any programmable
apparatus to produce a machine, such that the instructions which
executed on the computer or other programmable apparatus create a
means for implementing the functions specified in the model.
Fig. 2- Model 1
Assume that the spindle power signal values are being
stored in variable Pi which is updated continuously by the machine.
The steps in the flow chart can be implemented by computer program
We called it as an instantaneous power. And the max power value or
instructions. Power consumed by spindle motor for one hole in the
safe power value Ps is already calculated by maximum spindle power
drilling fig 3. The graph is little scattered hence average can be taken
capacity or by experiments
of five instantaneous spindle power (Pi) values. Every power value
will be added in the another variable called Pu. And this will update
in every
Fig.1 Adaptive control Computer connection

Fig. 3: Spindle Power consumption for drilling one hole
Now if we take simplest model for changing the feed override value,
then we consider a multiplication factor which is calculated by 20 Millisecond (4×5) and then feed override value will be changed in
instantaneous power Pi and the safe power. And if we assume the every 20 millisecond. The flowchart is in fig.4
feed override by the operator is 100 % then
Fnor = 100 × Multiplication factor
Where Multiplication factor =
Where Pi = Instantaneous spindle power
Ps = Maximum Safe spindle power
The Pi values aregetting updated in every 4 millisecond (FAGOR

CNC 8070). So when the program is executed in the remote
computer it will give new feed override in every 4 millisecond. If the
instantaneous spindle power value is less than the maximum safe
power then the value of feed override will increase and if it is less it
will decrease.
Fig. 4: Model 2
385
This model is developed for two signals, so that more robust adaptive 3. Modification of PLC
control can be implemented. Namely instantaneous spindle speed
(RPM) and another is spindle power. Electrical spindle motor has The above model can easily be converted into the any computer
different power limit with respect to different spindle speed. The application program i.e. C program. There are two ways two apply
table 2 shows the power limits for Fishers spindle motor. So these these models onto the CNC machine controller.
power limits can easily be determine on the basis of power capacity 1) Develop a device (or controller) which can use these
of spindle motor or spindle amplifier. This graph will be stored in models in the form of computer instruction and can give
the computer program in the form of table 2. corrected value of feed override to the CNC controller. It
can be done by the Ethernet connection between device
TABLE 2 and controller.
2) Modification of PLC program of CNC controller. Means
SPINDLE SPEED Vs SPINDLE POWER applying the models by the modifying PLC program of
particular CNC controller.
Speed in (RPM) Maximum Spindle

The second way of implementation of models is cheap and more
power (kw)
reliable. Here we used the Simulator of CNC 8070 machine for
30000 0.00 finding the error and checking proper executionof modified PLC
40000 0.05 program. The Fagor 8070 CNC simulator permits editing and
50000 0.10 simulating the program away from the noise and distortions of the
manufacturing plant and later send and that program to the CNC for
60000 0.15
execution. In CNC 8070, the PLC may be accessed to check its
70000 0.20 operation or the status of the different PLC variables. It is also
80000 0.25 possible to edit and analyze the PLC program as well as the message
and error files of the PLC.
90000 0.30
The remote computer would typically receive the instantaneous

spindle speed (Ni) from the CNC machine then the remote computer
receives the instantaneous spindle power (Pi). Using the
instantaneous spindle rotational speed the remote computer typically
access the spindle parameter data which is listed in the table to
determine the maximum allowed spindle power value (Ps)
corresponding to instantaneous spindle speed. If the corresponding
Ni is not available in table, the interpolation method will be used. If
the feed override by the operator is F(switch) then
New feed override (Fnor) = F(switch)×

Fig.6 CNC program simulation window with different mode
If the instantaneous spindle power is less than the maximum spindle

power the feed override will be increase and if greaterthan, it will Variables are defined in the PLC library for different purposes and
decrease. The flowchart fig. 5 can be directly converted into the this variable monitored and controlled during the machining. In PLC
program and loaded on the computer. program each variable is defined by one unique register. This register
can be used many times in the PLC program; it is like variable in C
program. Here we used two variables, first one is Spindle power
value and another one is Feed override value. The respective
notations in PLC library are DRV.TV50.S and G.FRO.
1) Procedure of PLC modification:Modification in the PLC program

can be done in two ways either modify the PLC program or make a C
program in PLC environment (Fagor 8070 CNC). Experiment has
been carried out in both the ways. First model converted in the C
program is as follows.
 Initially C program is created in the PLC environment as

per our model. In PLC environment some special function
isused i.e. cncrd (CNC read), cncwr (CNC write).
 Function cncrd is used for reading the variable (Power) and
cncwr for writing i.e. writing modified values (feedarte
override). The value of feed override is saved in particular
Fig. 5 Model 3 register R102 for monitoring purpose.
386
 This C program is transferred to the PLC project of CNC

machine. So now there are two program in PLC main PLC
program and C program.
 Then compile the main PLC program and C program if no
error occurs then it is indication that program is ready for
execution.
 Using this new PLC program simulation is started for
simple CNC program (G code) and the register R102 is
monitored in window of PLC.
Fig.9 Main PLC program with MYSUM.C program
MYSUM.C program is stored into the PLC project with main PLC
program. Then whole PLC program including MYSUM.C is
compiled and if error does not occurs in the program and it is ready
to get executed.
Fig.7 PLC program in PLC project file of CNC machine
III. ILLUSTRATION
One C program MYSUM.C is created as per our model 1 in PLC

environment of Fagor CNC 8070 Simulator. Plclib.h is library file
same as other files in C like Iostream.h file. Maximum safe power for
the spindle motor is 60 kW is assumed.CNCRD function reads the
variable (Spindle power) DRV.TV50.S and stores the values in
register R1013 and same in followed for writing the variable Fig. 10 Compilation of PLC Program including MYSUM.C
(feedrate override) G.FRO.
Fig.8 C program for Modification PLC
387
Fig. 11 Monitoring of register R102 (feedrate override)
Value of register R102 is continuously monitored and found that the

value of register R102 (feedrate override) is changing as per the
model.
I. CONCLUSION
After the signal analysis we found that the force and torque is perfect
indicator of instantaneous machining condition, But due to certain
constraints with workpiece and environment, the spindle power
signal is the best suitable input for the adaptive control system.
PLC modification is cheaper and more reliable than external device.

Because the external device will increase cost and reduces the
robustness of adaptive control.
Models presented in this paper are for general conversion of spindle

power to feedrate override. To make appropriate model more
experiments has to be carried out.Same procedure of modification
can be used for every CNC machine provided the PLC must be
accessible for that particular machine.
REFRENCES
[1] L. Xu, Kent, Apparatus for machine tool federate override using
limiting parameters corresponding to actual speed, US Patent no.
7508152 B2 date March 24 2009.
[2] D.Axinte, N. Gindy, Assessment of effectiveness of a spindle
power signal for tool condition monitoring in machining process,
International journal of production research 42:13, 2679-2691,
2004.
[3] M. Liang, T. Yeap, S. Rahmati, Z. Han, Fuzzy control of spindle
power in end milling process, International journal of machine
tools & manufactures 42, 1487-1496, 2002.
[4] T. Young, O. Won, T Kwon, CN. Chu, Drilling torque control
using spindle motor current and its effect of tool wear,
International Journal of advance manufacturing 24: 327-334,
2004.
[5] L. Xu, S. Halldin, R. A. Kramp, JR, Adaptive control of composite
plycutting, Patent no. 700173.
[6] B. Giriraj, V prabhu Raja, Predidtion of tool wear in high speed

machining using acoustic emission technique and neural network,
Indian journal of Engineering and Materail Science, 13, 275-280,
2006.
[7] M.shah, Analysis of internal and external signal for adaptive
control of drilling. Project report, 2009.
[8] All the manuals of Fagor for CNC 8070.
[9] http://www.fagorautomation.com/_bin/descargas.php
388
Introduction to Total Productive Maintenance

in Industrial Scenario
Narender Sinhmar1, Dr.A.K.Gupta2
1
Department of Mechanical Engineering, 2P.D.M.College of Engineering, Sarai Aurangabad, Bhadurgarh (Haryana)
Go4narendersinhmar@gmail.com
Department of Mechanical Engineering,D.C.R.University of Science & Technolog, Murthal, Sonepat (India)
Anil_guptakkr@rediffmail.com
Abstract— Total Productive Maintenance (TPM) has production mechanics, and production support groups to
attracted the attention of industries all over the world. outside suppliers. The objective is to continuously
The perceptible impact of TPM lies in attaining the far improve the availability and prevent the degradation of
reaching productivity and quality standards. The equipment to achieve maximum effectiveness. These
intent of this paper is to establish an effective objectives require strong management support as well as
approach for introduction of Total Productive continuous use of work teams and small group activities to
Maintenance. achieve incremental improvements.
Keywords— Total Productive Maintenance; Preventive Equipment maintenance has matured from its early
Maintenance; Quality Maintenance; Overall approach of ‗breakdown maintenance‘. In the beginning,
Equipment Effectiveness; Kaizen. the primary function of maintenance was to get the
equipment back up and running, after it had broken down,
I.
where the attitude of the equipment operators was one of
1. INTRODUCTION ―I run it, you fix it‖. The next phase of the maintenance
Originally many systems in practice today do not perform history was the implementation of ‗preventive
as intended, nor are they cost effective in terms of their maintenance‘. This approach to maintenance was based on
operation and support. Manufacturing systems, in the belief that if you occasionally stopped the equipment
particular, often operate at less than full capacity. and performed regularly scheduled maintenance, the
Consequently, productivity is low and the cost of catastrophic breakdowns could be avoided.
producing products is high. In dealing with the aspect of The next generation of maintenance brings us to
cost, experience has indicated that a large percentage of TPM. In TPM, maintenance is recognized as a valuable
the total cost of doing business is due to maintenance- resource. ―The maintenance organization now has a role in
related activities in the factory (i.e., the costs associated making the 48 business more profitable and the
with maintenance, labour and materials and the cost due to manufacturing system more competitive by continuously
production losses). Further, these costs are likely to improving the capability of the equipment, as well as
increase even more in the future with the added making the practice of maintenance more efficient‖. To
complexities of factory equipment through the gain the full benefits of TPM, it must be applied in the
introduction of new technologies, automation, the use of proper amounts, in the proper situations, and be integrated
robots, and so on. with the manufacturing system and other improvement
TPM is known as Total Productive Maintenance initiatives.
where the word Total = Total employee involvement,
Total number of manufacturing equipment in the Factory,
Total processes of the factory. Productive means
generating and getting the most out of any set of inputs 2. TYPES OF MAINTENANCE SYSTEM
and Maintenance meaning the careful management and 1. Breakdown maintenance: It means that people waits
upkeep of the assets and equipment of the Factory. until equipment fails and repair it. Such a thing could be
TPM is a manufacturing program designed primarily to used when the equipment failure does not significantly
maximize equipment effectiveness throughout its entire affect the operation or production or generate any
life through the participation and motivation of the entire significant loss other than repair cost.
work force (Nakajima, 1988). 2. Preventive maintenance (1951): It is a daily
Total Productive Maintenance (TPM) provides a maintenance (cleaning, inspection, oiling and re-
comprehensive, life cycle approach, to equipment tightening), design to retain the healthy condition of
management that minimizes equipment failures, equipment and prevent failure through the prevention of
production defects, and accidents. It involves everyone in deterioration, periodic inspection or equipment condition
the organization, from top level management to diagnosis, to measure deterioration. It is further divided
389
into periodic maintenance and predictive maintenance. to try and achieve the ultimate condition of ‗‗what the
Just like human life is extended by preventive medicine, equipment and production line must be‘‘.
the equipment service life can be prolonged by doing In other words, that is free of breakdowns and
preventive maintenance. defective production. Together, these activities are
2a.Periodic maintenance (Time based maintenance - generally called ‗‗productive maintenance‘‘. In 1971,
TBM): Time based maintenance consists of periodically Nippon Denso Co. introduced and successfully
inspecting, servicing and cleaning equipment and implemented a programme called ‗‗Total Productive
replacing parts to prevent sudden failure and process maintenance‘‘ in Japan. They won the PM Excellence
problems. Plan Award for their efforts. This was the beginning of
2b.Predictive maintenance: This is a method in which the TPM in Japan, and Europe.
service life of important part is predicted based on
inspection or diagnosis, in order to use the parts to the Differences between PM and TPM
limit of their service life. Compared to periodic The differences between traditional PM and TPM
maintenance, predictive maintenance is condition based developed in Japan can be clarified by citing the
maintenance. It manages trend values, by measuring and characteristics of TPM as follows:
analyzing data about deterioration and employs a
* TPM is aimed at overall pursuit of production efficiency
surveillance system, designed to monitor conditions
improvement to its maximum extent. Many production
through an on-line system.
systems are human–machine systems. Needless to say,
3. Corrective maintenance (1957): It improves equipment dependence of production systems on equipment increases
and its components so that preventive maintenance can be as automation progresses. Similarly, production efficiency
carried out reliably. Equipment with design weakness is governed by degree of proficiency in methods of
must be redesigned to improve reliability or improving manufacturing, usage, and maintenance equipment. TPM
maintainability is designed to prevent the occurrences of stoppage losses
4. Maintenance prevention (1960): It indicates the design due to failures and adjustment, speed losses resulting from
of new equipment. Weakness of current machines are minor stoppages and speed reduction, and defect losses
sufficiently studied (on site information leading to failure caused by process defects, start-up and yield declines, by
prevention, easier maintenance and prevents of defects, improving the methods of manufacturing, usage, and
safety and ease of manufacturing) and are incorporated maintenance equipment. Its purpose is to maximise the
before commissioning a new equipment. efficiency of production systems in an overall manner.
* In contrast, the approach of traditional PM is centred on
3. History of TPM equipment specialists. Accordingly, although improving
Modern equipment management began with preventive the methods of equipment manufacturing and maintenance
maintenance and evolved into productive maintenance. gives maximum equipment efficiency, PM does not call
These approaches—both abbreviated as ‗‗PM‘‘— for pursuing overall production efficiency to its limit by
originated in the US with activities focused in the improving methods of equipment use.
maintenance department. TPM, however, stands for total * One of the characteristics of TPM is AM, which means
productive maintenance, or productive maintenance with operators must preserve their own equipment. Operators
total participation. First developed in Japan, TPM is team- must protect the equipment used by them. Failures and
based productive maintenance and involves every level defects are the illnesses of equipment. To prevent such
and function in the organisation, from top executives to illnesses, routine maintenance (cleaning, oiling,
the production floor operators. tightening, and inspection) must be implemented without
The PM concept was adopted by Japan in 1951. PM failure. Furthermore, maintenance staff, who are ‗‗medical
can be thought of as a kind of physical check up and practitioners specialising
preventive medicine for equipment. Just as human life in equipment‘‘, conduct periodic inspections (diagnosis)
expectancy has been expanded by the progress in and carry out early repair (treatment). In the US, work
preventive medicine to prevent human suffering from specialisation has progressed so that operator is occupied
disease, plant equipment service life can be prolonged by with production (operation), while maintenance is under
preventing equipment failure (disease) beforehand. In the charge of maintenance staff. Routine maintenance is
1957, CM was introduced. The concept of this system is the task of maintenance staff, and is not considered as the
to improve equipment so that equipment failure can be task of operators.
eliminated and equipment can be easily maintained. In * TPM consists of small-group activities in which all
1960, PM activity began. This activity aims at designing members participate. Small-group activities in TPM are
the equipment line to be maintenance free. As the ultimate conducted by employees who, based on self-discipline,
goal regarding equipment and production is to keep them conduct work jointly with the formal operation. Operators
completely maintenance-free, every effort should be made enforce AM by performing cleaning, oiling, tightening,
inspection, and other routine maintenance tasks
390
themselves. Such AM is part of the operator‘s normal In this stage eight activities are carried which are
work, and therefore completely different from the called eight pillars in the development of TPM activity.
voluntary type. TPM small-group activities are called Of these four activities are for establishing the system for
‗‗overlapping small-group activities‘‘, because they are production efficiency, one for initial control system of
conducted jointly with formal organisation. On the new products and equipment, one for improving the
individual level, small groups set their own themes and efficiency of administration and are for control of safety,
targets by which they conduct their activities. sanitation as working environment.
These small groups include a managerial staff group, STAGE D - INSTITUTIONALISING STAGE
composed of a section manager and led by the plant By all their activities one would has reached maturity
manager, a group led by a section manager, with unit stage. Now is the time for applying for PM award. Also
chiefs or team heads as its members, and a frontline group think of challenging level to which you can take this
headed by a managerial staff member, such as a unit chief movement.
or team head, and made up members of a unit or team.
Such overlapping small-groups led by formal organisation
constitute a major characteristic of TPM. In contrast, such
activities are not implemented in the traditional US-style
PM.
4. STEPS IN ORGANIZATION OF TPM
STEP A - PREPARATORY STAGE:

STEP 1 - Announcement by Management to all about
TPM introduction in the organization: Proper
understanding, commitment and active involvement of the
top management in needed for this step. Senior
management should have awareness programmes, after
which announcement is made to all. Publish it in the house
magazine and put it in the notice board. Send a letter to all
concerned individuals if required. Fig. 1 Organizing Structure for TPM Implementation
Pillars of TPM
STEP 2 - Initial education and propaganda for TPM:
Training is to be done based on the need. Some need
intensive training and some just an awareness. Take
people who matters to places where TPM already
successfully implemented.
STEP 3 - Setting up TPM and departmental committees:
TPM includes improvement, autonomous maintenance,
quality maintenance etc., as part of it. When committees
are set up it should take care of all those needs.
STEP 4 - Establishing the TPM working system and
target: Now each area is benchmarked and fix up a target
for achievement.
STEP 5 - A master plan for institutionalizing: Next step
is implementation leading to institutionalizing wherein
TPM becomes an organizational culture. Achieving PM
award is the proof of reaching a satisfactory level.
STEP B - INTRODUCTION STAGE
Fig. 2 Eight pillar of TPM
This is a ceremony and we should invite all.
PILLAR 1 - 5S: TPM starts with 5S. Problems cannot be
Suppliers as they should know that we want quality supply
clearly seen when the work place is unorganized. Cleaning
from them. Related companies and affiliated companies
and organizing the workplace helps th e team to uncover
who can be our customers, sisters concerns etc. Some may
problems. Making problems visible is the first step of
learn from us and some can help us and customers will get
improvement.
the communication from us that we care for quality
output. Table 1
STAGE C - IMPLEMENTATION 5’S
Japanese English Equivalent
391
Term Translation ‘S’ term

PILLAR 4 - PLANNED MAINTENANCE: It is aimed
to have trouble free machines and equipments producing
Seiri Organization Sort
defect free products for total customer satisfaction. This
breaks maintenance down into 4 ―families‖ or a group
Seiton Tidiness Systematize
which was defined earlier.
1. Preventive Maintenance
Seiso Cleaning Sweep
2. Breakdown Maintenance
Seiketsu Standardization Standardize 3. Corrective Maintenance
4. Maintenance Prevention
Self – With Planned Maintenance we evolve our efforts from a
Shitsuke Discipline
Discipline reactive to a proactive method and use trained
maintenance staff to help train the operators to better
maintain their equipment.
Policy:
PILLAR 2 - JISHU HOZEN (Autonomous 1. Achieve and sustain availability of machines
maintenance):This pillar is geared towards developing 2. Optimum maintenance cost.
operators to be able to take care of small maintenance
3. Reduces spares inventory.
tasks, thus freeing up the skilled maintenance people to
spend time on more value added activity and technical 4. Improve reliability and maintainability of machines.
repairs. The operators are responsible for upkeep of their
equipment to prevent it from deteriorating. PILLAR 5 - QUALITY MAINTENANCE: It is aimed
Policy: towards customer delight through highest quality through
1. Uninterrupted operation of equipments. defect free manufacturing. Focus is on eliminating non-
conformances in a systematic manner, much like Focused
2. Flexible operators to operate and maintain other
Improvement. We gain understanding of what parts of the
equipments.
equipment affect product quality and begin to eliminate
3. Eliminating the defects at source through active current quality concerns, then move to potential quality
employee participation. concerns. Transition is from reactive to proactive (Quality
4. Stepwise implementation of JH activities. Control to Quality Assurance).
QM activities are to set equipment conditions that
PILLAR 3 - KAIZEN:―Kai‖ means change, and ―Zen‖ preclude quality defects, based on the basic concept of
means good (for the better). Basically kaizen is for small maintaining perfect equipment to maintain perfect quality
improvements, but carried out on a continual basis and of products. The condition is checked and measure in time
involve all people in the organization. Kaizen is opposite series to very that measure values are within standard
to big spectacular innovations. Kaizen requires no or little values to prevent defects. The transition of measured
investment. The principle behind is that ―a very large values is watched to predict possibilities of defects
number of small improvements are more effective in an occurring and to take counter measures before hand.
organizational environment than a few improvements of Policy:
large value. This pillar is aimed at reducing losses in the 1. Defect free conditions and control of equipments.
workplace that affect our efficiencies. By using a detailed
2. QM activities to support quality assurance.
and thorough procedure we eliminate losses in a
systematic method using various Kaizen tools. These 3. Focus of prevention of defects at source
activities are not limited to production areas and can be 4. Focus on poka-yoke. (Fool proof system)
implemented in administrative areas as well. 5. In-line detection and segregation of defects.
Kaizen Policy: 6. Effective implementation of operator quality
1. Practice concepts of zero losses in every sphere of assurance.
activity.
2. Relentless pursuit to achieve cost reduction targets PILLAR 6 - TRAINING: It is aimed to have multi-
in all resources skilled revitalized employees whose morale is high and
3. Relentless pursuit to improve over all plant who has eager to come to work and perform all required
equipment effectiveness. functions effectively and independently. Education is
4. Extensive use of PM analysis as a tool for given to operators to upgrade their skill. It is not sufficient
eliminating losses. know only ―Know-How‖ by they should also learn
―Know-why‖. By experience they gain, ―Know-How‖ to
5. Focus of easy handling of operators.
overcome a problem what to be done. This they do
392
without knowing the root cause of the problem and why 3. Zero fires.
they are doing so. Hence it become necessary to train
them on knowing ―Know-why‖. The employees should be 5. OVERALL EQUIPMENT EFFECTIVENESS
trained to achieve the four phases of skill. The goal is to
create a factory full of experts.
―When people use the term ‗equipment effectiveness‘ they
Policy: are often referring only to the equipment availability or
1. Focus on improvement of knowledge, skills and up-time, the percentage of time it is up and operating. But
techniques. the overall, or true effectiveness of equipment also
2. Creating a training environment for self learning depends upon its performance and its rate of quality‖. One
based on felt needs. of the primary goals of TPM is to maximize equipment
3. Training curriculum / tools /assessment etc effectiveness by reducing the waste in the manufacturing
conductive to employee revitalization process. The three factors that determine equipment
4. Training to remove employee fatigue and make effectiveness: equipment availability, performance
work enjoyable. efficiency, and quality rate are also used to calculate the
equipment‘s Overall Equipment Effectiveness (OEE).
PILLAR 7 - OFFICE TPM: Office TPM should be Equipment Availability
started after activating four other pillars of TPM (JH, KK, A well functioning manufacturing system will have the
QM, PM). Office TPM must be followed to improve production equipment available for use whenever it is
productivity, efficiency in the administrative functions and needed. This doesn‘t mean that the equipment must
identify and eliminate losses. This includes analyzing always be available. The equipment availability is affected
processes and procedures towards increased office by both scheduled and unscheduled downtime. In a well
automation. Office TPM addresses twelve major losses. functioning system the unplanned downtime is minimized,
They are while the planned downtime is optimized; based on the
1. Processing loss amount of inventory in the system and the equipment‘s
ability to change production rates. The most common
2. Cost loss including in areas such as procurement,
cause of lost equipment availability is unexpected
accounts, marketing, sales leading to high inventories
breakdowns.
3. Communication loss
These failures affect the maintenance staff (which
4. Idle loss must scramble to get the equipment running) and the
5. Set-up loss equipment operator (who often has to wait for the
6. Accuracy loss equipment to be repaired to continue working). Keeping
7. Office equipment breakdown back-up systems available is one way to minimize the
8. Communication channel breakdown, telephone and effect of lost equipment availability. However, this is
fax lines rarely the most cost effective approach since it requires
9. Time spent on retrieval of information investing in capital equipment that wouldn‘t be need if the
equipment performed more reliably. Another drain on the
10. Non availability of correct on line stock status
equipment availability is the time required to change-over
11. Customer complaints due to logistics the equipment to run different products. This ‗set-up‘ time
12. Expenses on emergency dispatches/purchases is often overlooked, even though it has the potential to
eliminate a significant amount of non value added time in
PILLAR 8 - SAFETY, HEALTH AND the production cycle.
ENVIRONMENT: In this area focus is on to create a Performance Efficiency
safe workplace and a surrounding area that is not damaged Equipment efficiency is a commonly used to metric when
by our process or procedures. This pillar will play an evaluating a manufacturing system. The efficiency is
active role in each of the other pillars on a regular basis. A typically maximized by running the equipment at its
committee is constituted for this pillar which comprises highest speed, for as long as possible, to increase the
representative of officers as well as workers. The product throughput. The efficiency is reduced by time
committee is headed by senior vice President (Technical). spent with the equipment idling (waiting for parts to load),
Utmost importance to Safety is given in the plant. time lost due to minor stops (to make small adjustments to
Manager (Safety) is looking after functions related to the equipment), and lower throughput from running the
safety. To create awareness among employees various equipment at a reduced speed. These efficiency losses can
competitions like safety slogans, Quiz, Drama, Posters, be the result of low operator skill, worn equipment, or
etc. related to safety can be organized at regular intervals. poorly designed manufacturing systems.
Policy: Quality Rate
1. Zero accident, If the equipment is available and operating at its designed
2. Zero health damage speed, but is producing poor quality parts, what has really
393
been accomplished? The purpose of the manufacturing 13. Reduced manpower

system is not to run equipment just to keep people busy 14. Clean and pleasant work environment.
and watch machines operate; the purpose is to make useful
products. If the equipment is worn to the point where it
6. CONCLUSION
can no longer produce acceptable parts, the best thing to
do is shut it down to conserve the energy and raw
materials, and repair it.
Today, with competition in industry at an all time is high
Quality losses also include the lost time, effort, and
TPM may be the only thing that stands between success
parts that result from long warm up periods or waiting for
and total failure for some companies. It can be adapted to
other process parameters to stabilize. For example, the
work not only in industrial plants, but also in
time lost and parts scrapped while waiting for an injection
construction, building maintenance, transportation and in
molding machine to heat up should be considered part of
a verity of other situations. After the complete detailed
the equipment‘s quality rate. The effort to improve the
study of Case Studies it has been pointed out that TPM
quality rate needs to be linked back to the critical product
Increase productivity and OPE (Overall Plant Efficiency),
requirements.
reduce the manufacturing cost, satisfy the customer‘s
needs.
Overall Equipment Effectiveness
=Availability×Performance×Quality Yield
1. Availability =Operating Time/Dividing Time

2. Performance=Standard Cycle Time×Actual
Output/Net Operating Time REFERENCES
3. Quality Yield=Actual Output-Defective Pieces/Actual
1. Nakajima S., ―Introduction to TPM: Total Productive
Output
Maintence‖, Cambridge, MA, Productivity
Press.1984.
Also 2. Wireman T., ―The History and Impact of Total
1. Loading Time=Total Available Time-Planned Shut Productive Maintenance ―, New York, 1991.
Down 3. Marcelo Rodrigues, Kazuo Hatakeyama, ―Analysis of
2. Operating Time=Loading Time-Down Time the fall of TPM in companies‖ Journal of Operations
3. Net Operating Time=Operating Time-Minor Management Vol.179, PP.276-279, 2006.
Stoppages 4. J. Venkatesh, ―An introduction to total productive
4. Standard output in total available time= Net maintenance‖ 16th April 2007.
Operating Time/Standard Cycle Time 5. I.P.S. Ahuja, J.S. Khamba, ―Justification of total
5. Speed Loss= (Standard Output-Actual Output) × productive maintenance initiatives in Indian
Standard Cycle Time manufacturing industry for achieving core
competitiveness‖, Emerald Full Text Article, 2009.
Advantages of Total Productive Maintenance 6. Kamran Shahanaghi , Seyed Ahmad Yazdian,
1. Involvement of all people in support functions for ―Analysing the effects of implementation of total
focusing on better plant performance productive maintenance(TPM) in the manufacturing
2. Better utilized work area companies‖, Journal of Modelling and
3. Reduce repetitive work SimulationVol.5,PP.120-129,2009.
4. Reduced inventory levels in all parts of the supply
chain
5. Reduced administrative costs
6. Reduced inventory carrying cost
7. Reduction in number of files
8. Reduction of overhead costs (to include cost of non-
production/non capital equipment)
9. Productivity of people in support functions
10. Reduction in breakdown of office equipment
11. Reduction of customer complaints due to logistics
12. Reduction in expenses due to emergency
dispatches/purchases
394
Independent Platform Query Analyzer

Mrs. Saravjeet kaur1, Er. Rashmeet Singh Bali2
1
Student of M-Tech department of Computer Engineering, Maharishi Markandeshvar University, Mullana
saravjeet.kaur12@gmail.com
2
Assistance Professor department of Computer Engineering, Swami Devi Dyal College of Engg. &
Technology,Barwala
Abstract- A normal user is not so familiar with the

SQL (Structured Query Language) language. Then A database system is partitioned into modules that
the problem arises that how they interact with the
deal with each of the responsibilities of the overall
SQL database. How they store, update, delete or
retrieve information’s. Here I am going to develop a system [3]. The functional components of data base
Query Analyzer that enables a normal user to
interact with database that is platform independent. system can be broadly divided into the storage
In this fashion a normal user can execute SQL queries
manager and query processor components. The
like Select, Create, Insert & Update information. This
would be done by using java language. It is an storage manager is important because database
attempt to construct a database that is platform
independent. A query analyzer executes SQL queries typically require a large amount of storage space.
like Select, Create, Insert & Update by using java
Corporate databases range in size from hundred of
language. The entered SQL statement will first be
compiled and then execute. The compilation process giga-bytes to, for the largest databases, terabytes of
will develop in java. Existing DBMS are dependent on
existing Operating System. By using a platform data. A giga-byte is 1000 mega bytes (1 billion
independent tool such as java develops DBMS can be
bytes), and a terabyte is 1 million megabytes (1
ported actors any platform. The reasons for selecting
Java as development tool are that it provides built-in trillion bytes). Since the main memory of computer
features and libraries that can be used for easier &
faster development. The project once developed will cannot store this much information, the information
be easy to use & platform independent tool for user to
is stored on disk. Data are moved between disk
easily execute SQL queries. It would be able to
execute DDL and DML queries. I will try to develop a storage and main memory as needed. Since the
GUI based tool that will be modelled on MYSQL &
each query will be executed on a different frame. movement of data to and from disk is slow relative
It is independent of all existing data-bases and it will
to speed of Central processing unit, it is imperative
use the file based system for creating and
manipulating data-base. In other words our software that the database system structure the data so as to
will also handle the meta-data for the data bases. It
is a platform independent system that is capable minimize the need to move data between disk and
of installation and execution on any plat form. main memory.
Further, it can be used to explain the basic
concept of data-base to student.
Compiler [4]: Programming language are
Keywords— SQL, DDL, DML, GUI. notations for describing computations to people and
to machines. The world as we know it depends on
1. INTRODUCTION programming languages, because all the software
An interactive SQL interface for window, this running on all the computers was written in some
provides user to run all the commands. It has an programming language. But, before a program can
added advantage of being a windows interface. be run, it first must be translated into a form in
This provides user to run queries and view the which it can be executed by computer. The
result of such queries in their own separate software system that do this translation are called
windows. The result window is especially compiler . A compiler is a program that reads a
advantageous in a presetting all results in a single program in one language, the source language and
window [1]. The SQL server query analyzer allows translates into an equivalent program in another
you to create ad hoc queries and scripts and run language, the target language. There are two parts
them interactively [2]. of compilation. The analysis part breaks up the
395
source program into constant piece and creates an Similarly, intermediate code generator takes a
intermediate representation of the source program. tree as an input produced by semantic analyzer
The synthesis part constructs the desired target and produces intermediate code.
program from the intermediate representation. The Chaitanya Mishra And Nick Koudas [5] Query
compiler has a number of phases plus symbol table monitoring refers to the problem of observing and
manager and an error handler. A correct approach predicting various parameters related to the
to that front end might run the phases serially. execution of a query in a database system. In
addition to being a useful tool for database users
and administrators, it can also serve as an
Lexical analysis: The first phase of compiler is information collection service for resource
Lexical analysis or scanning The lexical analyzer allocation and adaptive query processing
read the stream of characters making up the source techniques. In this article, they were presented a
program and group of character into meaningful query monitoring system from the ground up,
sequences called lexemes. For each lexeme, the describing various new techniques for query
lexical analyzer produces as output a token of the monitoring, their implementation inside a real
form (Token-name, attribute-value). database system, and a novel interface that presents
That it passes on the subsequent phase, syntax the observed and predicted information in an
analysis. In the token, the first component token- accessible manner. To enable this system, they
name is an abstract symbol that is used during introduced several lightweight online techniques
syntax analysis, and the second component for progressively estimating and refining the
attribute-value points to an entry is needed for cardinality of different relational operators using
semantic analysis and code generation. information collected at query execution time.
Syntax analysis: The second phase of the compiler These include binary and multiway joins as well as
is syntax analysis or parsing. The parser uses the typical grouping operations and combinations
first component of the tokens produced by the thereof.
lexical analyzer to create a tree like intermediate David G. Wonnacott [6] they found that the use of
representation that depicts the grammatical attribute grammars in lectures, combined with
structure of the token stream. A typical implementation of labs in a traditional language,
representation is a syntax tree in which each reinforces many of the central lessons they wish to
interior node represents an operation. teach in their Compiler Design course. The
Semantic analysis: The semantic analysis uses the introduction of attribute grammars in lecture
syntax tree and the information in the symbol table continues our focus on the use of special-purpose
to check the source program for semantic languages and specifications, which began as they
consistency with the language definition. It also studied the interplay of theory and practice in
gathers type information and saves it in either the scanning and parsing. Student lab exercises
syntax tree or the symbol table, for subsequent use combine opportunities to use this concise high-
during intermediate code generation. An important level framework with more traditional lessons in
part of semantic analysis is type checking, where large-scale programming in a familiar language.
the compilers checks that each operator has Perhaps most importantly, the students spend a
matching operands. For example many program large fraction of their time learning to make
definition language require an array index to be an connections between concise high-level
integer, the compiler must report an error if a descriptions and lower-level programs.
floating point number is used to index an array.
396
Jens Wagner and Rainer Leupers [7] Modern Fig. 2 - The Query Analyzer screen
embedded system are frequently designed on the
After the correct login the Query analyzer screen
basis of programmable ASIP’s, which allow for
will display. Which include one working area in
high flexibility and IP reuse. Compiler support for
which query is written and after pressing the
ASIP software development is urgently required in
execute button a report generation area will display
order to avoid time intensive assembly
the results.
programming. However, special compiler backend
techniques have to be developed in order to make
optimal use of the dedicated architectural features
of ASIP’.
2.RESULTS
Fig. 3 The snapshot of query- Table creation.
Fig. 1 Login screen
To check the authentication of user a User ID and

Password is assigned to user. So that an
unauthorised user, cannot able to access the system.
If the entered ID and Password are correct then it
will display the query Analyser screen.
Fig. 4 The snapshot of query- Row Updation.
397
Fig. 5 The snapshot of query- Select items from Fig.7 The snapshot of query- Table Dropped.
table.
Fig. 6 The snapshot of query- Check for table requirements. The system has been implemented
Existence for being used to its maximum capability.
References
In fig. 7, a table dropped queryis executed. That [1] Lance and Mortensen, “MCSE: SQL server
dropped the table stu2 completely. Syntax: - drop Administration”, BPB, 2008.
table stu2; [2] Gunderloy chipman, ”SQL server 7 ”, BPB,
2005.
3.CONCLUSION [3] Silberschatz, korth and Sudarshan, “Database
system concepts”, McGraw-Hill, 2006.
The project that is developed is easy to use & [4] Alfread V. Aho et al, “Compiler principles,
platform independent tool for user to easily execute techniques and tools”, PEARSON
SQL queries. We developed a GUI based tool that education, 2007.
is modeled on MYSQL & each query is executed
on a different frame. This software is able to [5] Chaitanya Mishra and Nick Koudas, “The
execute DDL and DML queries. The system was Design of a Query Monitoring System”,
developed keeping in mind all the user University of Toronto, April 2009.
398
[6] David G. Wonnacott “Attribute Grammars And [7] Jens Wagner and Rainer Leupers “C Compiler
The Teaching of Compiler Design And Design for an Industrial Network Processor”,
Implementation” Eastern Conference, pp 121- pp 155-164, 2001.
127, (January 2007).
399
Implementation of Total Productive Maintenance

in Thermal Power Plant: a case study
J. S. Dureja
Department of Mechanical Engineering University College of Engineering, Punjabi University, Patiala (India)
Abstract: The preventive and productive maintenance systems merely a concept but a practical and down to earth technique
played a major role in improving product quality and for not only improving plant and equipment availability and
productivity in the past. In process plants, failure of even one reducing maintenance cost but also achieving improvements in
equipment can shut down the entire plant, resulting in huge losses productivity, revenue and profits. Fig.1 shows comparison of
and sometimes endangering life and the environment. So these
Preventive Maintenance, Productive Maintenance and TPM.
breakdowns and other losses should be totally eliminated. For
this purpose, process industries need a collaborative equipment TPM is often defined as productive maintenance involving
maintenance management system like Total Productive total participation (PM involving TP). A complete definition of
Maintenance (TPM) carried out by all the employees through TPM includes the following five elements.
small group activities (SGA’s). This paper reports the 1. TPM aims to maximize equipment effectiveness (Overall
implementation of zero breakdowns concept of TPM in Guru effectiveness).
Nanak Dev Thermal Plant, Bathinda. One unit having the highest 2. TPM establishes a thorough system of PM for the
maintenance cost out of four units of the Thermal Power Plant equipment‟s entire life span.
(110MW each) was selected for investigation and then 3. TPM is implemented by various departments (Engineering,
transformed into its critical subunits (viz. Master Furnace,
Operations & Maintenance).
Turbine and Generator). After identifying these subunits,
their failure data and tripping reasons were collected and 4. TPM involves every single employee from top
analyzed; check sheets and tags have been designed to reduce management to workers on the floor.
tripping to the zero level. Overall Equipment Effectiveness (OEE) 5. TPM is based on the promotion of PM through motivation
has been calculated for critical subunit i.e. Master Furnace, management: Autonomous small group activities.
before and after the implementation of TPM. The improvement TPM Productive Preventive
in OEE is 9.74% after implementation of TPM., which advocates Features Maintenance Maintenance
for implementation of TPM to whole plant. Features Features
Economic efficiency
Keywords: TPM, TQC, SGA, OEM, Availability. (Profitable PM)
Total system (MP-PM-MI)

I. INTRODUCTION
Autonomous maintenance
In today‟s competitive environment we can‟t settle for less By operators (SGA)
ambitious goals than total elimination of breakdown and other MP - Maintenance Prevention
losses and continuous productive maintenance. This means PM - Preventive Maintenance
more than periodic overhauls to prevent machine failure. MI - Maintainability Improvement
Productive maintenance creatively combines preventive, SGA - Small Group Activities
predictive and maintainability improvement (MI) with Fig. 1 Comparison of different maintenance techniques
principles of design-to-life-cycle-cost (DTLCC) to assure
reliability in function and ease of maintenance. This is II. LITRATURE REVIEW
especially important in our increasingly automated Modern manufacturing requires that the organizations,
manufacturing environments. But this job is too big for a that want to be successful and to achieve world-class
single group of engineers and workers, no matter how skilled manufacturing, must posses both effective and efficient
they may be, they loose productivity synergy in attempting it. maintenance. One approach to improve the performance of
So there is need of a maintenance program which include all maintenance activities is to implement a Total Productive
departments at every stage such that every team member has Maintenance (TPM) system [1]. Today, the competition has
specialized skills but in a truly cooperative venture, those skills increased dramatically. Customers focus on product quality,
are shared, every one understands and expertise. Such a delivery time and cost of product. Because of these, the
maintenance program is called TPM (Total Productive company should introduce a quality system to improve and
Maintenance). TPM program is Japan‟s unique contribution to increase both quality and productivity continuously. Total
the field of plant maintenance. The simplest definition of TPM productive maintenance (TPM) is a methodology that aims to
is the productive maintenance carried out by all employees increase the availability of existing equipment, hence reducing
through small group activities (SGA‟s). Like, TQC, which is the need for further capital investment. Investment in human
company wide total quality control. TPM is equipment resources can further result in better hardware utilization,
maintenance carried out on a company wide basis. TPM is not higher product quality and reduced labour costs [2].
400
According to Roberts [3], the TPM program closely Effectiveness. In effect, this means there exists in most
resembles the popular Total Quality Management (TQM) companies the opportunity to increase capacity / productivity
program. Many of the tools such as employee empowerment, by 25% - 100%. Mathew et al. [9] have shown some results of
benchmarking, documentation, etc. used in TQM, are used to the survey done on Indian Industry on various aspects for
implement and optimize TPM. Williamson [4] suggest that implementing TPM and TQM. The results show that out of
Total Productive Maintenance is the equipment and process total 108 organizations, TQM is adopted by 54% and TPM by
improvement strategy that links many of the elements of a 20% of them. On a different aspect it was found that 41% of
good maintenance program to achieve higher levels of industries are process industries of the total industries
equipment effectiveness. implementing TPM. They have also studied the functional
According to Environment protection Agency [5], TPM areas of a firm under TPM which reveals that TPM has mainly
engage all levels of an organization to maximize the overall limited to production, maintenance, materials and engineering.
effectiveness of the equipment. This method further tunes up Paul [10] concluded that the prime driver for TPM is the
existing processes and equipment by reducing mistakes and concept of Overall Equipment Effectiveness (OEE) and the
accidents. Whereas maintenance departments are the philosophy hinges on making the effectiveness of equipment
traditional center of preventive maintenance programs, TPM the concern of everyone in the organization. According to him
seeks to involve workers in all departments and levels, from the concept of „Autonomous Maintenance‟ is a cornerstone of
the plant-floor to senior executives, to ensure effective the TPM philosophy, which is wholly built on the concept of
equipment operation. Autonomous maintenance, a key aspect ownership and complete integration of production and
of TPM, trains and focuses workers to take care of the maintenance functions. For many companies; implementation
equipment and machines with which they work. The ultimate of a full TPM is a long-term policy; which usually takes
goals of TPM are zero equipment breakdowns and zero several years to achieve full effectiveness. Measurement is an
product defects. Suzuki [6] in his work on implementing TPM important requirement of continuous improvement process. It
in two automobile assembly industries; Yamaha Motors and is necessary to establish appropriate metrics for measurement
Nippon sheet glass observed that results achieved were. purposes. From generic perspective, TPM can be defined in
Breakdown reduced to 65% with in a span of two years, no. of terms of Overall Equipment Effectiveness (OEE) which in turn
accidents reduced from 7 accidents per year to 2 accidents and can be considered a combination of the operation maintenance,
then zero accident per year. Defect rate reduced from 22% to equipment management and available resources [11]. Kumar et
8% per year, also there was an increase in rate of operation al. [12] attempted to provide an in-depth, case-based approach
from 68% to 85%. By seeing these results many companies in to implement TPM in a semi-automated cell of a company,
Japan started practicing TPM in different stages like Apollo that help maintenance managers/practitioners to understand the
Electronics, Osaka Gas etc. Folts [7] in a case study on MRC reality of failures, their nature and to reduce their effect by
Bearings concluded that; 80% of their maintenance hours were adopting suitable repair/replacement strategies.
dedicated to their emergency orders in October 1997 and over From the literature review it is clear that in all these years,
1660 hours were consumed by unplanned hours in just one TPM has been developed and many new techniques have been
area. TPM implementation plan begun started slow, beginning adopted to implement TPM. But no work has been found to be
with a small area that was critical to processes but was done on implementation of TPM in the thermal power plant.
experiencing chronic problems. Within 6 months unplanned Because of this reason the current study was taken up.
hours were reduced to 30 hours as compared to 1660 hours in
October 1997. According to Bhadury [8], maintenance III. PRODUCTION EFFECTIVENESS IN PROCESS
function has come a long way. Initially preventive INDUSTRIES
maintenance consisted only of routine or periodic preventive
The effectiveness of a plant‟s production depends on the
maintenance tasks. Soon Condition Based Monitoring was effectiveness with which it uses equipment, materials, people,
added to the maintenance management and the task of
and methods. Raising production effectiveness in process
maintenance manager was enlarged to ensuring maximization
industries, therefore, starts with the vital issues of maximizing
of plant and equipment availability. The efficacy of
overall plant effectiveness (equipment), raw material and fuel
opportunistic maintenance has become evident, particularly in
efficiency (materials), work efficiency (people), and
continuous process industry. Reliability Centered Maintenance management efficiency (methods). This is done by examining
was a major innovation. It efficiently uses Condition the inputs to the production process (equipment, materials,
Monitoring Techniques, past data collection and analysis, and
people, and methods) and identifying and eliminating the
stresses the importance of a formal program of preventive
losses (performance losses and losses associated with defect
maintenance. TPM is still larger, since it goes beyond the
and repair) to maximize the outputs (productivity, quality, cost,
earlier limits of maintenance management. According to
delivery, safety, and environment, and morale).
Kennedy (2002), many organizations measure Overall
Equipment Effectiveness achieving around 40% - 60% (batch) A. Overall Effectiveness
or 50% - 75% (continuous process) whereas the international Process industries must maximize the effectiveness of their
best practice figure is recognized to be +85% (batch) and equipment complex or plant by extracting its best possible
+95% (continuous process) for Overall Equipment functions and performance. Overall Effectiveness is raised by
401
painstakingly eliminating everything that tends to lower it. In Calendar Time - (Shutdown loss  Major Breakdown loss)
Availability  X 100 (%)
other words, maximizing plant effectiveness involves bringing Calendar Time
the plant to peak operating conditions and then keeping it Major Breakdown loss = equipment failure loss + process
thereby eliminating or at least minimizing any factors such as failure loss
failures, defects or problems that might diminish its
performance. Eight major plant losses that prevent any plant Performance Rate (A)
from achieving its maximum effectiveness are: 1. Shutdown, 2. A plant‟s performance rate expresses the actual generation rate
Production adjustment, 3. Equipment failure, 4. Process failure, as a percentage of the standard generation rate.
5. Normal production loss, 6. Abnormal production loss, 7. The standard generation rate is equivalent to a plant‟s design
Quality defects, 8. Reprocessing losses. The following capacity and is the intrinsic capacity of a particular plant. It
parameters are required to evaluate the OEM. can be expressed as generation (in Lac Units) per month. To
calculate performance rate, divide the actual generation by the
B. Calendar Time (A) standard generation (Rated generation).
Calendar time is the number of hours on the calendar:
Actual Generation(in Lacs units/month) (D)
365 x 24 = 8760 hours in a year Performance rate 
Standard Generation(in Lacs units/month)
X 100 (%) 
(C)
X 100 (%)
30 x 24 = 720 hours in a 30-day month.
C. Working Time (B) H. Quality Rate (A)
The quality rate expresses the amount of acceptable product
Working time is the actual number of hours that a plant is
(total production less downgraded product, scrap, and
expected to operate in a year or month. To calculate working
reprocessed product as a percentage of total production). The
time, subtract from the calendar time the time lost as a result of
quality rate is equivalent to the straight-through rate in a
closing the plant for production adjustment or for periodic
fabrication/assembly plant.
servicing such as shutdown maintenance.
Production quantity - (Quality defectloss  Reprocessing loss)
Quality Rate  X 100 (%)
D. Operating Time (C) Production quantity
(E)
Operating time is the time during which a plant actually 
(D
X 100 (%)
operates. To calculate operating time, subtract from the
working time the time a plant loses when it shuts down as a I. Overall Equipment Effectiveness (OEE)
result of equipment and process failures.
Overall equipment effectiveness is the product of the
E. Net Operating Time (D) availability, performance rate and quality rate. It is a
Net operating time is the time during which a plant is comprehensive indicator of a plant‟s condition that takes into
producing at the standard production rate. To calculate net account operating time, performance, and quality. It can be
operating time, subtract performance time losses from used to judge the effectiveness with which a plant is being
operating time. Performance time losses consist of normal used to add value.
production losses (production rate reductions due to startup, Overall Equipment effectiveness (OEM) = Availability x
shutdown, and changeover) and abnormal production losses Performance rate x Quality rate.
(production rate reductions due to abnormalities).
IV. METHODOLOGY
F. Valuable/Effective Operating Time (E)
Valuable operating time is the net time during which the plant 1. First of all the most critical unit out of the four units of
actually produces acceptable product. To calculate valuable Thermal Power Plant was selected and further three
operating time, add the time wasted reprocessing and subunits were selected which were the most critical
producing rejectable product, then subtract the result from the among all the subunits.
net operating time. 2. In the second step, value of OEE was calculated for the
above selected subunits. Then these values of OEE were
G. Availability compared with target values of OEE and reasons for the
low value of OEE were analyzed
Availability is the operating time expressed as a percentage of 3. TPM was then implemented on the subunit having highest
the calendar time. To calculate availability, subtract from the criticality i.e. rank A. TPM implementation has eight core
calendar time the time lost during shutdown (for planned pillars. It was not possible to implement all of the eight
maintenance and production adjustments) and the time lost due pillars at once. So four pillars TPM namely: Autonomous
to major breakdowns and tripping (equipment and process Maintenance, Planned Maintenance, Operating and
failures). Then, divide the result by calendar time and multiply Maintenance Skills Training and TPM in Administrative
by 100. and Support Departments were implemented. Other pillars
were not implemented as these were not important for the
current case study. Like Quality Maintenance is not so
402
important in a thermal plant. No accident has been TABLE I

TPM IMPLEMENTATION PLAN
reported in last some years so Safety and Environment
Management pillar has not implemented. Stage and Activity Salient features
1. Implementation Plan It was decided to implement four pillars of
4. The values of OEE, after implementing TPM were formed TPM namely; Autonomous Maintenance,
compared with the values of OEE, before and after Planned Maintenance, Operating and
implementation. Maintenance Skills Training and TPM in
Administrative and Support Departments on
the subunit, Master Furnace.
V. DATA COLLECTION AND ANALYSIS 2. Formal announcement Announcement was made that TPM
of TPM implementation implementation would start in January, 2004.
3. Conducted TPM The employees were given preliminary
The data for one year and six months was collected from introductory education education and training of TPM objectives
G.N.D.T.P., Bathinda; one year before the implementation of and publicity campaign and goals. The objective of TPM education
was not to explain TPM, but also to raise
TPM and six months after implementing TPM. The data was morale and soften resistance to TPM.
collected from January to June. The idle hours due to major 4. TPM promotion TPM promotion organization was formed
organization formed which consisted of Supervisors, Foremen and
breakdowns and other causes and actual generation (Lac units) Workers from Operation and Maintenance
were noted for the critical subunits on monthly basis. departments.
Effectiveness of TPM implementation was evaluated in terms 5. Establishment of basic The following targets were set:
TPM policy and goals 1. The target of zero breakdowns in near
of absolute figures as well as intangible gains. future.
2. Target of Availability of 95%; to be
A. Calculation of OEE achieved within three years.
3. Target of the Performance Rate was set
TPM implementation is beneficial in both ways i.e. in terms at 90%; to be achieved in five years.
of absolute figures and in terms of intangible gains like 4. The target for OEE was set at 85%; to be
achieved in four to five years.
motivation to the workers, morale up of production as well as 6. Established and In the first week of January 2004, Chart
maintenance teams, etc. So, first the tangible benefits are deployed autonomous allocating maintenance tasks was suggested
maintenance program to the boiler operation department and
shown. The OEM was calculated with standard generation/30 maintenance department. Daily Checklists
days month = 792 Lac Units. for boiler & its auxiliaries and Tags for
marking abnormalities were designed and
Reasons for low value of OEE: distributed to the operators.
1. Lack of Operating Standards: Every worker has their own 7. Conducted operation Training was given to the supervisors,
way of doing a job. Each operator in their job may and maintenance skills foreman and operators covering the topic:
training Maintenance of Drive Devices: Basic
perform other job slightly better than other operator. Bearings of duration 4hrs. Two supervisors
Combine their individual perfect methods together into were appointed for the further training of
operators.
one operating standard.
2. Lack of employee skill: Operators‟ skills are not up to
mark. C. Detailed Analysis after TPM implementation
3. Lack of employee education: Operators don‟t know the
harmful effects of dirt, lack of lubricant, looseness of nuts Table 2 shows the tripping reasons for the most critical subunit
and bolts and excessive vibrations. So operators should be among three subunits i.e. Master Furnace after the
properly educated and trained. implementation of TPM.
4. Poor working environment: Poor working environment TABLE III
causes a bad morale of employees and may cause even TRIPPING REASONS AND THEIR FREQUENCY FOR MASTER FURNACE
(AFTER IMPLEMENTATION OF TPM)
accidents. Month Name of Tripping Frequency Total No. of Tripping
5. Wrong Attitude of operators: Operators‟ thinking is this Reason of Failure in a Month
that they just operate the machines; maintenance jobs are Jan  Furnace Draft 1 1
Abnormal
the responsibility of the maintenance personnel. Lack of Feb - 0 0
ownership is the main cause of low value of OEE. Mar - 0 0
Apr  ID Fan failure 1 1
May - 0 0
B. Implementing TPM Jun  FD Fan failure 1
 Furnace Draft
1 2
It was not possible to implement the TPM in whole plant at a Abnormal
time. As it requires lot of resources and lot of time. So, it was Summary of above Tripping:
better way to start from the most critical sub unit. From Type of Failure Total Frequency of Failure in six
months
literature review it is clear that TPM implementation in a  Furnace Draft Abnormal 2
1
whole plant requires at least four years or more depending 

Both ID Fan failure
Both FD Fan failure 1
upon the size of the industry. Applying for PM prize [The Total = 4
biggest prize given by the JIPM (Japan Institute of Plant
Total number of tripping during the six months was four;
Maintenance) for best practices in maintenance] need around
earlier the number was twenty five in a year. The total number
ten years. At the first step TPM implementation Plan was
of tripping due to Furnace Draft Abnormal was only two
formed and implemented to Unit No.1.
instead of nine. Five times the unit was stooped due to ID Fan
403
failure and FD Fan failure, but after implementing TPM, only Average Actual Generation Rate (in Lac units) = 557.5
single time unit was stopped due to the same reason. There
was no tripping due to PA Fan failure that was six before After Implementation of TPM
implementing. This shows the clear-cut decrease in tripping Average Actual Generation Rate (in Lac units) = 601.3
frequency and ultimately shows the benefit of TPM
implementation. Fig. 2 gives a comparison of OEM for Master Therefore percentage increase in Average Actual
furnace before and after implementation of TPM. Generation Rate is 7.86%Level-2 Heading: A level-2
heading must be in Italic, left-justified and numbered using
an uppercase alphabetic letter followed by a period. For
example, see heading “C. Section Headings” above.
3) Percentage increase in Availability:
Before implementation of TPM
Average availability was 90.6% during the year of 2003-
2004
After implementation of TPM
Average availability was 91.6% during the 2004-2005 (1st
six months).
So Average increase in Availability is 1.1%
Fig. 2 OEE for Master furnace (Before and after implementation of
TPM) 4) Percentage increase in Performance Rate:
VI. RESULTS AND DISCUSSION
The average value of performance rate was 69.6% in year
D. Master Furnace 2003-2004.
1) Reduction in Idle Hours: After implementation of TPM
Before Implementation of TPM The average value of performance rate was 75.6% in year
Total Idle Hours = 2004-2005 (1st six months).
10.42+4.83+8.17+14.83+11.45+6.5+12.37+0+0+24.42+0 = 5) Percentage increase in OEE:
92.99
Total numbers of months = 12 (Shutdown in the month of
March, 2003) The average value of OEE was 68.8% in year 2003-2004.
Average Idle Hours per month = 92.99/12 = 7.75 hours After implementation of TPM
After Implementation of TPM The average value of performance rate was 75.5% in year
2004-2005 (Ist six months).
Total Idle Hours = 1.7+0+0.5+0+1.6 = 3.17
So, Average increase in Overall Equipment Effectiveness is
Total numbers of months = 5 (Shutdown in the month of 9.74%
April, 2004)
Availability depends on the idle hrs and shut down time. So it
can be improved by decreasing the idle hrs as well as by
hours decreasing the shut down time. Decrease in idle hrs is quite
Now percentage reduction in Average Idle Hours is 92.51% visible, but the main factor is the shutdown time. So it has been
suggested either to reduce the shut down time from 30 to 27
It means we are moving towards the goal of Zero Breakdowns. days or to increase the effectiveness of the shutdown
maintenance. After implementing the Four Pillars of TPM, the
E. Master Furnace breakdowns decrease day by day. TPM help to cut short the
2) Increase in Average Actual Generation Rate (in Lac staff in maintenance department with reduced breakdowns and
units): by increasing the life span of equipment, reducing the cost
involved in the purchase of new spare parts and machinery etc.
Before Implementation of TPM The generation cost will also go down with better equipment
working conditions.
404
Tangible benefits achieved by implementing TPM are: 4. Speed losses have been also reduced and the performance
1. TPM is the source of great motivation to the employees rate is also improving. The target of 90% can be achieved
and it will help to increase the morale of the operators and within the time span of five years. Improvement in
other staff of the organization. Performance Rate is 8.62%.
2. By Small Group Activities (SGA‟s), all the workers are
5. The increase in the OEE is 9.74% and the target for OEE of
involved in the maintenance work. Now they can easily
85% can be achieved in the time span of four to five years.
give their suggestions.
3. After TPM implementation, workers/operators feel The frequency of tripping has been decreased from 25 tripping
ownership of the equipment. per year to 8 tripping per year
4. Maintenance Personnel and Production Personnel work
together in the new improved environment. REFERENCES
[1] N. Hermann, “The key success factor of implementing TPM activity, A
TABLE III case study”, Katalog, 2004.
TRIPPING REASONS AND THEIR FREQUENCY FOR MASTER FURNACE [2] F.T.S. Chan, H.C.W. Lau, R.W.L. Ip, H.K. Chan, S. Kong,
Name Reduction in Increase in Avg. increase Avg. Avg. increase “Implementation of Total Productive maintenance, a case study”,
of sub Avg. Idle Avg. in increase in in OEE (%)
unit Hours (%) Actual Availability Performance International Journal of Production Economics, 2003, pp 71-94.
Generation (%) Rate (%) [3] J. Roberts, “Total Productive Maintenance, history and basic
(%) implementation process, technology interface” / fall. 1997.
[4] R. M. Williamson, “TPM: An often misunderstood equipment
Master
Furnace 92.51 7.86 1.1 8.62 9.74 improvement strategy”, Maintenance Technology Magazine online,
2000, vol.13(4).
[5] Environment protection Agency, USA Total Productive Maintenance
(TPM), Lean Manufacturing and the Environment, 2006,
VII. CONCLUSIONS http://www.epa.gov/lean/thinking/tpm.htm.
[6] T. Suzuki, New Directions for TPM, Productivity Press, Cambridge,
After Implementing TPM following conclusions are drawn: MA.1992.
[7] Greg Folts, Total Productive Maintenance Case Study- MRC Bearings'
TPM Journey: from Totally Painted Machines to Taking Pride in Our
1. Breakdowns due to minor and major‟s stoppages have been Machines,” Marshal Institute 1998 at www.marshallinstitute.com..
reduced and the target of zero breakdowns can be achieved [8] Bikash Bhadury, “Developments in the practice of Maintenance
in near future. The average value of breakdown reduction in Management”, Productivity Journal, 2001, vol. 41(4), pp 663-669.
case of Master Furnace is 92.51%. [9] Thomas Mathew, Dinesh Seth, Deepak Tripathi, “Performance
Improvement Through Transfusion of TQM and TPM In Indian
Manufacturing Industry”, 5th CEO’s Conference in collaboration with
2. Availability has been improved and an availability of 95% SCOPE, WCPS & NPC at Hotel Ambassador, Kullu-Manali, 9th – 11th
has been projected to be achieved within the time period of May 2002.
three years. The availability increase is 1.1%. [10] Paul Sergeant, “Introduction to operator-driven reliability”,
Hydrocarbon Asia, May/June 2003 at www.hcasia.safan.com.
3. Actual generation (Lac units) has been increased and it is [11] F.T.S. Chan, H.C.W. Lau, R.W.L. Ip, H.K. Chan, and S. Kong,
“Implementation of total productive maintenance: a case study”,
approaching towards the target of standard (rated) International Journal of Production Economic, 2005, 95, pp. 71-94.
generation. Increase in average actual generation is 7.86%. [12] R. Kumar Sharma, D. Kumar, and P. Kumar, “Manufacturing
excellence through TPM implementation: a practical analysis”,
Industrial Management & Data Systems, 2006, vol. 106(2), pp. 256-80.
405
JIT - A Management Philosophy Not A

Technique
Manish Jha1, Suman Madan2
1,2
Department of Management, Panipat Institute of Engineering & Technology, 70 th K.M Milestone, Pattikalyana
Samalkha (Panipat), Kurukshetra University, Kurukshetra
Emjay4@sify.com
Suman.madan@yahoo.com
Abstract— Traditionally manufacturers have forecasted demand

for their products into the future and then have attempted to
smooth out production to meet that forecasted demand.In A. FEATURES
today’s era where the manufacturing organizations are more JIT (also known as lean production or stockless
prone to the efficient and adequate production systems, the production) should improve profits and return on investment
importance of JIT (Just In Time) gains its momentum. Just-in-
time (JIT) is an inventory strategy that strives to improve a
by reducing inventory levels (increasing the inventory
business's return on investment by reducing in-process inventory turnover rate), reducing variability, improving product quality,
and associated carrying costs. In other words it is a reducing production and delivery lead times, and reducing
manufacturing system in which components are delivered at the other costs (such as those associated with machine setup and
precise time required. When the JIT principles are implemented equipment breakdown).
successfully, significant competitive advantages are realized. JIT The basic elements of JIT manufacturing are people
principles can be applied to all parts of an organization: order involvement, plants, and system. People involvement deal
taking, purchasing, accounting, distribution, sales, operations, with maintaining a good support and agreement with the
design, etc. The target of JIT is to speed up customer response people involved in the production. This is not only to reduce
while minimizing inventories at the same time. Inventories help
the time and effort of implementation of JIT, but also to
to response quickly to changing customer demands, but
inevitably cost money and increase the needed working capital. minimize the chance of creating implementation problems.
The purpose of this paper is to show the effectiveness of JIT in The plant itself also has certain requirements that are needed
today’s manufacturing set-up. Authors have tried to also focus to implement the JIT, and those are plant layout, demand pull
on the importance and the need of JIT with the aid of a case production, Kanban, self-inspection, and continuous
study on Toyota the pioneer of this concept. improvement. The plant layout mainly focuses on
maximizing working flexibility. It requires the use of multi-
Keywords— Manufacturing, Improvement, Waste, Quality, function workers”. Demand pull production is where you
Production. produce when the order is received. This allows for better
management of quantity and time more
I. INTRODUCTION appropriately. Kanban is a Japanese term for card or
tag. This is where special inventory and process information
are written on the card. This helps in tying and linking the
In today's competitive world shorter product life cycles, process more efficiently. Self-inspection is where the workers
customer’s rapid demands and quickly changing business on the line inspect products as they move along, this helps in
environment is putting lot of pressures on manufacturers for catching mistakes immediately. Lastly continuous
quicker response and shorter cycle times. Now the improvement which is the most important concept of the JIT
manufacturers put pressures on their suppliers. One way to system. This simply asks the organization to improve its
ensure quick turnaround is by holding inventory, but productivity, service, operation, and
inventory costs can easily become prohibitive. A wiser customer service in an on-going basis.
approach is to make your production agile, able to adapt to In a JIT system, underutilized (excess) capacity is used
changing customer demands. This can only be done by JUST instead of buffer inventories to hedge against problems that
IN TIME (JIT) philosophy. JIT is both a philosophy and may arise. The target of JIT is to speed up customer response while
collection of management methods and techniques used to minimizing inventories at the same time. Inventories help to response
eliminate waste (particularly inventory). quickly to changing customer demands, but inevitably cost money and
Waste results from any activity that adds cost without increase the needed working capital.
adding value, such as moving and storing. Just-in-time (JIT) is JIT requires precision, as the right parts must arrive "just-in-time" at the
a management philosophy that strives to eliminate sources of right position (work station at the assembly line). It is used primarily for
such manufacturing waste by producing the right part in the high-volume repetitive flow manufacturing processes.
right place at the right time.
406
II. REVIEW OF LITERATURE philosophy by which an organization seeks continually to

improve its products and processes by eliminating waste.
Significant differences in a number of performance areas Organizations wanting to use the JIT approach to
are found in the sourcing and logistics practices between manufacturing must have several building blocks in place.
companies following JIT practices with their global suppliers, The building blocks include: company-wide commitment,
as compared to companies not doing so (Ajay Das, Robert B. proper materials at the right time, supplier relationships,
Handfield, 1997). Just-In-time (JIT) is a managerial concept quality, and personnel (Christine A. Swanson, William M.
that has been heavily promoted in the world-wide automotive Lankford, 1998). Successful implementation of JIT principles
industry. Its underlying principles have been implemented by requires a thorough understanding of organizational strategy
most car manufacturers or car assemblers for many decades. and deployment of the strategy into consistent sub strategies
JIT, as a phenomenon, has been named differently at different and action plans (Mohammad Z. Meybodi, 2009).
times during the last century, it is concluded that JIT is just a
reincarnation of past theory and practice (Göran Svensson,
III. HISTORY-JIT
2001). JIT has been implemented in a variety of forms, with
companies selecting the aspects of JIT that are most IV.suitable
for their manufacturing process and competitive strategy. JIT
The technique was first used by the Ford Motor Company
is proving highly successful and is bringing substantial gains
as described explicitly by Henry Ford’s My Life and Work
in quality and efficiency. (Gill Mould, Maureen King, 1995).
(1922):
Lack of functional support, especially from engineering,
finance, and marketing has been reported as barriers in JIT "We have found in buying materials that it is not worth
implementation. The non-commitment of functional groups while to buy for other than immediate needs.”
They bought only enough to fit into the plan of production,
has been related to their failure to understand JIT (Larry C.
taking into consideration the state of transportation at the time.
Giunipero, Wai K. Law, 1990). The potential benefits of JIT
If transportation were perfect and an even flow of materials
to public sector organizations are not in doubt. However, the
could be assured, it would not be necessary to carry any stock
art of designing the right JIT implementation strategy for such
organizations is debatable. Therefore, issues related to these whatsoever. The carloads of raw materials would arrive on
concerns are worthy of future research (Mahmoud M. Yasin, schedule and in the planned order and amounts, and go from
the railway cars into production. That would save a great deal
Marwan A. Wafa et al., 2001). JIT firms were found to use
of money, for it would give a very rapid turnover and thus
non-financial performance indicators to a greater extent than
decrease the amount of money tied up in materials. With bad
non-JIT firms. For JIT firms there was a significant positive
transportation one has to carry larger stocks.
correlation between use of non-financial performance
indicators and organization performance. A significant They followed the concept of "dock to factory floor" in
positive correlation was also found between the use of non- which incoming materials are not even stored or warehoused
before going into production. This paragraph also shows the
financial performance indicators and organization
need for an effective freight management system (FMS) and
performance for all firms in the survey. (David Upton, 1998).
Ford's Today and Tomorrow (1926) describes one.
JIT with customers is associated with organizational designs
that are more decentralized, integrated, and formalized and The technique was subsequently adopted and publicized by
with better performance in terms of less finished goods Toyota Motor Corporation of Japan as part of its Toyota
Production System (TPS).
inventory and higher overall financial performance. The
Japanese corporations could afford large amounts of land to
analysis controls for firm size (Cindy Claycomb, Cornelia
warehouse finished products and parts. Before the 1950s, this
Dröge, et al., 1999). Despite the profound interest of
was thought to be a disadvantage because it reduced the
prospective managers and researchers, the extent of JIT
implementation in Indian industries so far is not satisfactory. economic lot size. (An economic lot size is the number of
The real challenge before Indian managers is to establish identical products that should be produced, given the cost of
changing the production process over to another product.) The
priorities among potential JIT techniques to achieve best
undesirable result was poor return on investment for a factory.
possible advantage of JIT implementation in Indian industries
Also at that time, Japanese companies had a bad reputation as far as
(S. Chandra, Rambabu Kodali, 1998). Analysis indicates that
quality of manufacturing and car manufacturing in particular was concerned.
JIT improves supplier operations, enhances transportation
operations with respect to inbound carriers, reduces the level One motivated reason for developing JIT and some other
and improves the management of inventories, does not cause better production techniques was that
after World War II, Japanese people had a very strong
overall inbound logistics costs to increase, and increases the
incentive to develop a good manufacturing technique which
quality and performance of inbound logistics (Michael Tracey,
would help them rebuild their economy. They also had a
Chong Leng Tan et al., 1995). The procurement of parts and
materials plays a key role in the successful implementation of strong working ethic which was concentrated on work rather
a JIT strategy because it has a direct impact on increased than on leisure, and this kind of motivation was what drove
Japanese economy to succeed. Therefore Japan’s wish to improve the
productivity, reduced costs and improved quality (Paul
quality of its production led to the worldwide launch of JIT method of
Humphreys, K.L. Mak et al., 1998). JIT manufacturing is a
inventory
407
IV. HISTORY-JIT A. Standardization

The basic elements of JIT were developed by Toyota in the Where the supplies are standardized and the suppliers are
1950's, and became known as the Toyota Production System trustable and close to the plant. As there is little buffer
(TPS).The chief engineer Taiichi Ohno, a former shop inventory between the workstations, so the quality must be
manager and eventually vice president of Toyota Motor high and efforts are made to prevent machine breakdowns.
Company at Toyota in the 1950s examined accounting Those organizations that need to respond to customer
assumptions and realized that another method was possible. demands regularly this system is also being able to respond to
The factory could be made more flexible, reducing the changes in customer demands.
overhead costs of retooling and reducing the economic lot size
to the available warehouse space. B. Software
Over a period of several years, Toyota engineers redesigned : For JIT to work efficiently Supply Chain Planning software,
car models for commonality of tooling for such production companies have in the mean time extended Just-in-time manufacturing
processes as paint-spraying and welding. Toyota was one of externally, by demanding from their suppliers to deliver inventory to the
the first to apply flexible robotic systems for these tasks. factory only when it's needed for assembly, making JIT manufacturing,
Some of the changes were as simple as standardizing the hole ordering and delivery processes even speedier, more flexible and more
sizes used to hang parts on hooks. The number and types of efficient.
fasteners were reduced in order to standardize assembly steps
and tools. In some cases, identical subassemblies could be C. Multi-Functionality
used in several models. In JIT workers are multifunctional and are required to
Toyota engineers then determined that the remaining perform different tasks. Machines are also multifunction and
critical bottleneck in the retooling process was the time are arranged in small U-shaped work cells that enable parts to
required to change the stamping dies used for body parts. processed in a continuous flow through the cell. Workers
These were adjusted by hand, using crowbars and wrenches. It produce pars one at a time within cells and transport those
sometimes took as long as several days to install a large parts between cells in small lots.
(multiton) die set and adjust it for acceptable quality. Further,
D. Cleanliness
these were usually installed one at a time by a team of experts,
so that the line was down for several weeks. Environment is kept clean and free of waste so that any
Toyota implemented a program called Single Minute unusual occurrence are visible.
Exchange of Die (SMED). With very simple fixtures, E. Schedules
measurements were substituted for adjustments. Almost
immediately, die change times fell to about half an hour. At Schedules are prepared only for the final assembly line, in
the same time, quality of the stampings became controlled by which several different models are assembled at the same line.
a written recipe, reducing the skill required for the change. Requirements for the component parts and subassemblies are
Analysis showed that the remaining time was used to search then pulled through the system. The "PULL" element of JIT
for hand tools and move dies. Procedural changes (such as will not work unless production is uniform and lot sizes are
moving the new die in place with the line in operation) and low. Pull system is also used to order material from suppliers
dedicated tool-racks reduced the die-change times to as little (fewer in numbers usually). They make be requested to make
as 40 seconds. Dies were changed in a ripple through the multiple deliveries of the same item in the same day, so the
factory as a new product began flowing. manufacturing system must be flexible.
After SMED, economic lot sizes fell to as little as one F. Quality
vehicle in some Toyota plants. Carrying the process into parts-
Quality within JIT manufacturing is necessary, because
storage made it possible to store as little as one part in each
assembly station. When a part disappeared, that was used as a without a quality program in JIT, the JIT will fail. Here we
signal to produce or order a replacement. think about quality at the source and the Plan, Do, Check,
Action with its statistical process control. Furthermore,
JIT was firmly in place in numerous Japanese plants by the
techniques are also very important. The JIT technique is a
early 1970's. JIT began to be adopted in the U.S. in the 1980's.
pull system rather than a pull system, based on not producing
things until they are needed. The well known Kanban card is
used as a signal to produce. Moreover, integration also plays
V. REQUIREMENTS a key role in JIT systems. JIT integration can be found in four
points of the manufacturing firm. The Accounting side,
Engineering side, Customer side and Supplier side. At the
JIT applies primarily to repetitive manufacturing processes
accounting side, JIT has concern for WIP, utilization and
in which the same products and components are produced
overhead allocation and at the engineering side of JIT focuses
over and over again
on simultaneously and participative design of products and
For Example Cars, Fast Food Chains
processes.
The requirements for a proper just-in-time management are:
408
VI. JUST-IN-TIME TOTAL QUALITY MANAGEMENT B. Cons of Just-In-Time:

Regardless of the great benefits of JIT, it has its limitations:
Just-In-Time Total Quality Management is the mean of For example cultural differences. The organizations
market and factory management within a humanistic cultures vary from firm to firm. There are some cultures that
environment of continuing improvement. Moreover, it means tie to JIT’s success, but it is difficult for an organization to
continuing improvement in social life, and working change its cultures within a short time.
life. When applied to the factory, Kaizen means continual Also manufacturers that use the traditional approach which
improvement involving managers and workers alike. When it relies on storing up large amounts of inventory for backing up
comes to Total Quality Management, Japans strong industrial during bad times may have problems with getting use to the
reputation is well-known around the world. Total quality JIT system.
control is the system, which Japan has developed to Also JIT is quite different for workers, in the sense that due
implement Kaizen or continuous improvement. The to the shorter cycle time, lots of pressure and stress is added
traditional description of Just-In-Time is a system for on the workers.
manufacturing and supplying goods that are needed. There Also the JIT system throws workers off in the sense that if
are several important tools that are important for total quality a problem occurs, they cannot use their own method of fixing
management control, but there are seven that are even more the problem, but use methods that have been previously
important. These are relations diagram, affinity diagram, defined.
systematic diagram or tree diagram, matrix diagram, Moreover, the JIT system only works best for medium to
matrix data analysis, process decision program chart, and high range of production volume manufacturers, thus leaving
arrow diagram. When used properly, these seven tools will a question to whether it might work for low volume
help the total quality management system by eliminating companies.
defective products. Moreover, they will help in assisting to
improve productivity, complete tasks on time, eliminate waste,
and reduce lead time and inventory cost. VIII. CASE IN WHICH JIT HAS FAILED
Just in Time production allows companies to reduce both

VII. PROS AND CONS OF JUST-IN-TIME inventory and the entire production chain. It encourages the
removal of all surplus, including surplus factories. Under
normal business conditions this is not a problem. However, if
A. Pros of Just-In-Time: there is any disruption at any given point in the supply chain,
then all production grinds to a halt.
Goals of JIT can vary, but there are a few that should be Evidence of the problem with Just in Time production
constant in any JIT system: became clear in the wake of Hurricane Katrina and Hurricane
Increasing the organization’s ability to compete with others Rita, both of which hit the US Gulf coast in 2005. At that time,
and remain competitive over the long run is very important. no new oil refineries had been built in the US since 1976.
The competitiveness of the firms is increased by the use of During that time period, companies actually shut down several
JIT manufacturing process as they can develop a more optimal refineries to reduce capacity. The old refineries still operating
process for their firms. ran at full capacity, so no new refineries were needed
The key is to identify and respond to consumers according to Just in Time theory since they would only
needs. Customers’ needs and wants should be the most produce surplus gasoline. However, most of these refineries
important focus for business today. This objective will help were clustered around the Gulf coast. When the Katrina hit, 15
the firm on what is demanded from customers, and what is oil refineries in Mississippi and Louisiana representing 20%
required of production. of US refining capacity was shut down. Rita damaged another
Moreover, the optimal quality and cost relationship is also 16 refineries in Texas, accounting for 2.3 million barrels per
important. The organization should focus on zero-defect day of capacity shut down.
production process. Although it seems to be unrealistic in the The lack of surplus in oil refining caused a shock to the
long run, it will eliminate a huge amount of resources and United States. Gasoline prices surged. Had companies not shut
effort in inspecting, and reworking defected goods. down refineries in order to reduce capacity according to Just
Another important goal should be to develop a reliable in Time theory, particularly refineries on the west coast, then
relationship between the suppliers. A good and long-term it is likely that gasoline prices would have remained stable.
relationship between an organization and its suppliers helps to US regular grade gasoline prices were $2.154 per gallon on
manage a more efficient process in inventory management, November 28, 2005, down from a spike of $3.09 on
material management, and delivery system. It will also assure September 19, 2005 in the immediate aftermath of the
that the supply is stable and available when needed. hurricane Katrina disaster
Moreover, adopt the idea of continuous improvement. If
committed to a long-term continuous improvement idea, it
will help the organization to remain competitive in the future.
409
IX. CASE-STUDY Several sales branches in different parts of the country sent
The work described in this case study was undertaken in a proposals into the Central Processing Center. After
young, rapidly expanding company in the financial services considerable debate it was agreed at first to consider
sector with no previous experience with Total Quality turnaround between entry into the computer system at the
Management (TQM). The quality project began with a two- Company Sales Branch and dispatch to the customer from the
day introductory awareness program covering concepts, cases, Central Processing Center (CPC). Later the entire cycle could
implementation strategies and imperatives of TQM. The be included. The perception of the length of turnaround by
program was conducted for the senior management team of different members of the team was recorded. It was found that
the company. This program used interactive exercises and real on an average Non-Medical Policies took 17 days and
life case studies to explain the concepts of TQM and to Medical Policies took 35 days.
interest them in committing resources for a demonstration Customer desire: What was the turnaround desired by the
project. customer? Since a customer survey was not available,
Step 1. Define the Problem individual group members were asked to think as customers --
1.1 Selecting the theme: A meeting of the senior imagine they had just given a completed proposal form to a
management of the company was held. Brainstorming sales agent. When would they expect the policy in hand?
produced a list of around 10 problems. The list was prioritized From the customer's point of view they realized that they did
using the weighted average table, followed by a structured not differentiate between medical and non-medical policies.
discussion to arrive at a consensus on the two most important Their perception averaged out six days for the required
themes -- customer service and sales productivity. turnaround.
Under the customer service theme, "Reducing the "Is this the average time or maximum time that you
Turnaround Time from an Insurance Proposal to Policy" was expect?" they were asked. "Maximum," they responded. It
selected as the most obvious and urgent problem. The was clear therefore that the average must be less than six days.
company was young, and therefore had few claims to process The importance of "variability" had struck home. For 99.7
so far. The proposal-to-policy process therefore impacted the percent delivery within the customer limit the metric was
greatest number of customers. defined.
An appropriate cross functional group was set up to tackle Therefore the average customer desire was less than 6 days
this problem. and the current status was that of 64 days for non-medical
1.2 Problem = customer desire – current status. Current policies and for medical policies it was 118 days. Therefore
status: What did the individual group members think the the problem was to reduce the non-medical policies from 64 to
turnaround is currently? As each member began thinking 6 days and medical policies from 118 to 6 days.
questions came up. "What type of policies do we address?" The performance requirement appeared daunting. Therefore
Medical policies or non-medical? The latter are take longer the initial target taken in the Mission Sheet (project charter)
because of the medical examination of the client required. was to reduce the turnaround by 50 percent -- to 32 and 59
"Between what stages do we consider turnaround?" days respectively.
Perceptions varied, with each person thinking about the Step 2. Analysis of the Problem
turnaround within their department. The key process stages In a session the factors causing large turnaround times from
were mapped: the principles of JIT were explained. These were Input arrival
patterns
Waiting times in process.
Batching of work.
Imbalanced processing line.
Too many handovers.
Non-value added activities, etc.
Processing times
Scheduling
Transport times
Deployment of manpower
Typically it was found that waiting times constitute the
bulk of processing turnaround times. Process Mapping (Value
Stream Mapping in Lean) was undertaken. The aggregate
results are summarized below:
Number of operations 84
Number of handovers 13
In-house processing time (estimated) 126 man-mins.
Range of individual stage time 2 to 13 mins.
Fig. 1 Key process stages To check this estimate it was decided to collect data -- run
two policies without waiting and record the time at each stage.
410
The trial results amazed everyone: Policy No. 1 took 100 the line but was not released on a regular basis. The
minutes and Policy No. 2 took 97 minutes. Almost instantly departmental head had not attended the TQM awareness
the mindset changed from doubt to desire: "Why can't we program and therefore did not understand why this change
process every proposal in this way?" was required.
Step 3. Generating Ideas There were two options -- mandate the change or change
In the introductory program of TQM during the JIT session the mindset to accept the change. Since the latter option
the advantages of flow versus batch processing had been produces a robust implementation that will not break down
dramatically demonstrated using a simple exercise. Using that under pressures it was agreed that the group would summarize
background a balanced flow line was designed as follows: TQM, the journey and the results obtained in the project so far
Determine the station with the maximum time cycle which and also simulate the process with a simple exercise in front
cannot be split up by reallocation 8 minutes. of the department head. This session was highly successful
Balance the line to make the time taken at each stage equal and led to the release of the person concerned on a regular
8 minutes as far as possible. basis.
Reduce the stages and handovers -- 13 to 8. Step 6. Follow-up
Eliminate non-value added activities -- transport -- make The process was run for one month with regular checks.
personnel sit next to each other. The results obtained were marginally better and average time
Agree processing to be done in batch of one proposal. reduced to 11 days.
Changing the mindset of the employees so they will accept Customer reaction: Sales management and sales agents
and welcome change is critical to building a self-sustaining (internal customers) clearly noticed the difference. For
culture of improvement. In this case, the line personnel were instance one sales manager reported that a customer had
involved in a Quality Mindset Program so that they received a policy within a week of giving a proposal and was
understood the reasons for change and the concepts behind so amazed that he said, "If you give such service I will give
them and are keen to experiment with new methods of you the next policy also!"
working. The line was ready for a test run. Adoption of a similar process at the CPC and the model
Step 4. Testing the Idea branch for medical policies has already reduced the average
Testing in stages is a critical stage. It allows modification turnaround time by 70 percent -- from 118 days to 37 days.
of ideas based upon practical experience and equally The corresponding all-India reduction was from 118 days to
importantly ensures acceptance of the new methods gradually 71 days -- a 60 percent reduction.
by the operating personnel. The project objective of 50 percent in the first stage has
Stage 1: Run five proposals flowing through the system been achieved.
and confirm results. The test produced the following results:
Average turnaround time: < 1 day
In-house processing time: 76 mins.
There was jubilation in the team. The productivity had
increased by 24 percent. X. CONCLUSION
Stage 2: It was agreed to run the new system for five days - In today's competitive world shorter product life cycles,
- and compute the average turnaround to measure the customers rapid demands and quickly changing business
improvement. It was agreed that only in-house processing was environment is putting lot of pressures on manufacturers for
covered at this stage and that the test would involve all quicker response and shorter cycle times. JIT manufacturing
policies at the CPC but only one branch as a model. This system, a company-wide commitment, proper materials,
model, once proved, could be replicated at other branches. quality, people and equipments must always be made
The test results showed a significant reduction in available when needed. JIT can be described as a waste
turnaround: elimination philosophy. JIT philosophy does not directly aim
1. For all non-medical policies from 64 to 42 days or 34% to manage inventory but as a result of JIT application
2. For policies of the model branch from 64 to 27 days of 60% inventory reduces or completely disappears. JIT has truly
The Mission Sheet goal of 50 percent reduction had been changed the face of manufacturing and transformed the global
bettered for the combined model branch and CPC. Further economy. JIT is both a philosophy and collection of
analysis of the data revealed other measures which could management methods and techniques used to eliminate waste,
reduce the turnaround further. Overall reduction reached an In JIT workers are multifunctional and are required to perform
amazing 75 percent. Turnaround, which had been pegged at different tasks. Machines are also multifunction and are
64 days, was now happening at 99.7 percent on-time delivery arranged in small U-shaped work cells that enable parts to
in 15 days. processed in a continuous flow through the cell. Workers
Step 5. Implementing the Ideas produce pars one at a time within cells and transport those
Regular operations with the new system was planned to parts between cells in small lots. Environment is kept clean
commence. However, two weeks later it was still not and free of waste so that any unusual occurrence are visible.
implemented. One of the personnel on the line in CPC had Schedules are prepared only for the final assembly line, in
been released by his department for the five-day trial to sit on which several different models are assembled at the same line.
411
Requirements for the component parts and subassemblies are [5] Mahmoud M. Yasin, Marwan A. Wafa, Michael H. Small, (2001)
"Just-in-time implementation in the public sector: An empirical
then pulled through the system. Organizations in the
examination", International Journal of Operations & Production
manufacturing, service and public sectors are implementing a Management, Vol. 21 No: 9, Pp.1195 – 1204.
wide variety of innovative managerial tools and JIT [6] David Upton, (1998) "Just-in-time and performance measurement
philosophy to help them deal with the highly competitive, systems", International Journal of Operations & Production
Management, Vol. 18 No: 11, Pp.1101 – 1110.
customer-driven environments in which they must operate.
[7] Cindy Claycomb, Cornelia Dröge, Richard Germain, (1999) "The
Moreover there are other school of thoughts which says that Effect of Just-in-Time with Customers on Organizational Design and
Just-in-time inventory is viewed as the waste of resources and Performance", International Journal of Logistics Management, Vol. 10
considered as obstacle in improvement. As there is little buffer No: 1, Pp.37 – 58.
[8] S. Chandra, Rambabu Kodali, (1998) "Justification of just-in-time
inventory between the workstations, so the quality must be
manufacturing systems for Indian industries", Integrated
high and efforts are made to prevent machine breakdowns. Manufacturing Systems, Vol. 9 No: 5, Pp.314 – 323.
When all these things are taken into consideration, system [9] Michael Tracey, Chong Leng Tan, Mark Vonderembse, Edward J.
produces high-quality goods, quickly and at low cost. This Bardi, (1995) "A Reexamination of the Effects of Just-In-Time on
Inbound Logistics", International Journal of Logistics Management,
system is also being able to respond to changes in customer
Vol. 6 No: 2, Pp.25 – 38.
demands. [10] Paul Humphreys, K.L. Mak, C.M. Yeung, (1998) "A just-in-time
evaluation strategy for international procurement", Supply Chain
REFERENCES Management: An International Journal, Vol. 3 No: 4, Pp.175 – 186.
[1] Ajay Das, Robert B. Handfield, (1997) "Just-in-time and logistics in [11] Christine A. Swanson, William M. Lankford, (1998) "Just-in-time
global sourcing: an empirical study", International Journal of Physical manufacturing", Business Process Management Journal, Vol. 4 No: 4,
Distribution & Logistics Management, Vol. 27 No: 3/4, Pp.244 – 259. Pp.333 – 341.
[2] Göran Svensson, (2001) "Just-in-time: the reincarnation of past theory [12] Mohammad Z. Meybodi, (2009) "Benchmarking performance
and practice", Management Decision, Vol. 39 No: 10, Pp.866 – 879. measures in traditional and just-in-time companies", Benchmarking:
[3] Gill Mould, Maureen King, (1995) "Just-in-time implementation in the An International Journal, Vol. 16 No: 1, Pp.88 – 102.
Scottish electronics industry", Industrial Management & Data Systems,
Vol. 95 No: 9, Pp.17 – 22.
[4] Larry C. Giunipero, Wai K. Law, (1990) "Organizational Support for
Just-in-Time Implementation", International Journal of Logistics
Management, Vol. 1 No: 2, Pp.35 – 40.
412
Lateral Transshipment – An Automobile Industry

Perspective
Dharamvir Mangal1, Pankaj Chandna2 Gian Bhushan3
1
Department of Applied Sciences and Humanities, The Technological Institute of Textile and Sciences, Bhiwani Haryana, India
1
mangaldharamvir1@rediffmail.com
2, 3
Department of Mechanical Engineering, National Institute of Technology, Kurukshetra, Haryana, India
2
pchandna08@gmail.com
3
aroragian@yahoo.co.in
Abstract - This paper summarizes the recent challenges in the the original equipment manufacturer (OEM) has more number
Indian automotive world and analyzes their implications on supply of suppliers and they are facing a hard-hitting task coordinating
chain through lateral transshipment. In this dynamic business and collaborating with all the suppliers. The new age customers
environment, lateral transshipment is one critical element to want tailored products according to their tastes like automobile
facilitate automakers differentiate themselves from the
color, interior, audio system, etc. This customer behavior
competition. In fact, many of trends in the auto industry are
reinforcing the need to adopt lateral transshipment strategies in the implies that dealers and manufacturers have to maintain
present supply chain layouts, and operations etc. Customer sufficient inventory to suit their requirements. Proficient and
behavior implies that dealers and manufacturers have to preserve effectual lateral transshipment technique in a supply chain
sufficient inventory to gratify them. To improve profitability and management plays a very important role in the auto industry.
efficiency, automotive players are seeking ways to achieve The automotive industry is changing its business model with
operational excellence, reduce operating cost and enhance innovative transshipment policies in supply chain to reduce cost
customer service through efficient supply chain management and and to increase customer satisfaction and service levels. 3
by introducing transshipment at different echelons. Thus, suppliers Lateral transshipment helps in expansion of sourcing partners,
and retailers are lining up with strategic partners, if not buying
streamlining customer requirements, optimizing sourcing
them up, breaking down many of the old barriers with the help of
transshipment policies. practices, inventory management, accurate forecasting, better
suppliers‟ relation, co-ordination and co-operation across supply
Keywords - Automotive Industry, Challenges, Supply chain, Lateral chain, better visibility and control over the process, reduction of
lead time, attaining flexibility and better customer management.
transshipment
I. INTRODUCTION II. SUPPLY CHAIN SCENARIO IN INDIAN

For the today‟s complex production and distribution systems it AUTO SECTOR
becomes more and more important to have efficient and easy The distribution system for new automobiles has remained
applicable tools that model and control the flows of goods unchanged for many years, with more emphasis on supplying
through the various locations of the system. Supply chain customers from stock held at retailers. Despite high stocks, the
management is an integrative approach for planning and control performance of the supply chain has failed to meet customer
of materials and information flows with suppliers and customers expectations in terms of delivering the exact specification
as well as between different functions within company. This desired within an acceptable timescale. Today Indian
bridges the inventory management focus in operations automotive industry is completely capable of producing various
management and the analysis of relationships from industrial kinds of vehicles and can be divided into three broad categories:
organization [1]. Indian Automotive industry has been facing two-wheelers, cars and heavy vehicles. Vast scope exists for
foremost challenges due to ferocious competition, increasing Indian automobile and auto component manufacturers to reduce
operational intricacy, technology changes, shortened product their logistics costs with the implementation of SCM solutions.
lifecycle and frequently changing customer requirements. Due As India is a developing country, and fascinatingly, there has
to globalization, the automotive industry has changed its model been an upward trend of realisation of supply chain
of traditional confined business to that of worldwide business. optimisation. SCM solution market has been making inroads in
Auto parts are being sourced from all over the globe to achieve India and it is being established widely by many automobile
cost reduction, quality and competitive advantage. Moreover, industries in the country, particularly manufacturing ones where
inventory carrying cost is very high [2]. Several automobile
413
manufacturers in India have taken positive actions to manage

their logistics cost and get better customer services and
measures have been undertaken by Indian companies to develop
their supply chain [3].
Auto manufacturers in India and all tiers of the supply chain
have immense opportunities to enhance their entire supply chain
process with the successful implementation of SCM solution. At
present there are 15 manufacturers of passenger cars & multi
utility vehicles, 9 manufacturers of commercial vehicles, 16 of
2/3 wheelers and 14 of tractors besides 5 manufacturers of
engines. Total turnover of the Indian automobile industry is
expected to grow from USD 34 Billion in 2006 to USD 122
Billion in 2016 [4]. The automotive industry is today a key
sector of the Indian economy and a major foreign exchange
earner for the country.
Today, India is the 2nd largest tractor and 5th largest commercial Fig. 1 Domestic Market share of Automobile Industry
vehicle manufacturer in the world. Hero Honda with 3.9 million
motorcycles a year is now the largest motorcycle manufacturer
in the world. With the growth of transportation system the 2) Exports
automotive industry of India is also growing at rapid speed, In April-July 2010, overall automobile exports registered a
occupying a vital place on the „canvas‟ of Indian economy. By growth rate of 54.46%. Passenger vehicles, two wheelers,
exploring Indian automobile sector, it has been found that commercial vehicles and three wheelers segments grew by
uncertainties like demand and lead-time have direct impact on 9.01%, 61.52%, 95.31% and 141.97% respectively in April-July
managing inventories and managers are facing great difficulties 2010 over April-July 2009.
while controlling these parameters [5]. Customer satisfaction
and cost reduction are again the key issues to be handled III. CORE CAPABILITIES OF LATERAL
effectively and efficiently. TRANSSHIPMENT IN AUTOMOTIVE
INDUSTRY
1) Domestic Market In a highly competitive environment, an effective and efficient
The growth of the Indian middleclass along with the growth of supply chain is a must for automotive manufacturers and their
the economy over the last few years has resulted in a host of suppliers. The industry landscape is exposed to a set of critical
global auto giants setting their foot inside the Indian Territory. challenges and trends that are leading, if not accelerating, the
The overall domestic sale of commercial vehicles segment need to fine-tune supply chain strategies and operations even
registered growth of 49.77% in April-July 2010 as compared to further. The increasing requirement for real-time information
the same period last year. Medium and heavy commercial and effective communication across the supply network is
vehicles registered growth at 74.19% and light commercial critical for managing and optimizing the supply chain on a
vehicles grew at 32.87%. During April-July 2010, three flexible basis, while keeping costs under control. Information
wheelers sales recorded a growth rate of 18.08%. While technology i.e. SCM plays an increasingly important role [6].
passenger carriers grew by 20.87% and goods carriers grew at The concept of collaboration and joint competitiveness is often
7.24% in this period. Two wheelers registered a growth rate of more appealing than going it alone. However, as demands on
28.31% in April-July 2010. Scooters, Mopeds and Motorcycles supply chains continue to escalate, the relationships between
grew by 44.67%, 23.86% and 25.59% respectively. Fig. 1 organizations will be tested. In any supply chain structure, a
represents the domestic market share of automobile industry in number of risks exist that must somehow be managed between
India for 2009-2010. the participating members. Co-operation should be along the
supply chain but here we are discussing the cooperation across
the supply chain [7]. Collaboration usually takes the form of
lateral inventory transshipment from an outlet with a surplus of
on-hand inventory to an outlet that faces a stock out. Since the
cost of transshipment is generally lower than both the shortage
cost and the cost of an emergency delivery from the central
warehouse. Transshipment time is shorter than the regular
replenishment lead-time. Lateral transshipment simultaneously
reduces the total system cost and increases the service at the
414
retailers [8]. These service levels cover the satisfied demand or forecasting and statistical tools that encourage cross-
the periods during which the products were delivered to the departmental collaboration.
customers. The stocking locations that share their inventory in
this manner are said to form a pooling group, since they 3) Inventory Planning
effectively pool their resources to reduce the risk of shortages Inventory is the key to profitability. Inventory velocity turns
and provide better service at lower cost. A commonly used assets into profits. The faster inventory turns, the greater the
strategy to introduce flexibility in the system is to establish profitability. Inventory is the key issue to supply chain
transshipment links between locations at the same echelon [9]. management success. Customers demand that their orders be
This means that locations at the same echelon in some sense shipped complete, accurate and on-time. That means having the
share inventory. Lateral transshipments (also referred to as right inventory at the right place at the right time. But this is not
inventory pooling) represent an effective strategy to improve a as easier as it sounds. Inventory management is the Gordian
company‟s system availability while reducing the total system knot of supply chain management. No one knows how to untie
costs. Lateral transshipments are used to satisfy a demand at a it, and it cannot be cut. Controlling uncertainties in a supply
location that is out of stock from another location with a surplus chain is a key issue for managing inventories [10]. In a supply
of on-hand inventory. chain structure, all the individuals are bearing risks that must
By allowing transshipments among locations better customer somehow be managed efficiently. Co-operation should be along
service can be achieved with retained inventory levels. Overall the supply chain but in this work we are discussing the
performance of the supply chain is enhanced by improving the cooperation across the supply chain. The automotive
service levels. It should also be emphasized that with modern manufacturing industry is an extremely competitive one and
information technology, strategies such as lateral transshipments many automobile players are focusing on their supply chains in
are indeed possible to implement in practice. The core global perspectives for sources of competitive advantage. Indian
capabilities of automotive sector where lateral transshipment is automobile and auto components industry is on a roll and there
important in SCM are: is a vast scope for the management for enhancing the lateral
transshipment approach in controlling the uncertainties of
1) Network Design-strategize and optimize inventory control in the adopted supply chain [11].
As the leading solution for lateral transshipment, network design
offers the most flexible strategic modeling environment to 4) Replenishment Planning
incorporate complex costs, revenues, and constraints of a Replenishment Planning (Transshipment policies) reconciles
company‟s unique supply chain. Advanced optimization customer demand with an organization's manufacturing,
techniques let you quickly determine the optimal number, distribution or procurement capabilities enabling rapid response
location, and size of facilities, as well as the most profitable to changing requirements. Several technologies have gained
sourcing decisions and inventory positions necessary to meet popularity recently, due to their ability to facilitate the flow of
transshipment strategies. information across the supply chain. Many of the technologies
At a tactical level, lateral transshipment is used to coordinate the fall, in today‟s language, under the heading of electronic
flow of product according to the dynamic change of its demand communication like Electronic Data interchange (EDI) and
mix. Strategic planner can do this work to determine where and Radio frequency Identification (RFID). Other relevant
when to make buy, store, and move product through your technologies include bar coding/scanning and data warehouses.
network with transshipments to the customers. It is interesting to note that several of these technologies have
2) Demand Planning been available for a number of years: however, the application
Lateral transshipment enables to predict and shape customer to inter-organizational supply chains is a relatively recent
demand more efficiently. Advanced statistical capabilities phenomenon. Electronic commerce is the term used to describe
combined with market knowledge gained from internal and the wide range of tools and techniques utilized to conduct
external collaboration bring pinpoint accuracy to the demand business in a paperless environment. Electronic commerce is
plans. The result: a single, global view of the “truth” that both having a significant effect on how organizations conduct
provides the foundation for sales and operations plan and helps business. Companies are able to automate the process or moving
to achieve measurable service improvements. Demand Planning documents electronically between suppliers and customers in
can be implemented at a single site or centrally with web-based such a manner that the entire process is handled electronically
access to manage a global demand plan with multiple channels and no paperwork is involved. With the rise of the Internet and
to market. It enables to improve forecast accuracy, which, in the ability to transfer information cheaply and effectively over
turn, drives more responsive customer service with lower the whole world, electronic commerce is becoming major focus
inventories and reduced obsolescence. Components include - for many organizations and represents a significant opportunity
Make sense of customer demand through sophisticated for integrated supply chain management‟s efforts.
415
5) Warehouse Management
To keep supply chain running smoothly, companies need to REFERENCES
efficiently manage their warehouses. Optimized planning can [1] Swaminathan, S., “Definitions and methods of SCM”, Kansas
Wichita State University, pp. 5, 2001.
avoid excess stock, but there is also a need for execution and
[2] Walker, M.A., Dabholkar, P.A., Gentry, J.J., “Postponement product
coordination to improve the processes within warehouses. The customization and market-oriented supply chain management”,
demands on warehouse management are becoming more and Journal of Business Logistics, vol. 21 (2), pp. 133-159, 2000.
more complex. The number of customers who place their orders [3] Cooper, M.C., Lambert, D.M. and Pagh, J.D., “Supply chain
management: more than a new name for logistics”, International
directly with the manufacturer is increasing. An increase in pick
Journal of Logistics Management, vol. 8, pp. 1-14, 1997.
orders, a decrease in the number of items in each order, and an [4] Kamala, T.N. and Doreswamy, A.G., “Strategies for Enhancing
increase in the number of articles that need to be managed. Competitiveness of Indian Auto Component Industries”, Indian
Outsourcing requires logistics service providers to be more Institute of Management Kozhikode.
dspace.iimk.ac.in/bitstream/2259/478/1/215-220.pdf., 2007.
closely involved, either managing an entire warehouse or
[5] Nath, Vikas and Pratibha, Das, R.P., “Managing Customer
executing sub-processes. At the same time, warehouse Experiences”, Journal of Indian Management and Strategy, vol. 13
management costs have to be minimized, while processes, (1), pp. 46-52, January-March, 2008.
flexibility, and customer service must be improved. Complete [6] Helms, M.M., Ettkin, L. and Chapman, S., “Supply chain forecasting.
Collaborative forecasting supports supply chain management”,
fulfillment and distribution solutions for lateral transshipment
Business Process Management, vol. 6, pp. 392-407, 2000.
that address everything from inventory and labor management to [7] Vonderembse, M.A., “Building Supplier Relationships that Enhance
cross-docking, yard management etc. Manufacturing Performance”, Spiro Press, London, 2002.
[8] Banerjee, A., Burton, J. and Banerjee, S., “A simulation study of
lateral shipments in single supplier, multiple buyers supply chain
6) Transportation, distribution and Logistics
networks”, International Journal of Production Economics, vol. 81,
The logistics behind the distribution of the products and services pp. 103-114, 2003.
can have a major impact on the bottom line. How we distribute [9] Xu, K., Evers, P.T., Fu, M.C., “Estimating customer service in a two
our products and deliver our services can affect both the cost to location continuous review inventory model with emergency
transshipments”, European Journal of Operational Research, vol.
the business and the clients' satisfaction. Picking, assembly,
145 (3), pp. 569-584, 2003.
packing, and shipping goods to customers are the key activities [10] Diks, E.B. and de Kok, A.G., “Optimal control of a divergent multi-
carried out in a distribution center. Goods are either produced echelon inventory system”, European Journal of Operational
independently or procured from suppliers [12]. Efficient Research, vol. 111, pp. 75-97, 1998.
[11] Zangwill, W.I., “A deterministic multi-product multi-facility,
cooperation between all of the partners involved (suppliers,
production and inventory model”, Operations Research, vol. 14, pp.
carriers, customers, express delivery companies, and other 486-507, 1996.
service providers) plays an important role. Intensive [12] Walker, M.A., Johnson, M.E., Davis, T., “Vendor managed inventory
communication and timely exchange of information ensure that in the retail supply chain”, Journal of Business Logistics, vol. 20 (1),
pp. 183-203, 1999.
distribution center processes run as efficiently as possible.
[13] McGrath, M.E., “Improving supply-chain management”,
Transportation and logistics solution helps assemble global Transportation and Distribution, vol. 38 (2), pp. 79-80, 1997.
inventory to get the right goods to the right customer and place
at the right time in the right condition for the right price, even as
to conform to trade regulations [13]. As a result, to get the sale
and to deliver on commitment, while reducing costs, boosting
service, and avoiding custom delays and fine.
IV. CONCLUSION
Indian automobile and auto components industry is on roll and
there is an immense scope for improvement and enhancement of
supply chain through lateral transshipment in this sector. India
has become a most sought after destination for foreign
companies to establish their facilities and form alliances with
domestic companies. Low cost of transportation and closely
packed supply chain members have been the major drivers for
companies to adopt and to apply transshipment policies in India.
The Indian economy is now gaining momentum in the world of
free trade and liberal movements of goods and services between
countries. Therefore efficiency in lateral transshipment in supply
chain will be critical for India‟s automobile success.
416
Management of Suppliers: Review of

Concept
Amit Dubey1, Pardeep Sharma2, Ajay Singh3, Gurpreet Singh4
1.2.3.4
Department of Mechanical Engineering, Panipat Institute of Engineering & Technology, Panipat, India
1
er.amitdubey@indiatimes.com
Abstract--Suppliers are the begin point of a supply A. Introduction to Lean Manufacturing

chain in any industry. In supply chain management,
management of suppliers is a topic of eminent
Applying lean manufacturing
importance. In Implementation of Lean Manufacturing
(LM) in an organization, involvement of suppliers, play philosophy is one of the most important
a key role. Supplier’s management involves-supplier concepts that help businesses to compete.
selection, supplier’s development, relationship between Lean manufacturing or lean production,
suppliers and manufacturers/buyers, supplier-supplier simply known as lean, is a production
relationship, supplier’s network and risk management. practice, which regards the use of
Extant literature on supplier issues of involvement in resources for any work other than the
organizational growth as a lean organization is creation of value for the end customer, is
available on individual issue. In this paper ,all issues of waste, and thus a target for elimination.
suppliers related to implementation of lean production
Lean manufacturing (LM) is a multi-
are studied together to give the insight of Supplier’s
Management Concept as a whole. dimensional management practice
including just in time, quality systems,
Keywords-- Lean Manufacturing, Supply chain work teams, cellular manufacturing,
management, Supplier’s issues, Lean production. supplier management, etc., in an integrated
system [5]. Karlsson–Ahlstrom, gave the
structure of a lean enterprise as shown in
table1. Development of an enterprise as a
1. INTRODUCTION lean organization, supplier involvement is
Supplier role in making an organization leaner is as the prior issue. Suppliers’ involvement
much important as in making a supply chain system needs information sharing at every stage of
managed. integration.
Figure 1. Elements of lean production (Source: Karlsson–Ahlstrom, 1996).
417
B. Supply Chain Management relationship, managing and report on company

supplier cost/performance indices to management,
Supply chain refers to the flow of materials, audit suppliers and insure suppliers processes and
information, payments, and services from raw procedures are being followed and travel to
material suppliers, through factories and suppliers to resolve issues[4]. Upstream part of
warehouses, to the final consumer [4]. Supply SCM is totally concerned with suppliers which may
Chains contribute to increased profitability and be a combination of different level of tiers as shown
competitiveness [6]. Role of supply chain manager in figure2. of supply chain of a cereal manufacturer.
in relation to supplier is to manage supplier
Figure 2. Supply chain for material flow as well as information flow in Cereal Manufacturer.
TABLE 1. FOUR SUPPLIER ROLES in PRODUCT DEVELOPMENT.
Role Description Responsibilities during product

development
Partner (full service provider) Relationship between equals; Entire subsystem. Supplier acts as
supplier has technology, size and an arm of the customer and
global reach participates from the pre-concept
stage
Mature (full system supplier) Customer has superior position; Complex assembly. Customer
supplier takes major provides specifications, then
responsibility with close supplier develops system on its
customer guidance own. Supplier may suggest
alternatives to the customer
Child Customer calls the shots, and Simple assembly. Customer
supplier responds to meet specifies design requirements and
demands supplier executes them
Contractual Supplier is used as an extension Commodity or standard part.
of customer’s manufacturing Customer gives detailed
capability blueprints or orders from a
catalogue and supplier builds
(Source: Kamath and Liker, 1994)
418
II. Suppliers Issues performance, firms have attempted both to reduce

the number of suppliers and to increase the
A. Selection of Suppliers efficiency of those that remain. Supplier
development involves efforts undertaken by
No differences among the auto assemblers, direct manufacturing firms to improve their suppliers’
suppliers, and indirect suppliers for the importance capabilities and performance. These improvement
placed on consistency (quality and delivery), efforts can be targeted at a variety of areas such as
reliability, relationship, flexibility, price, and quality management, product development, and cost
service and statistically significant differences were reduction for the long-term mutual benefit of both
found between the auto assemblers and indirect parties.
suppliers on the importance placed on technological Daniel R. Krause et al., presented a Strategic
capability and financial issues [15]. [12] Classified supplier development process in an organization as
the criteria in selection of suppliers as financial, shown in figure3, [9]. Since supplier development
performance, technology, organizational culture and requires investments on the part of the
strategy and other factor. Various new manufacturer, it is important to optimally distribute
methodologies are presented in extant literature investment among several suppliers to minimize
work like TOPSIS, PROMETHEE and other risk while maintaining an acceptable level of return.
MADM techniques. Rao, R.V., in his work on A set of optimization models that address the issue
decision making in manufacturing environment of supplier development under risk considering two
gave various improved methodologies. scenarios: single-manufacturer and multiple
suppliers (SMMS) and two-manufacturer and
B. Supplier Development multiple suppliers (TMMS) [17].
As firms continue to focus on core competencies C. Buyer-Suppliers Relationship or Integration

and outsource non-core products and services to
external suppliers, supply chain management is Relationships between manufacturers and their
increasingly viewed as a source of competitive suppliers are typically called ‘‘supplier–
advantage [8]. Growing recognition that supply manufacturer relationships.’’ The term ‘‘buyer–
chain performance can influence firm supplier relationships’’ is broader in that it can also
competitiveness has led to considerable academic be used to refer to relationships between companies
and practitioner interest in supplier development in the service sector. [18] Buyer–Supplier
strategies [11]. However, if the supply chain is to relationship in manufacturing firm, gave five level
be a source of competitive advantage, suppliers’ Buyer Supplier integration
performance must be managed and developed to
meet the needs of the buying firm [9]. To improve
Strategies and their important critetria as presented in table 4.
419
Figure3. Strategic supplier development process.
TABLE4. BUYER–SUPPLIER INTEGRATION STRATEGIES AND THEIR IMPORTANT CRITERIA.
Levels of integration Important criteria for supplier selection
1. No integration Price and quality
2. Logistical integration Besides the price and quality, the operational logistics elements such as
reliability, flexibility, supply lots, lead time
and so on
3. Operational integration The suppliers’ process capability such as set up time, lot size, lead time, etc.
should be considered in the supplier
selection process
4. Integrating process and Besides the criteria of the preceding levels, the supplier’s human resource
products from several points of view such as design
with supplier involvement, management ability, culture, etc. should be considered
5. Business partnership Besides technological and human resource point of view, the strategic
directions of the suppliers should be considered
(source: Ghodsypour & O’Brien, 1998)
There are two major types of relationship between

buyers and suppliers as defined by most of the D. Supplier-Supplier Relationship
researchers: ‘‘adversarial competitive’’ and
‘‘collaborative partnership’’ [12].
Some Japanese buying companies bring competing away from each other to promote competition [1].
suppliers to work together in some situations, while Later on, some studies showed how some Japanese
in some other situations they keep the suppliers automakers bring together competing suppliers not
420
for cooperation but for competition. At a casual in the direction of more tiered structures where
glance, then, it may appear that the suppliers in the main contractors outsource ever more functions to
buyer–supplier–supplier triad necessarily entail a their suppliers [16]. The number of first-tier
straightforward competing relationship, i.e. a suppliers has decreased and the size and
relationship between two suppliers who simply responsibilities of companies are expanding [8]. In
compete as the market prescribes. However, transaction cost, in the most effective networks both
scholars have recognized that this relationship can parties are dependent on each other [20].
be much more complex [19]. Competition typically Interdependence is critical because it ensures that
entails something much more than a rivalry between neither party has an incentive to go back at any time
suppliers [21]. For example, when negotiating for a [7]. Interdependence motivates buyers and suppliers
new contract, a buyer can bring together two to develop long-term relationships characterized by
competing suppliers to collaborate and develop the stability, co-operation, and mutual benefit [13]. In
initial broad based terms of the contract, but then transaction cost theory, following six reasons can
separately negotiate with each supplier for the help to clarify the difficult position a decision-
detailed terms [22]. Two suppliers can be pressured maker is in when deciding on an investment:
to collaborate on various projects and yet are bounded rationality, opportunism, asset specificity,
expected to compete against each other [20]. This uncertainty and complexity, small numbers, and
type of competing and cooperating relationship is information sharing [16].
described as coopetition [6]. Later, Choi, included
coopetitive relationship as one of the three III. CONCLUSION
theoretical types of supplier–supplier relationship
[7]. They discussed the challenges the buying In this paper, through literature which was on
company typically faces when managing the individual supplier issues, is tried to give an overall
relationship between two competing suppliers and understanding of concept i.e. management of
tried to grasp the complex dynamics of supplier– suppliers. As a result, it is clear that without
supplier relationship by proposing three theoretical supplier involvement, to be lean for an organization
relational types: cooperative, competitive and co- is very difficult. There is still no review work in this
opetitive. field, so more review can be done.
E . Risk Management REFERENCES
Jukka Hallikasa [20], in their research answered [1]. Aamodt, A., & Plaza, E. (1994). Case-based
these two questions- reasoning: Foundational issues, methodological
(1) What kinds of risks arise from network variations, and system approaches. AICom— Artificial
Intelligence Communications, 7(1), 39–59. [2]. Ahuja, G.,
collaboration? (2) How do the risk management Lampert, C.M., 2001. Entrepreneurship in the large
processes operate in network collaboration? In corporation: a longitudinal study of how established firms
operational environment, risks which can arise for create breakthrough inventions. Strategic Management
supplier are too low or inappropriate demand, Journal 22, 521–543.
Problems in fulfilling customer deliveries, Cost [3]. Ajay Das, Ram Narasimhan, Srinivas Talluri,
management and pricing and Weaknesses in (2006).Supplier integration—Finding an optimal
resources, development and flexibility [21]. Risk configuration, Journal of Operations Management 24
management process for a enterprise can have steps 563–582.
of risk identification, risk assessment, decision and [4]. Arnum, P.V., 2003. Managing Complex Supply
Chains Key for Profitability. Chemical Market Reporter,
implementation of risk management actions and 13 October, p. 22.
finally, risk monitoring. [5]. Singh, Bhim., Garg, S.K., Sharma, S.K. (2009). Lean
can be a survival strategy during recessionary times.
F. Supplier Networks International Journal of Productivity and Performance
Management,Vol. 58 No. 8, pp. 803-808
Supplier networks (production networks) are [6]. Briggs, P. (1994). Case study: Vendor assessment for
typically organized according to a product’s value partners in supply. European Journal of Purchasing and
chain and are network structures of independent Supply Management, 1(1), 49–59.
companies based on deep and long-term
cooperation [20]. Network structures are developing
[7]. Choi, C., Scheuing, E. E., & Ruch, W. A. (1993). different perspectives. International Journal of Purchasing
Purchasing performance evaluation: An investigation of and Materials Management, 29(3), 33–39.
421
[8]. Choy, K. L., & Lee, W. B. (2002a). On the supply chain, Journal of Operations Management 14, 333-
development of a case-based supplier management tool 343
for multi-national manufacturers. Measuring Business [16]. Hojung Shin, David A. Collier, Darryl D. Wilson,
Excellence, 6(1), 15–22. (2002). Supply management orientation and
[9]. Daniel R. Krause, Robert B. Handfield, Thomas V. supplier/buyer performance Journal of Operations
Scannell, (1998). An empirical investigation of supplier Management 18, .317–333.
development: reactive and strategic processes, Journal of [17]. Srinivas Talluri, Ram Narasimhan , Wenming
Operations Management 17_.39–58 Chung, (2010), Manufacturer cooperation in supplier
[10]. Dore, R. (1983). Goodwill and the spirit of market development under risk, European Journal of Operational
capitalism. British Journal of Sociology, 34(4), 459–482. Research 207 165–173
[11]. Dutta, S., Wierenga, B., & Dalebout, A. (1997). [18]. Keith Goffin, Fred Lemke, Marek Szwejczewski,
Case-based reasoning systems: From automation to (2006).An exploratory study of ‘close’ supplier–
decision-aiding and simulation. IEEE Transactions on manufacturer relationships, Journal of Operations
Knowledge and Data Engineering, 9(6). Management 24 (2006) 189–209
[12]. Ellram, L.M., Edis, O.R.V., 1996. A case study of [19]. Zhaohui Wu, Thomas Y. Choi, (2005), Supplier–
successful partnering implementation. International supplier relationships in the buyer–supplier triad:
Journal of Purchasing and Materials Management 32 (4), Building theories from eight case studies. Journal of
20–28. Operations Management 24 27–52
[13]. Ellram, L.. 1993, Total cost of ownership: Elements [20]. Jukka Hallikasa,, Iris Karvonenb, Urho Pulkkinenb,
and implementation. International Journal of Purchasing Veli-Matti Virolainenc, (2004). Risk management
and Materials, Management 29, 3-1 I. processes in supplier networks, Int. J. Production
[14]. Narasimhan, R., 1983, An analytical approach to Economics 90 ,47–58.
supplier selection, journal of Purchasing and Materials [21]. Mika Ojalaa, Jukka Hallikas, (2006), Investment
Management, Vol. 19. No. 4, Winter, pp. 27-32. decision-making in supplier networks: Management of
[15]. Thomas Y. Choi, Janet L. Hartley (1996). An risk, Int. J. Production Economics 104 (2006) 201-213
exploration of supplier selection practices across the (Handfield et al., 2000), (Asanuma, 1994).
422
Modern Productivity Improvement Techniques

1
S.P.Tayal
1
M.M.university, Mullana-133203, Distt. Ambala (Haryana), India.
1
sptayal@gmail.com
Abstract - It is an admitted fact that productivity of identifying initiatives for process improvement, are
Indian industrial workers is very low in comparison the objectives that WAPI has been designed to
to workers of industrially developed countries, deliver.
surprisingly it is even low in comparison to that of a
number of developing Asian nations. This serious It is designed for the entire operations of the
matter is getting lot of attention of social scientists, company, with Tata Strategic playing the role of an
industrial managers, administrators and policy active facilitator. Initially, a project structure is
makers. The efforts are being continuously put into established with a key company executive acting as
pin point the reasons for low productivity. Realization
that Indian industrial worker is fairly satisfied with
the sponsor. The extent of improvement in
his job, has compounded the difficulty in productivity required is established through internal
understanding the reasons of low productivity. and external benchmarking. WAPI requires a
A number of new management techniques to improve thorough understanding of the existing organization
productivity of industrial workers have been structure, processes and activities of employees.
developed and applied successfully in many
industrially developed countries. From time to time The study of the organization structure involves
applicability of these techniques in Indian context has mapping roles, hierarchy and overlaps. Process
been studied and a few experiments have also been flows and roles of different agencies are also
carried out. One important aspect which must be mapped. Activities of employees are defined and
taken into consideration while applying these characteristics like sequence and load identified
techniques in Indian industries is that industrial through work distribution charts. The as-is
environment in our country is different from that of
mapping is then analyzed to identify role
advanced countries.
In the present paper, reasons have been listed which
redundancies, overlaps and bottlenecks.
form the base of the present industrial atmosphere in Opportunities for improvement are then explored
India. It has been tried to discuss some aspects by using levers such as zero basing of processes
enlightened by the research in the areas of and activities, process improvement, departmental
productivity, job satisfaction and motivation of realignment, empowerment automation and
Indian industrial workers. The reasons for low outsourcing.
productivity of Industrial workers are enunciated.
Finally, suggestions have been made for a line of Opportunities thus identified are then syndicated
action which could be taken up for improvement of with client teams in consultation with the sponsor
productivity of Indian industrial workers. and signoffs obtained. Thus, it is ensured that
improvement opportunities are appropriately
Keywords – Productivity of Indian industrial workers, recorded and responsibilities assigned for
job satisfaction, motivation
implementation.
I. INTRODUCTION Tata Strategic has used WAPI effectively to bring
about large scale process improvements and reduce
Indian companies, in their quest to achieve world-
workforce by 20-40% in a large number of
class standards, have felt the need to become ‘lean
companies in industries as diverse as dairy
and mean’. A continuous emphasis on improving
products, foundry products, auto components, auto
employee productivity not only results in
assembly, agrochemicals, steel and chemicals.
improving cost competitiveness, but also enhanced
efficiency of internal processes.
Tata Strategic has developed a proprietary
framework called Work Analysis and Productivity II. HISTORY
Improvement (WAPI) which helps companies
improve their employee productivity. Optimal
After World War II, to help restore Japan,
staffing levels, reducing managerial effort,
American occupation forces brought in American
improving customer facing services through
experts to help with the rebuilding of Japanese
effective outsourcing and structural redesign, and
423
industry. The Civil Communications Section (CCS) thorough understanding of the existing organization
developed a Management Training Program that structure, processes and activities of employees.
taught statistical control methods as part of the
overall material. This course was developed and The study of the organization structure involves
taught by Homer Sarasohn and Charles Protzman mapping roles, hierarchy and overlaps. Process
in 1949 and 1950. Sarasohn recommended William flows and roles of different agencies are also
Deming for further training in Statistical Methods. mapped. Activities of employees are defined and
The Economic and Scientific Section (ESS) group characteristics like sequence and load identified
was also tasked with improving Japanese through work distribution charts. The as-is
management skills and Edgar McVoy is mapping is then analyzed to identify role
instrumental in bringing Lowell Mellen to Japan to redundancies, overlaps and bottlenecks.
properly install the TWI programs in 1951. Prior to Opportunities for improvement are then explored
the arrival of Mellen in 1951, the ESS group had a by using levers such as zero basing of processes
training film done to introduce the three TWI "J" and activities, process improvement, departmental
programs (Job Instruction, Job Methods and Job realignment, empowerment, automation and
Relations)- the film was titled "Improvement in 4 outsourcing.
Steps" (Kaizen eno Yon Dankai). This is the Opportunities thus identified are then syndicated
original introduction of "Kaizen" to Japan. For the with client teams in consultation with the sponsor
pioneering, introducing, and implementing Kaizen and signoffs obtained. Thus, it is ensured that
in Japan, the Emperor of Japan awarded the Second improvement opportunities are appropriately
Order Medal of the Sacred Treasure to Dr. Deming recorded and responsibilities assigned for
in 1960. Consequently, the Union of Japanese implementation.
Science and Engineering (JUSE) instituted the
annual Deming Prizes for achievements in quality Tata Strategic has used WAPI effectively to bring
and dependability of products in Japan. On October about large scale process improvements and reduce
18, 1989, JUSE awarded the Deming Prize to workforce by 20-40% in a large number of
Florida Power & Light Company (FPL), based in companies in industries as diverse as dairy
the United States, for its exceptional products, foundry products, auto components, auto
accomplishments in its process and quality control assembly, agrochemicals, steel and chemicals.
management. FPL was "the first company outside
of Japan to win the Deming Prize.”
IV. TECHNIQUES FOR IMPROVEMENT OF
PRODUCTIVITY
III. PRODUCTIVITY IMPROVEMENT
A. Encouragement: In the first stage, management
Indian companies, in their quest to achieve world- should make every effort to help the workers
class standards, have felt the need to become ‘lean provide suggestions, no matter how primitive, for
and mean’. A continuous emphasis on improving the betterment of the worker's job and the
employee productivity not only results in workshop. This will help the workers look at the
improving cost competitiveness, but also enhanced way they are doing their jobs.
efficiency of internal processes.
Tata Strategic has developed a proprietary B. Building Trust to Improve Productivity: -
framework called Work Analysis and Productivity Research indicates [1,3,4,5,6] that there is a strong
Improvement (WAPI) which helps companies correlation between components of trust (such as
improve their employee productivity. Optimal communication effectiveness, conflict
staffing levels, reducing managerial effort, management, and rapport) and productivity.
improving customer facing services through Cultural differences play a key role in the creation
effective outsourcing and structural redesign, and of trust, since trust is built in different ways, and
identifying initiatives for process improvement, are means different things in different cultures.
the objectives that WAPI has been designed to C. Just In Time (JIT): This concept has been
deliver. developed in Japan. The stress is on reduction of
inventories by producing and delivering finished
It is designed for the entire operations of the goods just-in-time to be sold, sub-assemblies just-
company, with Tata Strategic playing the role of an in-time to be assembled into finished goods,
active facilitator. Initially, a project structure is fabricated parts just-in-time to go into sub-
established with a key company executive acting as assemblies and purchased materials just-in-time to
the sponsor. The extent of improvement in be transformed into fabricated parts. By reducing
productivity required is established through internal inventories, input of resources decreases
and external benchmarking. WAPI requires a considerably, although output may remain same or
may reduce a little, but productivity improves. The
424
Japanese industries are introducing this idea quite used to build expertise in critical areas by adding
successfully and are working hard to achieve this qualified manpower; Accountability for quality by
ideal. elimination of most of the inspection activity by
D. Kaizen: (Japanese for "improvement" or assigning accountability for the quality of
"change for the better") refers to philosophy or machining, assembly and manufacturing processes
practices that focus upon continuous improvement to the manufacturing function; new role definition
of processes in manufacturing, engineering, for QA by redefining roles and responsibilities of
supporting business processes, and management. It the quality assurance function so that its focus is on
has been applied in healthcare, government, long-term product and process improvement;
banking, and many other industries. When used in manpower rationalization by reducing manpower
the business sense and applied to the workplace, through technology up-gradation, zero basing,
kaizen refers to activities that continually improve supplier quality improvement and outsourcing.
all functions, and involves all employees from the It was assessed that the client could achieve a 28
CEO to the assembly line workers. It also applies per cent manpower reduction over two years if the
to processes, such as purchasing and logistics, that recommendations were implemented. The client
cross organizational boundaries into the supply has restructured the quality assurance function in
chain.[1] By improving standardized activities and line with the recommendations and also
processes, kaizen aims to eliminate waste. Kaizen implemented an 8 per cent manpower reduction in
was first implemented in several Japanese the first year itself.
businesses after the Second World War, influenced
in part by American business and quality V. IMPLEMENTATION
management teachers who visited the country. It
has since spread throughout the world.[2]. The Toyota Production System is known for
E. Work Analysis: Tata Strategic conducted a kaizen, where all line personnel are expected to
preliminary diagnostic workshop with the senior stop their moving production line in case of any
management of the manufacturing function to abnormality and, along with their supervisor,
identify key factors contributing to process suggest an improvement to resolve the abnormality
inefficiencies. Interviews with critical stakeholders which may initiate a kaizen.
were held to identify current role descriptions and
performance evaluation methods. A broad-based
complexity mapping framework was developed to
outline differing levels of manufacturing
complexity, and optimal staffing levels were
determined using zero basing and internal
benchmarking. Based on this, Tata Strategic
developed a new manufacturing organisation
structure along with detailed individual role
descriptions in line with the top management’s
strategic objectives. Existing capability gaps
especially in support functions like machine
maintenance, and process capability were identified
and suitable roles were created to address the issue.
Redundant activities were identified and the The PDCA cycles
relevant roles eliminated or outsourced. Changes in
degree of empowerment, decision making and The cycle of kaizen activity can be defined as:
approval processes enabled further elimination of
intermediary roles, resulting in de-layering at the Standardize an operation
operating level.
A 20 per cent reduction in indirect manpower has Measure the standardized operation (find cycle
been achieved on top of a 40 per cent increase in timeand amount of in-process inventory)
production volumes. The client is currently
implementing the changes in its organisational Gauge measurements against requirements
structure and the critical processes in
manufacturing and quality control in its
Innovate to meet requirements and increase
organisational structure and the critical processes in
productivity
manufacturing and quality control.
F. Productivity Improvement in Quality Assurance:
Standardize the new, improved operations
Tata Strategic used four broad levers to meet the
client’s objectives. Capability up-gradation was
425
Continue cycle ad infinitum that motivational, rather than monetary factors

would help to augment productivity, particularly
The five main elements of kaizen are: among the women.
Teamwork C. Optimizing welfare investments:

Personal discipline
Improved morale In most cases, managements are already incurring
Quality circles welfare expenditure for labour, although in varying
Suggestions for improvement degrees. If, through operational research and other
means, such amounts are better spent and made
VI. SOCIO-ECONOMIC FACTORS AND more cost-effective, there will be both a
WORKER PRODUCTIVITY quantitative and qualitative improvement in the
returns on these investments and hence an
augmentation in worker productivity. For this to
We now turn to the factors, other than wage
happen, it is necessary to integrate welfare into the
structure or incentive schemes, which have a
normal functioning of the estate.
bearing on worker productivity. These factors stem
essentially from the dynamics of social and
community behaviour and the most pertinent ones D. Sexual equality:
are described below.
In the male-dominated society, the industry
A. Management sensitivity: presents a refreshing contrast, being almost wholly
devoid of sexual discrimination. In fact, the greater
While tea industry management readily perceives a part of production activity around women workers
who not only share a separate labour identity but
direct linkage between the nutrition and
also form the key element in the family basis of
productivity of tea bushes, they exhibit a relative
employment. Macro-level data, for instance,
lack of appreciation of the input-output relationship
suggest that the division of labour and cooperation
in respect of the industry's major asset -- labour.
Even from the standpoint of purely commercial between men and women, as well as the care of
children are based on reciprocal relationships rather
considerations, therefore, there is a convergence
than on domination and exploitation. This is
between the health and welfare of workers and the
markedly different from the situation that exists in
interests of management. Better health leads to
most rural households where, despite all the hard
higher labour productivity, which in turn justifies
viewing health and welfare outlays as investment work put in by the womenfolk, they do not get pay
rather than consumption expenditure. Enhancing for their labour. The independent economic status
accorded to women workers and the nearly equal
the health and welfare of workers calls for a good
terms under which they operate should form the
deal of coordination between the operational and
platform from which management can embark on a
welfare departments, besides close interaction with
forward-looking personnel policy that will bring
the trade unions. It also follows that, in order to
maintain the major plantation asset at an optimum out the best in the women workers. In fact, the
productivity level, the factors influencing it, such industry's major asset is not labour as such, but
female labour, It is therefore important for
as the workers' life at home, their life in the
management to take into account the socio-
community and their relationships at the workplace
economic needs of women tea workers.
must be kept in good order.
B. Worker motivation: VII CONCLUSIONS
Due to the situation prevalent in industries, the

In the present situation throughout South Asia, the
authors feel that the conclusions drawn on the basis
wage structure and incentive schemes may have
become an inflexible element, particularly in view of studies regarding job satisfaction of industrial
workers in Indian industries is not meaningful, that
of their applicability across the board for all
is why, it is not reflected in productivity. The
workers within a given region or locality. It is,
priorities of the workers are distorted, therefore,
therefore, possible that the workers -- especially,
these studies are not true gauge of the health of
the women may have calculated that extra work at
the incentive rate is not worth the effort. This is all Indian industries.
the more likely if the valuation women workers
place on domestic chores or on leisure time at the Under the present circumstances, the author
end of the day is greater than the income derived suggest that a multipronged attack to root out the
from additional working. In that regard, it may be ills must be initiated, so that the atmosphere is
cleaned.
426
REFERENCES
[ 1 ] Imai, Masaaki (1986). Kaizen: The Key to Japan's

Competitive Success. New York, NY, USA: Random
House.
[ 2 ]. Europe Japan Centre, Kaizen Strategies for Improving

Team Performance, Ed. Michael Colenso, London:
Pearson Education Limited, 2000
[ 3 ]. Tozawa, Bunji; Japan Human Relations Association

(1995). The improvement engine: creativity & innovation
through employee involvement: the Kaizen teian system.
Productivity Press. pp. 34. ISBN 9781563270109.
http://books.google.com/?id=1vqyBirIQLkC&pg=PA34.
Retrieved 6 February 2010.
[ 4 ] Narayana, D.L.. Human Resources and Productivity. The

Indian Journal of Labour Economics, Vol. XXVI , Nos. 1
and 2, Aprl – July, 2003.
[ 5 ] Riggs, J.L. and Seo, K.K.. Productivity : Next Japaneese

Import. Management Services, Vol. 26, No.1, January,
2002.
[ 6 ] Prasad, L.M., Motivational Dynamics in Indian Industries.

The Indian Journal of Labour Economics, Vol XXV, No.
4, January, 2003.
427
Need for Import Substitution in Indian

Mechanical Engineering Industry
B.S.Gandhare1, M.S.Pawar2
1
Asistant Professor, Mechanical Engg.Department, SKN college of engineering,Korti, Pandharpur. (M.S)
1
bs_principal@rediffmail.com
2
Principal, Brahmdevdada Mane Institute of Technology, Solapur(M.S)
2
drmsp_bmit@rediffmail.com
Abstract-- Ours is a developing economy and major II. STATUS OF INDIAN MECHANICAL
contribution is from industry. IN GDP Indian industry ENGINEERING INDUSTRY
sector contibuties 17% and is expected to be increase.
The industry is not fully developed and resulting in A. Engineering Sector in India
import of many items in our country. Hence study is Mechanical engineering industry in India is showing rapid
undertaken to recognize the need, problems and future advancements in every sphere of the economy with Indian
course of action requires for import substitution. This
paper highlights efforts in the direction of developing companies forging ahead in making of defense equipments,
import substitution and finally concludes the need for aircrafts, sleekly designed cars, vehicles and various
development and suggests the future course of action at industrial devices. The name technology is now closely
government and industry level.
associated with mechanical engineering because of its vital
Keywords— Mechanical Engineering Industry, Technical contribution to this. Urban development with building of
know-how, Indigenastion
bridges and flyovers, dams etc all requires the contribution
I.INTRODUCTION of Indian Mechanical Engineering Industry.
A mechanical component is a part/sub-system used in the
Import substitution is basic issue in creating a sustainable
assembly of mechanical systems/products.
local economy. It saves nation‘s s money. Import
Classification of Mechanical Components
substituted products helps in generating jobs, profit to
o Mechanical parts and sets (metal manufacturing on iron
organization as well as society. In literature various study is
and non-iron alloys, stainless steel and aluminium)
carried related with import substitution in India
o Various mechanical components
.Siddharthan & Krishna (1994) also analyzed for Indian
o Precision components
manufacturing the determinants of technology imports.
o Connectors, pistons, special screws
Katrak ( 1991) explained the probability of importing
o Special equipment
technology in case of Indians manicuring. Goldar (1995)
1)Precision Components & Equipment
studied the relationship between technology acquisition &
This segment is growing rapidly due to growth in
productivity growth for Indian industrial firms. His study
automobile sector along with its component manufacturing
found that in Indian Industrial firms there is not any strong facilities. Connectors, Pistons, Special Screws (Auto
positive effect of the technology acquisition activities, Components other than electrical parts and other
including R & D & Technology imports an productivity components)This sector includes fasteners (nuts, bolts, and
growth. It is interesting that many of foreigners study about screws), bearings and other auto components like pistons
India‘s import substitution capability. [31, 32 ] (including industrial pistons).Fasteners are broadly divided
according to consumer segments—automobile sector and
428
industrial sector. Industrial fasteners are used in varied engineering industries (extensively like shipping, power
applications like construction, railways and manufacturing driven machine tools, automobiles, etc.).
sector. Total demand for fasteners is almost equally divided There is a good demand for hydraulic machinery but the
between automotive and industrial sectors. Thus, Indian manufacturing base is yet to come up with a suitable
automobile sector is the largest end-user segment for technology base to manufacture heavy duty hydraulic
fasteners. systems.
2)Industrial Fasteners Indian Pumps Industry
Total market size of the fastener industry is estimated at The Indian pumps industry caters to a range of sectors from
around €272m in revenues. Fasteners market can be agriculture to nuclear power generation. Pumps
classified into mild steel (MS) and high tensile (HT) Manufacturing Industry in India is growing at a rate of 10-
fasteners. MS fasteners constitute about 30% of the market 12% per annum. Approximately 6,000 pumps are
size and are mainly produced by the unorganised sector, manufactured in a day in India. Technical Sustainability:
while HT fasteners are produced primarily by the organised India has today become a reliable, technically competent,
sector. competitive and enterprising outsourcing option for many
3)Industrial Bearings multinational companies in industrial pumps. This has
Automobile sector is the major demand driver for the emerged through technical collaborations and joint
bearing industry and constitutes almost 50% of the total ventures that Indian companies have with multinational
demand in value terms. The demand from the automobile majors. All the core sectors of the industry namely power,
sector is almost equally divided between OEM demand and oil & gas, water & infrastructure projects, metal & mining,
replacement demand. Imports comprise approximately 25- chemicals, drugs & pharmaceuticals, food & beverages
30% of the total market. Imported bearings are mostly of require various types of pumps and all these industries are
large dimensions and are not produced in the country due growing at a significant rate today in India.
to relatively low demand for the specialised segments. D.Textile Machinery
4)Special Equipment & Machines This industry derives its demand from the textile industry
This sector includes, process control instruments, analytical which is one of the oldest industries and has been a back
instruments, electrical test and measuring instruments, bone for the Indian economy and all the textile industries
survey and geo-scientific instruments and medical and prompted them to go for technologically advanced
instruments. machinery for producing international quality of fabrics. As
According to estimates by Industry Chambers, at present, a result textile companies preferred to import textile
the total cost of production of instrumentation related machinery from abroad as domestically manufactured
products in India is around Rs50 billion per annum.This machinery were not technologically advanced like
production is about 15% of the total demand; the rest is met machinery manufactured in European countries.
by imports. E.Printing Machinery (for print media)
C.Hydraulic Machinery India has more than 130,000 printing presses by the end of
The Indian hydraulic industry had its beginning in the 2005. The Indian media industry is undergoing a
sixties and the main objective behind establishing this modernization process in order to gain from these growth
industry was to provide substitutes for imported machinery. opportunities. In this process they have realized the need
Hydraulic machinery from a long time is used in heavy for technically advanced printing machinery to achieve
429
success in the tough competition. Since the machinery with poor infrastructure and inefficient supply chain
manufactured in India is not meeting their requirements management, impeded a healthy growth of the industry.
many newspaper/media companies are importing them J.Valves Production
from Europe and Japan. The Indian printing machine Valve production in India comes from both the organized
manufacturers are not equipped with the latest technology and unorganized sectors. Valves are imported heavily from
hence large demand is catered through imports. Recently China and other countries; The import is largely for
the print media has been allowed for 100% foreign direct precision type of valves mainly used in process industries
investment and as a result the foreign print media like Pharma, Food processing, steel, and chemical and
companies are attracted towards India. This may further refineries.
increase the growth in the demand for printing machines. III. STATUS OF EFFORT FOR IMPORT
F.Aeronautical Industry SUBSTITUTION
Aviation is the key driver to any country‘s global economy. 1. Every Year SSI in house R&D award by Government
Air travel in India is no longer considered a luxury but a of India is given for import substitution or
indegnsation of technology Government Of India ,
necessity. This has been realized by the Indian government
Department of science and Technology has taking
who have designed plans and started implementing them in much effort from last 1978(R & D Industries
order to sustain the growth rate that is being achieved in Overview-2007 Nov) i.e. more than 25-30 year.
recent years. These plans constitute investing €2.51bn in Various success story of import substitution cases are
noted. Indian institute of Industrial Engineering
the next five years for buying aircraft, upgrading airports, (IIIE) also helps entrepreneurs for import substitution
conducting research and development, improving air traffic products.
control and fabrication of components. This will create a
2. HAL Nashik : In order to become self-reliant,
huge impetus in the growth of the Indian aeronautical
indigensation has been identified as one of the major
industry. The growth in aeronautical industry is almost thrust areas of the division.As on date, more than
certain as aviation industry in India is poised to grow 12000 items have been indigensied by the division.
They include metallic material,Non-metallic material,
further
rotatble spares,ready made articles, ARS items(
I.Shipbuilding Industry automatic Replishment stock items) . In addition to
Indian sea trade by volume and value is 90% and 70% the Indigenation efforts of the division for HAL-made
products,more than 3800 items pertaining to the non-
respectively. But the priority for the shipbuilding industry
HAL made aircraft also have been indigensied.
has been very poor till the mid 90‘s. The shipbuilding 3. DGQA: The Indigenisation activity is primarily
policy was liberalised in 1991 by allowing private sector carried out by DRDO,DGFO,Defence PSUs and the
participation in building all types of ships. The Indian technical committees which are located in Delhi. The
Directorate General of Quality Assurance(DGQA) is
shipbuilding industry is facing many challenges such as an inter-service organsation which functions under
lack of design and heavy engineering facilities, absence of the Department of Defence Production and Supplier
exposure to new technologies that can be incorporated in in the Ministry of Defence.DGQA is also responsible
for indiensation of different equipment of imported
the ships, being confined to small specialised and
origin as well as those which are newly developed by
conventional vessels and scarcity of qualified DRDO. New indigenous design and development
professionals. About 80% of the raw material is imported pose greater challenges, particularly in the field of
missile where the know how is not available from the
thereby imposing higher cost of manufacturing coupled
developed countries due to political and strategic
considerations.
430
4. Various government organization such as Central Activity of Multinational & Local firms : A
Manufacturing Research Institute, Bangalore, ISRO, Quantitative Exploration for Indian Manufacturing
Indian Railway taking efforts for Indiensation of , RIS Discussion paper = 7,New Delhi.
10 Nagesh Kumar & Siddarthan, N.S. ( 1994). ―
products as well as technology.
Technology, firm size & Export Behaviour in
Develaping Countries : the case sof Indian
IV. CONCLUSIO Enterprises,‘ Journal of Development Studies 31 (2),
PP- 289-309.
11 Lall, Sanjaya (1999).‖ India‘s Manufactured Export
Studies for technology imports in India have been :‖ Comparative structure & Prospects world
done for the period before 1990s. But no systematic study Development 27 (10) 1769-86.
seems to have done on the impact of liberalization on 12 W w w. niir.org. ( National Institute of Industrials
research consultancy & Service.
technology imports in the Industry-engineering in India.
13 ― Lecture on Technology Management ―. Under
Study of Problems and Remedies for developing the import Distinguished.― Experience in Managing
substitute for Engineering products is not carried out. Need Technologyh in HMT ―, by Dr. S.M./Patil, former
to study success and failure case studies of import Chairman & Managing Dirrector, HMT at IISC
substitution engineering products. Need to study each Banglore 21st Spt. 1996.
sector, their problems and remedies for import substitution 14 Baranson, J.& R. Roark, 1985, Trends in North
South Transfer of High Technology ‗. in
and educating the academic and researcher at large.
International Technology ― Accepts, Measure, &
comparisons ( eds) N. Resenberg & C.Firschtak,
prefer : New York.
15 Desai, A.V. 1994, India‘s Technological capality ―
An analysis of its Achievments & Limits, Research
ACKNOWLEDGMENT
Policy 13, 303 – 310.
16 Lass S. 1982, Developing countries as Exporter of
Authors acknowledge support of BMIT Sholapur. The
Technology : A First look at the Indian Experence,
study is carried during 2007-2009. Macmilla ― Landan.
17 Madu, C.N. 1989, ‗ Transferring Technology to
REFERENCES Developing countries Critical factors for success,
long Range Planning 22 (4) , 115-124.
1 Kishna Murthy, M.K. , N.S. Siddharthan & 18 Lee, J. Z. Bao & D.Chai, 1988, ― Technology
B.S.Sonde, future direction for Indian Economy – Development Porcess‘ A model for a Developing
Technology trade & Industry, New Age International Country with a Global Perspective, R & D
Limited, 1996. Management, 18 (3).
2 Jain, Ashok, S.Pruthi, K.C.Garg & S.A.Nabi, 19 Cusumano, M.A. & D.Elenkar, 1994, Linking
Indicators of Indian Science & Technology, Internatinal Technology Transfer with stragey &
segement Books , New Delhi. Management : A Literature commentary.‖ Reserch
3 Centre for Research in Rural & Industrial Policy 23, 195-275.
Development, Chandigad, in search of India‘s 20 Biggs, T.M.Shah, & P.Srivastava, 1988 Technoligcal
Renaiasance, volm-I 1998. capabuiltiies & Learning in African Enterprisaes,
4 Smadja, claude, ‗ Surviving Globalization, world bank Technical Paper, No. 289, African
Management & Technology ‗, Manufactures Digest, Teaching Dept. series.
Dec,. Jan. 1998. 21 Bell, M. 1987 Acquisition of Important Technology
5 Subramanim, S.K., Planning Science & Technology for Industrial development Problems of stagegies &
for Natinal Developemtn Indian experence Management in Arab Region, Bhagdad ESCWA UN,
Technoligy &: Social Change 31, 87-101 (1987) PP- 13-29.
,Elsevier Science Publishing Co… Inc. 22 L.S. Thakur, V.K.Jain, ― Advanced Manufacturing
6 National Institute of Science & Technology Policy, technologes & inforamtion technology adoption in
Science & Technology Agency, Japan, The Sixth India ― A current, prapectice & some compassions‖
Technology , Forecast survey – future Technology in International Journal of Advanced Manufacturing
Japan Towards the year 2025, Jun. 1997. Technology (2008 ) 36 , 618-631, Pub springer
7 Advanced Sensors, Technology vision 2020, TIFAC Verlag Londan.
8 Strategic Industries, Technology vision 2020, 23 Monica Moso, Mikel olazaran, ― Regional
TIFAC. Technology Policy & the Emergence of an R & D
9 Nagesh Kumar & Agarwal Aradhana (2000) ,
Liberalization, outward orientation & in house R & D
431
system in the Basqure country. ― Journal of

Technology Transfer, 27, 61-75, 2002.
24 Curency Board (UAE ), ― Industrialization & Emport
substituation in the united Arab Enirates,‖ Buletin,
vol-6, No. 02, June (1980) PP 55-72.
25 Balasubramanayam, V.N. & Salier, M (1991) Export
promolion, Import substitution & Direct Foreign
Investment in Less Developed countreies, in
Kokkoek, A & Mennes,L ( eds) International Trade
& Global Development ( London : Routledge )
26 Utterback, James M 1994, ― Mastering the Dynamics
of Innovation ― Harvard Business School Press.
27 Roger, Everett. M. 2003, ― Diffision of Innovation ―
Free Press Fifth Edition.
28 Chalermporn U.Bonreapory ‗ Import substitution
Industries : a case study of audio –visual industry‖
Thommorat Unversity, Bankkod :
29 Chalaiporn Oonjitt Ph D Thesis, Import substitution
policy & export promotin policy in Thailand : A
multiobjective linear programming approach.
Okalahama State University, 1982.
30 India Paper from Harvard University
http://www.unu.edu/unupress/unupbooks
/uu04te/uu04te06.htm
31. Gaining New Ground : Technology priorities for
America‘s future Report of council of competitiveness
1991..
432
Gauging E-Commerce Impact on Supply Chain

Management
Vishal Garg1, Geetika Reliya2, Srikant Kaushik3
1,2
Lecture, MBA Department, Ganpati Business School, Bilaspur, Kurukshetra University, Kurukshetra
1
contactvishalgarg@gmail.com
2
geets.reliya23@rediffmail.com
3
Lecturer,Bio-Technology Department, Maharishi Markendeshwar University, Mullana
Abstract-Electronic commerce and the Internet are fundamentally opportunities and challenges of the Internet have embraced every
changing the nature of supply chains, and redefining how detail of the business environment.
consumers learn about, select, purchase, and use products and The paper is to increase understanding of the
services. The result has been the emergence of new business-to determinants for adoption of e-commerce in SCM within the China
business supply chains that are consumer-focused rather than manufacture industry, and to test the value of e-commerce in
product-focused. They also provide customized products and supply chain structure. This study proposes that there is a positive
services. relationship between e-commerce and SCM and that firms with a
The efficient management of the supply chain has become seamless integration between e-commerce and SCM will be more
a major issue for retailers, driven by the need to be responsive and successful.
cost effective in the context of changing business rules and
facilitated by a dynamic technological environment. The Keywords:
manufacture industry had utilized e-commerce for supply chains B2B; customer relationship management; CRM; e-commerce;
management (thereafter SCM) as widely as it could have. Supply empirical; information technology; supply chain management;
Chain Management means coordinating, scheduling and SCM; web-based portals; electronic commerce; business-to-
controlling procurement, production, inventories and deliveries of business; business transactions.
products and services to customers. The E-commerce is the
backbone of SCM. Supply Chain Efficiency means having the right Introduction
product at the right place at the right time, can save money/reduce
E-commerce does not just mean trading and shopping
costs, and can enhance cash utilization and this can be easily
on the Internet. It means business efficiency at all operation
achieved by the use of e commerce in SCM. A significant number
levels even at the supply chain level which is the most important
of companies in the India have implemented their Internet
platform for Supply Chain Efficiency in the past 2 to 3 years, and
part for any manufacturing unit. Executives know it is critical to
the large of them will follow in the next few years. E- Commerce effective business operations. Supply Chain Management means
has focused on new information products and networks in Supply coordinating, scheduling and controlling procurement,
Chain Management. E- Commerce has emphasized the cost saving production, inventories and deliveries of products and services
significance of the Internet and the attendant technologies when to customers. The E-commerce is the backbone of SCM, a very
doing business, this affects the costs of transactions, internal critical component of E-commerce.
management, and marketing of products. Reactions to the
433
Like the ERP wave a few years ago, the current drive within an organization. For example, a company‟s on-line
towards e-commerce and the Internet is also making companies inventory control system is an e-business component and not
look at their way of doing business. Today there is a constant part of e-commerce. The inventory control system does not
pressure to reduce the cost of doing the business in order to directly generate revenue for the company. There are five major
maintain the competitive edge. According to some industry types of e-commerce: business-to-business (B2B), business-to-
estimates, logistics and inventory cost constitute around 68% of consumer (B2C), consumer-to-consumer (C2C), peer-to-peer
the turnover of a manufacturing company. Globally, logistics (P2P), and mobile commerce (m-commerce).
constitute around 20% of the express cargo and freight industry.
Despite the recession and its inevitable effect on manufacturing,
there is a growing market for supply chain management (SCM)
applications. With a market climbing to billions range at mid-
decade, manufacturers are clearly seeing the necessity of SCM
solutions to streamline the management of the total supply chain
with the help of e commerce. Integrated supply chain
management (SCM) system and e commerce is the backbone to
achieve the e-business objectives and to beat competition in the
cut throat business environment.
Supply Chain Efficiency can improve customer service
having the right product at the right place at the right time.
Supply Chain Efficiency can save money/reduce costs.
According to a recent benchmarking study conducted by
Pittiglio Rabin Todd & McGrath, one of the founders of the A supply chain is the network of activities that deliver
Supply-Chain Council, best in class companies have an a finished product or service to the customer. These include
advantage in total supply chain management cost of 3 to 6 sourcing raw materials and parts, manufacturing and assembling
percent of revenue (Total supply chain management cost is the the products, warehousing, order entry and tracking, distribution
sum of Order Management, Material Acquisition, Inventory through the channels, and delivery to the customer.
Carrying, and Supply-Chain Finance, Planning, and MIS Costs). An organization‟s supply chain is facilitated by an
A significant number of companies in the India have information system that allows relevant information such as
implemented their Internet platform for Supply Chain Efficiency sales data, sales forecasts, and promotions to be shared among
in the past 2 to 3 years, and the large of them will follow in the members of the supply chain. At the beginning of the chain are
next few years. the external suppliers who supply and transport raw materials
and components to the manufacturers.
E Commerce and SCM Basics Manufacturers transform these materials into finished
E-commerce is defined as the use of the Internet and products that are shipped either to the manufacturer‟s own
the Web to transact business. E-commerce is different from e- distribution centers or to wholesalers. Next, the product is
business in that e-business refers to transactions and processes shipped to retailers who sell the product to the customer. Goods
434
flow from the beginning of the chain through the manufacturing relationship, while spot purchasing refers to occasional
process to the customer. Relevant information flows back and purchases from companies without an on-going relationship.
forth among members of the supply chain system. E-distributors are the most common form of net
market place. E-distributors provide electronic catalogs
Live Example of E commerce Role in SCM (Dell computers) representing the products of thousands of suppliers. E-
A prime example of E commerce role in SCM which distributors are independently owned intermediaries that provide
provides the Dell with a sustainable, competitive advantage, a single source for customers to make spot purchases. About 40
such as quick response time, low cost, state-of-the-art quality percent of a company‟s items are purchased on a spot basis. E-
design, or operational flexibility. Dell Computer Corporation is distributors typically have fixed prices, but do offer quantity
a good example of a company using its supply chain to achieve discounts to large customers (see Chapter 12).The primary
a sustainable competitive advantage. Quick delivery of benefits of e-distribution to the manufacturing company are
customized computers and laptops at prices 10–15 percent lower lower product search costs, lower transaction costs, wide
than the industry standard is Dell‟s competitive advantage. A selection of suppliers, rapid product delivery, and low prices.
customized Dell computer can be en route to the customer E-purchasing companies connect online suppliers
within 36 hours. This quick response allows Dell to reduce its offering maintenance, repair parts, and operating supplies
inventory level to approximately 13 days of supply compared to (MRO) to businesses who pays fees to join the market. E-
Compaq‟s 25 days of supply. Dell achieves this in part through procurement companies are typically used for long-term
its warehousing plan. Most of the components Dell uses are contractual purchasing and offer value chain management
warehoused within 15 minutes travel time to an assembly plant. services to both buyers and sellers.
Dell does not order components instead, suppliers restock Value chain management (VCM) automates a firm‟s
warehouses as needed, and Dell is billed for items only after purchasing or selling processes. VCM automates purchase
they are shipped. The result is better value for the customer. orders, requisitions, product sourcing, invoicing, and payment.
For suppliers, VCM automates order status, order tracking,
Current Trends in SCM invoicing, shipping, and order corrections.
The most significant advancement in e-commerce with On-line exchanges connect hundreds of suppliers to
regard to supply chain management is the use of electronic unlimited buyers. Exchanges create a marketplace focusing on
marketplaces that bring thousands of suppliers into contact with spot requirements of large firms in a single industry, such as the
thousands of customers. The objectives of net marketplaces are automotive industry or electronics industry. Examples of
to have suppliers competing on price, to have automated low- exchanges include ProcureSteel.com (a market for steel
cost transactions, and to reduce the price of industrial supplies. products), e-Greenbiz.com (spot marker for nursery supplies),
Net marketplaces can be classified on two dimensions: the type and Smarterwork.com (professional services from Web design
of goods supplied (direct or indirect),and the type of purchase to legal advice).
(contractual or spot).Indirect goods refer to goods used to Industry consortia are industry-owned markets that
support production, while direct goods are goods used in enable buyers to purchase direct inputs from a limited set of
production. Contractual purchasing refers to purchases made invited participants. The objective of an industry consortium is
according to a contract between companies with an on-going the unification of supply chains within entire industries through
435
a common network and computing platform. Examples of can raise productivity, enhance customer and supplier relations,
industry consortia include Covisint.com (automotive industry), support innovations, and enable growth.
Avendra.com (hospitality industry), and ForestExpress.com
(paper and forest products). Analysing E-Commerce for Improvement in Supply Chain
Management
Current Situation of SCM in India Here are some of the key questions that need to be
As per a report shared by the government and private answered about integration of e-commerce and SCM for
firms a whopping $65 billion is lost every year on account of the development of the business in a faster way and also to avoid
inefficient supply-chain system in India and this despite the unnecessary burden on the department.
Indian retail sector being in the high-growth mode. The industry  What are the likely impacts of e-commerce on SCM in
is expected to touch $879 billion by 2018, but if the present your business?
challenges in its supply-chain system are not addressed, then the  What are the main beneficial opportunities for
sector's growth could get hampered. The report by apex industry application of e-commerce in the supply chain
body, CII, and Amarthi Consulting, titled 'Global management for the business?
competitiveness of retail supply chain-Challenges, Strategies  Which enterprises and which sectors will be best
and Recommendations' stated that, "since Independence only 20 placed to take advantage of integration of e-commerce
per cent capacity has been added to the railway network but the and supply chain management?
traffic has increased ten times. In a sector where margins are  What package of policy and enterprise pre-conditions
wafer-thin, the supply- chain management is a critical enabler to must be in place for this beneficial application of e-
profitability and this has to be improved." Supply-chain costs in commerce in supply chain management?
India are about 12-13 per cent of the GDP as compared to 7-8  How can this 'e-commerce package' best be put in SCM
per cent in developed countries. Hence, the country loses out so as to beat the cut throat competition?
around $65 billion annually. It further explained that challenge  What are the main threats and negative effects relating
also lies in the country's demography, geographical spread, to application of e-commerce and SCM?
distinct consumer preferences and differential taxation laws,
 How can these best issues be addressed or mitigated?
which needs to be addressed by the proper integration of supply
chain management and also the e commerce.
Improving supply chain and e commerce infrastructure,
Advantages of Using Integrated Approach of E commerce
implementation of goods and services tax (GST), reducing
and Supply Chain Management
intermediaries, and adopting green supply chain practices can
help the business to grow much faster. Green supply chains and
Freight auditing: This will ensure that each freight bill
e commerce involves integrating environmental thinking into is efficiently reviewed for accuracy. The result is a greatly
the core operations of a company, starting from material
reduced risk of overpayment, and the elimination of countless
sourcing to delivery to end-of-life recycling with the help of
hours of paperwork, or the need for a third-party auditing firm.
internet and electronic commerce. It is also expected that
By intercepting duplicate billings and incorrect charges, a
implementing green initiatives along a company's supply chain
436
significant percent of shipping costs will be recovered. In Shipment tracking: E-commerce will allow users to
addition, carrier comparison and assignment allows for instant establish an account and obtain real-time information about
access to a database containing the latest rates, discounts, and cargo shipments. They may also create and submit bills of
allowances for most major carriers, thus eliminating the need for lading, place a cargo order, analyze charges, submit a freight
unwieldy charts and tables. claim, and carry out many other functions. In addition, e-
Purchasing:- The increased popularity of e-commerce commerce allows customers to track shipments down to the
is due to a multitude of operational benefits it can bring to individual product and perform other supply chain management
purchasing practices. Examples of these benefits are cost and decision support functions. The application uses encryption
savings resulting from reduced paper transactions, shorter order technology to secure business transactions.
cycle time and the subsequent inventory reduction resulting Shipping Documentation and Labeling: There will
from speedy transmission of purchase order related information, be less need for manual intervention because standard bills of
and enhanced opportunities for the supplier/buyer partnership lading, shipping labels, and carrier manifests will be
through establishment of a web of business-to-business automatically produced; this includes even the specialized
communication networks. For instance, Dell now maintains over export documentation required for overseas shipments.
3000 tailored domains for customers. Such differentiation Paperwork is significantly reduced and the shipping department
will therefore be more efficient.
services, not possible prior to the proliferation of the Internet,
Operations:- Internet trade is not without problems for
allow companies to compete on factors other than price and to
the supplier. They also discuss several issues of interoperability,
forge valuable relationships. Companies like Dell assert that
building trust, confidence and security; and the need for a
such efforts will actually conserve organizational resources and regulatory and legal framework. Murillo (2001) discusses the
result in positive returns (Frook, 1998). Supply chains are implications of e-commerce on supply chain management and
especially well suited for the fast changing I-commerce its effectiveness. Emiliani and Stec (2001) discuss the terms and
environment, as organizations are able to enter and evolve much
conditions for the online auction and purchasing contracts.
more quickly and efficiently than organizations in traditional Build-to-order (BTO) not only requires Just-In-Time (JIT), but
joint ventures or vertical integration arrangements. Ball and also the most advanced computerized versions of ERP. With its
Wright (2000) examine the information value chain and some of facilitation of real-time communications between suppliers,
its concepts, first for printed information and second for production functions, marketing functions and the final
electronic information. customer, e-commerce has become an inherent component of
Online Shipping Inquiry: This gives instant shipping BTO (Doherty, 2000). Kehoe and Boughton (2001) discuss
information access to anyone in the company, from any some of the key elements of research that will investigate the
location. Parcel shipments can be tracked and proof of delivery role of the Internet within the manufacturing supply chain and
quickly confirmed. A customer's transportation costs and these are (a) a detailed examination of the current usage and
performance can be analyzed, thus helping the customer operation of the Internet within manufacturing supply chains,
negotiate rates and improve service. and establishing industry practice in this area, (b) building a
dynamic model of the web-based supply chain in each of the
437
collaborative industrial sectors, (c) HTML prototype for the instructions, freight invoices, container status messages, motor
supply web model, and (d) sector-based models and prototypes. carrier shipment instructions, and other documents with
Nowadays, collaborative network of partners is more popular increased accuracy and efficiency by eliminating the need to re-
with companies than before to be flexible and responsive to key or reformat documents.
changing market/customer requirements. Changes in the distribution system: E-commerce will
Logistics:- Emiliani (2000) describes the process for give businesses more flexibility in managing the increasingly
conducting downward price B2B online auctions over the complex movement of products and information between
Internet for direct material purchasing and presents common businesses, their suppliers and customers. E-commerce will
issues, process improvement opportunities, and the close the link between customers and distribution centers.
interpretation of auction results. Van Hoek and Chong (2001) Customers can manage the increasingly complex movement of
present the experiences of UPS Worldwide Logistics, a products and information through the supply chain.
company known to be leading in the development and Customer orientation: E-commerce is a vital link in
implementation of a fourth-party business model. This model the support of logistics and transportation services for both
applies information integration initially in logistics and transport internal and external customers. E-commerce will help
operations. But UPS WWL has achieved full supply chain companies deliver better services to their customers, accelerate
integration and strategic applications of the information the growth of the e-commerce initiatives that are critical to their
availability to the benefits of the clients. It also includes supply business, and lower their operating costs. Using the Internet for
web practices in which multiple players team up flexibly to align e-commerce will allow customers to access rate information,
to the end consumer. Clarke (1998) presents the concept of place delivery orders, track shipments and pay freight bills.
„„virtual logistics‟‟. With virtual logistics, the physical and
information aspects of logistics operations are treated Identifying Supply Chain Management (SCM) Issues
independently from each other. In such operations, ownership The process of producing a good or providing a service
and control of resources is effected through the Internet (or the has also evolved over the past several years with business
process changes and technological advancements. Business
Intranet) applications rather than direct physical control, and
managers first answered the question of how to automate
resources can, thereby, be owned and utilized remotely.
production and reduce costs of labor. While efforts were
Cost efficiency: E-commerce allows transportation
underway with the “production line”, total quality management
companies of all sizes to exchange cargo documents
brought not only a fast and efficient but high quality method to
electronically over the Internet. E-commerce enables shippers,
producing goods. Increasing demand on manufacturers forced
freight forwarders and trucking firms to streamline document
many business managers to stock inventory to be ready to meet
handling without the monetary and time investment required by
unpredictable and fluctuating demand on a moment‟s notice.
the traditional document delivery systems.
Business managers realized from the bull whip effect,
By using e-commerce, companies can reduce costs,
the fine line they had to walk between adequate inventory levels
improve data accuracy, streamline business processes, accelerate
and inventory obsolescence. The actions of the upstream
business cycles, and enhance customer service. Ocean carriers
suppliers and downstream customers had a strong effect on a
and their trading partners can exchange bill of lading
438
business‟ ability to make and move products and provide businesses would not share information during the
service. product/service generation phase.
By thinking of the upstream and downstream
Potential Supply Chain Issues
businesses as an integrated supply chain, business managers
could meet demand while improving revenue growth, asset
utilization, and cost reduction through optimal inventory levels
maintained at various nodes in the supply chain. Handfield and
Nichols have termed this as Logistics Renaissance.
Essentially the supply chain includes internal and

external process and information flows. In general, a company
or a business unit has control only over the internal processes
and the external processes can only be influenced to certain
extent. In this analysis, we concentrate only on internal
processes and inter-organization information flows.
Degree of E commerce Model Focus

Infrastructure for E commerce in SCM
Infrastructure for E Commerce in SCM consists of
Internet connectivity, hardware and software including
application systems integration. Nevertheless, training and
education cell for E Commerce is important to fully utilize the E
Commerce available for SCM. There are different E Commerce
platforms and systems available to enable the application of E

Commerce in SCM (Haeckel, 1999). Walsh and Koumpis
(1998) presented a decomposable, „„autonomous agents‟‟
approach was adopted to specify information supply chain
„„agents‟‟ (e.g. suppliers, buyers, distributors, etc.), including
their structural relationships, interaction „„protocols‟‟ and co-
The methodology developed is still applicable for an ordination policies. Jayaram et al. (2000) present an empirical
integrated supply chain but requires significant work to achieve study of 57 toptier supplier to the North American automotive
consensus across all the nodes that are being integrated to agree industry examined the direct and complementary effects of
upon the results. We divide the internal supply chain by product
information system infrastructure (ISI) and process
life cycle (only the SCM categories are depicted). At every level
improvements on time-based performance. In evaluating the
of the internal supply chain there is an opportunity to participate
formation of customer–supplier relationships, Sarkis and
in inter-organization information flow. However, many
Sundararaj (2002) focus on two major dimensions that will
439
influence the formation process. The first is the type of the scope of the business needs, the business architecture offers
organizational structure and relationships, and the second major
the possibility to choose the best E Commerce solutions.
dimension is the electronic commerce environment.
Technology management
Organizational
Information technologies such as XML for representing
Adaptation of e-business infrastructure involves deep
corporate data, ERP infrastructure that provides support for
level changes that affect core elements of an organization,
logistics operations, and web infrastructure allow B2B e-
including mission, vision, business strategy, goals, culture, commerce successful or SCM. In the emerging e-procurement
technology, training and policies (Mukherji and Mukherji, marketplaces, firms establish eficient web-based electronic
1998). The organizational infrastructure requirements include relationships that allow for closer integration between buyer–
top management involvement, strategic fitness of E Commerce, supplier.
major players in the organization (power brokers), E Commerce The reliance on application service providers for high-
skills available, etc. An organization should be a learning unit so value e-procurement and other business purchases makes the
that the E Commerce can be absorbed for the benefit of SCM. reliability of knowledge transfer paramount. Clearly,
Attaran (2001) focuses on the organizational characteristics of exchanging information must be consistent between buyer to
online procurement systems which requires in-house expertise, portal and portal to seller and between seller to portal and portal
employees education, content management, content to buyer (Warkentin et al., 2001). Talluri (2000) in his paper
rationalization, business process reengineering (BPR) highlights the importance of the eficient use of information
implementation, do not count on downsizing and better technologies/information systems at strategic, tactical and
communication. Cheng et al. (2001) present an e-business operational levels of SCM.
infrastructure for construction. The infrastructure focuses on It presented a multi-objective mathematical model for
resource planning, teamwork, process improvement tools and elective acquisition and justification of IT/IS systems for SCM.
techniques, and information management, training and Spekman et al. (2002) argue that effective management of one‟s
development, and performance measurement.
supply chain is not easily accomplished.
The information systems for supply chain management
They develop this capability as a core skill that will
should be accessibility, compatibility, user-friendly, stability
ultimately separate the winners from the losers. They develop
and reliability, minimal training and strong after-sales service.
the concept of supply chain competence and use learning as a
Klouwenberg et al. (1995) argue that the distinction between
proxy. Boubekri (2001) describes how ERP is increasingly
business architecture and E Commerce architecture is of major
being used as a technology enabler for SCM and problems
importance. In many organizations, the architecture is mainly
associated with its implementation. Motwani et al. (2000)
determined by technical and economic considerations. The
explain the role of IT in managing global technology. There are
organizational aspects are therefore mainly realized by means of
several researchers (Angeles and Nath, 2000; Nah et al., 2001)
the technical opportunities (technology push) and not on the
whom deal with the information technology management in a
basis of strategic and/or organizational considerations. Within
supply chain perspectives.
440
Education and training classified into marketing, economical, organizational and

Education and training are the most important technological perspectives of IT in SCM.
component of any change process in an organization. In order to
be successful, it is important that we have the full co-operation
of employees at all levels; otherwise, technologies alone will not Relationship among E commerce and SCM
help to improve the organizational competitiveness.

To implement and subsequently use any IT/ IS,
workforce needs to be motivated to work in a transparent and
open communication environment. Knowledge workers are
important to be successful in capital or technology intensive
operations environments. Tracey and Smith-Doerflein (2001)
point out that the human dimension of communication and co-
operation across all parties comprises the chain. Van Hoek
makes a case for a stronger focus on integrating hot topics and
research skill development in logistics courses
Pictorial Representation of relationship among E commerce

and SCM
As depicted from figure, top management participation
is important in making strategic decisions in particular, IT
investment decisions to achieve an elective SCM system. It is
not just the implementation of a piece of software, but it requires
some major changes in business processes and a way the
company operates.
This requires considerable investment in both capital
and people. Since the market has become global due to trade The following are the examples of strategic planning for
liberalization policies and e-commerce, it is essential a company different areas of IT in SCM
chooses the option of global outsourcing or virtual enterprise
• Some companies can implement an IT system to develop an
that is based on core competencies with the objective of being
agile to meet the changing market requirements. effective SCM if it has to compete in a market where the speed
This requires strategic decisions such as merger and of delivery and quality are important. • In order to receive
acquisitions with a view to reach the market as quickly as financial and technical support from the government (in
possible and that too with the right products/services. The particular SMEs), companies implement an IT system to
literature on the strategic planning of IT enabled SCM is further improve their supply chain performance.
441
• Companies have to compete along multiple competitive review of the literature with the objective of brings out the
performance objectives, this requires the cost reduction as a key pertinent factors that would influence the successful application
criterion, therefore, and they can go for, for example, an of E Commerce in SCM. In this paper, an attempt has been
Internet-enabled supply chain management. made to review the literature on E Commerce in SCM and to
develop a framework for the development and implementation
How E Business can Integrate Information from Business Process to of E Commerce in SCM. The literature available on E
Facilitate SCM
Commerce in SCM has been reviewed based on the major
components of E Commerce enabled SCM. Although the
literature survey is not exhaustive, it serves as a comprehensive
base for an understanding of E Commerce in SCM. This
classification has the objective of bringing out pertinent factors
that would support practitioners in their efforts to successfully
achieving an E Commerce-enabled SCM.

As a result of the major components of E Commerce-
enabled SCM comprises of six major areas: (i) strategic
planning, (ii) virtual enterprise, (iii) e-commerce, (iv)
infrastructure, (v) knowledge and E Commerce management and
• Companies need to develop their e-commerce web site for (vi) implementation. The foundations of a well-developed E
creating a good image with their customers on technology Commerce-enabled SCM lie in the preparation of the ground
competencies. factors of strategic planning and infrastructure from which all
• Companies have to restructure their business processes with development emanates. E Commerce in supply chain strategy
the objective of achieving lean production by implementing an needs to be determined by the senior executives in strategic
IT system to eliminate non-value-adding activities by improving plan. Senior managers and planners should understand that the
the communication along the value chain. importance of E Commerce in supply chain and realize that
without support of E Commerce systems, it is difficult to

Concluding remarks
provides information for making the best supply chain
decisions.
It has been demonstrated that E Commerce is an
Besides, the following are comments that derived from
essential ingredient for business survival and improves the
the literature survey on E Commerce in SCM:
competitiveness of firms. As a result of the literature review, we
• The strategic information systems should include the strategic
can see that E Commerce has a tremendous influence on
objectives of SCM.
achieving an effective SCM. Integrating the supply chain
• Information systems architecture needs to be designed for
activities is driven by the need to streamline operations to SCM that could be different from that of traditional
achieve quality service to customers. There are many research
organizations.
articles on E Commerce in SCM, but there is a lack of critical
442
• Successful strategic information systems are not easy to 8. Stratman, J. K., & Roth, A. V. (2002). Enterprise resource
implement in SCM. They require major changes in how a planning (ERP) competence constructs: Two-stage multi-
business operates internally and with external partner. item scale development and validation. Decision Sciences,
• Commercial enterprise information systems require flexibility 33(4), 601-628.
in order to accommodate individual organizational 9. Parnaby, J. 1988. ‘A systems approach to the
characteristics. implementation of JIT methodology in Lucasindustries’.
• Performance measures and metrics need to be established for International Journal of Production Research, Vol. 26, No.
measuring the performance and suitability of E Commerce in 3, pp. 483-492
SCM. 10. http://ecommerce.ncsu.edu/business_models.html
• There is a need for developing standards and legal frameworks 11. http://www.hoovers.com/sector/0,2187,73,00.htm
for the application of E Commerce in SCM 12. http://hotwired.lycos.com/webmonkey/e-
business/building/index.html
References 13. http://www.strategy-
1. Brace, G. Editorial Review to Logistics International. 1994. business.com/research/99202/chart1.html
Sterling Publications Ltd.
2. Dougherty, D., & Hardy, C. 1996. Sustained Product
Innovation in Large, Mature Organisations: Overcoming
Innovation-to Organisation Problems. Academy of
ManagementJournal, Vol. 39, No. 5.
3. Hardaker G. 1997. Internet Editorial. Flexible Innovation
on the Internet. Benchmarking forQuality Management &
Technology. Vol.3, No.3
4. Keen, Peter G.W and Earle, Nick .Com to .Profit Inventing
Business Models that Deliver Value and Profit
5. Joseph M, Kelly T; "Intelligent Supply Chain Management,
Information Integration, and Case Studies"; The Fifth
National Agility Conference, Agility Forum, 1996
6. Paul L; "Agile Supply Chain Management-How to Gain a
Market Leadership Position"; The Fifth National Agility
Conference, Agility Forum,
7. Sahin, F., & Robinson, E. P., Jr. (2002). Flow coordination
and information sharing in supply chains: Review,
implications, and directions for future research. Decision
Sciences, 33(4), 505-53
443
Optimization of Part Scheduling For Cellular

Manufacturing System Using Tabu Search
Method
Chander Prakash
Mechanical Engineering Departmen, International Institute of Engineering & Business,Sonepat, haryana,
chander.mechengg@gmail.com
Abstract—Cellular manufacturing is an application of Group manufacturing is limited to two dimensions being part and
Technology in which machines or processes have been machine.
aggregated into cells, each of which is dedicated to production of
a part or product family or limited group of families. Scheduling The use of general-purpose machines and equipment in CM
is very important part in CMS, initial investment in facilities
allows machines to be changed in order to handle new product
grouped into CMS is very high so these systems must be
scheduled in a manner to realize more utilization of all the designs and product demand with little efforts in terms of cost
facilities while meeting customer delivery schedule. In the and time. So it provides great flexibility in producing a variety
present work, scheduling for Cellular manufacturing system has of products. In conclusion, CM is a manufacturing system that
been done using Tabu search method. In the present work CMS can produce medium volume/medium variety part types more
system is following FMS environment. System is having economically than other types of manufacturing systems. In
Machining Cells (MC) each having Computer Numerical Control the last several decades, CM has become increasing popular
machines (CNCs) arranged in it. Each cell is supported by among manufacturers.
dedicated Robot/s, for intra cell movement of materials between
operations II. ROLL OF CSM
On one hand we want to be more competitive, we want to
Keywords— Tabu, CMS, scheduling, Genetic algorithm,
excel in terms of quality and value of the goods and services
simulated annealing. that we offer and we want to be flexible enough to respond
quickly to the market needs, and on the other hand are
I. INTRODUCTION
reluctant to adopt new technological innovations. This is more
Cellular manufacturing is an application of Group significant when it involves risky investments in labour and
Technology in which machines or processes have been capital. There may be many technical details that may
aggregated into cells, each of which is dedicated to production constrain the use of CMSs & FMSs. Roll of CSM are Setup
of a part or product family or limited group of families. Parts time is reduced, Lot sizes are reduced, Work-in-process (WIP),
with similar processing requirements are identified; these are Material handling costs and time are reduced, A reduction in
then placed into logical groups called part families and the flow time is obtained, Tool requirements are reduced, A
equipment requirements for each part family are subsequently reduction in space required, Throughput times are reduced,
determined. A part family is a collection of parts which are Product quality is improved.
similar either because of geometric shape and size or similar
processing steps required in their manufacture. A III. DESIGN OF CELLULAR MANUFACTURING SYSTEM
manufacturing cell consists of several functionally dissimilar The design of CMS's has been called cell formation (CF),
machines which are placed in close proximity to one another part family/machine cell (PF/MC) formation, and
and dedicated to the manufacture of a part family. It utilizes manufacturing cell design. Given a set of part types,
the concept of divide and conquers i.e. to break up a complex processing requirements, part type demand and available
manufacturing facility into several groups of machines (cells), resources (machines, equipment, etc.,), the design of CMSs
each being dedicated to the processing of a part family. consists of the following three key steps:
Therefore, each part type is ideally produced in a single cell.  Part families are formed according to their processing
Thus, material flow is simplified and scheduling task is made requirements.
much easier  Machines are grouped into manufacturing cells.
 Part families are assigned to cells.
CM is a hybrid system (incorporates the flexibility of job  These three steps are not necessarily performed in the
shops and the high production rate of flow lines) in which above order, or even sequentially. Part families and
manufacturing cells can be formed simultaneously,
along with the assignment of part families to the cells.
machines are located in close proximity to one another After the design steps have been completed, a
(machine cell) and dedicated to a part family. This, cellular
444
manufacturing cell configuration (or cell configuration,  Operators that may be applied to parents when they
for short) is obtained. It is referred to as a cellular reproduce to alter their genetic composition such as
manufacturing system (CMS) which consists of a set of crossover (i.e., exchanging a randomly selected segment
manufacturing cells; each cell is constituted of a group between parents), mutation (i.e., gene modification),
of machines and is dedicated to produce a part family. and other domain specific operators.
 The three solution strategies are as follows:  Parameter setting for the algorithm, the operators, and
 Part family grouping technique: It is concerned with so forth
grouping parts into families and then machines are
allocated to manufacture family of parts. B. SIMULATED ANEALING
 Machine grouping technique: In this technique, Simulated annealing is based on the analogy to the physical
manufacturing cells are created first based on similarity process of cooling and recrystalization of metals. The current
in part routings, then the parts are allocated to the cells. state of the thermodynamic system is analogous to the current
 Machine-part grouping technique: In this technique, scheduling solution, the energy equation for the
part families and manufacturing cells are formed thermodynamic system is analogous to the objective function,
simultaneously. This is the simultaneous machine-part and the ground state is analogous to the global optimum.
grouping solution strategy. It is also known as machine-
component group analysis and is based on PFA. C. TABU SEARCH
Tabu search based heuristic for cellular manufacturing
systems in the presence of alternative process plans have
developed TS based heuristic for CMS‘s in the presence of
Alternative Process Plans.
Tabu search (TS) has its antecedents in methods
designed to cross boundaries of feasibility or local
optimality standardly treated as barriers, and to
systematically impose and release constraints to permit
exploration of otherwise forbidden regions.
PROCEDURE OF TABU SEARCH

STEP 1- Initialization
A- Select a starting solution x-now ε X

B- Set the history record H empty.
Figure 1, Cellular Manufacturing C- Record the current best known solution by setting, x-
best=x-now and define best cost=c (H, x-best)
IV. SCHEDULING OF CMS
Scheduling is very important part in CMS, initial STEP-2 (Choice and Termination)
investment in facilities grouped into CMS is very high so Determine candidate-N (x-now) as a subset of N (H, x-
these systems must be scheduled in a manner to realize more now). Select x-next from
utilization of all the facilities while meeting customer delivery Candidate –N (x-now) to minimize c (H, x) over this set.
schedule. Scheduling concerns the allocation of limited (X-next is called a highest evaluation element of candidate –N
resources to tasks over time. Production scheduling is (x-now). Terminate by a chosen iteration cut off rule.
concerned with the allocation of resources and the sequencing
of tasks to produce goods and services. There are following STEP3- Update
approaches for scheduling of CSM. Re –set x-now=x-next, and if c (h, x-now)<best-cost,
perform step 1 (C ).then return to Step-2
A. GENETIC ALGORITHMS
A genetic algorithm approach to the machine component Update the history record H.
grouping problem with multiple objectives have applied GAs
in solving a machine component-grouping problem with In TS, each solution x ε X has an associated set of
multiple objectives. The use of genetic algorithms requires neighbours (H,x) с X, called the neighbourhood of x. Each
five components: solution x‘ ε N (x) can be reached directly from X by a move.
 A way of encoding solutions to the problem -- fixed History determines which solution s may be reached by a
length string of symbols. move from the current solution, selecting x-next from N (H, x-
 An evaluation function that returns a rating for each now). The essence of the method depends on how the history
solution. record H is defined and utilized, and on how the candidate
 A way of initializing the population of solutions. neighbourhood Candidate –N (x-now) and the evaluation
function c (H, x) are determined.
445
D. PROBLEM DISCRIPTION  There were several assumptions made for the analysis
The problem environment, assumptions, and the aim of the of the scheduling problem. The assumptions made in
present work are detailed as under: this work are as follows
CMS system in the present problem is following FMS  The CMS will cater to a pure job shop environment
environment. System is having Machining Cells (MC) each handling 43 varieties of products. The layout of
having Computer Numerical Control machines (CNCs) machine cells is organized for minimum handling.
arranged in it. Each cell is supported by dedicated Robot/s, for  Each type/variety has a particular processing sequence,
intra cell movement of materials between operations. There is batch size, due date and penalty cost for not meeting the
a loading station from where the parts are released in batches. due date. The processing sequence is based on the
There is an unloading station from where the finished parts are optimum route with respect to minimum manufacturing
collected. There is Automatic Storage and Retrieval Systems lead time.
(AS/RS). The MCs are connected by numbers of identical  Each processing step has a processing time with a
Automated Guided Vehicles (AGVs). These AGVs perform specific machine.
the inter cell movements between the MCs. The layout of  There is no constraint on the availability of pallets,
machine cells is organized for minimum handling. Processing fixtures, AGVs, robots, AS/RS etc
sequence of parts is fixed. Processing of parts can be done on
the similar CNC machines available in different cells in same
time.
In this problem the CMS will cater to a pure job shop
environment handling N varieties of products on M
number of machines.
Automated scheduling software-using Tabu search method
is made by keeping in mind the objectives to keep penalty cost
zero and minimizing the machine idle time together with
sensitivity analysis. The use of software Visual Basic.Net is
done to make automated scheduling software. The results
obtained by the scheduling software can be compared with
some of the other scheduling rules such as highest processing
time, Shortest processing time, highest batch size, shortest
batch size, and earliest due date.
Figure 2
V. DEVLOPMENT OF SCHEDULING MODELS FOR CSM
 There are 5 Drilling, 4 Grinding, 3 Lathe and 4 Milling
The CMS considered in this work has the configuration as machines present. Machine numbers and IDs are given
shown in the Figure 2. in Table-4.1
 There are 5 Machining Cells (MC) each having two to  These similar machines can process the parts in exactly
six numbers of Computer Numerical Control machines the same time. For example in case one Drilling
(CNCs). Each cell is supported by one to three machine is busy in handling a job then next job in queue
dedicated Robot/s, for intra cell movement of materials is sent to other Drilling machine and processing time is
between operations. same in this case. Same is the case for all identical
 There is a loading station from where the parts are machines.
released in batches.
 There is an unloading station from where the finished A. FORMULATION OF THE PROBLEM
parts are collected. The combined objective function constitutes of two
 There is one Automatic Storage and Retrieval Systems functions. These functions are related addresses the problem
(AS/RS) of scheduling jobs in a flexible job shop with the objective of
 The MCs are connected by numbers of identical minimizing total idleness of machine and maximizing the
Automated Guided Vehicles (AGVs). These AGVs machine utilization. To achieve the objective of maximizing
perform the inter cell movements between the MCs, the the machine utilization we use the minimization of total
movement of loaded pallets from the loading station to machine idle time. So the combined objective function (COF)
any of the MCs, the movement of finished product from becomes to minimize the machine idle time by keeping
any of the MCs to the unloading station and the penalty cost zero. To attain our objective of keeping total
movement of semi finished products between the penalty cost nil and maximizing the machine utilization, we
AS/RS and the MCs. have to minimize our Combined Objective Function (COF).
 There is a dedicated robot for loading and unloading of
AGVs. After every solution move in the TS procedure every
solution in the neighbourhood of the current solution will be
446
evaluated for a Combined Objective Function (COF) of and defined as best cost. The history record H is initialized
minimizing machine idle time and keeping penalty cost zero. with empty record.
COMBINED OBJECTIVE FUNCTION (COF):Minimize Step 2

COF = (W1) * [(Xp * C) ÷ MPP] + (W2)*( Xq ÷TE) A set of neighbourhood solutions of x-now is generated:
Where N(x-now) and all the solutions
W1 = Weight age factor for Customer satisfaction. stored in H are identified in N ( x_now) and removed to
TE = Total Elapsed (make span) Time. form the set of movable solutions:
Xp= Penalty cost incurred Candidate-N (x_now).
W2= Weight age factor for machine utilization
C = Function of penalty cost if completion time CTi Step 3
increases DDi due date for job, C becomes unity which means The COF values of all the solutions in the Candidate
there will be some penalty cost which is not an acceptable (x_now) are calculated and the one
condition (x-next) with the minimum value c (H, x_next) is chosen.
1) X p= Total Penalty Cost incurred Step 4
Xp = ∑ ( CTi - DDi)*UPCi*BSi If c (H, x_next) <= best-cost then a move performed, best
cost is replaced with c (H, x_next) and the history record H is
i= Job number appended with the swapped pairs of sequence number.
CTi=Completion Time of job i Otherwise the history record H is browsed and solution
DDi =Due Date for job i satisfying the aspiration criteria is chosen as x_next. The H is
UPCi = Unit Penalty Cost for job i also updated.
BSi = Batch size of job i Step 5
If the term inaction criteria are not met, step 2 to step 5 is
CTi = Processing time = (1/60*8) *Batch size = time in repeated otherwise the procedure is stopped.
days
TE= Total elapsed or Actual time= Processing time + We take an example of a CMS system of FMS type having
Idle time 43 parts with their processing sequence of operations on 16
Assuming MPP= 1000 machines. The processing time on each process, due date,
batch size and penalty cost.
2)
W2 =Weight age factor for Machine Utilization C. AUTOMATED TABU SEARCH SCHEDULING SYSTEM
Xq =Total Machine idle Time of jth machine = ∑ MIj Now we will run the program with the above input values
J The first form in our system is login form which is used for
J=machine number security purposes. Before starting our software, firstly we
have to login by entering valid user name and password then
MIj = Machine idle time of Jth machine = TE - ∑ PTji our system will be started. When we enter a valid user name
Processing time of ith job with jth machine and password then message box will be displayed which
shows below and give message ‗welcome to automated tabu
The values of WI and W2 are weight age factors applied as search scheduling system‘.
per demand of the business situations such that W1+ W2 =1  First we have selected the tabu search method and input
In present situation in our problem we want penalty cost to values are as shown below.
be Nil so we have given weight age factor W1=0.1 and we
want machine idle time to be minimized so have given weight
age W2=0.9.
B. Methodology
Our primary objective is to maximize the utilization of the
capital-intensive system. Also with the emerging trends
towards customer orientation in the world of global market,
the system can not afford to ignore objectives that have direct
relation to customer satisfactions. So, both of the above
objectives (maximizing the system utilization and keeping
Fig. 3. Input Parameters of Scheduling Problem (Tabu Search)
penalty cost nil) are considered for optimization.
 We will input the values of pat number, their machine
Step I number processing time on each machine due date,
An initial Job sequence (x_now) is selected at random batch size and penalty cost. We will enter the process
among the flexible set of job sequence (X). The combined time on each machine in minutes. Program will
objective function value for the solution x_now is computed automatically convert the time into days. After enter all
447
the values, the button ―next‖ will take us to the next

window.
 In this form description of all the machines is entered at
the front end and at the back end similar machines have
been given access to process parts having similar
operation in same time.
Fig.6, To Generate sequence of jobs
 After sequence has been updated it is assumed to be

best initial schedule. Now neighbourhood search is
started to obtain a schedule having penalty cost zero and
machine ideal time is noted at such a value.
Fig 4, Machine Info form
 In this window, we will enter a random sequence of all

the parts by selecting the part number in the order of
sequence and pressing ―> >‖. Then click on save so that
all the values of parts entered are saved in memory.
Fig. 7, Result calculation window
The best solution is highlighted in red colour. Now we have

two options for going to the next window, either we can
double click the highlighted row or press minimal state to get
optimal solution. If we select the highlighted minimum value
row then program will automatically check the minimal state
conditions i.e.
If Penalty cost = 0, then show Z iterated as minimal state
otherwise
Fig 5 Job selection If i ≥ 100, then show Z iterated as minimal state, otherwise
 After sequence has been updated it is assumed to be carry out the next iteration.
best initial schedule. Now neighbourhood search is
started to obtain a schedule having penalty cost zero and
machine ideal time is noted at such a value.
448
Fig.8, First Minimal State iteration Fig.10, Input Parameters for Other Scheduling Rules
If we click the button ―Minimal State‖ then program will  When we click the button ―Special Cases‖ our software
automatically calculate the optimal point while doing all the will calculate the value of all above mentioned methods.
iterations. The final result while taking W1=0.1, W2=0.9.
Fig. 11, Minimal States with Other Scheduling Rules
Fig.9, Second Minimal State iteration
 Comparing with other scheduling rules: Using the

special cases feature we can compare the performance
of our Tabu search method with some of the other
scheduling rules such as Highest Processing time, VI. RERSULT AND DISCUSSIONS
Shortest processing time, highest batch size, shortest The performance of the algorithm is measured according to
batch size and earliest due date. an objective function, which is the maximizing the machine
utilization by keeping penalty cost nil. The previous work did
 We can add, delete and reset the input values. In this
not explore more number of sequences by perturbing fixed
window a special key is provided to calculate the results. sequences. The strength of Tabu search lies in the generation
of random sequences and in large numbers. A large number of
sequences are required to get rid of the local minima. In this
work we have generated a large number of sequences, so that
we can get a global optimal solution.
Some of the notable features proposed algorithm on

scheduling:
449
0.44
1. Several combinations of job sequencing are to be
evaluated by perturbing sequencing obtained from fixed job 0.42
sequence.
idleness/COF
0.4
2. Corresponding to each job sequence, the operation-
idleness
machine-allocation are carried out to achieve the combined 0.38
objective function of minimizing total tardiness and COF
maximizing the machine utilization by satisfying the system 0.36
constraints (Available machining time at different machine for
0.34
each job and penalty after due date).
0.32
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
We have run the software to get the optimal solution for the
Schedules
given problem and compared the results with other scheduling
rules. The results are shown in table:
Case Sequence of Penalty Idleness COF penalty

Name parts
0.025
Tabu 23; 38; 35;
Search 36; 31; 26; 0.02
42; 40; 16; 3;
11; 1; 7; 34; 0.3986 0.3587 0.015
penalty
25; 24; 15; penalty
41; 19; 28; 0.01
37; 12; 18;32;
39; 5; 14; 17; 0.005
29; 9; 2;
43;33 21; 30; 0
4; 20; 13; 22; 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
27; 6; 10; 8 0.0000 Schedules
TABLE-1 COMPARISON OF RESULTS
The results show in Tabu search methods the value of penalty B. Graphs for results when w1=w2=0.5
is lowest for maximizing machine utilization. Our Combined
objective function is also minimum in case of Tabu search 0.4500
method. Hence it can be said that minimizing penalty and 0.4000

penalty/idleness/COF
0.3500
maximizing the machine utilization of job sequences are
0.3000
penalty
observed here. This corroborates the performance of this 0.2500
idleness
0.2000
algorithm is better as compared to other algorithms. COF
0.1500
0.1000
A. Graphs for results when w1=0.1,w2=0.9
0.0500
0.0000
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31
0.5
Schedules
Penalty/Idleness/COF
0.4
0.3 Penalty penalty

Idleness
0.2 COF 0.0250
0.0200
0.1
0.0150
penalty
0 0.0100
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
0.0050
Schedules
0.0000
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
schedules
450
rules, as it gives optimal value for penalty. Idleness and

idleness
combined objective function (COF). Thus the
optimization of scheduling problem can be achieved up
0.4200
to greater degree by utilizing tabu search method.
0.4150
0.4100 REFERENCES
0.4050 idleness
[1] A.Sobhanallahi & E,Shan, [1998], Effect of cell based team work in
0.4000 productivity improvement at a manufacturing company, Computers ind.
Engng Vol. 35, Nos 3-4, pp. 451-45, IRIS, Swinburne University of
0.3950 Technology, Melbourne, Victoria,
0.3900 [2] A. J. Vakharia & Y.L. Chang, [1997], Cell formation in group
technology: a combinatorial search approach.
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
[3] A. Garrido, M. A. Salido, F. Barber & M. A. Lopez, ―Heuristic
schedules Methods for Solving Job-Shop Scheduling Problems” Dpto Sistemas
Informáticos y Computación, Universidad Politécnica de Valencia,
Camino de Vera s/n 46071, Spain.
[4] Charlene A. Yauch & Harold J. Steudel, [2002], Cellular
VII. CONCLUSION manufacturing for small businesses: key cultural factors that impact the
conversion process, Journal of Operations Management 20 (2002)
The main contribution of this work is to apply tabu search 593-617, Department of Industrial Engineering and Management,
based algorithms for solution of scheduling of jobs in CMS Oklahoma State University, USA
[5] B.Mahadevan, et aI., [2000], Design of cellular manufacturing system
environment. An attempt has been made in this work to vary
for product oriented plant, Third International Conference on
the job sequencing so that optimal sequencing of jobs can be Operations & Quantitative Management, Sydney
achieved. The idea behind this work is to perturb [6] B.Mahadevan & G Srinivasan, [2000], Software for manufacturing
sequences in the search of better results. More the cell formation: issues and experiences, Department of Operations
Management, Indian Institute of Management, Bangalore,
number of sequences higher will be the degree of the [7] B.Mahadevan, S.Venkataramanaiah, [2003], Re-aligning research
optimization of objective (COF). This algorithm is objectives in Cellular manufacturing system design, Asian Journal of
Operations Management, Department of Production& Operations
suitable to explore number of job sequences from a fixed Management, Indian Institute of Management Bangalore.
job sequence and its ability to come out from local [8] Ching- Yuen Chan, et aI., [1996], Considerations for using cellular
optima. The main objective, which is the combination of manufacturing, Journal of Materials Processing Technology,182-
187,Hong Kong Polytechnic University, Hung Horn, Hong Kong .
maximizing the machine utilization by keeping penalty [9] Chung-Yang Liu & Shi-Chung Chang, [2000], Scheduling Flexible
cost nil is achieved by this method. Flow Shops with Sequence-Dependent Setup Effects.
A scheduling procedure is developed for a specific FMS to [10] Eric Molleman, et al.,[2001], The evolution of a cellular
manufacturing system a longitudinal case study, Int. .J Production
maintain its flexibility and thereby the intended performance Economics 75 (2002) 305-322, Faculty of Management and
measures. The mechanism operates based on tabu search and Organization, University of Groningen, Netherlands.
optimizes two contradicting objectives simultaneously. [11] Festus Olorunniwoa, Godwin Udo, [2002], The impact of
management and employees on cellular manufacturing implementation,
The schedule obtained by tabu search is compared with Int. J Production Economics, 27-38 College of Business, Tennessee
the solutions obtained by different scheduling rules i.e. State University, USA.
SPT, HPT, EDD etc. [12] Khaled Meshghouni, Slim Hammadi, Pierre Borne, [2004],
Evolutionary algorithms for job shop scheduling, Int. J. Appl. Math.
After comparing the results it can be concluded that Computer Science, Vol. 14, No. 1, 91–103.
tabu search method is by far superior to other scheduling
451
Quality Management In Supply Chain: A Case

Study
Chander Prakash
Mechanical Engineering Department, International Institute of Engineering & Business, Sonepat, haryana,
chander.mechengg@gmail.com
Abstract— In recent years, many organizations have looked upon this study lies right at the integration of these two highly
continuous improvement and total quality management (TQM) topical concepts, quality management and SCM. Basically, It
is asked whether a company involved in quality management
within manufacturing as the means by which they could improves its SCM. Evidently, the answer has to be yes;
maintain a competitive edge. Now, only manufacturing is not otherwise, this would not be interpreting quality management
responsible for success of any company but it is matter of in its widest and most correct sense. However, in the present
business climate, in which most companies has begin the
complete supply chain. A manufacturing supply chain is an quality management in supply chain and starts with quality
integrated set of business functions, encompassing all activities assurance, which in practice means getting the ISO 9000
from raw material acquisition to final customer delivery. Even
standard certificate, Does the same thing happen?
In other word, when a company gets the ISO 9000
though much attention has been focused on supply chain certificate, does its SCM improve? In this case, the question is
management (SCM) concepts in recent years, its interlinking no longer answer till this certification is not taken at supplier
and as well as dealer ends. For this reason, a data base study is
with the quality management perspective is often limited and
carried out in this study and key factors and sub factors of
tangential in nature. While the importance of quality quality management is analysed. And effects of quality
management is universally recognized, academic researchers management on the supply chain are also discussed and
analysed in this study with the help of AHP. This study begins
need a more focused approach in evaluating quality management
with a brief description of the main objective followed by a
issues within the internal and external supply chain contexts review of the supply chain and quality management in a world
leading automotive industry.
Keywords—Total quality management, Supply Chain
 In this study all the critical factors of Supply Chain in a
Management, Analytical hierarch process (AHP), Swot analysis, world leading automotive OEM is discussed and
Inventory Management. analyzed
 Critical factors and their sub factors of Quality
Management in Supply Chain also discussed and
I. INTRODUCTION
prioritized.
There is a growing attention on global supply chain
management. Supply chain management is a holistic and a II. A CASE STUDY
strategic approach to demand, operations, procurement, and Analyzing the supply chain and quality management helps
logistics process management the focus of supply chains was provide a baseline of success for the business. The automotive
on specific functionalities such as purchasing, manufacturing, OEMs differ widely in growth trends, economic
and shipping to support logistics operations. The competitive distinctiveness, competitors, and technological issues. The
environment requires the delivery of cost, efficiency, high assessment of these two key areas will affect how the position
service levels, rapid response, and high quality of products of company within the supply chain, for the customers, and
and services. The effective management of quality is the key development of basic competitive strategies. Quality
to increased quality and enhanced competitive position in management and supply chain analysis of a automotive OEM
today’s global environment. At present, the drive to get this uses basic factors and sub factors like culture & people,
ISO 9000 certification is due not only to companies needing it measurement and feedback, customer focus and orientation,
as part of their competitive arsenal but also, simply to avoid continuous improvement and learning, Innovation
being left out of their own markets. On the other hand, in a management, empowerment & team work, system&
more or less parallel development, in resent years, the techniques , strategic management, transportation and logistic,
companies have also seen the advantages of working marketing, relationship and partnership, best practices,
collaboratively with their suppliers and customers. This Organizational behaviour, Organizing techniques, marketing,
collaboration has led to the coining of the well-known concept transportation and logistics and strategic management. This
of supply chain management (SCM). The main objective of analysis assists the company to think strategically about
452
industry’s overall quality management in complete supply analyse and prioritize that which quality system is best in
chain and draw conclusion regarding the potential for growth supply chain by the use of critical factor. All the critical
& profitability and competitiveness. This analysis is carried factors i.e. culture & people, measurement and feedback,
out in XYZ Ltd (The X company name has been changed on customer focus and orientation, continuous improvement and
request of management) is an automotive OEM that produce learning, Innovation management, empowerment & team
four strokes motorcycles in India with technical collaboration work, system& techniques of quality management and
of Y Ltd company Japan. ABC Ltd performs (on a stand alone strategic management, transportation and logistic, marketing,
or integrated basis) competitive research and analyses, relationship and partnership, best practices, Organizational
organizational and functional review, and process audits, behaviour, Organizing techniques, marketing, transportation
using a wide array of highly acclaimed tools and and logistics and strategic management of Supply Chain have
methodologies, as well as proprietary techniques and been analysed in details for XYZ Ltd.
templates customized to value chain management. The critical
factors and sub factors of quality management in supply chain A. Demand Conditions of XYZ Ltd
and integration have been discussed and analyzed using AHP The India automotive sector has a presence across all
techniques followed by organization profiles & achievements, vehicle segments and key components. In terms of volume,
performance analysis, demand conditions and Strength, two wheelers dominate the sector, with nearly 80 per cent
weakness, opportunity and threats (SWOT) analysis. share, followed by passenger vehicles with 13 per cent. The
industry had few players and was protected from global
Description Capitalization ratio competition till the 1990s. After government lifted licensing
in 1993, 17 new ventures have come up. At present, there are
12 manufacturers of passenger cars, 5 manufacturers of multi
X Ltd 26% utility vehicles (MUVs), 9 manufacturers of commercial
vehicles, 12 of two wheelers and 4 of three wheelers, besides
Y Ltd 26% 5 manufacturers of engines. With the arrival of global players,
the sector has become highly competitive.
The production and domestic sales of the automobiles in
Others 48% India have been growing strongly. While production increased
from 4.8 million units in 2000-1 to 8.5 million units in 2004-
05. That is a Compound Annual Growth Rate (CAGR) of over
TABLE 1 15 percent, domestic sales during the same period have gone
In the context of international logistics, benchmarking up from 4.6 million to 7.9 million units (CAGR 14.2 per cent).
systems such as Quality Assurance Accreditation (QAA),
Total Quality Management (TQM) and internal Composite 4years CAGR of Domestic Sales of different segment
Logistics Modelling (CLM) tools can be combined to
30
maximize logistics efficiency. This project assesses the 25
23.7
contribution of QM systems to performance enhancement in 20

14.3
supply chain of an automobile OEM. We have used both 15
10
internal and external quality management systems in order to
in %
5 1.3
provide optimal solutions for the success supply chain of 0
automotive OEM. It is shown that such techniques contribute -5 Scooter Motorcycle Moped Total Tw o Wheeler
-10
positively to a company’s internal efficiency and to its -15
position in the market. -20 -15.9
S.No. Plant Product Figure. 1
The domestic sales have been increasing at a CAGR of 14.3

1 Dharuhera 100cc and 125cc motorcycle per cent for the past 4 years. Motorcycles constituted 79.5 per
production cent of the domestic sales of two wheelers in India and have
2 Gurgaon Scooter & 125cc and above with been growing at nearly 24 per cent CAGR. In the scooter
premium models
segment, overall domestic sales grew by 1.3 per cent CAGR,
3 Haridwar 100cc Largest selling driven primarily by ungeared scooters and scooters with
motorcycles automatic gears. The sales of mopeds have declined at a
TABLE 2 CAGR of 15.9 per cent for the past four years.
The motorcycle segment clearly drives the growth of the
two wheeler segment in India. The two wheeler segment is
According to the framework, Quality management in being shaped by changing demographics and lifestyles. An
supply chain of an organization will depend on its successful increasing number of working women and greater affluence
implementation of quality management system. We will among college goers have led to an increase in demand for
453
without geared /auto geared scooters. As with the case of define the bond that XYZ Ltd establishes with customers
passenger vehicles, there is a rising demand for higher-end cutting across geographic locations, income levels, and market
models that combine style and performance in this segment as segments. The reliability and durability of this relationship has
well. In motorcycles, for example, models with higher engine resulted in positive word-of-mouth from satisfied customers,
capacities (125cc, 150cc or above) are proving very popular. working to the brand’s advantage. Over the years, XYZ Ltd
has maintained its leadership in the two-wheeler market by
continuously improving its competitiveness. Competitiveness
of a firm can be assessed on multiple parameters: Market
Results, Financial Results, Comparisons with competitors,
Product Results, Process Results, Customer Results, etc.
Hence, a detailed analysis on various organizational
performance measures will help us assess XYZ Ltd’s level of
competitiveness.
XYZ Ltd increases its productivity in a variety of ways.
The most obvious methods involve automation and
computerization which minimize the tasks that must be
performed by employees. Recently, less obvious techniques
Figure. 2 are being employed that involve ergonomic design and worker
comfort. A comfortable employee, the theory maintains, can
produce more than a counterpart who struggles through the
Two wheeler penetration levels in the country are still low day the productivity of individual shops is increased in respect
and there exists tremendous potential for the two wheelers to last financial year by taking the countermeasures like auto
sold, XYZ Ltd expect the two wheeler industry will grow in loader installed in press shop. U cell lay out in Weld shop etc.
the range of 12-15% p.a. with motorcycle segment growing at XYZ Ltd won National Productivity Award for the Best
a slightly higher rate. Productivity Award in the category of Automobile presented
XYZ Ltd crossed the unit sales threshold of 3million units by Vice President of India in 1999.
in the FY 2005~06, which is a worldwide first. This helped XYZ Ltd has been highly successful in lowering
the company achieve the distinction of having a 15 million Manufacturing costs, the fuel Consumption, In-House
strong customer base since its inception. The company Rejections, and improving Profitability and Inventory
maintained its market share leadership position with a healthy turnover Ratios. XYZ Ltd achieved overall rejection rate
40% share in two wheeler industry. During FY 2006-07, the 2016ppm against targeted 2262 ppm in 2004~05 and 1864
company plans to achieve double digit growth rte in sales for ppm against 2000 ppm in 2005~06. That was the big
the year. Data shows XYZ Ltd is competitive as compare to benchmark among its competitors. The Rework and delivery
its competitors in market shares. time also achieved within the target by doing kizens and poka
yoke in process and system.
Market share of Motorcycle Maufacturer Product Results of the XYZ Ltd in 2005-06 accounted for
60 50 54 48% of the Indian two wheeler market. The company
49 50 46 49
50
46
50
46 49 46 47 46 44 48 47 47
45
maintained its grip in the motorcycle segment with market
Market Shares in %
45 41
shares of a little less than 50%. In the previous year, XYZ Ltd
40 40
sold one million more two wheelers than its nearest
30 HHL
Bajaj
competitors. The lead was maintained in 2005-06.
20 TVs This slows sales as a proportion of average current assets,
10 also declined from 14 to 12.7. The growth was mainly on
0
account of outstanding fixed deposits of Rs135 crores with
banks as on 31st march, 2006
'05
'06
'05
'06
' 05
'05
' 06
'06
06
'05
'06
n'
ay
ly
ay
ly
p
p
ar
ar
v
v
Ja
No
No
Se
Se
Ju
Ju
M
M
M
Figure. 3
B. Competitive Performance of XYZ Ltd

Performance measurement is the process of quantifying the
efficiency and effectiveness of manufacturing system.
Performance of an enterprise is often measured as a ratio of
output to input. The outputs constitute the products of the
enterprise and the inputs are the resources used by the
enterprise Performance Analysis confidence and trusts are the
two enduring values associated with XYZ Ltd. These values
454
HHL PROFIT TRACKING  To identify major quality systems in complete supply

1600 chain of an automotive OEMs in highly competitive
1400
1412
automotive sector.
 To identify key success factors through AHP
1217 1253
1200
1072 1076
971 calculation for sustaining quality management system in
supply chain of OEM organization.
1000 885 907
810
in crores
792 OPBT
800 694
728
621 PBT
581
600
463 PAT
400 A. Case Study Framework

200 In the context of international logistics, benchmarking
0 systems such as Quality Assurance Accreditation (QAA),
2001-02 2002-03 2003-04 2004-05 2005-06 Total Quality Management (TQM) and internal Composite
Logistics Modelling (CLM) tools can be combined to
Figure. 4 maximize logistics efficiency. This project assesses the
contribution of QM systems to performance enhancement in
supply chain of an automobile OEM. We have used both
Annual sales crossed 3 million units during 2005-06 and in internal and external quality management systems in order to
value terms total sale increased 14.5% to Rs 8714 crores from provide optimal solutions for the success supply chain of
Rs 7422 crores in 2004-05 automotive OEM. It is shown that such techniques contribute
Earning before interest, depreciation and taxes (EBIDTA) positively to a company’s internal efficiency and to its
during the year 2005-06 were pegged at 15.7% the same as position in the market.
previous year. The operating profit (PBT before othe income)
grew by 16.2% from Rs 1080 crores in 2004-05 to Rs 1256 QM
crores in 2005-06.
This was pegged at Rs.399 crores during the year, primarily
on account of capacity expansion in the existing
manufacturing facilities at Gurgaon and Dharuhera and
acquisition of land for the company’s new production Suppli Manuf Dealer
facilities.
er acturi /
III. RESEARCH OBJECTIVE ng Custo
The different components of typical supply chain is given mer
Figure. 5
in Fig .This framework is be used for analysis of quality
management system and strategy formulation for in supply According to this framework, Quality management in
chain. Any OEM under this study can be analysed and supply chain of an organization will depend on its successful
evaluated on the basis of various key items of framework. On implementation of quality management system. We will
the basis of mapping of an organization on these key areas of analyze and prioritize that which quality system is best in
supply chain, strong and weak areas for the organization are supply chain. In Fig 6 all the critical factors are given
identified by prioriting the factors of quality management
system in different area of supply chain. Strategies should be
framed to overcome on weak areas and take leverage on System & Empowerment
strong areas for improving supply chain. This framework can Techniques and Team work
be also used to quantify with AHP calculation of its quality
Innovation
management factors. For the case company this diagnostic and Management
Quality
strategy formulation approach has been demonstrated in
Management
following sections. Various sources of information about the Continuous
company consist of annual reports, control charts, Improvement & Culture and
documentation of various processes and discussion with learning People
managers of various departments during regular scheduled Measurement &
visits. Therefore this study is aimed to feed back Customer focus
& Orientations
 Illustrate the concept of quality management systems in Figure. 6
supply chain by taking a real life example of a
automobile OEM to motivate other OEMs.
 To develop a supply chain analysis framework for
analysing quality management system.
455
B. SWOT ANALYSIS A STRATEGIC MANAGEMENT IV. APPLICATION OF AHP TO PRIORITIZE THE KEY FACTORS IN
Business success depends on the formulation and SUPPLY CHAIN
implementation of viable strategies. XYZ Ltd is going Quality management (QM) is often regarded as a philosophy
forward to reinforce their leadership by developing the that aims to achieve customer satisfaction through continuous
appropriate strategy for achieving word no1 status in the two improvement and team work. The transformation towards QM
wheeler market. The company has planned to launch eight is coupled with its spread, from the manufacturing to the
new motorcycles in the market at different customer segment. service sector and onto public services ( Dale, 1999)
XYZ Ltd has launched India’s first fuel injection two wheeler Implementation of QM becomes a top management agenda in
a technology as revolution same as XYZ Ltd launched first many organizations in the pursuit of positive business benefits,
two stroke engine two decades ago in 1984. The XYZ Ltd is such better product quality, higher customer satisfaction and
facing new competition is in terms of reduced cost, improved less quality cost and improved supply chain. Some recent
quality, and products with higher performance, a wider range studies advocated that many organizations launched QM
of products and better service, and all delivered programs have gained any positive results. There have been
simultaneously. several approaches and model suggested for the QM
introduction and implementation. This paper presents main
finding of a recent study that investigated the critical factors
of quality management affecting the implementation of QM in
Strengths Weaknesses supply chain. This study attempted to identify the critical
• Strong financial condition • Obsolete facilities factors and sub factors for a automotive OEM (XYZ Ltd) to
• Strong brand name • Higher overall costs than implement quality management in supply chain using
image/reputation rivals analytical hierarchy process (AHP) approach. A general
• Widely recognized as • Missing some key hierarchy model was elaborated to help prioritization these
market leader skills/competencies
factors and formulate strategy for quality management
• Strong communications • Internal operating problems
• Product innovation • Falling behind in R&D
implementation in supply chain of automotive OEM.
• Good customer service A. Selection of best area of SCM by AHP
• Better product quality
• Better Technology AHP is a problem-solving framework and flexible, systematic
method employed to represent the elements of a complex problem. It
Opportunities Threats is based on the three principles: decomposition, comparative
• Expanding product line • Entry of 1Lac car by Tata judgment and synthesis of priorities. The general structure of AHP is
• Transferring skills to new •Substitute products or services shown in Figure 8. The characteristic of AHP is allowing both
products or services • Slowing market growth qualitative and quantitative attributes to be included to carry out
• Take market share from evaluation. For each sub-criterion, ratings are necessary to provide a
rivals basis and ease for the comparison of the performance of a large
• Openings to exploit new number of companies to be evaluated. The priorities of criteria and
technologies sub-criteria are synthesized to establish the overall priorities for
• Openings to extend brand decision alternatives. AHP is a theory of measurement for dealing
name/image with tangible and intangible factors. The satty demonstrates the
potential of AHP in supply chain development. The AHP-based
TABLE 3 approach is explained to Identify and prioritize logistics critical
success factors (CSF) so as to evaluate the performance levels.
C. Problem solving techniques Consequently, competitive advantage and disadvantage can then be
highlighted for continuous improvement.
The AHP uses paired comparisons of objects with respect to a
Define the Generate common goal or criteria. The end result of the AHP is a set of
problem alternative weights derived from the pair-wise comparisons.7 See the Appendix
solutions for the AHP instrument completed by the management-level
employees of the participating companies. Each manager made two
decisions when completing the AHP instrument:
1. Selecting the more important performance category for
measuring and monitoring the company’s performance.
2. Recording the magnitude of importance the category selected
Implement Evaluate and
has over the category not selected.
and follow up select an
on the alternative
solution
Figure. 7
456
Step-1 Enter pair-wise responses in Excel.

Entering the pair-wise responses of each manager in Excel
in a matrix format is the first step. The Performance Pair-Wise
Comparisons section of Table 4 displays the matrix format for
the performance AHP. The key to remember when entering
the pair-wise comparisons are the assumption of reciprocity.
For example, if the supplier performance category is evaluated
as three times better quality management than the customer
category, the reciprocity axiom states that the customer
category is 1/3 times more important than the supplier
category. The AHP matrix shown in Table 4 is designed to
account for reciprocity by entering the reciprocal formula in
the lower half of the matrix. When entering data in the upper
half of the matrix,
When entering data in the upper half of the matrix, one
must enter the preference denoted by the respondent (i.e., Pij,
where i = column and j = row) or it’s reciprocal (i.e., Pji =
1/Pij). Notice that cell H4 represents the magnitude of supplier
over manufacturing. Because the respondent indicates supplier
is more 1.5 times better quality management than
Figure. 8 manufacturing, 1.5 is entered in cell E4, and Excel
automatically places a ―0.667‖ in cell G5, indicating
manufacturing is 0.667 times better than supplier. Likewise,
cell I4 indicates the respondent thinks supplier is three times
more than customer in measuring. The reciprocal is calculated
automatically and entered in cell G6.
Step-2 Calculate an Individual-level matrix.
The objective of step two is to develop a single matrix from
the individual respondents. This step is accomplished by
taking the geometric mean across the respondents. The
geometric mean is calculated for each cell across all of the
individual matrices. The result is a single, composite matrix.
Once an AHP matrix is completed as composite or
comparison matrix, the normalize matrix is created. Table 4
displays the composite matrix for all three companies.
Table 4
Figure. 9
Step-3 normalizes the comparisons.
Normalizing the pair-wise comparisons is accomplished
C. Steps in AHP Calculation using Microsoft Excel with two procedures. Calculating the sum of each column is
the first procedure (i.e., the formula for cell B7 in Table
Once AHP hierarchy is completed (Figure-8), now five
=SUM (B4:B6)). The formula for cell B7 is copied to cells C7
steps are necessary to do the AHP calculation for all factors. A
and D7. The next procedure involves dividing each entry in
Program can be made in excel sheet as per following steps:
457
the matrix by its column sum (i.e., the formula for cell E4: divide the result by the respective performance score (i.e., the
=B4/B$7). The formula for cell E4 is copied to cells E5 to E6. formula is to be used as per table for calculating consistency
And Complete column E4 to E6 to be copied to G4 to G6. ratio). The formula is copied for manufacturing and customer.
Completing those two procedures creates the normalized If the respondent is perfectly consistent, the consistency
comparison matrix as in Table 5. measure will equal the number of alternatives (i.e., three).
The calculation can be done by making a small program on Step-5 Determine consistency ratio.
Microsoft excel sheet as per Table5 only rating is typed all the The final step in applying the AHP is determining the
calculations will be done instantly and automatically. consistency of the results. The respondents should be
consistent in their pair-wise comparisons. In other words, if
the respondent considers supplier has system and techniques
1.5 times more than manufacturing, and supplier has three
times more than customer then the respondent should consider
manufacturing 1.5 times more than customer. If the results are
not consistent, the scores should not be used. Table: 4 indicate
the respondent was perfectly consistent. The performance
scores can be treated as reasonably accurate. A consistency
ratio is calculated to determine reasonable consistency. The
consistency ratio is calculated as follows: Consistency ratio =
CI / RI, where CI = Consistency Index = (max - n) / (n – 1)
max = the average consistency measure for all alternatives n
= the number of alternatives RI = the appropriate random
index (0.58, when n = 3) from Table 4.3.1.The formula for
Consistency Ratio is: = (AVERAGE (I4:I6) -3)/ 2*0.58). The
consistency ratio calculated in Table 6 is 0.008. A consistency
ratio of 0.10 or less is considered acceptable, so the
Table 5
performance scores calculated in Table appear reasonably
consistent. And we can consider that supplier has better
Step-4 Calculate the Priority score and consistency score. quality management is in respect of system and techniques.
The average of each row in the normalized matrix is used Checking Consistency for Table; 30
as the Performance score for each decision alternative- max = (3.014+3.0083.005)/3 = 3.009
supplier, manufacturing and customer (i.e., the formula for Consistency index (CI) = (max - n)/(n - 1) = (3.009-3)/2
cell H4 in above table =AVERAGE (E4:G4). That formula is = 0.004
copied to cells H5 to H6. The result is the performance score Consistency Ratio (CR)= CI/RI = 0.004/0.58
(relative importance weight) for each area of SCM for quality
management in respect of system and techniques. The
= 0.008 is less than 0.1 means
performance scores in table indicate that the respondent ranks rating is acceptable
supplier (0.506) has better system and techniques, followed in
manufacturing (0.307) and customer (0.186). For Consistency
score, the formula is =MMULT (B4:D4, $H$4:$H$6)/H4) or
as per Table: 5 for cell I4 and this is to be copied in I5 to I6
for consistency score. Multiplying each alternative in the
original matrix by the normalized scores and dividing the
result by the respective normalized score calculates the
consistency measure found in Table 4.
Sub Factor of QM-Innovation Management

Sub Factor of QM-Continues Improvement
Creavity 0.095 Po rt lif e rat io n 0.089
NPD 0.283 Ne w p ro d uc t 0.241
Training 0.080 Pro mo t io n 0.113
R&D 0.256 Re lat io n 0.178
Quality circle 0.177 Cus t o me r ind e x 0.231
Table 6
Pro b le m
Suggestion 0.109 0.148
mo nit o ring
0.000 0.050 0.100 0.150 0.200 0.250 0.300 0.000 0.050 0.100 0.150 0.200 0.250 0.300
Score Score
Where n=7 (total competitive factors), Random Index (RI)
= 1.32.
In other words, you multiply each row in the performance
pair-wise comparison matrix by the performance scores, then
458
The Overall rating of all three areas is calculated. The The cultural & people and measurement & feed back are
supplier has the maximum rating i.e. 0.503. The supplier has the two factors prioritized i.e. 0.291 and 0.147 respectively in
the best quality management at supplier end in XYZ Ltd. AHP calculation which makes a supply chain and quality
management best integration. Any OEM can have best
V. RESULT AND DISCUSSION quality management in supply chain by enhancing the people
While the quality management has received considerable culture and measurement & feed back system. A crucial
attention in the academic literature after globalization of element in the formulation of any business strategy to build
market, it has been analysed principally in context of OEM people culture is having the right information about the
organizations. In spite of significant contribution by OEMs in industry and the environment, at the right time. In a
economic growth of all countries, analytical case studies on competitive industry, this translates into having access to
quality management in supply chain of OEMs are very limited reliable and actionable information about competitors, as well
or almost negligible. In most of the available studies quality as the competitive environment in the industry, including
management has been analyzed in terms of manufacturing information about competitors. XYZ Ltd has greatly improved
parameters only rather than a holistic approach. The holistic its quality management in supply chain and best at supplier
approach, as followed and analysed the factors of quality and can be a role model for other area of supply chain in
management and supply chain in this case study will give companies. However, ―quality management‖ is a journey and
better understanding regarding long-term competitiveness of continuous improvement and not a destination. XYZ Ltd has
the organization. Therefore present study has tried to bridge still a long way to go. As XYZ Ltd moves up in the value
the gap in the literature on quality management and supply chain and targets foreign markets, it will have to identify new
chain. Framework used for this study has tried to capture all factors of quality management in supply chain, and acquire
critical factors and sub factors which affect the OEMs supply and build appropriate competencies.
chain performance. In spite of having various pressures and
constraints on OEMs, may manage quality in supply chain by VII. REFERENCES
implement the factors as per prioritization in this study. This [1] Aitken, J., et al., (2002) ―Understanding, implementing and exploiting
agility and leanness‖, International Journal of Logistics: Research and
study with AHP calculations can be better than others models
Applications, Vol. 5, No. 1, pp.59–74.
for analysing OEMs quality management. [2] Anderson JC, et al.(1995), ―analytic model of a theory of quality
This case study can be summarized as management underlying the Deming management method‖,
 XYZ Ltd has focused on proliferation, price, technology, preliminary empirical findings. Decision Sciences, Vol. 26, No.4, pp.
637–658.
R&D facilities and IT applications to improve its
[3] Beresford, et al, (1996) ―ISO 9000 and the British transport industry‖,
product and process development capability. ISO 9000 News, Vol. 5, No. 4, pp.21–24.
 By applying advance management systems such as IMS, [4] Black SA and Porter LJ.(1996) ―Identification of the critical factors of
TPS, Vendor development and inventory management, TQM, Decision Sciences‖, Vol.27, No. 1, pp. 1–22.
[5] Campbell, J. and Sankaran, J. (2005), "An inductive framework for
ABC Ltd has improved its performance in terms of
enhancing supply chain integration", International Journal of
productivity, cost, quality, delivery. Production Research, pp. 3321-3351
 In spite of some weak areas such as dependency on its [6] Copacino WC.(1996) ―Seven supply-chain principles‖, Traffic
collaborator for technology, poor inbound supply chain Management Vol. 35, No. 1, pp. 60.
[7] Coyle JJ, et al, (1996). ―The management of business logistics‖, 6th ed.
and less share in international market, HLL has
Mason, Ohio: West Publishing Company;
managed its resources effectively to sustain its leading [8] Cronin, J.J. and Taylor, S.A. (1992) ―Measuring service quality: a re-
position in the Indian market. examination and extension‖, Journal of Marketing, Vol. 56, No. 3,
pp.55–68.
VI. CONCLUSION [9] Cronin, J.J. and Taylor, S.A. (1992) ―Measuring service quality: a re-
examination and extension‖, Journal of Marketing, Vol. 56, No. 3,
As the XYZ Ltd is facing tough competition due to others pp.55–68.
two wheeler OEMs are continuously reducing price of their [10] Croom, S.R., et al, (2000) ―Supply chain management: An analytical
product and doing proliferation in product. To be remained framework for critical literature review‖. European Journal of
Purchasing and Supply, pp. 67–83.
most competitive the two wheeler manufacturer is giving [11] Crosby, P.B. (1979), ―Quality Is Free, McGraw-Hill‖, New York, NY.
priorities in cultural and people development and [12] Crosby, P.B. (1996), ―Quality Is Still Free: Making Quality Certain in
measurement and feed back to reduce product cost and Uncertain Times‖, McGraw-Hill, New York, NY.
enhance quality. For staying in competitive market an
organization must have continuous improvement throughout
the organization with innovative plan to improve its supply
chain.
This study has demonstrated that evens an automotive
OEM organization, facing tough competitions due to
globalization of markets and can maintain good quality
management at supplier end. For this it is essential that
organizations should not target only end results but should
develop its quality system in all area of supply chain.
459
460
Ranking of Scheduling Rule Combinations in A

Flexible Manufacturing System Using Multi-
Attribute Decision Making Method
Joseph O A1, Sridharan R2
1
Research Scholar, 2 Professor, Department of Mechanical Engineering, National Institute of Technology Calicut, NIT Campus
P.O., Calicut – 673 601, Kerala, India.
1
j_o_a2002@yahoo.com
2
sreedhar@nitc.ac.in
Abstract This paper focuses on scheduling decision problems of a presents in time. In such a system, scheduling rules or
Flexible Manufacturing System (FMS) using simulation modelling dispatching rules are used for scheduling parts on machines.
and analysis. A typical FMS configuration is considered for the When a machine becomes available for processing, an operation
study. A discrete-event simulation model is developed for the that can be processed on the machine is assigned to it. If two or
purpose of experimentation. In this study, various scheduling rules
are used for the decisions such as part launching, part routing and
more operations are ready to be processed on the same machine,
part sequencing. The performance of the system is evaluated using one of the operations has to be selected according to a
the measures (attributes) such as mean flow time, mean tardiness, scheduling rule which defines priorities of the operations. The
percentage of tardy parts, mean utilization of machines and mean problem of selecting the best dispatching rule for a given
work-in-process. The combinations of scheduling rules for the performance measure continues to be a very active area of
scheduling decisions are ranked using the multi-attribute method research.
known as Preference Selection Index (PSI) method. Using the Shanker and Tzen [5] describe some general guidelines for
overall preference value, preference selection index for each system design and specification for the purpose of simulation
scheduling rule combination (alternative) is calculated and the model development for FMS. Montazeri and Van Wassenhove
alternative with the highest value of PSI is selected as the best
alternative.
[6] have analyzed different scheduling rules in FMS using a
modular FMS simulator, which mimicked the operation of a
Keywords: Flexible manufacturing system, Simulation, Scheduling, real-life FMS. Sabuncuoglu and Hommertzheim [7] have
Preference selection index. investigated the performance of machine and AGV scheduling
rules against the mean flow-time criterion. Sridharan and
1 INTRODUCTION Subash Babu [8] report on a simulation study conducted to
investigate the effects of various scheduling policies on the
Flexible Manufacturing System (FMS) represents an performance of typical FMSs. Aytug et al. [9] review the
evolutionary step beyond transfer lines and offers one means by literature on scheduling in the face of uncertainties. Garavelli
which manufacturing can address the growing concern for [10] reports on a simulation study conducted to analyze the
demand for quick delivery of customer products. Many part performance of several flexible manufacturing systems, each of
types can be simultaneously loaded onto the machines in an which is characterized by a specific degree of routing flexibility.
FMS because the machines have the tooling and processing The researcher finds that instead of complete flexibility, a
information to work on any part. Flexibility, which is the system with limited flexibility performs better in terms of lead-
capability of a system to adapt to changes made to it, is time and work-in-process. Chan et al. [11] present a review of
becoming one of the most critical factors for success in the scheduling studies of FMSs that employ simulation as an
manufacturing industry [1]. In this context, the design and the analysis tool. ElMekkawy and ElMaraghy [12] use flexible
management of FMS are crucial and important issues [2]. routing in order to avoid system deadlock caused by machine
Stecke [3] has classified the decision problems in FMS as breakdowns and downtimes. They find that the system
design, planning, scheduling and control problems. Liu and performance is enhanced by incorporating scheduling rules. Yu
Maccarthy [4] provide a classification scheme for FMS and Greene [13] use a simulation study to examine the effects of
scheduling problems based on scheduling decisions and the machine selection rules and scheduling rules for a flexible
factors related to these decisions. In FMS applications, orders multi-stage pull system.
for parts to be processed in the system may arrive at random
461
The present paper deals with a simulation study to analyze Part launching decision involves selecting a part for
the effect scheduling rules on the performance of an FMS and processing from the load/unload station. The following
rank them based on the overall performance score. The scheduling rules are used for the part launching decision.
application of the preference selection index method for the  First Come First Served (FCFS): Parts are launched into
ranking of scheduling rules is a novel contribution of the present the system in the order in which they arrive.
study. The rest of the paper is organized as follows. Section II  Shortest Processing Time (SPT): The part with the
provides the configuration of the FMS. The scheduling decision minimum value of total processing time is selected for
rules are described in section III. The salient features of the launching into the system.
simulation model developed are presented in section IV. The  Earliest Due-Date (EDD): Parts are selected for launching
details of simulation experiments are provided in section V. based on their due dates.
Section VI presents results and discussion. Conclusions are
provided in section VII. B Part Routing Rule (PRR)
Part routing decision involves selecting the machine for
II FMS CONFIGURATION processing an operation of a part. The following scheduling
rules are used:
The FMS configuration consists of one load/unload station  Earliest Finishing Time with Alternatives (EFTA): Select
(L/U), six machines (M1, M2, M3, M4, M5, M6). Two the machine at which the operation (to be assigned) will
Automated Guided Vehicles (AGVs) are used to provide part be completed on the machine at the earliest. if the
movement in the system. operation is assigned to the machine.
 Least Number IN Queue (NINQ): Select the machine that
has the least number of parts waiting in the input queue.
 Least Utilized Machine (LMU): From among the
machines capable of performing an operation of a part,
the least utilized machine is chosen.
C Part Sequencing Rule (PSR)

The part sequencing decision is required for selecting a part
to be processed on a machine from among the parts waiting at
the input buffer of the machine. The following scheduling rules
are used:
 First Come First Served (FCFS): Parts are processed in the
Fig. 1 FMS Configuration
order in which they arrive at the input queue of the
machine.
A Part data  Shortest Imminent Operation time (SIO): The part with the
Each operation can be performed on two machines, namely minimum processing time is chosen for processing next.
primary machine and secondary machine respectively. The  Shortest Remaining Processing Time (SRPT): The part with
processing time of an operation on a primary machine follows the least remaining processing time is chosen for processing
uniform distribution with a mean of 15 minutes. The interarrival next.
time of parts for processing in the FMS follows exponential  Earliest Modified Due-Date (EMDD): The part with the
distribution with a mean of 15 minutes. The number of earliest modified due date is chosen for processing next.
operations required for a part type follows a uniform distribution The modified due-date for a part is the part’s original due
between four and six. The processing time of an operation on a date or its early finish time whichever is larger.
secondary machine is 10% more than the processing time on a i.e., Modified Due-Date (MDD) = Max {due-date, current
primary machine. Due-date of each part is determined using the time + remaining processing time}
total work content method as follows.
Due-date of a part = Arrival time + K × Average processing IV DEVELOPMENT OF SIMULATION MODEL
time of the part.
where K is the due-date factor. In the present study, K is set In the present study, a discrete-event simulation model that
equal to 3. can capture the logic of the operational decisions of the FMS
has been developed using the C programming language. The
III SCHEDULING DECISION RULES operation of the FMS is conceptualized as a succession of events
entry, on the parts to be processed. The simulation model is
A Part Launching Rule (PLR) structured in a modular way consisting of a number of modules,
462
each of which performing a specific role. The simulation model tardy parts, mean utilization of machines and mean work-in-
has been subjected to a multi-level verification exercise to process are computed for analysis. The mean value of
ensure correct implementation of the conceptual FMS. performance measures for each of the 36 set of simulation
The following are the assumptions that are made regarding experiments is obtained. The scheduling rules for different
the operational aspects of the FMS for developing the decisions are ranked by using preference selection index method
simulation model: described by Maniya and Bhat [15].
 Processing times of operations of part types include setup
times and tool changing times and are independent of the A Preference Selection Index (PSI) Method
sequence followed. In PSI, it is not necessary to assign relative importance
 The transportation time for the AGVs is proportional to between attributes, but the overall preference value of attributes
the distance traveled. is calculated using the concepts of statistics. Using the overall
 AGVs after completing the task assigned can remain near preference value, preference selection index (Ii) for each
the machines or at the load/unload station as the case may alternative is calculated and the alternative with the highest
be. value of PSI is selected as the best alternative. The detailed steps
 After completing any material transfer, an AGV tries to for calculation of PSI are given below.
attend the pending calls. The calls for AGVs can be of Step I: Identify the goal. Find out all possible scheduling rule
two types: alternatives and performance measures for the given application.
o Providing an input part to a machine. Step II: Formulate decision matrix. Solving of each multi
o Removing the finished part from the output buffer of a attribute decision making problem begins with constructing
machine. decision matrix. Let, A = {Ai for I = 1, 2, 3,…..,.n} be a set of
The second type of call is given priority so that finished alternatives, C = {Cj for j = 1, 2, 3, …, m} be a set of decision
parts can proceed to next stage for processing. criteria or attributes, Xij is the performance of alternative Ai
 Upon job completion at any machine, if more than one when it examined with criteria Cj.
AGV is available to transfer the part to the next machine Step III: Data normalization. The process of transforming
or the load/unload station, the one closest to the current attributes value into a range of 0–1 is called normalization.
machine is selected. If the expectancy is the-larger-the-better (i.e. Mean utilization of
 The machines and AGVs are continuously available, i.e., machine), then the original attribute performance can be
there are no breakdowns of machines and AGVs. normalized as follows:
X ij
Rij  (1)
A Performance measures
X max
j
 Mean flow time (F): It is the average time a part spends in If the expectancy is the-smaller-the-better (i.e. mean flow time),
the system. then the original attribute performance can be normalized as
 Mean Tardiness (T): It is the average tardiness of a part. follows:
 Percentage of Tardy parts (PT): It is the percentage of the X min
Rij 
j
parts that cannot meet the assigned due date. (2)
 Mean Utilization of Machines (MUM): X ij
 Mean Work-in-Process (WIP): It is the mean value of the Step IV: Compute preference variation value (PVj). In this step,
sum of the number of parts under process and waiting in preference variation value (PVj) for each attribute is determined
queue in the machine. with the concept of sample variance analogy using the following
equation:
V SIMULATION EXPERIMENTS N 2
There are 36 simulation experiments arising out of the

PV j    Rij  R j 
i 1
(3)
combinations of three scheduling rules for part launching

decision, three rules for part routing decision and four rules for
where R j is the mean of normalized value of attribute j and
part sequencing decision. The statistics for the computation of
performance measures are collected after the system reaches 1 N
steady state. For this purpose, Welch’s procedure described in Rj 

N
R i 1
ij
Law and Kelton [14] is used. Each simulation experiment is
replicated ten times. The average value of the performance Step V: Determine overall preference value (ψj). In this step, the
measures such as mean flow time, mean tardiness, percentage of overall preference value (ψj) is determined for each attribute. To
get the overall preference value, it is required to find deviation
463
(Фj) in preference value (PVj) and the deviation in preference Step IV: The values of preference variation (PVj) for the five
value for each attribute is determined using the following performance measures are calculated using equation (3) and
equation: these are given below:
Фj=1- PVj (4) PV1=0.60828, PV2=2.356711, PV3=1.45285, PV4=0.003699,
and overall preference value (ψj) is determined using following PV5=0.77951.
equation: Step V: Overall preference values of the five attributes are
j calculated using the equation (5) and these are given below:
 j  m
(5) Ф1=0.3917, Ф2=1.3567, Ф3=0.4529, Ф4=0.9963, Ф5=0.2205

j 1
j
Ψ1= 0.1145, Ψ2=0.3967, Ψ3=0.1324, Ψ4=0.2913, Ψ5=0.0644
Step VI: Overall preference selection index (Ii) is calculated for
each alternative using equation (6).
The total overall preference value of all the attributes should be Step VII: The best alternative is the one with maximum value of
one, i.e. j
j 1. Ii.
Step VI: Obtain preference selection index (Ii). Now, compute VI RESULTS AND DISCUSSION
the preference selection index (Ii) for each alternative using
following equation: Table 2 provides the ranking of the scheduling rule
M combinations. The scheduling rule combination EDD - EFTA -
I i   ( Rij  j ) (6)
EMDD for the scheduling decisions such as part launching, part
routing and part sequencing respectively is ranked first, FIFO-
j 1
EFTA - EMDD is ranked second and SPT - EFTA - EMDD is
Step VII: After calculation of the preference selection index (Ii), ranked third. It can be noted that EFTA rule for the part routing
the alternatives are ranked according to descending or ascending decision has given always the best result and it dominates other
order to facilitate the managerial interpretation of the results, i.e. two rules, NINQ and LMU. EFTA rule considers the attributes
an alternative is ranked/selected first whose preference selection such as work load of a machine including the remaining
index (Ii) is highest and an alternative is ranked/selected last processing time of the current part on the machine, the
whose preference selection index (Ii) is the lowest and so on. processing time of the operation of the part to be assigned and
the transportation time. Consequently, this leads to a reduction
B Illustration of PSI method for ranking of scheduling rules in the waiting time of the parts. Hence, if a part with early due
date is considered, it is more likely to finish sooner. The use of
The detailed steps involved in the application of PSI remaining processing time of a part in determining the priority
method for ranking of scheduling rules based on different the value in the case of EMDD helps in faster turn over of parts and
performance criteria for an FMS is given below. hence the total flow time of parts is minimized.
Step I: Decide the all possible alternatives for a given In the present simulation study, it is found that part routing
application, its selection criteria and its values. In the present decision dominates the part launching and part sequencing
study, thirty six combinations of scheduling rule alternatives decisions. This is due to the fact that the system considered here
with five performance attributes are considered for ranking. The has routing flexibility (each operation of a part can be done on
thirty six combinations of scheduling rule alternatives arise from two alternative machines). Since EMDD rule for part
three part launching rules, three part routing rules and four part sequencing is a dynamic rule, it appears as the better scheduling
sequencing rules. The five attribute measures considered are rule for the part sequencing decision in the first three ranks.
mean flow time, mean tardiness, percentage tardy parts, mean Further, the preferred order of scheduling decision rules is
utilization of machines and mean work-in-process of the system. EMDD – SIO – SRPT – FCFS.
Step II: The decision matrix is the representation of all the data
in tabular format. VII CONCLUSION
Step III: The attribute measures are normalized to convert into
compatible unit using equations (1) and (2). In the present The application of the preference selection index method
study, all the four attributes (mean flow time, mean tardiness, for the ranking of scheduling rules to evaluate the various rules
percentage of tardy parts, and mean work-in-process) are non- is a novel contribution of the present study. Without pre-
beneficial attributes i.e., lower value is desirable except the assigning weights to any performance measure, PSI evaluates
attribute, mean utilization of machines. The normalized data for the efficiencies for each scheduling rule according to the
the thirty six alternatives is shown in Table 1. preference group consisting of the 36 scheduling rule
combinations. It is found that among the scheduling rules
considered in the present study, EDD - EFTA - EMDD for part
464
launching, part routing and part sequencing decisions Systems, Int. J. Advanced Manufacturing Technology, Vol. 22,
respectively emerges as the best combination. pp. 259-270.
In the present study on FMS scheduling, only one level of [13] M-C. Yu,. and T.J. Greene, (2006) A simulation analysis of
routing flexibility is examined. The routing flexibility of the controlling rules for flexible pull systems, Int. J. Manufacturing
system can be set at different levels. The present work can be Research, Vol.1, No.3, pp.314-331
extended by examining the effect of different levels of routing [14] A.M.Law, and W.D.Kelton, (2000) Simulation Modeling
flexibility and scheduling rules in an FMS. Further, the and Analysis (3rd ed.). New York: McGraw-Hill Inc.
scheduling rules can be tested in an FMS by considering system [15] K.Maniya and M.G.Bhatt (2010) A selection of material
disruptions such as breakdowns of machines, non availability of using a novel type decision-making method: Preference
machines due to preventive maintenance, etc. selection index method, Materials and Design, Vol. 31, No.4,
pp.1785–1789.
REFERENCES
[1] G.S. Dangayach, and S.G. Deshmukh, (2007) Manufacturing

flexibility: a multisector study of Indian companies, Int. J.
Manufacturing Research, Vol. 2, No. 2, pp.225–242.
[2] S.Ujvari, and O Hilmola,. (2008) Simulation of automatic
guided vechicle systems in manufacturing environment. Case:
Volvo’s crankshaft unit in Skovde, Int. J. Manufacturing
Technology and Management, Vol. 15, No. 1, pp. 45–63.
[3] K.E Stecke, (1985) Design, Planning, scheduling and
Control Problems in Flexible Manufacturing Systems, Annals of
Operations Research, Vol. 3, No. 1, pp. 3-12.
[4] J.Liu, and B.L.MacCarthy, (1993) The classification of FMS
scheduling problems, Int. J. Production Research, Vol. 34,
No.3, pp. 647-656.
[5] K. Shanker, and Y.J.Tzen, (1985) A loading and dispatching
problem in a random flexible manufacturing system, Int. J.
Production Research, Vol. 23, No. 3, pp.579-595.
[6] M..Montazeri, and L N.Van Wassenhove, (1990) Analysis of
scheduling rules for an FMS, Int. J. Production Research, Vol.
28, No. 4, pp.785-802.
[7] I.Sabuncuoglu, and D.L Hommertzheim. (1992)
Experimental investigation of FMS machine and AGV
scheduling rules against the mean flow-time criterion, Int. J.
Production Research, Vol. 30, No. 7, pp.1617-1635.
8] R.Sridharan, and A.Subash Babu, (1998), Multi-level
scheduling decisions in a class of FMS using simulation based
metamodels, J. Operational Research Society, Vol. 49, No. 6,
pp. 591- 602.
[9] H, Aytug, M.Lawley, K.McKay, S Mohan,.and R.Uzsoy,
2005,Executing Production Schedules in the face of
Uncertainties: A Review and Some Future Directions, European
J. Operational Research, Vol. 161, No. 1, pp. 86-110.
[10] A.C, Garavelli, 2001, Performance Analysis of a Batch
Production System with Limited Flexibility, Int. J. Production
Economics, Vol. 69, pp. 39-48.
[11] F.T.S., Chan, H.K, Chan, and H.C.W, Lau. (2002), The
state of the art in simulation study on FMS Scheduling: A
Comprehensive survey, Int. J. Advanced Manufacturing
Technology, Vol.. 19, No.11, pp. 830–849.
[12] T.Y,.EIMekkawy, and H.A, EIMaraghy, 2003,Real-time
Scheduling with Deadlock Avoidance in Flexible Manufacturing
465
Table 1. Preference Index and Rank

Normalized values Preference
PLR PRR PSR F T PT MUM WIP Index Rank
FIFO EFTA FCFS 0.94657 0.73610 0.73610 0.99159 0.95166 0.848117 9
FIFO EFTA SIO 0.97408 0.77070 0.77070 0.99186 0.98769 0.871975 4
FIFO EFTA SRPT 0.97453 0.74356 0.74356 0.99124 0.98084 0.857044 7
FIFO EFTA EMDD 0.97429 0.93622 0.93622 0.99111 0.97649 0.958638 2
FIFO NINQ FCFS 0.85974 0.48483 0.48483 0.97649 0.87938 0.696164 20
FIFO NINQ SIO 0.86865 0.48310 0.48310 0.97671 0.91427 0.698582 19
FIFO NINQ SRPT 0.87895 0.50314 0.50314 0.97650 0.89934 0.709338 17
FIFO NINQ EMDD 0.87142 0.54469 0.54469 0.97742 0.89071 0.730173 14
FIFO LMU FCFS 0.63701 0.15877 0.15877 0.99156 0.60799 0.485022 32
FIFO LMU SIO 0.67680 0.17517 0.17517 0.99037 0.65832 0.501158 29
FIFO LMU SRPT 0.63524 0.14765 0.14765 0.98551 0.61426 0.477579 34
FIFO LMU EMDD 0.70761 0.19826 0.19826 0.98539 0.66897 0.516138 25
SPT EFTA FCFS 0.93454 0.62763 0.62763 0.99158 0.94757 0.789077 12
SPT EFTA SIO 0.98143 0.76390 0.76390 0.99221 1.00000 0.870116 5
SPT EFTA SRPT 0.96454 0.62356 0.62356 1.00000 0.97338 0.794481 11
SPT EFTA EMDD 0.96214 0.80703 0.80703 0.98873 0.97049 0.887809 3
SPT NINQ FCFS 0.83486 0.41843 0.41843 0.97746 0.86421 0.657483 23
SPT NINQ SIO 0.86743 0.45820 0.45820 0.97683 0.90423 0.684655 21
SPT NINQ SRPT 0.91423 0.57525 0.57525 0.97689 0.90423 0.751966 13
SPT NINQ EMDD 0.86350 0.52426 0.52426 0.97673 0.89087 0.718270 15
SPT LMU FCFS 0.61276 0.14109 0.14109 0.98999 0.59425 0.471546 35
SPT LMU SIO 0.67280 0.17034 0.17034 0.98865 0.67837 0.498935 30
SPT LMU SRPT 0.63718 0.14849 0.14849 0.98528 0.60584 0.477637 33
SPT LMU EMDD 0.67624 0.20446 0.20446 0.98695 0.63702 0.514222 26
EDD EFTA FCFS 0.94045 0.69396 0.69396 0.99154 0.95811 0.825520 10
EDD EFTA SIO 0.97250 0.73709 0.73709 0.99231 0.99475 0.854600 8
EDD EFTA SRPT 0.97566 0.75579 0.75579 0.99165 0.98267 0.863885 6
EDD EFTA EMDD 1.00000 1.00000 1.00000 0.99252 0.96152 0.994775 1
EDD NINQ FCFS 0.84271 0.44887 0.44887 0.97767 0.87121 0.675003 22
EDD NINQ SIO 0.87215 0.49781 0.49781 0.97676 0.90813 0.706383 18
EDD NINQ SRPT 0.87192 0.21940 0.21940 0.97601 0.90492 0.558623 24
EDD NINQ EMDD 0.86213 0.50918 0.50918 0.97696 0.89670 0.710575 16
EDD LMU FCFS 0.62776 0.15267 0.15267 0.94096 0.60534 0.465827 36
EDD LMU SIO 0.69205 0.18170 0.18170 0.99275 0.66945 0.507767 27
EDD LMU SRPT 0.67227 0.17411 0.17411 0.98369 0.63400 0.496562 31
EDD LMU EMDD 0.66207 0.19320 0.19320 0.99487 0.61754 0.507692 28
466
Table 2: Ranking Order of Scheduling Rules

PLR PRR PSR Rank PLR PRR PSR Rank
EDD EFTA EMDD 1 FIFO NINQ SIO 19
FIFO EFTA EMDD 2 FIFO NINQ FCFS 20
SPT EFTA EMDD 3 SPT NINQ SIO 21
FIFO EFTA SIO 4 EDD NINQ FCFS 22
SPT EFTA SIO 5 SPT NINQ FCFS 23
EDD EFTA SRPT 6 EDD NINQ SRPT 24
FIFO EFTA SRPT 7 FIFO LMU EMDD 25
EDD EFTA SIO 8 SPT LMU EMDD 26
FIFO EFTA FCFS 9 EDD LMU SIO 27
EDD EFTA FCFS 10 EDD LMU EMDD 28
SPT EFTA SRPT 11 FIFO LMU SIO 29
SPT EFTA FCFS 12 SPT LMU SIO 30
SPT NINQ SRPT 13 EDD LMU SRPT 31
FIFO NINQ EMDD 14 FIFO LMU FCFS 32
SPT NINQ EMDD 15 SPT LMU SRPT 33
EDD NINQ EMDD 16 FIFO LMU SRPT 34
FIFO NINQ SRPT 17 SPT LMU FCFS 35
EDD NINQ SIO 18 EDD LMU FCFS 36
467
Review of Commitments and Considerations in the

Implementation of Lean manufacturing
Prof.Venkatesh S.Dange
Department of Mechanical Engineering-University of Pune
G.H.Raisoni College of Engineering & Management, Wagholi, Pune, Maharashtra,India
venkatesh_dange@yahoo.com
Abstract: Many endeavors of past, to improve considerations for availing the benefits of Lean
manufacturing activity have lead to several tools, Manufacturing.
methodologies & philosophies. Lean manufacturing is
such an endeavor to enhance the productivity and profit II.LITERATURE REVIEW
in manufacturing. Successful implementation of LM
requires certain commitments at different levels in the A. EVOLUTION OF LEAN MANUFACTURING
organization and careful considerations without which PHILOSOPHY.
the implementation may not be successful and it may
slow down the existing process. The paper reviews the
various commitments and careful considerations
required and impact of implementing lean
manufacturing.
Keywords— Lean Manufacturing, Implementation of Lean

Manufacturing, Lean commitments, Lean considerations,
Management commitments for implementation of Lean
Manufacturing.
I.INTRODUCTION
Industries have always faced heightened challenges

such as rising customers’ expectation, fluctuating
demand, and competition in markets. One way to
stay competitive in this globalized market is to
become more efficient. There are several tools
available for increasing the efficiency and one
among them is Lean Manufacturing.
Lean manufacturing has been receiving a lot

of attentions in the industry. The effects claimed after
implementing it are enormous. Lean manufacturing
uses less of everything compared to mass production
- half the human effort in the factory, half the
manufacturing space, half the investment in tools,
and half the engineering hours to develop a new
product (Womack et al.,1990). It has now become a
production method for many manufacturers to
pursue. But the other side of the coin is need of
commitments at different levels of organizations and
468
Principles of lean thinking have been broadly  Consumtion of less power.

accepted by many manufacturing operations and have  Reducing in-process waiting.
been applied successfully across many disciplines  Reduced supply time to the customer.
(Poppendieck, 2002). While Lean manufacturing is  Reduced overhead and indirect costs.
most frequently associated with the elimination of  Reduced material handling and achieving
seven important wastes to ameliorate the effects of easy flow of material.
variability in supply, processing time or demand  Elimination of bottlenecks
(Shah and Ward, 2007). Liker and Wu (2000) defined
it as a philosophy of manufacturing that focuses on C. THE KEY AREAS
delivering the highest quality product on time and at
the lowest cost. Worley (2004) defined it as the The key areas encompass a broad array of practices
systematic removal of waste by all members of the which are believed to be critical for Implementation
organization from all areas of the value stream. of Lean Manufacturing are,
Briefly, it is called lean as it uses less, or the
 Scheduling
minimum, of everything required to produce a
 Inventory
product or perform a service (Hayes and Pisano,
 material handling equipment
1994). In a nutshell, lean manufacturing can be best
defined as an approach to deliver the upmost value to  work processes
the customer by eliminating waste through process  Quality
and human design elements. Lean manufacturing has  Employees
become an integrated system composed of highly  Layout
inter-related elements and a wide variety of  Suppliers
management practices, including Just-in-Time (JIT),  Customers
quality systems, work teams, cellular manufacturing  safety and ergonomics
etc (Shah and Ward, 2003). The purpose of  product design
implementing it is to increase productivity, reduce  management and cultur T
lead time and cost, and improve quality (Sánchez and  Tools and techniques
Pérez, 2001;Karlsson and Åhlström, 1996). Lean
manufacturing requires that not only should technical Scheduling It has been widely discussed in lean
questions be fully understood, but existing manufacturing Effective schedules improve the
relationships between manufacturing and the other ability to meet customer orders, drive down
areas of the firm should also be examined in depth, as inventories by allowing smaller lot sizes, and reduce
should other factors external to the firm (Womack work in processes . Appropriate scheduling methods
and Jones, 1994). are able to optimize the use of resources. Pull
methods such as Kanban and lot size reduction are
B. LEAN MANUFACTURING OBJECTIVES commonly used to reduce storage and inventories and
to avoid overproduction. Pull means to do nothing
The basic principle of Lean Manufacturing is using until it is required by the downstream process .
less of everything and producing more. Japanese Minimizing lot sizes enables a smoother production
automobile manufacturers achieved high quality and flow and maximizes productivity by eliminating
lowcosts by removing buffers and impediments from production line imbalances.
the system, hence the term “lean.” Eliminating excess
inventory, for example, drives closer linkages Inventory there is a need to maintain inventories at
between assemblers and suppliers, reshapes the the minimum level because excess inventories would
factory floor, forces greater attention to first-time require more valuable spaces and result in higher
quality, and so on. The objectives of implementing carrying costs. Moreover, they accumulate the risk of
Lean manufacturing are as mentioned below. “products becoming obsolete”. Excess inventories are
 Reduce large inventories. seen as “evils” because they hideproblems such as
 Reduce Design time and efforts. defects, production imbalances, late deliveries from
 Using less manpower. (It does not aim at suppliers, equipment downtime and long setup time.
eliminating people)
 Reducing setup times. Material HandlingCost attributed to material
 Reducing Machining time. handling is estimated between 15% and 70% of the
 Reducing material wastage. total manufacturing operation expenses (Tompkins et
 Utilizing Less space. al., 1996). Karlsson and Åhlström (1996), and
Sánchez and Pérez (2001) stated that transporting
469
parts not only does not add value to a product, it Customers decide what to buy, and when and how
increases manufacturing lead time. Hence, it is a they are going to purchase a product. Since value is
major waste that needs to be eliminated. determined by the customers, it is essential to
develop a good relationship with them. Setting up
Work In Process across the value stream should also good relationships with customers will enable an
be emphasized in lean manufacturing. Processes organization to understand and meet their needs and
should be performed with a minimum of non value predict their demands accurately, as it is important to
added activities in order to reduce waiting time, attain a perfect match between market demands and
queuing time, moving time, and other delays production flows (Panizzolo, 1998).
(Pattanaik and Sharma, 2009).
Safety and ergonomics are incorporated as an area in
QualityAppropriate quality management helps to lean manufacturing. Safety should be emphasized
control a manufacturing process, and this reduces since it is the foundation of all activities. Ergonomics
“safety” buffers and exposes quality issues is also important because it helps humans to improve
(Nakamura et al., 1998). productivity, reduce injuries and fatigues (Walder et
al., 2007). By using ergonomic features, unnecessary
Employees who are motivated and empowered are motions (one of the major wastes) are decreased. This
essential since people are the key element in lean helps to reduce mistakes caused by human errors,
manufacturing. Japanese regard people as assets thus enhancing the quality of products.
(Sharp et al., 1999) because they are the ones who are
going to solve problems and improve processes in Product design is also important because the choices
production. The phrase “No one knows the job better of product structures and materials would affect the
than those who do it” indicates that the person who is production methods and costs. Karlsson and
experienced in his/her job is most likely to have a Åhlström (1996) found that concurrent engineering
better understanding on it. Task rotation creates techniques play a vital role in a “lean” product
cross-trained and multi-tasked employees, and this development process. Moreover, continuous design
enables them to respond faster to changes in products improvements had enabled Toyota to improve its
and processes. In addition, work teams are critical quality even further (Womack et al., 1990).
throughout the implementation of lean manufacturing
(Åhlström, 1998). It is said that work teams are the Management and culture and tools and techniques:
heart of a lean manufacturing company (Womack et Essentially, management and culture are considered
al., 1990). as a key area in this study. It is critical for top
management to understand and give ample support to
Layout -A poor layout may have several deteriorating sustain the lean concept. Communication between
effects such as high material handling costs, senior managers and employees is critical to ensure
excessive work-in-process inventories, and low or that the vision and mission of lean manufacturing is
unbalanced equipment utilization (Heragu, 1997). attainable. Evidence shows that management support
Layouts that cause inventory accumulation and plays a vital role in driving lean manufacturing
interrupt process flow should be eliminated. On the implementation (Worley and Doolen, 2006).
other hand, lean manufacturing needs flexible layouts Recognition and rewards from top management will
that reduce movements of both materials and people, serve as a booster for participation and continuous
minimize material handling losses, and avoid improvement. In addition, culture is the main pillar
inventories between stations. when implementing lean manufacturing (Little and
McKinna, 2005). A supportive culture that brings the
Suppliers have been reported as a critical factor for employees to work, communicate and grow together
the success of lean manufacturing (Keller et al., is essential to make the initiative successful.
1991) and they have been given much attention.
Particularly, it is important to encourage suppliers to Tools and techniques are indispensable in
develop JIT production capabilities as well as JIT implementing lean manufacturing. Many researchers
delivery in order to enhance long-term such as Sohal and Egglestone (1994), Kasul and
competitiveness (Helper, 1991). A mutual goal Motwani (1997), Abdulmalek and Rajgopal (2007),
between manufacturers and suppliers to reduce waste and Bhasin and Burcher (2006) have highlighted
and cut down cost is crucial to drive lean some critical lean manufacturing tools in their
manufacturing to success studies. Lean tools that are systematically applied or
implemented can help to define, analyze and attack
sources of waste in specific ways. There are many
470
excellent tools that are useful in different  Percolate down the knowledge. This is
circumstances. Using tools such as value stream because they can train the employees better
mapping, jidoka, 5S, kanban etc, will assist than outside agencies who know only latest
organizations to go along with lean manufacturing technology and not the existing system to a
transformation. Lean tools are urged to be used in great extent.
an integrated way (Cua et al., 2001; Liker, 2004;  Be prepared to share the authority.
White and Prybutok, 2001) rather than applying them  Create your own clear job paths and share.
in isolation.  Encourage employees to give new ideas and
reward them suitably.
III. METHODOLOGY  Recruit and train talented people for this
The methodology followed to examine the various purpose specially.
aspects related to the implementation are,
A. Commitments at different levels. 3)BOTTOM LEVEL MANAGEMENT
B. Careful Considerations. COMMITTMENTS: The bottom level management is
key for successful implementation of Lean
A. COMMITMENTS AT DIFFERENT LEVELS Manufacturing. Following are the commitments.
Lean Manufacturing requires full commitments at
different levels. These levels can be divided in  Willingness to learn and relearn.
different ways like different levels management such  Gain thorough knowledge about LM.
as
 Encouraging and building team work.
1) Management level Commitments
 Encouraging staff to share their views.
 Top Management
 Guiding the staff if there are mistakes, rather
 Middle Management taking strict actions.
 Bottom Level Management.  Timely communication between middle
2) Department level Commitments. management and employees.
 Production Department  Identifying the right person for right job.
 Maintenance Department
 Inspection Department V.DEPARTMENT LEVEL COMMITMENTS :
 Finance Department
 Transportation and Packaging Department A.Production Department
IV.MANAGEMENT LEVEL COMMITTMENTS. The Production Department is one of the major

department and it’s active involvement is a must.
A.TOP MANAGEMENT COMMITTMENTS:Top Following are the considerations necessary.
Management is highly responsible for implementing  Be prepared for the change.
new things following commitments are necessary.  Using advanced tools for production
scheduling.
 Promote an atmosphere of experimentation.  Identifying machines which can do multiple
 Rolling culture out across organization. tasks and there by eliminating more number of
 Execute pilot projects. (e.g., model machines.
lines, kaizen blitzes).  Identifying and setting up advanced material
 Have flexible performance goals since very handling equipment there by reducing more
rigid may build pressure. equipments and men for material handling.
 Modify pay structure (Pay for knowledge ,  Stress on inventory management.
skill etc.).
 Arrange for training about Lean B.Maintenance Department
Manufacturing at different levels. The effective and break down free functioning of all
the machines and equipments and Overall Equipment
2. MIDDLE MANAGEMENT COMMITTMENTS:The Efficiency (OEE) is the key for success. Following are
role management is vital in successful the considerations for Maintenance Department.
implementation of LM. Following are the  Increasing Preventive Maintenance.
considerations.  More rapid response to the problems.
 Using advanced maintenance equipments for
 Gain complete technical knowledge about quick maintenance.
existing system and Lean Manufacturing.
471
C.Quality Control Department  Finally lean is not about eliminating people but
The Quality control department has greater responsibility wastes.
with concerned to implementation of LM. Following are
the considerations for QC Department. Conclusion:
 Less time for QC The need of hour for competitive manufacturing is

 Advanced QC techniques & tools. production of more with less and the answer comes
 Quality check much before rejection. out to be the Len Manufacturing. The
 Implementation of Quality Standards.
implementation of Lean Manufacturing requires
D.Finance Department commitments and considerations for successful
Finance department may always resist new spending implementation.
Which are associated with uncertainties. Following
are the commitments. References
[1]A Case Study of Creativity and Innovation in Automotive

Be prepared to spend extra for new Engineering R.Balakrishnan
technologies. [2]The Machine that changed the World - Womack, Jones and
 LM may require some new investments but Roos
it is always going to reduce some of the [3]Toyota Production System - Yasuhiro Monden
[4]Lean Aerospace Initiative Web page (http://web.mit.edu/lean/).
costs. 6Toyota Web page
E.Transportation and Packaging Department (http://www.toyota.com/html/about/opertions/manufacturing/
manu-locations/tmmk.html).
It is always necessary to receive increased and untimely [5]Abdulmalek, F.A. and Rajgopal, J., 2007. “Analyzing the
benefits of lean manufacturing and value stream mapping via
services for Transportation and Packaging Department. simulation: a process sector case study”, International Journal of
Following are the commitments. Production Economics 107, pp. 223-236.
 Be prepared for increased transportation. [6] Åhlström, P., 1998. “Sequences in the implementation of lean
production”,
 Find more economical means and methods [7]A Study on Lean Manufacturing Implementation in the
of transportation. Malaysian Electrical and Electronics Industry
 Transportation should be a convenience and Yu Cheng Wong
not a constraint. Department of Manufacturing and Industrial Engineering, Faculty
of Mechanical Engineering
Universiti Teknologi Malaysia, 81310 UTM Skudai, Malaysia
VI. IMPORTANT CONSIDERATIONS FOR THE E-mail: uchen85@yahoo.co.uk
IMPLEMENTATION OF LEAN MANUFACTURING Kuan Yew Wong
Department of Manufacturing and Industrial Engineering, Faculty
of Mechanical Engineering
 Getting to lean requires integrated holistic rather Universiti Teknologi Malaysia, 81310 UTM Skudai, Malaysia
than piecemeal approaches to organization and E-mail: wongky@fkm.utm.my
Anwar Ali
workplace changes. Intel Technology Pte Ltd, Bayan Lepas Free Industrial Zone,
11900 Penang, Malaysia
 Human Resource Management Systems, such as E-mail: anwar.ali@intel.com
evaluation, compensation, promotion, etc. should
be r edesigned to be aligned with and support new
Lean Production Strategy.
 A Lean system uses information effectively to

help people make quality decision. It imparts
knowledge through training and knowledge to
create multi-skilled workforce.
 Lean organizations build skills and capabilities of

workforce through employee participation in
order to achieve significant quality and
productivity gains.
472
REVIEW of INDIAN INSTRUMENTATION

for INDUSTRY
B.S.Gandhare1
1. Aisstant Professor (Mech), SKN Sinhgad College Of Engineering, Korti, Pandharpur(M.S)
bs_principal@rediffmail.com
Abstract-- Ours is a developing economy and major Various studies carried on related with
contribution is from industry. Industry needs Instrumentation in India [1, 2, 3, and 4]. But still
instrumentation related products, the total cost of there is need to study the problem and future
production of instrumentation related products in course to action requires for import substitution.
India at present is around more than 5000 crores
per annum. The growth rate is 10 to 15 percent per II. STATUS Of INDIAN INSTRUMENTATION
annum. This production is about 15% of the total FOR INDUSTRY
demand; the rest is met by imports. Hence study is
undertaken to recognize the need, problems and A. Instrumentation for Industry
future course of action requires for import 1) Medical instrumentation-
substitution. This paper highlights efforts in the The Biomedical Engineering associated with
direction of developing import substitution and
hospitals and the related medical instrumentation
finally concludes the need for development and
suggests the future course of action at government has increased in complexity and in numbers
and industry level. rapidly in recent years; preparation for service in
this field is challenging. The emphasis in this
program is on patient-care equipment, and
medical imaging equipment like
Keywords -: Instrumentation Industry, Technical electrocardiographs, pacemakers, defibrillators,
Know-how, Indianization
ventilators, and imaging devices such as x-ray,
I.INTRODUCTION computer tomographic scanners, ultrasound, etc .
2) Automobile industry- In automobile industry,
Instrumentation is used in industry to from 1995 'immobilizers' are installed in cars.
monitor and/or control industrial processes. 'Immobilizer' is a micro controlling system, that
Modern industry cannot exist without controls almost everything: the proportion of air
instrumentation. The simplest instrumentation is and fuel, engine starting, ABS-breaking system,
a status indicating system. For example a high navigation, air-conditioning, etc.” It may sound
level switch turns on an alarm to alert the silly if we tell a car mechanic that in a year or
operator that a tank is full. Instrumentation two he will have to know a great deal of
cannot only report status; it can control the electronics, in order to fix the car, but it is so
process itself. Automation and continuous obvious. Those who will start out among the first,
process operations are expanding both the scope and fetch the necessary equipment and
and the use of individual instruments and systems instrumentation, will definitely gain the largest
for automatic control and measurement of the part of the profit”.
variables encountered in manufacturing and
process facilities. The increased scope and 3) Microcontrollers –
expanded use of instruments has made the Most of the washing machines in India
business of building, operating, maintaining, and are still mechanical ones. However the world-
calibrating these instruments a large and vital part over trend is to replace them by microcontroller-
of economy. controlled ones. The latter are more efficient and
cheaper and come with intelligence built-in..
473
Cameras, photo cameras, phones, pagers, ID stickiness and so on. Basic characteristics of the
cards, industry control, automation, home fibre like fibre length, fineness, strength,
devices, military technology, medicine and much maturity, rigidity, fibre friction and structural
others use larger and larger quantities of features have to be assessed. Following are some
microcontrollers as they are small, fast, efficient, methods of determining fibre fineness
reliable and cost-effective. Microcontrollers from gravimetric or dimensional measurements,
Intel, Motorola , Siemens etc are quite popular airflow method, vibrating string method . This
for several applications. However several other example shows the ramifications of instruments
companies like Microchip, Atmel etc have involved even in a very small component of
chipped in. In a country like India where the spinning which in turn is only one small
software support is readily available there is component of the production of textiles of one
scope to go in for our own microcontrollers. The type. It is neither feasible nor advisable to go into
PC-on-a chip is the next revolution in this the varied ramifications of this one industry
scenario. unless specialists are consulted.
4) Instrumentation in semiconductor industry- 6)Instruments for pharmaceutical industry-

Instruments in semiconductor industry, especially A large variety of instruments are
in semiconductor metrology, X-ray based continuously getting evolved in Pharmaceutical
measurement tools are routinely used for thin Industry . The processes and instruments are
film and materials characterization. XRF, XRD patented regularly.. A wide range of Rapid
and XRR metrology tools help to measure critical Microbiological Methods and their applications
process parameters of thin film like: thickness, in the Pharmaceutical Industry is a very important
composition, roughness, density, porosity, and aspect of the demands on the industry as one has
crystal structure. to be aware of the challenges involved in the
assessment of microbial hazards and risks to
5) Instrumentation in textiles ensure product and consumer safety . One has to
take into account microbial growth in
As far as Instrumentation in Textiles is pharmaceutical environments, Influence of
concerned, Nodal Centre for Upgradation of Environmental Conditions on Microbial Survival
Textile Education (NCUTE) has been setup by . Labor-Saving Devices and Automation of
Ministry of Textiles, Govt. of India, in 1998, with Traditional Methods is one activity. Among
the aim of enhancing textile industry’s Traditional and Automated Rapid Methods for
performance by improving manpower training Species Identification and Typing, one finds
necessary to meet the challenges of emerging techniques like Genotyping, Chemotaxonomy,
technologies and product quality requirements as Electrophoretic Protein Typing. Techniques for
well as to increase productivity and export Detection of Specific Organisms have explored
capability of our textile products. Potential use for DNA-Based Technologies. New
Textile Technology is a very capital-intensive Technologies for Microbiological Assays include
production means for producing a variety of Immunological Tests , Microchips and
clothing using the most modern machinery. In a Instrumental Techniques
relatively narrow field like spinning itself one 6). Instruments in food technology- Instrumental
finds that raw material represents about 50 - 65% methods of analysis form an indispensable aspect
of the production cost of a short-staple yarn. of any R&D programme. Keeping in view the
There are a number of fibre properties, which can growing demands of R&D departments for
influence the quality of the yarn. A textile fibre is sophisticated analytical instruments, and the
a peculiar object. Fibre properties vary very much necessity for an organised operation and
within the lot. Optimal conditions can be maintenance system for the optimal utilization of
obtained only through the mastery of the raw such instruments, the Central Instrument Facility
material. Therefore fibre testing is very and Services was set up in 1989 at the CFTRI,
important. It involves, for example, study of Mysore . The facility is equipped with state-of-
effect of fiber length on yarn quality , cotton
474
the-art analytical instruments for advanced 4 1. In 1960’s entities like Electronics Corporation
research and development in food science and of India (ECIL) - Hyderabad, Bharat
technology, and for stringent quality control of Electronics Limited (BEL) -Bangalore,
food products. Besides serving the scientific Instrumentation Ltd.-Kota and Central
community to run the in-house projects, the Scientific Instruments Organisation (CSIO)-
facility provides analytical support to sponsored Chandigarh etc. were created to meet some of
R&D/consultancy projects. the instrumentation needs in country. These
The focused areas are : Instrumental entities and some others have developed and
analysis of food materials, Study of texture and built many types of instruments and have also
rheological properties of foods, Development of catered to the needs of mission oriented
analytical methods for food analysis, Electronic agencies .A recent notable example is the
instrumentation for food analysis, Automation of “Electronic Voting Machines” developed by
food industry, Maintenance of a Standard ECIL and BEL and used so successfully in
Reference Laboratory for calibration of the 2004 general elections, that even the
analytical instruments, Food texture measurement outside world seems to have noticed the
system, Colour measurement system· Controlled achievement! Some other prominent
stress rheometry In the food processing industry , examples include the following:
one of the important objectives is to enhance the Spectrophotometer (ECIL, ELICO), Gas
shelf-life of food or beverages. There are many Chromatograph (TOSHNIWAL) Mass
methods and technologies used for this purpose . Spectrometer (BARC, IISc) , X-ray
One of the important is based on ultraviolet Diffractrometers (NPL, BARC,IUC for
radiation and is referred as Ultra-violet DAEF), Electron Microscope (CSIO, CEL,
disinfection It is a simple technology.simple to IIT), Ion Implanter (IGCAR, BARC, VEC,
understand, simple to install, simple to maintain, Univ. of Pune, IIT/ Kanpur) , Auger/ESCA
simple to run. spectrometer (IISc, IOP), Thin film
deposition system (IISc, CSIO), Molecular
7). Flow rate measurement in industry- Finally, Beam Epitaxy facility (CSIO), Atomic Force
purely as an illustration, this example illustrates Microscope (Univ. of Pune, CSIO) Scanning
the wide spectrum of instrumentation involved in Tunneling Microscope (Raman Res. Inst.,
measurement of flowrates alone, a requirement IISc)
one comes across in many an industry. As many 2) India has been denied many high technologies
as ten different technique- based flowmeters are under various dual technology control regimes
in vogue. They are referred to as :Coriolis, and sanctions. This has spurred Indian
magnetic, ultrasonic, vortex, DP, positive scientists and technologists to design and
displacement, turbine, open channel, thermal, and make equipments denied to them. A prime
variable area flowmeters. example of this is the development of super-
computers by different agencies (C-DAC,
The above provides a very random selection of DRDO and BARC and others). This has
role of instrumentation in various industries. It demonstrated that the country has the innate
has to be emphasized that this list is not capability to build high tech instruments
exhaustive but only illustrative. The vast arena provided right inputs and impetus are given.
covered by modern instrumentation spanning 3) The instrumentation industry in developed
various human activities from Agriculture to countries is mostly physics based and is based
Chemicals to Fishing to Mining (off-shore or on- on interdisciplinary research between
shore) to Petrochemicals etc is mind-boggling. It physicists, other scientists and engineers etc.
is neither prudent nor possible to select one or Except in mission-oriented labs in India, there
more instruments selectively to be able to make a is a general lack of this culture, especially in
wide social impact. universities where the division into
III. STATUS OF EFFORT FOR IMPORT departments is very rigid.
SUBSTITUTION OF INDIAN
INSTRUMENTATION FOR INDUSTRY
475
IV. CONCLUSION
One of the other main factors has been the
poor interface between industry, research
institutions and academia.
Researcher are lacking interest in
developing instrumentation and making
commercial products.
It is observed that there is lack of
developed labs, latest advanced instruments
in Engineering colleges In India and subject
like Metrology and Quality control,
Measurement and Control must be teach in
deep interest to motivate the student to work
in Instrumentation as well as project work
for final year student.
There is need to educate engineers and
academic on this issue.
ACKNOWLEDGMENT
Authors acknowledge support of BMIT Sholapur.

The study is carried during 2007-2009.
REFERENCES
1. SWOT Analysis of Instrumentation in India –

TIFAC report of early nineties.
2. “Instrumentation in India” by G. Venkataraman –
Indian Journal of Pure & Applied Physics, 27, 303-
310(1989)
3. India: The Hardware Opportunity by Manufacture’s
Association for Information Technology (MAIT-2003)
4. Electronics Industry of India by R. Sharma, D.
Bansal, P. Srinivasan and M. Pecht, CALC EPSC
Press, University of Maryland, College Park,
Maryland (2001)
5. Status paper on Instumentation for Industy
by Prof.R.K.Rao in Report 2004
6. STRATEGIES AND A ROAD-MAP FOR
DEVELOPMENT OF INSTRUMENTATION IN
INDIA Report by a Committee constituted by Indian
National Science Academy, New Delhi June 2004
476
Suggested Implementation of the Green Supply

Chain Management in Automobile Industry of
India: A Review
Sunil Luthra 1, Manju 2, Sanjay Kumar3, Abid Haleem 4
1
Lecturer, Department of Mechanical Engineering, Govt. Polytechnic Jhajjar, Haryana (India)
sunilluthra1977@gmail.com
2
Assistant Professor, Department of Mechanical Engineering, Ganga Institute of Technology & Management Kablana,
Haryana (India)
manju_siwach@yahoo.com
3
Professor, Department of Mechanical Engineering, C.B.S Group of Institutions, Haryana (India)
skbhardwaj19711971@gmail.com
4
Professor, Department of Mechanical Engineering faculty of Engineering and Technology, Jamia Millia Islamia,
Delhi (India)
haleem.abid@gmail.com
Abstract- Green Supply Chain Management (GSCM) has received through design, production and distribution phases to, use of
growing attention in last few years. Customers become more aware products by the customers and its disposal at the end of
of environmental problems. Organizations need to focus on energy product’s life cycle.
and resources for making environmentally sound supply chain.
Economics, environmental or legislative reasons have increased the GSCM is integrating environmental thinking into supply chain
requirement of GSCM. The paper discusses importance of GSCM
management. As the public becomes conscious of
and to identify various factors important to implement GSCM in
Indian Automobile industry. Various factors important to environmental problems, customers will be asking questions
implement GSCM in Indian Automobile industry have been about green manufacturing processes, recycling and green
described. Understanding of the factors will help organization to supply chain etc. So automobile companies need to focus on
better prioritize and managing their resources in efficient and energy and resources for making environmentally sound
effective way keeping environmental issues in mind. supply chain.
Keywords: Supply Chain Management, Green Supply Chain 2. GREEN SUPPLY CHAIN MANAGEMENT (GSCM)
management, Factors important to implement GSCM.
Green supply chain management (GSCM) involves traditional
1. INTRODUCTION supply chain management practices integrating issues
concerning environment [21]. A green supply chains aims at
Along with rapid change of world manufacturing, increasing confining the wastes within the industrial system to conserve
trend of world over the environment friendly products, energy and prevent the dissipation of dangerous materials into
environmental and social issues are becoming important for the environment. It recognizes the disproportionate
managing any business. Supply chain management(SCM) is a environmental impact of supply chain processes within an
set of approaches utilized to efficiently integrate suppliers, organization. GSCM is the summing up of green purchasing,
manufacturers, warehouses, and stores, so that a quality green manufacturing, green packing and green distribution and
product is produced and distributed in right quantities, to the marketing. It is to eliminate or minimize waste in the form of
right locations, at right time in minimum cost. The main of energy, emission of hazardous, chemical and solid waste [17].
activities of SCM include strategic, tactical and operational.
Green supply Chain Management (GSCM) is an approach for 2.1 Green SCM Vs Conventional SCM
improving performance of the process and products according
to the requirements of the environmental regulations [7]. Green supply chain management and Conventional SCM
GSCM has emerged in last few years and covers all phases of differ in various ways. GSCM considers ecological causes as
product’s life cycle, from the production of raw material well as economic as an objective, while conventional SCM is
477
usually concentrated on economic as a single objective. Johnny C. Ho., Maurice. K., Tzu-Liang and David S. Ang
GSCM are green, integrated and ecologically optimized, while (2009) drew comparison between conventional and green
a conventional chain rarely considers human toxicological supply chains. They offer in depth opportunities in green
effects. SCM normally concentrates more on controlling the supply chain management including manufacturing, bio-waste,
final product, no matter how much harmful effects they cause construction and packaging[30]. Srivastva S. (2007) suggested
to environment during production processes. GSCM also takes sustainable development as a remarkable progress in
into account the human toxicological effects. Ecological establishing environmental and social sustainability towards
requirements are key criteria for products and production and operations management and the supply chain manufactures.
at the same time the company must ensure its economic The key themes that emerged out of studies are green
sustainability by staying competitive and profitable [30, operations, green design, green manufacturing, reverse
31].Differences between Green SCM and conventional SCM logistics and waste management [49]. Sarkis Joseph (2009)
are summarized in Table 1. provided boundaries and flows framework to understand the
direction and relationships between various interdisciplinary
Table 1: Difference between the Green SCM and fields. Greening supply chain has become imperative as
Conventional SCM environmental concerns continued to remain on the forefront
of the debate of global and local social interests. This model
S. Characteristics Green SCM Conventional
described the relationship between the green supply chain and
N. SCM other environmental philosophies and practices. Using a
generic system perspective, identify nine non-exclusive,
interrelated boundaries and five flows of resources related to
1. Objective value Ecological Economic green supply chains [32]. Garai Manas (2009) explained that
the age-old concept of inverse relationship between
2. Ecological High Integrated environment and economy has become obsolete. Nowadays a
company with better environment practices is more likely to
Optimization Ecological Approach improve its bottom-line than its competitors which are not so
Impacts environmentally conscious. Public interest litigation,
encouraged by an atavistic judiciary, has led to the closure of a
3 Supplier Selection Eco-logical Price number of industrial plants [35].
criteria Aspects Switching
Nagel (2000) has given a method to evaluate the
Long Term supplier environmental performance of suppliers based on life-cycle
relationship Short term analysis. He suggested two approaches; one is absolute
supplier’s performance in an environment perspective and the
relationship other relative supplier’s performance in business perspective
[41] Bentia M. and Beamon (1999) gave attention to the
4. Cost Pressure prices High cost High cost
development of an extended environmental management (EM)
pressure Pressure strategy for supply chain management. An extended supply
chain model has been designed and this was an effort towards
High price
green supply chain management [4]. Darnall N., Jason Jolley
5. Speed & Flexibility Low High G. and Handfield R.( 2008) suggested EMS to enhance an
organization’s environmental performance; however critics
Source: - Johnny C. Ho., Maurice. K., Tzu-Liang and argued that improvements were likely to occur within the
David S. Ang (2009) organizations operational boundaries rather than being
extended throughout the supply chain. However, earlier
3. LITERATURE REVIEW workers suggested that the organizational capabilities required
adopting an EMS management practices. This work provided
Different concepts and models related to environmental issues the relationship between EMS and GSCM practice [42].
have been suggested by different researchers. Contribution
towards GSCM, which are briefly described herein- Solvang Wei –D and Deng Ziqiong (2007) worked on
prevention of pollution and its minimization rather than end of
Penman (1994) provided information about environmental pipe pollution control. It is a believed that there is an
problem related to transportation, recycling and waste disposal optimized breakeven point where more goods and services
and described that how transport affects the environment [44]. were created with fewer resources, less waste and less
478
pollution. This point was termed eco-efficiency. In this model, Raj, T. (2009) explained ISM based model for greening the
the major challenges of managing eco-efficiency in the context supply chain in Indian manufacturing industries. Fifteen
of a supply chain. The disadvantages of applying traditional enablers were indentified. A questionnaire based survey was
supply chain models in managing overall optimization of eco- conducted to rank these enablers. They found contextual
efficiency have been analyzed. A closed –loop supply chain relationships among enablers and developed hierarchy based
model was proposed [54]. Olugu Eutah Udoncy, Wong Yew model for the enablers by using ISM [39]. Mudgal, R. K.,
and Shaharoun Awaludin Mohamed (2010) studied and Shankar, R., Talib, P., Raj, T. (2010) explained ISM based
discussed ecological issues arising from manufacturing model for modeling the barriers of green supply chain
operations that led to the focus on environmental sustainability Practices in Indian manufacturing industries. They suggested
in manufacturing .There is a need to adopt a closed loop green businesses practices are not easy to adopt and
approach for a particular product in automotive industry for implement, due to the presence of many barriers. A
efficient performance [17].Cheng Chu Chiu-Wei (2010) questionnaire based survey was conducted to analyze and rank
discussed cost of quality (CCQ), life cycle assessment (LCA) these barriers. Fifteen barriers were indentified. ISM approach
in green supply chain management and proposed an Eco- has been used to model and analyze key barriers and drive
efficiency indicator [8]. managerial insights [40].
Chien M.K. and Shih L. H. (2007) investigated the GSCM 4. FACTORS IMPORTANT TO IMPLEMENT GSCM IN
practices adopted by the electrical and electronic industry in INDIAN AUTOMOBILE INDUSTRY
Taiwan, which was dominated by original equipment
manufacturing and original designing and manufacturing. The According to world statistics, the automobile industry is
companies in the electrical and electronic industry approved world’s largest single manufacturing sector [34].The growth in
by the International Organization for Standardization 14001 the world’s population has also heightened the demand for the
certification in Taiwan; the data was analyzed by using vehicles [17].Presently, India is experiencing economic boom.
statistical package and the structural equation modeling [37]. The demand of automobiles such as cars, bikes and
Hsu C.W. and Hu A.H. (2008) have suggested a proactive commercial vehicles is increasing at faster rate in India than
GSCM approach for improving environmental performance of the World, Quarterly sales numbers of Indian automobile
processes and products in accordance with the requirements of companies are continually rising. Therefore all international
environment regulations. This study examined the consistency automobile manufacturers as well as domestic manufacturers
approaches factor analysis that determines the adoption and like Hyundai, General Motors, Honda, Fiat, Maruti Suzuki,
implementation of green supply chain management [12]. Yu Tata Motors, Bajaj Auto, TVS motors Hero Honda etc are
Lin Chieh and Hui Ho Yi (2008) examined six factors that either setting up their new manufacturing plants or increasing
influence the intention to adopt green innovations for logistics their production capacity in their older plants in India. We
service providers. The data generated from the questionnaire have identified various factors important to implement GSCM
survey on logistics companies in Taiwan were used for in Indian automobile industry from the literature review and
modeling [11]. expert’s opinions from Academia and Industries. Factors
identified for implementing of GSCM in Indian automobile
Ravi V. and Ravi Shankar (2004) utilized the interpretive industry are given in Table 2.
structural modeling(ISM) methodology to understand the
Table 2: Factors Important to Implement GSCM from Literature Review
mutual influences among the barriers so that those driving and Expert Opinion
barriers, which can aggravate few more barriers and those
independent barriers, which are mostly influenced by driving S. Factor Important to Research Paper (s)
barriers are identified. By analyzing the barriers using this Implement GSCM
model, crucial barriers that hinder the reverse logistics No.
activities were extracted [46]. Kannan, A., Noorul Haq,
Sasikumar P and Subramaniam Arunachalam (2008) 1 IT Enablement 1,16,25,29,46,51
suggested that an increased attention may be given for
developing environmental management (EM) strategies for the 2 Technology Advancement 2,12,14,18,52
supply chain. A number of organizations had contemplated the
integration of environmental practices into their strategic 3 Technology Adoption 12,14,18,40,46,52
plans. This study analyzed the interaction of criteria that was
used to select the green suppliers based upon the 4 Organization 10,11,12,38
environmental performance using ISM and Analytic Hierarchy Encouragement
Process (AHP) [23]. Mudgal, R. K., Shankar, R., Talib, P.,
479
5 Quality of Human 10,11,12,38 Methods (REMs) 43,50,54

Resources
23 Use of Lean/Flexible 19,28,39
6 Government Support 2,10,11,12,39,40,43, Manufacturing
Systems 49
24 Proper Workplace 39
7 Top Management 14,26,32,39,40,46, 55 Management
Commitment
25 Economic Interests 39,40,46
8 International Environmental 2,10,11,12
Agreements 26 Competitiveness 2,39,40,46
9 Supplier Motivation 2,14,23,34,39,46,47 27 Proper Strategic Panning 7,9,15,40,46
10 Awareness Level of 2,33,,39,46,55,56

Customers
Twenty seven factors have been identified from the literature
11 Environment Management 4,5,6,22,39,22,24,39, review and the experts’ opinion. Few factors have been
Systems Implementation 42,43,55 clubbed together. Fifteen important factors out of twenty
seven factors have been discussed in detail relating to Indian
12 Innovative Green Product 39,40,46 automobile industry. They are- IT enablement; Technology
Development Practices advancement and organization adoption; Organization
Adoption encouragement; Quality of human resources; Government
support systems; Innovative green practices; Top management
13 Environment Literacy 39,40 commitment; International environment agreements; Supplier
among Supply Chain motivation; Awareness level of customers; Environment
Distribution Networks Literacy among Supply Chain Distribution Networks;
Supportive company policies; Economic Interests;
14 Design for Environment 8,28,36,38,55 Competitiveness; Proper Strategic Planning.
15 End of Life Product 8,17,28,36,43,55 4.1. IT. Enablement

Management
IT systems support, collaborative supply chain processes and
16 Use of New Products and 2,28 enhance supply chain performance [16]. An efficient
Process optimization information and technological system is very necessary for
supporting the GSCM during various stages of product life
17 TQM Practices 22,43,55,56 cycle. Excellent information and technological systems can be
Implementation very helpful for product development programs encompassing
the design for the environment, recovery, reuse and so on.
18 Supportive Company 40,46 Efficient information systems are needed for individually
Policies tracking and tracing the returns of product, linking with the
previous sales [46]. Information support is necessary for
19 Green Procurement 2,5,38,39,41,43,49, developing linkages to achieve efficient GSCM in Indian
Strategies 55 automobile industry. With the help of IT enablement a lot of
paper saving would be done which in turn will support GSCM.
20 Use of Environmental 2,6,13,28,30,43,44,50
Friendly Transportation ,55
4.2. Technology Advancement and Organization Adoption
21 Use of Environmental 30,39,43,55
Friendly Packing and Science and technology has made a significant contribution to
Labeling of the Products the development of world economy [39]. Technology may
view as one kind of knowledge [18]. An organization with rich
22 Waste Management and Use 4,5,6,17,23,30,36, experiences in the application or adoption of related
of Recyclability Evaluation technologies will have higher ability in technological
innovation [10]. Technology advancement can be done with
480
higher transferability. An organization will have higher of green practices, accumulation of green related knowledge
innovative capability when knowledge can be shared more [11, 46]. Innovative green practices involves Hazardous solid
easily within the organization [52]. Innovation and technology waste disposal, energy conservation, reusing and recycling
incorporate the innovation into corporate culture, encouraging materials. Innovative green practices promote innovative
new ideas and processes and solutions by all the employees of design, new market opportunities and makes their quality
the firm [14]. New technologies may be used to improve the better than others. Due to paper space limitations, several
processes in the GSCM [46]. Therefore, technology factors have been clubbed in to innovative green practices like
advancement and organization adoption is important factor for Environment Management System(EMS) Implementation;
implementing GSCM in Indian automobile industry. Innovative Green Product Development Practices Adoption;
Design for Environment; End of Life Product Management;
4.3. Organizational Encouragement Use of New Products and Process optimization; TQM
Practices Implementation; Green Procurement Strategies; Use
Organization encouragement and Management skill are of Environmental Friendly Transportation; Use of
important factor for implementing Green Supply Chain Environmental Friendly Packing and Labeling of the Products;
Management. Company’s leaders should encourage employees Waste Management and Use of Recyclability Evaluation
to learn green information, provide rewards for green Methods(REMs); Proper Workplace Management; Use of
employees, help employees when they face green problems Lean/Flexible
and provide support for employees to learn green information. Manufacturing[4,5,6,17,23,30,36,39,40,43,4650,54], which
These are some of the techniques that encourage employees to may help and support towards GSCM. Environment
implement GSCM. Informal linkages and improved Management System (EMS) is managing environmental
communication will help the organization to adopt green’s performance of the organizations. Green product development
practices [10, 11]. Therefore, we consider an organization is the consideration of environment-friendly processes and
encouragement is important factor for implementing GSCM in materials at developmental stage. Design for environment is
Indian automobile industry. the considerations of recyclable and non harmful materials in
design phase. End of life product management is safe disposal
4.4. Quality of Human Resources of products after successful end of the life. In today’s scenario,
product end life management is a major issue. Use and
A company with higher quality of human resources such as development of new environment-friendly products and
better training or education will help in implementing GSCM. process will help in improving environmental performance.
Quality human resources can provide new ideas for Total Quality Management (TQM) is maintaining the quality
companies, learn new technologies easily, share knowledge of products and process from initial stage to final stage of the
with each other and use new technologies to solve problem production. Green procurement strategies will help in
[10, 11]. Therefore quality of human resource is also an purchasing environment-friendly materials and tools for the
important factor for implementing GSCM in Indian production. Use of environment-friendly transportation will
automobile industry. help in reducing pollutions. Use of environmental friendly
packing means use of recyclable or dissolvable materials used
4.5. Government Support Systems for packing .Waste management and Recyclability Evaluation
Methods (REMs) will help in managing and minimizing
Government support system is other important factor to waste. Various recyclability methods will help in reduction of
implement GSCM. Government regulation can encourage or waste and improving the environment. Proper workplace
discourage the adoption of innovation [48]. Government sets management can help in stopping leakages and managing
the environmental regulations for industry. Government other resources in efficient and effective way. Use of lean or
should help training manpower with green skills and flexible manufacturing will help in continuous improvement
encourage companies towards GSCM. The increasing and elimination of waste in all forms. From the above
environmental awareness of the public is due to the discussion, we can conclude that an innovative green practice
government policies and regulations. Nowadays, companies is the most important factor for implementing GSCM in Indian
are targeting on environmental policies. Therefore automobile industry.
Government Support Systems is important factor for
implementing GSCM in Indian automobile industry. 4.7. Top Management Commitment
4.6. Innovative Green Practices Top management support and commitment is necessary for
any strategic program after its success needs to be derived
Innovative green practices are associated with the explicitness from upper management [26, 55]. Top management
481
commitment is a dedication to empower people to change, the GSCM in Indian automobile industry.
progress to ensure core manufacturing strategies and business
strategies [14]. Management support is especially useful for
environmental practices such as GSCM. Top management has
the power to influence support actual formation and
implementation of green initiatives across the organization 4.11 Environment Literacy among Supply Chain
[32, 39, 40, 46].Implementation of GSCM in Indian Distribution Networks
automobile industry is not possible without the involvement of Environment literacy is the understanding of environmental
top management. Therefore, we assume that top management issues. Environment literacy can be used to describe the
commitment is one of the major factors for implementing learning process of effective environmental and resource
GSCM in Indian automobile industry. management. By training employees in pollution prevention,
organizations are better able to take advantage of the day-to-
4.8. International Environment Agreements day contact; employees have with opportunities for improving
environmental performance [39, 40].Environmental literacy
Domestic environmental regulation has a greater and more among partners of distribution networks can help in pollution
immediate effect on eco-design than the type of economic prevention, waste reduction .So we can say that Environment
policy incentive [12]. In many countries, the governments are literacy among the partners of distribution network is
also being influenced by international environmental important factor for implementing GSCM in Indian
agreements. International organizations bring in various automobile industry.
international acts and agreements which directly affect the
companies [2, 10, 11]. Thus, we assume that international 4.12 Supportive Company Policies towards GSCM
environment agreement is also a determinant for implementing
GSCM in Indian automobile industry. Supportive company policies are an important factor for the
GSCM. Nowadays, Companies want to create a brand name
4.9. Supplier Motivation among the customers. They do not want to compromise on the
end-quality by using the rejected products [46]. So, companies
Strengthen relationship with suppliers which will result in are bound to develop supportive company policies towards
lower inventory levels, lower costs and higher accuracy. GSCM. As the public becomes more aware of environmental
Involve of supplier in design process, technology and response problems, customers will be asking questions about green
for future growth of supplier contribution to the overall manufacturing processes, recycling and green supply chain
performance affects the performance of whole chain [47]. etc. So companies need to focus on supportive company
Supplier manufacturer relationships are considered important policies towards GSCM. A supportive company policy
for developing competitive advantage for the manufacturer towards GSCM is a factor for implementing GSCM in Indian
[39, 46]. Manufactures cannot produce green products unless automobile industry.
they work together with suppliers [14]. Suppliers need to meet
requirement of buyers to maintain business relationship. 4.13Economic Interests
Supplier motivation for environmental performance is the
deciding factor for implementing GSCM in Indian automobile Nowadays, industries are using improved environmental
industry. performance to lower their costs by reducing waste and also
reducing their environmental compliance costs and lessening
4.10. Awareness Level of Customers the threat of civil and criminal liability for polluting by
preventing pollution at the source [39]. In U.S.A., 80%
Customer demand becomes most crucial type of external customers would be willing to pay more for environment
pressure. To obtain most sustainable solution, the environment friendly products [33, 46].So we assume that economics
consideration of properties of products and services must meet interests is important factor for implementing GSCM in Indian
with customer requirement [2, 56]. Customer’s awareness automobile industries.
means if customer wants green products; the company has to
change technology for innovative Green Products. In U.S.A., 4.14 Competitiveness
an estimated 75% of consumers claim that their purchases are
influenced by reputation and 80% would be willing to pay In a competitive environment of Indian automobile industry,
more for environment friendly products [33, 39, 46].This trend every company wants to show its superiority over others.
is rapidly gaining growth in India also. Thus we can say that Companies using green practices enjoy higher brand image,
awareness level of customers is major factor for implementing which allow them to ask for a higher price for green products.
482
Companies implementing green innovation can compete and relationships may be different. Interpretive Structural
export their products in world market. In situation where Modeling(ISM) technique may be used for developing
production volumes are high, a significant competitive decision making model. Analytical Hierarchy Process (AHP)
advantage can be derived from small reductions in material and Analytical Network Process (ANP) may also be used to
waste per unit [39]. So we can say that competitiveness is determine strength of relationships and decision making
important factor for implementing GSCM in Indian model. The factors for the implementation of GSCM in some
automobile industry. other types of industries like electronic and electrical can be
developed. Industry wise comparison may be done by using
4.15 Proper Strategic Planning for GSCM some suitable methodologies like ISM, AHP and ANP.
For implementation of GSCM in Indian automobile industry,

proper strategic planning is must to achieve the goals for the
survival of the organization in the global market. Strategic
planning is the identification of GSCM goals and the REFERENCES
specification of long-term plans for managing them [40, 46]. 1. Alemayehu Molla, ‘GITAM: A Model for the Adoption of Green IT’
Strategic planning gives the course of action for 19th Australasian Conference on Information Systems 3-5 December,
implementation of GSCM. In today’s scenario, due to the Christchurch (2008).
2. Ali Hosseini, ‘Identification of Green Management of system’s factors: -
rapid changes in technology and also due to changes in the A Conceptualized Model’ International Journal of Management Science
changing behaviors of customers, suppliers, external stake and Engineering Management, 2, 3, pp221-228(2007).
holders, competitors etc., a sound supportive strategic 3. Atul B.Borade, Satish V. Bansod, ‘Domain of Supply Chain
planning is necessary for the implementation of GSCM. So we Management –A state of Art’Journal of Technology Management and
Innovation, 2, 4, pp109-121(2007).
can say that proper strategic planning for GSCM is important 4. Benita M. Beamon, ‘Designing the Green Supply Chain’ Logistics
factor for implementing GSCM in Indian automobile industry. Information Management, 12, 4, pp 332-342(1999).
5. Benita M. Beamon, ‘Environmental and sustainability ethics in supply
chain management’ Science Engineering Ethics, 11, pp221-234(2005).
6. Benita M. Beamon, ‘Sustainability and the Future of Supply Chain
5. CONCLUSIONS Management’ Operations and Supply Chain Management, 1, 1, pp4-
18(2008).
GSCM has been identified an approach for improving 7. Breno Torres Santigo Nones, Sergio Morques, Rubense Evgenio, ‘A
performance of the processes and products according to the Theoretical Approach for Green Supply Chain Management’ Federal
University DO RIO GRANDE, Industrial Engineering Program,
requirements of the environmental regulations and to NATAL-BRAZIL, Janaury-2004.
minimize dangerous wastes. GSCM takes considerations to 8. Cheng Chu, Chiu-Wei, ‘Economics of cost of Quality for Green
ecological causes as well as economic as an objective. Twenty Manufacturing Life Cycle Assessment approach’ A PhD Dissertation,
seven factors have been identified which are important for Texas Technical University May, 2010.
9.
implementing GSCM in Indian automobile industry from the Chiau-Ching,Chen,Hsu-Sh,Shih,Kun-Shan-Wu,Hun,Jyn-Spyur,
‘Using ANP for the selection of Green Supply Chain Management
literature and the experts point of view. Fifteen factors have Strategies’ A Working Paper(2008).
been discussed in detail for the implementation of GSCM in 10. Chieh Yu Lin, ‘Adoption of green supply in Taiwan logistic industry’.
Indian Automobile Industry. A complete understanding of the Journal of management study, 90-98(2007).
11. Chieh Yu Lin, Yi Hui Ho, ‘An Empirical Study on Logistics services
factors will help organization in optimizing and managing provider, intention to adopt Green Innovations’ Journal of Technology,
their resources. Management and Innovation, 3,1,pp 17-26(2008).
12. C.W.Hsu, A.H.Hu, ‘Green Supply Chain Management in the Electronic
6. LIMITATIONS AND FUTURE SCOPE OF THE Industry’ International Journal of Science and Technology, 5, 2, pp 205-
STUDY 216(2008).
13. Danish Irfain, Xu Xi aafei, Deng Shong Chun, ‘A SCOR Reference
Model of the Supply Chain Management System in an Enterprise’ The
We have discussed factors important to implement GSCM in Arab Journal of Information Technology, 5,3, Accepted July, 2008.
Indian Automobile industry from the literature review & 14. Digalwar A.K., Metri B.A., Performance Measurement Framework for
expert opinion. Opinions of experts may be different from World Class Manufacturing’ International Journal of Applied
person to person. Twenty Seven factors have been identified Management and Technology, 3, 2, pp83-101(2004).
15. Douglas J. Thomas, Paul M. Griffin, ‘Coordinated supply chain
for the implementation of GSCM in Indian Automobile management’ European Journal of Operational Research 94, pp1-
industry. The hypothetical model can be made by using some 15(1996).
suitable tool and this can be tested in real world to check that 16. D.S. Rogers, R.S., ‘Tibben- lembke, going backwards: Reverse
weather the factors are complete and their relationship exists Logistics Trends and Practices’ Reverse Logistics Executive Council,
Pittsburgh, PA, 1998.
as in the literature. The results of the model may vary in real 17. Ezutah Udoncy Olugu, Kuan Yew Wong, Awaludin Mohamed
world setting. The factors may be incomplete or their Shaharoun, ‘A Comprehensive Approach in Assessing the Performance
of an Automobile closed loop Supply Chain’ Sustainability, 2, pp871-
483
879(2010). 38. M.K. Chien, L.H.Shih, ‘An empirical study of the Implementation of
Green Supply Chain Management Practices in the Electrical and
Electronics industries and their relation to organizational behavior’
18. Gant, R.M., ‘prospering in dynamically-competitive environments: International Journal of Science and Technology, 4, 3, pp 383-
Organizational capability as knowledge integration’ Organizational 394(2007).
Science’ 7, 4, pp 375-387(1996). 39. Mudgal, R. K., Shankar, R., Talib, P., Raj, T. ‘Greening the supply
19. Gary. G. Bergmiller, Paul R. Mc Cright, ‘Parallel Models for Lean chain practices: an Indian perspective of enablers’ relationships’ Int.
and Green Operations’ Proceedings of the 2009 Industrial Engineering Journal of Advanced Operations Management, 1, 2, 3, pp151-
Research Conference2009. 176(2009).
20. Geohcho, Soon Hu Soh, ‘Optimal Decision making for supplier-buyer’s 40. Mudgal, R.K., Shankar, R., Talib, P., Raj, T. ‘Modelling the barriers
Maximum profit in a two echelon’s Supply Chain’ African Journal of of green supply chain practices: an Indian perspective’ Int. Journal of
Business Management, 4, 5, pp687-694(2010). Logistics Systems and Management, 7, 1, pp81-107(2010).
21. Gilbert, S., ‘Greening supply chain: Enhancing competitiveness through 41. Nagel, M. H., ‘Environmental Supply Chain versus green procurement
green productivity’. Tokyo: Asian Productivity Organization, 2000. in the scope of a business and leadership perspective’ International
22. G.Jason Jolley, ‘Green Supply Chain Management Practices Symposium on Electronics & the Environment, San Francisco,
Complement EMS Systems’ Sustainable Enterprise Quarterly, 5, 1, pp1- California, pp219-224(2000).
8(2008). 42. Nicole Darnall, G. Jason Jolley, Robert Handfield, ‘Environmental
23. G. Kannan, A.Noorul Haq,P.Sasikumar, Subramaniam Management Systems and Green Supply Chain Management: -
Arrununchchalam, ‘Analysis and Selection of green suppliers using Complements for Sustainability?’ Journal of Business Strategy and the
interpretive structural modeling and analytic hierarchy process’ Environment, 1, 8, pp30-45(2008).
International journal of Management and Decision Making,9,2,pp163- 43. Ninlawan C., Seksan P., Tossapol K., Pilada W., ‘The Implementation
182(2008). of Green Supply Chain Management Practices in Electronics Industry
24. Gohchee Woofi, Suhaza Zailani, ‘Green Supply Chain Imitative: - ’Proceedings of Multi conference of Engineers and Computer
Investigation on the barrier in the context of SME’s in Malaysia’ Scientists,3,Hongkong March 17-19,pp1-6(2010).
International Business Management, 4, 1, pp 20-27(2010). 44. Penman, I., ‘Environmental concern: implications for Supply Chain
25. Guo-Ciang Wu, yu-hui Cheng, Shin ying Hang (2009), ‘The study of Management. Logistics and distribution planning: strategies for
knowledge transfer and green management performance in green supply management’ London:Kogan page,1994.
chain Management’ African journal of Business Management, 4,1,pp44- 45. Qinghua Zhu, Joseph Sarkis, Kee-Hung Lai, ‘Green Supply
48(2009). Management: Pressures, Practices and Performance within the Chinese
26. Hamel G.Prahalad, C.K, ‘Strategic Intent’. Harvard Business Review, Automobile Industry’ Journal of Cleaner Production, 15, 11-12, pp1041-
67, pp63-76(1989). 1052(2007).
27. Irina Harris, Mohammad Naim, ‘A review of infrastructure modeling 46. Ravi V., Ravi Shankar, ‘Analysis of interactions among the barriers of
for green logistics’ a working paper, pp1-6(2006). reverse logistics’ International Journal of Technological Forecasting &
28. Ivan Dakov, Svetoslav Novkov, ‘Sustainable Supply Chain Social change, 72,8,pp1011-1029(2005).
Management-Scope, Activities and Interrelations and Other 47. Sarkar A., Mohapatra P.K., ‘Evaluation of supplier capability and
Concepts’5th International Conference Business and Mangement,16-17 performance: A method for supply base reduction’ Journal of Purchase
May,Vilinus,Lithuania(2008). supply Management, 12, pp148-163(2006).
29. Jharkharia, S., Shankar R., ‘IT enablement of supply chains: 48. Scupola, A., ‘The adoption of internet commerce by SMEs in the South
understanding the barriers’ Journal of Enterprise Information of Italy: an environmental, technological and organizational
Management, 18, 1, pp 11-27(2005). perspective’ Journal of Global Information Technology Management, 6,
30. Johnny C. Ho., Maurice. K., Tzu-Liang and David S. Ang, 1, pp52-71(2003).
Opportunities in Green Supply Chain Management’ The Coastal 49. Srivastva S., ‘Green supply State of the art Literature Review’.
Business Journal, 8, 1, pp18-31(2009). International Journal of Management Reviews, 9, 1, pp 53-80(2007).
31. Joseph Sarkis, ‘A Strategic Decision Framework for Green Supply 50. Turan Paksoy, Ozceylam, ‘A Multi objective model for optimization of
Chain Management’ Journal of Cleaner Production, 11, pp397- a Green Supply Chain Network’ A white paper, pp1-13, 2009.
409(2003). 51. Tim S.Mclaren, Milena H.head, Yufei Yuan, ‘Supply Chain
32. Joseph Sarkis, ‘A Boundaries and Flows Perspective of Green Supply Management Information System Capabilities; an Exploratory Study of
Chain Management’ GPMI working papers.No-7, October2009. Electronics Manufactures’ Copy Right Springer-Verlag 2004.
33. Lamming R., Hmapson, J., ‘The environmental as a Supply Chain 52. Tsai, W., Ghoshal S., ‘Social capital and value creation: the role of
Management issue’ .British Journal of Management, 7(March Special intra firm networks’ Academy of Management Journal, 41, 4, pp464-
Issue), pp45-62(1996). 476(1998).
34. Lettice,F.,Wyatt C.,Evan S., ‘Buyer-supplier partnerships during 53. Warfield, J.W., ‘Developing Interconnected matrices in Structural
product design and development in the global automotive sector: who modeling’ IEEE Transcript on Systems, Men and Cybernetics, 4, 1,
invests ,in what and when?’International journal of Production pp51-81(1974).
Economics, 2009(in press). 54. Wei D. Solvang Ziqiong Deng, Bjo Solvang, ‘A Closed-loop Supply
35. Manas Garai, ‘Go Green, Promote Green-CGPA Model’ a Working Chain Model for Managing Overall Optimization of Eco-efficiency’
Paper, 2009. POMS 18th Annual Conference Dallas, Taxas USA, May 4 to May7,
36. Masaaki Fuse, Shigeru Kashima, ‘Evaluation method of automobile 2007.
recycling systems for Asia considering 'international material cycles: 55. Zhu, Q., Sarkis, J., ‘Relationship between Operational practices and
application to Japan and Thailand’ Journal of Master Cycles Waste Performance among Early Adopters of Green Supply Chain
Management, 10, pp153-164(2008). Management Practices in Chinese Manufacturing Enterprises’
37. Ming-Kuei Chien, Li-Hsing Shih, ‘Relationship between Management Operations Management, 22,pp265-289(2004).
Practice and Organization Performance under European union 56. Zhu, Q., Sarkis, J., Lai K., ‘Green supply chain management
directives such as ROHS, a case study on the Electrical and Electronics implications for “closing the loop’ Transport Research Part E, 44, 1, pp
industry in Taiwan’ African journal of Environmental Science and 1-18(2008).
Technology, 1,3pp, 37-48(2007).
484
The Organizing Production and Its Economic

Problem- A Overview
1
Binay Kumar, 2Vikas Dhawan, 3Varun Bhatia,
1
Director, SRMIET, Khorabhura, Naraingarh, Ambala, Haryana.
binaykumar36@mail.com
2
Addl.Director,3Lecturer, GITM, Bilaspur,Yamuna Nagar, Haryana.
er.varunbhatia@gmail.com
Abstract: Ownership, often offered to managers, gives the  Distinguish between technological efficiency and
managers an incentive to maximize the firm’s profits, which is economic efficiency
the goal of the owners, the principals. Incentive pay links  Define and explain the principal-agent problem and
managers’ or workers’ pay to the firm’s performance and describe how different types of business organizations
helps align the managers’ and workers’ interests with those of
the owners, the principal.A firm never possesses complete
cope with this problem
information about either the present or the future. It is  Describe and distinguish between different types of
constrained by limited information about the quality and markets in which firms operate
effort of its work force, current and future buying plans of its  Explain why markets coordinate some economic
customers, and the plans of its competitors. The cost of coping activities and firms coordinate others
with limited information limits profit.The opportunity cost of
the owner’s entrepreneurial ability is the average return from II. THE FIRM AND ITS ECONOMIC PROBLEM
this contribution that can be expected from running another
firm. This return is called a normal profit. The opportunity A firm is an institution that hires factors of production and
cost of the owner’s labour spent running the business is the
wage income forgone by not working in the next best
organizes them to produce and sell goods and services.
alternative job.Accountants measure a firm’s profit using
rules laid down by the Internal Revenue Service and the A The Firm’s Goal: A firm’s goal is to maximize profit.
Financial Accounting Standards Board.Their goal is to report If the firm fails to maximize profits it is either
profit so that the firm pays the correct amount of tax and is eliminated or bought out by other firms seeking to
open and honest about its financial situation with its bank and maximize profit.
other lenders.A firm’s opportunity cost of producing a good is
the best, forgone alternative use of its factors of production, B. Measuring a Firm’s Profit: Accountants measure a
usually measured in dollars or rupees.Opportunity cost firm’s profit using rules laid down by the Internal
includes both: a. Explicit costs b. Implicit costs.The paper
highlights the sources, precautions and remedial action of
Revenue Service and the Financial Accounting
firms that influencing the working system of business Standards Board.
production system. Their goal is to report profit so that the firm pays the
correct amount of tax and is open and honest about its
Key Word: Firm, Cost, Profit, Information, financial financial situation with its bank and other lenders.
Accounting Economists measure profit based on an opportunity
cost measure of cost.
I. ORGANIZING PRODUCTION
Production is the main area for the effectiveness of any C. Opportunity Cost: A firm’s decisions respond to
organisation. It is of vital importance to understand that the opportunity cost and economic profit.
effective management of the production department of an A firm’s opportunity cost of producing a good is the
organisation leads to higher profitability of any best, forgone alternative use of its factors of
organisation, but inorder to manage the production production, usually measured in dollars.
effectively, one must know that what are the various Opportunity cost includes both:
problems related to the production department, what  Explicit costs
sources are available to cope up those problems, in which  Implicit costs
market the organisation prevail and what is the effect of
that market on the overall performance of the organisation. Explicit costs are costs paid directly in money.
Implicit costs are costs incurred when a firm uses its
Objectives own capital or its owners’ time for which it does not
 Explain what a firm is and describe the economic make a direct money payment. The firm can rent
problems that all firms face
485
capital and pay an explicit rental cost reflecting the I. Information Constraints: A firm never possesses
opportunity cost of using the capital. complete information about either the present or the
The firm can also buy capital and incur an implicit future.
opportunity cost of using its own capital, called the It is constrained by limited information about the
implicit rental rate of capital. quality and effort of its work force, current and future
The implicit rental rate of capital is made up of: buying plans of its customers, and the plans of its
 Economic depreciation competitors. The cost of coping with limited
 Interest forgone information limits profit.
D. Economic depreciation: Economic depreciation is the J. Market Constraints: What a firm can sell and the
change in the market value of capital over a given price it can obtain are constrained by its customers’
period. willingness to pay and by the prices and marketing
Interest forgone is the return on the funds used to efforts of other firms.
acquire the capital. The cost of the owner’s resources The resources that a firm can buy and the prices it
is his or her entrepreneurial ability and labor expended must pay for them are limited by the willingness of
in running the business. people to work for and invest in the firm.
The opportunity cost of the owner’s entrepreneurial The expenditures a firm incurs to overcome these
ability is the average return from this contribution that market constraints will limit the profit the firm can
can be expected from running another firm. This return make.
is called a normal profit. The opportunity cost of the
owner’s labor spent running the business is the wage III. TECHNOLOGY AND ECONOMIC EFFICIENCY
income forgone by not working in the next best
alternative job. A. Technological Efficiency: Technological efficiency
occurs when a firm produces a given level of output by
E. Economic Profit: Economic profit equals a firm’s total using the least amount inputs.
revenue minus its opportunity cost of production. A There may be different combinations of inputs to use
firm’s opportunity cost of production is the sum of the for producing a given level of output. If it is
explicit costs and implicit costs. impossible to maintain output by decreasing any one
Normal profit is part of the firm’s opportunity costs, so input, holding all other inputs constant, then
economic profit is profit over and above normal profit. production is technologically efficient.
F. Economic Accounting: To maximize profit, a firm B. Economic Efficiency: Economic efficiency occurs
must make five basic decisions: when the firm produces a given level of output at the
 What goods and services to produce and in what least cost.
quantities The economically efficient method depends on the
 How to produce—the production technology to use relative costs of capital and labor. The difference
 How to organize and compensate its managers and between technological and economic efficiency is that
workers technological efficiency concerns the quantity of
 How to market and price its products inputs used in production for a given level of output,
 What to produce itself and what to buy from other whereas economic efficiency concerns the cost of the
firms inputs used. An economically efficient production
process also is technologically efficient. A
G. The Firm’s Constraints: The five basic decisions of a technologically efficient process may not be
firm are limited by the constraints it faces. There are economically efficient. Changes in the input prices
three constraints a firm faces: influence the value of the inputs, but not the
 Technology technological process for using them in production.
 Information
 Market IV. INFORMATION AND ORGANIZATION
H. Technology Constraints: Technology is any method of A firm organizes production by combining and
producing a good or service. Technology advances coordinating productive resources using a mixture of two
over time. Using the available technology, the firm can systems:
produce more only if it hires more resources, which  Command systems
will increase its costs and limit the profit of additional  Incentive systems
output.
A. Command Systems: A command system uses a
managerial hierarchy.
486
Commands pass downward through the hierarchy and H. Partnership: A partnership is a firm with two or more
information (feedback) passes upward. owners who have unlimited liability.
These systems are relatively rigid and can have many Partners must agree on a management structure and
layers of specialized management. how to divide up the profits.
Profits from partnerships are taxed as the personal
B. Incentive Systems: An incentive system, uses market- income of the owners.
like mechanisms to induce workers to perform in ways
that maximize the firm’s profit. I. Corporation: A corporation is owned by one or more
stockholders with limited liability, which means the
C. Mixing the Systems: Most firms use a mix of command owners who have legal liability only for the initial
and incentive systems to maximize profit. value of their investment.
They use commands when it is easy to monitor The personal wealth of the stockholders is not at risk if
performance or when a small deviation from the ideal the firm goes bankrupt.
performance is very costly. The profit of corporations is taxed twice—once as a
They use incentives whenever monitoring performance corporate tax on firm profits, and then again as income
is impossible or too costly to be worth doing. taxes paid by stockholders receiving their after-tax
profits distributed as dividends.
D. The Principal-Agent Problem: The principal-agent
problem is the problem of devising compensation rules J. Advantages and disadvantages of Different Types of
that induce an agent to act in the best interests of a Firms: Each type of business organization has
principal. advantages and disadvantages.
For example, the stockholders of a firm are the  Proprietorships are easy to set up
principals and the managers of the firm are their  Managerial decision-making is simple
agents.  Profits are taxed only once
 But bad decisions made by the manager are not subject
E. Coping with the Principal-Agent Problem: Three ways to review
of coping with the principal-agent problem are:  The owner’s entire wealth is at stake
 Ownership  The firm dies with the owner
 Incentive pay  The cost of capital and labor can be high
 Long-term contracts  Partnerships are easy to set up
Ownership, often offered to managers, gives the managers  Employ diversified decision-making processes
an incentive to maximize the firm’s profits, which is  Can survive the death or withdrawal of a partner
the goal of the owners, the principals.  Profits are taxed only once
Incentive pay links managers’ or workers’ pay to the  But partnerships make attaining a consensus about
firm’s performance and helps align the managers’ and managerial decisions difficult
workers’ interests with those of the owners, the  Place the owners’ entire wealth at risk
principal.  The cost of capital can be high, and the withdrawal of
Long-term contracts can tie managers’ or workers’ a partner might create a capital shortage
long-term rewards to the long-term performance of the  A corporation offers perpetual life
firm. This arrangement encourages the agents work in  Limited liability for its owners
the best long-term interests of the firm owners, the  Large-scale and low-cost capital that is readily
principals. available
 Professional management
F. Types of Business Organization: There are three  Lower costs from long-term labor contracts
types of business organization:  But a corporation’s management structure may lead to
 Proprietorship slower and expensive decision-making
 Partnership  Profit is taxed twice—as corporate profit and
 Corporation shareholder income.
G. Proprietorship: A proprietorship is a firm with a K. The Relative Importance of Different Types and Firms:
single owner who has unlimited liability, or legal There are a greater number of proprietorships than
responsibility for all debts incurred by the firm—up to other form of business, but corporations account for
an amount equal to the entire wealth of the owner. the majority of revenue received by businesses.
The proprietor also makes management decisions and
receives the firm’s profit. Figure 4.1(a) shows the frequency of each type of business
Profits are taxed the same as the owner’s other income. organization and Figure 4.1(b) shows the dominant type of
business organization for various industries.
487
C. Oligopoly is a market structure in which:

 A small number of firms compete
 The firms might produce almost identical products
or differentiated products
 Barriers to entry limit entry into the market.
D. Monopoly is a market structure in which

 One firm produces the entire output of the
industry
 There are no close substitutes for the product
 There are barriers to entry that protect the firm
from competition by entering firms
E. Measures of Concentration
Two measures of market concentration in common use are:
 The four-firm concentration ratio
 The Herfindahl–Hirschman index (HHI)
The four-firm concentration ratio (FFCR) is the

percentage of the total industry sales accounted for by the
four largest firms in the industry.
The Herfindahl–Hirschman index (HHI) is the sum of

the squared market shares of the 50 largest firms in the
industry. The larger the measure of market concentration,
the less competition that exists in the industry.
Fig. 4.1(a) & 4.1 (b)
F. Concentration Measures for the U.S. Economy:
The U.S. Justice Department uses the HHI to classify
V. MARKETS AND markets.
 A market with an HHI of less than 1,000 is
THE COMPETITIVE ENVIRONMENT regarded as highly competitive
 A market with an HHI between 1,000 and 1,800 is
Economists identify four market types: regarded as moderately competitive
 Perfect competition  A market with an HHI greater than 1,800 is
 Monopolistic competition uncompetitive
 Oligopoly
 Monopoly Figure 5.1 shows the four-firm concentration ratio for
various industries in the United States.
A. Perfect competition is a market structure with:
 Many firms The figure also shows the HHI for these industries.
 Each sells an identical product
 Many buyers
 No restrictions on entry of new firms to the
industry
 Both firms and buyers are all well informed of the
prices and products of all firms in the industry.
B. Monopolistic competition is a market structure with:

 Many firms
 Each firm produces similar but slightly different
products—called product differentiation
 Each firm possesses an element of market power
 No restrictions on entry of new firms to the
industry
488
Fig 5.2: The distribution of market structures
VI. MARKETS AND FIRMS
A. Market Coordination: Markets both coordinate

production.
How demand and supply coordinate the plans of
Fig.5.1: Four-firm concentration ratio buyers and sellers.
Outsourcing—buying parts or products from other
firms—is an example of market coordination of
G. Limitations of Concentration Measures: production. But firms coordinate more production than
Concentration measures alone are not sufficient to identify do markets. Why?
the market structure of a given industry. Concentration
ratios are based on the national market. For some goods,
the relevant market is local (e.g., newspapers) For some B. Why Firms? : Firms coordinate production when they
goods, the relevant market is the world (e.g., automobiles). can do so more efficiently than a market.
Concentration ratios convey no information about the Four key reasons might make firms more efficient.
extent of barriers to entry. For some industries, few firms Firms can achieve:
may be currently operating in the market but competition  Lower transactions costs
might be fierce, with firms regularly entering and exiting  Economies of scale
the industry.Even potential entry might be enough to  Economies of scope
maintain competition.  Economies of team production
H. Market Structures in the U.S. Economy: C. Transactions costs are the costs arising from finding
Figure 5.2 shows the distribution of market structures someone with whom to do business, reaching
in the U.S. economy. agreement on the price and other aspects of the
The economy is mainly competitive. exchange, and ensuring that the terms of the agreement
are fulfilled.
489
D. Economies of scale occur when the cost of producing a

unit of a good falls as its output rate increases.
E. Economies of scope arise when a firm can use

specialized inputs to produce a range of different
goods at a lower cost than otherwise.
Firms can engage in team production, in which the
individuals specialize in mutually supporting tasks.
VII. CONCLUSION
Interest forgone is the return on the funds used to acquire

the capital.
The cost of the owner’s resources is his or her
entrepreneurial ability and labor expended in running the
business.
The opportunity cost of the owner’s entrepreneurial ability
is the average return from this contribution that can be
expected from running another firm. This return is called a
normal profit. The opportunity cost of the owner’s labour
spent running the business is the wage income forgone by
not working in the next best alternative job.
Accountants measure a firm’s profit using rules laid down
by the Internal Revenue Service and the Financial
Accounting Standards Board.
Ownership, often offered to managers, gives the managers
an incentive to maximize the firm’s profits, which is the
goal of the owners, the principals. Incentive pay links
managers’ or workers’ pay to the firm’s performance and
helps align the managers’ and workers’ interests with those
of the owners, the principal.
REFERENCE
[1] WATSON, G.H., CONTI, T., KONDÖ, Y.: Quality into the 21st
Century: Perspectives on quality and competitiveness for sustained
performance. Milwaukee, Wis. : ASQ Quality Press, 2003. ISBN 0-
87389-602-5
[2] Toyota production system (TPS), Overview & Problem Statement
Analysis & observations and Recommendations,
[3] Microsoft Dynamics, Developing and Strengthening Profitable
Customer Relationships with Microsoft Dynamics CRM, Published
Date: Jul 03, 2008.
[4] Progress Software BTA Financial, Managing Business-Critical
Applications: A Guide to Finding the Right Software, Published
Date: Nov 04, 2008.
490
491
To Study the Measures Taken by MNC’s in

Supplier Loop to Make it Sustainable Supply
Chain
Sudeep Sharma1, Pawandeep Singh Dhaliwal 2
1
Department of Mechanical and Manufacturing, Manav Bharti University,Kumarhatti ,Solan
2
Department of Industrial Engineering, Guru Nanak Dev Engineering College, Ludhiana, India
2
deep_dhaliwal333@yahoo.co.in
business environment that requires more attention to the

Abstract - More people are aware of the world’s bottom line,supply chain management is vital to
environmental problems such as global warming, competitive advantage and sustainable business
toxic substance usage, and decreasing in non- improvement.Holmberg, J. and K.-H. Robèrt, 2000 have
replenish resources. The Governments has released mentioned a concept called Backcasting. Backcasting is a
campaigns to promote this problem to people. Several form of strategic thinking that requires its users to have a
organizations responded to this by applying green clear understanding of success—for example a
principles to their company, such as using sustainable
environmental friendly raw material, reducing the society—and then ask, ―what must be done now in order
usage of petroleum power, and using the recycle to achieve this vision?Willard, Bob, 2002, have stated
papers for packaging. The green principles were how businesses are aware of the growing demand for
expanded to many departments within organization, products that embody global environmental and social
including supply chain. Green supply chain responsibility. Preuss, Lutz, 2005, have discussed how
management (GSCM) was emerging in the last few Supply Chain Management has become a requirement for
years. This idea covers every stage in manufacturing
success for many businesses and in order to create a
from the first to the last stage of life cycle, i.e. from
“Green” business it is important to have a “Green”
product design to recycle.
Supply Chain Management.
Green Supply Chain Management
- DELL, GSCM ,HP, SCM, Sustainability.
Keywords
Green supply chain management (GSCM) has emerged as
Paper Type: Research Type. a key approach for enterprises seeking to become
environmentally sustainable. The notion of Green Supply
I. INTRODUCTION Chain Management implies the insertion of
environmental decisions within the traditional concept of
Supply Chain Management.
Supply Chain Management (SCM) is the
systematic, strategic coordination of the traditional "Green Supply Chain Management is integrating
business functions within a particular company and across environment thinking into supply chain management,
business within the supply chain, for the purposes of including product design, material sourcing and
improving the long term performance of the individual selection, manufacturing processes, delivery of the final
companies and the supply chain as a whole. product to the consumers, and end-of-life management of
Literature review the product after its useful life."
The literature review done so far provided context and
informed this study of current business devices regarding GSCM addresses the four interrelated areas of the supply
companies‟ efforts to influence their supply chain to chain: upstream, downstream, within the organization,
move towards sustainability. and logistics.
Lee, Hau L., and Corey Billington, 1995 and Lee, Hau L.,
and Jason Amaral, 2002 have stated that in a competitive
492
 Upstream activities of the organization include technologically advanced and environment

evaluation criteria of suppliers' environmental friendly. This will enhance the brand image
performance. and brand reputation in customers' mind.
 Downstream, usually comprises those activities

Supply Chain Management at Dell, Dell's Direct
related to the disposal and sale of excess stock, Model
including recovery and recycling opportunities. Dell Inc. pioneered the Direct Model of selling PCs
directly to the consumers. Dell Computer
 Within the organization, supply chain Corporation a leading direct computer systems
management might include involvement with company was founded in 1984. Dell sells its
"design for the environment" with suppliers. computer systems directly to end customers,
bypassing distributors and retailers (resellers). Dell's
 In logistics, activities such as just in time or supply chain consists of only three stages— the
quality management intertwine with suppliers, the manufacturer (Dell), and end users.
environmental criteria.
Benefits of Green Supply Chain Management

Organizations can enjoy several benefits by greening
their Supply chain, such as:
 Sustainability Of Resources - GSCM helps in

proper and effective utilization of available
productive resources of organizations.
Organizations will purchase 'green' input
resources for environmental friendly production
process to produce desired outputs.
 Lowered Costs/Increased Efficiency -

Effective management of suppliers can reduce
transaction costs and promote recycling and
reuse of raw materials. Also, the production of Figure.1 Dell Supply Chain.
waste and hazardous substances can be cut,
preventing corporations from being fined as a
result of violating environmental regulations.
Consequently, the relevant handling and
operational cost involved can be further reduced
and, in the mean time, the efficiency of using
resources can be enhanced.
 Product Differentiation And Competitive

Advantage - It helps the organization in
positioning its product differently in customer's
mind. Besides attracting new profitable
customers for organization, it will give
competitive edge over competitors in market
place. It will strengthen the brand image and
reputation in market place.
 Adapting to Regulation and Reducing Risk -

Organizations adopting GSCM practices can Figure.2 PC Supply chain.
reduce the chances of being prosecuted for anti-
environmental and unethical practices. Dell‟s direct contact with customers allows it to:
 properly identify market segments,
 Improved quality and products –
organization will produce products which are
493
 analyze the requirements and profitability of

each segment, and
 Develop more accurate demand forecasts.
Dell matches supply and demand because its

customers order computer configurations over the
phone or online (Internet). These computer
configurations are built up from components that are
available. Dell‟s strategy is to provide customized, low
cost, and quality computers that are delivered on time.
Dell successfully implemented this strategy through its Figure 3.Dell‟s market share in U.S. and Worldwide (in
efficient manufacturing operations, better supply chain Q1 2009) compared to other top PC makers
management and direct sales model. Dell takes orders HP Supply Chain - Dynamic Replenishment
directly from its customers; either on phone or online.
Thus, Dell reduces the cost of intermediaries that There is one process we know very well after one year
would otherwise add up to the total cost of PC for the of recession, and that's cost reduction. Most companies
customer. Dell also saves time on processing orders have scrutinized their costs and tried to take every
that other companies normally incur in their sales and waste out of the system. Many were quick to point out
distribution system. Moreover, by directly dealing with that, although the sustainability agenda was still on the
the customer Dell gets a clearer indication of market radar screen, it has been taking a back seat for quite a
trends. This helps Dell to plan for future besides better while now.
managing its supply chain. In 2006 however,
increasing discontent of customers led to a slowdown We can now focus on reducing the consumption at that
in sales. Consequently, Dell lost its market leadership step in the process. Doing this may imply we have to
to Hewlett-Packard Co. (HP). Industry analysts felt change the design of the product, use a new
that, with Dell‟s competitors also improving their manufacturing approach or change something
supply chains and matching Performance increases. somewhere in the supply chain. It may happen that a
Dell engineers measured database performance for slight increase in energy consumption in one place
both the previous system: Proprietary UNIX-based may result in large savings somewhere else. It is
servers and current system: Oracle RAC on Dell important to include design and engineering in the
PowerEdge serversSCM process to ensure we go back to the root cause of why
so much energy is consumed.
systems. The most significant time savings occurred in
the data extraction for all material movements BOC, bill of carbon, gives the answer to our question
transactions, which dropped from almost 5 hours to just here. What do we need to calculate the BOC?
35 minutes for an 88 percent improvement, while the time Fundamentally two things, first the complete bill of
for the entire end-of-quarter jobs processing decreased material of the end product, and second the amount of
from 31 hours to 23 hours. CO2 generated at each step in the manufacturing
process for one unit of product/component/ingredient.
Cost-effective, scalable supply chain Management The latter is mainly based on the full bill of process.
Supply chain management is essential to Dell operations Each partner in the supply chain should calculate all
around the world, with both factory operations and emissions related to the operations under his control.
internal systems dependent on SCM systems to provide This includes manufacturing, transportation,
real-time information about key business functions. warehousing etc.
Running these systems on Oracle RAC 10g clusters of
industry standard Dell Power Edge servers enables Dell
How did HP become a "Green" Company?
IT to scale them efficiently and cost-effectively to handle HP is mainly working in three spaces:
increased workloads. By moving the systems to Dell
servers when it did, Dell IT avoided significant additional  Reducing the environmental impact of a product
expenditures for proprietary UNIX-based servers, throughout its whole lifecycle, from design to
enhanced performance, and provided a clear path for recycling
future growth.
 Reducing the environmental impact of HP's own
operations and facilities
494
 Helping HP employees reduce their own centers, the company was responsible for procurement,
environmental impact the quality inspection program, storage, inventory
Let me give you some examples. About one year ago, management, deliveries to the restaurants and data
HP designed a notebook for Wal-Mart, shipped in a collection, recording and reporting. Value-added services
stylish bag made out of 100% recycled material, reducing like shredding of lettuce, re-packing of promotional items
packaging with 97%, and winning Wal-Mart‟s Design
continued since then at the centers playing a vital role in
Challenge along the way. Another example is the
increased use of recycled material in the production of maintaining the integrity of the products throughout the
Inkjet Cartridges. entire 'cold chain'.
Developing supply chain sustainability Through its unique cold chain, McDonalds has been
able to both cut down on its operational wastage, as well
In an effort to reduce costs, Supply Chains have as maintain the freshness and nutritional value of raw and
become increasingly global and stretched as inventories processed food products.
are kept low. The volatility of the oil prices first, the
economical downturn second, and now the varying
TABLE1.
country economy support programs change the equation
on a day to day basis. A number of highly publicized OUTSOURCING THE INGREDIENTS
disruptions in key company supply chains have Dynamix Dairy
demonstrated their vulnerability. Cheese
Industries Ltd., Pune
According to Aberdeen, 58% of companies surveyed
Dehydrated onions Jain Foods, Jalgaon
suffered financial losses as a result of supply chain
disruptions and 99% experienced some kind of glitch. Trikaya Agriculture,
Iceberg lettuce
They include supplier capacity failing to meet demand Pune
(56 percent of the companies reporting supply chain
disruptions), shortages or price increases for raw Chicken patty Vista Foods, Taloja
materials (49 percent), unexpected changes in customer Veg. Patty, Veg.
demand (45 percent) and shipments that were delayed, nuggets, Kitran Foods, Taloja
damaged or misdirected (39 percent).
Pineapple/Apple pie
Leading companies are re-assessing their supply
Chicken (dressed) Riverdale, Talegaon
chains.
Cremica Industries,
Buns
McDonalds India Supply Chain: Phillaur
Quaker Cremica Pvt.
Supply chain is one of the critical factors for the smooth Eggless mayonnaise
Ltd., Phillaur
functioning of any business. And when we are talking
Sesame seeds Ghaziabad
about fast food business with McDonald‟s as the subject
of the study it can expected a Supply Chain model of one Meena Agritech,
Iceberg lettuce
of the highest precisions. Delhi
The success of McDonalds India was achieved by Amalgam Foods
Fish fillet patties
sourcing all its required products from within the country. Ltd., Kochi.
To ensure this, McDonalds developed local businesses,
Ooty Farms &
which can supply it highest quality products. Today, Iceberg lettuce
McDonalds India works with 38 different suppliers on a Orchards, Ooty
long term basis and several other stand alone restaurants Finns Frozen Foods
for its various other requirements. Vegetables for the
& Jain Foods (Nasik,
McDonald's entered its first distribution partnership patties
Jalgaon)
agreement with Radha Krishna Foodland, a part of the
Mutton and mutton Al Kabeer,
Radha Krishna Group engaged in food-related service
patties Hyderabad
businesses. The association goes back to July 1993, when
it studied the nuances of McDonald's operations and Source: Business India, October 4, 1999
requirements for the Indian market. As distribution Learning’s from India
495
Sustainable development in India now encompasses a [1]. Ash, N., R. Hassan and R. Scholes, Summary:
variety of development schemes in social, cleantech Ecosystems and Their Services around the Year
(clean energy, clean water and sustainable agriculture) 2000, Ecosystems and Human Wellbeing:
and human resources segments, having caught the Current State and Trends, Volume 1. Island Press.
2005. Millenium Ecosystem Assessment,
attention of both Central and State governments and also
public and private sectors. Social sector, cleantech http://www.maweb.org/documents/document.766.aspx.pdf
investments into green energy and fuel alternatives and (Accessed 1 January 2010).
development schemes for backward and below the [2]. Jorgensen, B. (2005, June). The "Greening" of The
poverty line (BPL) families are being touted as some of Supply Chain. Electronic Business, 31 (6), pp. 29-30.
the more heavily invested segments in India in 2009,
despite the economic slowdown. [3]. Kleindorfer, P. R., Singhal, K., & Van Wassenhove, L.
N. (2005). Sustainable Operations Management.
In fact, India is expected to begin the greening of its Production and Operations Management, 14 (4), 482-
national income accounting, making depletion in natural 492.
resources wealth a key component in its measurement of [4]. Srivastara, S. K. (2007). Green Supply-Chain
gross domestic product (GDP). Management: A State-of-The-Art Literature Review.
International Journal of Management Reviews, 9 (1),
Sustainable energy investment in India went up to 53-80.
US$ 3.7 billion in 2008, up 12 per cent since 2007. It [5]. Gordon, Sherry R. 2006, Supplier Evaluation:
included asset finance of US$ 3.2 billion, up by 36 Benefits, Barriers, Best Practices,. Minneapolis,
per cent. Venture capital and private equity saw an MA. 91st Annual International Supply Management
increase of 270 per cent to US$ 493 million. Merger Conference,
and acquisition activities totalled US$ 585 million.
http://www.ism.ws/pubs/proceedings/confproceedings
Most acquisition activity was centered on biomass, detail.cfm?ItemNumber=137
small hydro and wind projects, according to the
[6]. Manga, Manuel, and Tirza Hollenhorst, 2004,
report, Global Trends in Sustainable Energy ¯Evolutionary Leadership for Building
Investment 2009. Sustainable Organizations,. Review of Reviewed
Item., http://www.evolutionleader.com,
Conclusion [7]. Scott, Lee. ¯Sustainability 360: Doing Good, Better,
Together.. Lecture by Wal-Mart President
GSCM is a relatively new green issue for the and CEO Lee Scott to the Prince of Wales„s Business
majority of Indian Corporations. Adding the & the Environment Programme February
"green" component to supply chain management 1,2007.
involves addressing the influence and http://www.walmartfacts.com/articles/4785.aspx
relationships of supply chain management to the [8]. World Revolution, The, ¯The State of the World Brief
natural environment. Green business practices that Overview of Global Issues,. Human
maintain and sustain good environmental quality Rights.
are increasingly becoming a vital component of http://www.worldrevolution.org/projects/globalissueso
business organization. verview/overview2/briefhumanrights.htm
(Accessed 15 January 2010)..
Two Indian companies including Wipro and HCL have
figured in the list of top five green electronics brands as
per the 8th edition of the Guide to Greener Electronics,
because of their strong focus on the e-waste management
and climate control. The study which for the first time has
included climate and energy as criteria for evaluation has
placed Wipro in joint second position with Samsung.
Wipro InfoTech, provider of IT and business
transformation services, has unveiled its new eco-friendly
and toxin-free desktops, manufactured with materials
completely free of deadly chemicals like polyvinyl
chloride and brominated flame retardants.
REFERENCES
496
A Theoretical Approach of Reverse Engineering

Dr. S.P. Untawale1, N.Y. Mohite2, P.D. Kamble3
1
Prof., 2, 3 Lecturer, Department. of Mechanical Engineering, Y.C.C.E, Nagpur-441110, India
1
untawale@gmail.com
2
cnitin2004@rediffmail.com
3
pdk121180@yahoo.com
Abstract - Engineering is the profession involved in subject system to create representations of the system at a
designing, manufacturing, constructing, and maintaining higher level of abstraction. It can also be seen as "going
of products, systems, and structures. At a higher level, backwards through the development cycle.[2]
there are two types of engineering: forward engineering
and reverse engineering. Forward engineering is the II. NEED OF REVERSE ENGINEERING
traditional process of moving from high-level abstractions In some situations, designers give a shape to their ideas by
and logical designs to the physical implementation of a using clay, plaster, wood, or foam rubber, but a CAD model
system. In some situations, there may be a physical part is needed to enable the manufacturing of the part. As
without any technical details, such as drawings, bills-of- products become more organic in shape, designing in CAD
material, or without engineering data, such as thermal may be challenging or impossible. There is no guarantee that
and electrical properties. The process of duplicating an the CAD model will be acceptably close to the sculpted
existing component, subassembly, or product, without the model. Reverse engineering provides a solution to this
aid of drawings, documentation, or computer model is problem because the physical model is the source of
known as reverse engineering. [1] information for the CAD model. This is also referred to as
Key words- reverse Engineering, level of accuracy, Rapid the part-to-CAD process. Another reason for reverse
product development. engineering is to compress product development times. In the
intensely competitive global market, manufacturers are
I. INTRODUCTION constantly seeking new ways to shorten lead-times to market
Reverse engineering can be viewed as the process of a new product. Rapid product development (RPD) refers to
analyzing a system to: recently developed technologies and techniques that assist
Identify the system's components and their interrelationships, manufacturers and designers in meeting the demands of
Create representations of the system in another form or a reduced product development time. For example, injection-
higher level of abstraction, Create the physical representation molding companies must drastically reduce the tool and die
of that system. Reverse engineering is very common in such development times. By using reverse engineering, a three-
diverse fields as software engineering, entertainment, dimensional product or model can be quickly captured in
automotive, consumer products, microchips, chemicals, digital form, re-modeled, and exported for rapid
electronics, and mechanical designs. For example, when a prototyping/tooling or rapid manufacturing.
new machine comes to market, competing manufacturers Following are reasons for reverse engineering a part or
may buy one machine and disassemble it to learn how it was product:
built and how it works. A chemical company may use reverse 1. The original manufacturer of a product no longer
engineering to defeat a patent on a competitor's produces a psroduct
manufacturing process. In civil engineering, bridge and 2. There is inadequate documentation of the original
building designs are copied from past successes so there will design
be less chance of catastrophic failure. In software 3. The original manufacturer no longer exists, but a
engineering, good source code is often a variation of other customer needs the product
good source code. The term reverse engineering as applied to 4. The original design documentation has been lost or
software means different things to different people, never existed
prompting Chikofsky and Cross to write a paper researching 5. Some bad features of a product need to be designed
the various uses and defining a taxonomy. From their paper, out. For example, excessive wear might indicate
they state, "Reverse engineering is the process of analyzing a where a product should be improved
497
6. To strengthen the good features of a product based Defining Questions

on long-term usage of the product What is the size of the object you wish to digitize? This,
7. To analyze the good and bad features of of course, affects the type of digitizing device you can use.
competitors' product Some input devices can be repositioned to be able to handle
8. To explore new avenues to improve product larger objects, but you have to be concerned about the
performance and features potential loss of accuracy. Related questions are how much
9. To gain competitive benchmarking methods to space around the object do you have to work with and what
understand competitor's products and develop better are the environmental conditions?
products What level of accuracy do you need?
10. The original CAD model is not sufficient to support Don’t expect too much accuracy. Although the digitizing
modifications or current manufacturing methods device you use might be very accurate, you are only
11. The original supplier is unable or unwilling to collecting data at discrete points. These disjoint points must
provide additional parts then be curve-fit or surface-fit to create a useable 3D model.
12. The original equipment manufacturers are either This fitting process is where most of the accuracy errors are
unwilling or unable to supply replacement parts, or introduced. Even if you collect thousands of data points on
demand inflated costs for sole-source parts the object, you still will lose some accuracy when the points
13. To update obsolete materials or antiquated are converted into a usable form. The accuracy of the input
manufacturing processes with more current, less- device may not be the accuracy you achieve for the usable
expensive technologies [1] 3D computer model.
For the input devices, you also have to be careful about the
III. REVERSE ENGINEERING PROCESS accuracy figures given. What is the best accuracy? What is
Reverse engineering of mechanical parts involves acquiring the worst-case accuracy? What is the repeatable accuracy?
three-dimensional position data in the point cloud using laser What is the digital accuracy (number of bits)? For example,
scanners or computed tomography (CT). Representing 2D scanners usually define both the optical resolution and the
geometry of the part in terms of surface points is the first step digital resolution. The optical resolution is lower than the
in creating parametric surface patches. A good polymesh is digital resolution, but the devices can sometimes interpolate
created from the point cloud using reverse engineering the raw, optical data to increase it to the full digital
software. The cleaned-up polymesh, NURBS (Non-uniform resolution. The interpolated results, however, do not have
rational B-spline) curves, or NURBS surfaces are exported to the same accuracy as a scanner that has a higher optical
CAD packages for further refinement, analysis, and resolution. There can also be other errors from other sources.
generation of cutter tool paths for CAM. Finally, the CAM If accuracy is that important to you, then you must put the
produces the physical part. It can be said that reverse whole 3-step process to a test. Remember, however, that
engineering begins with the product and works through the most of the errors will be introduced during the conversion
design process in the opposite direction to arrive at a product process from the raw data into the usable 3D model.
definition statement (PDS). In doing so, it uncovers as much What do you want to do with the data?
information as possible about the design ideas that were used This is perhaps the most important question because it affects
to produce a particular product. There are up to three steps in what hardware and software you need. If you just want to
the process of reverse engineering. The first step is to use recreate just the basic shape of an object for use in a fast-
some input device or technique to collect the raw geometry of moving, dynamic simulation, then accuracy is not critical and
the object. This data is usually in the form of (x, y, z) points you want the data size of the final 3D model to be small.
on the object relative to some local coordinate system. These Since you won’t be using the 3D model for construction or
points may or may not be in any particular order. The second repair purposes, then you might only need a 3D polyhedron
step is to use a computer program to read this raw point data (polygon) form. This will affect the type of software you
and to convert it into a usable form. This step is not as easy need to convert the raw data into a useable 3D model form.
as it might seem. The third step is to transfer the results from If, however, you need a very accurate recreation of the object
the reverse engineering software into some 3D modeling or to perform a repair or alteration, then you will need to
application software so that you can perform the desired convert the raw data to a different 3D modeling form, such as
action on the geometry. Sometimes, steps 2 and 3 can be NURB surfaces. If you also need to verify or prove that the
done inside one program.[3] final 3D computer model is within a certain tolerance of the
IV. DEFINING QUESTIONS IN REVERSE raw data, then you need to look for tools in the software that
ENGINEERING make this task easier.
Generally speaking, for less accurate objects or “organic
objects”, the goal is to recreate the object in a 3D polygon-
498
type form. If the object to be input is a manufactured object  Tupolev Tu-4: Three American B-29 bombers on
with precise dimensions, then the goal is to recreate the missions over Japan were forced to land in the
object using 3D NURB surfaces. NURB surfaces may also USSR. The Soviets, who did not have a similar
be used for less accurate or organic objects, if the goal is to strategic bomber, decided to copy the B-29. Within
be able to perform large-scale modifications to the object. a few years, they had developed the Tu-4, a near-
These are not hard and fast rules, since there is a good perfect copy.
overlap of capability between organic, polygon or  V2 Rocket: Technical documents for the V2 and related
subdivision modelers and NURB surface modelers. [3] technologies were captured by the Western Allies at
the end of the war. Soviet and captured German
V. REVERSE ENGINEERING SOFTWARE engineers had to reproduce technical documents and
Special purpose reverse engineering programs may have plans, working from captured hardware, in order to
many tools for performing general 3D shape manipulation, make their clone of the rocket, the R-1, which began
but their main focus is on the process of converting raw point the postwar Soviet rocket program that led to the R-
data from the input devices into a more usable polygon or 7 and the beginning of the space race.
 K-13/R-3S missile (NATO reporting name AA-2 'Atoll),
NURB surface representation with the least loss of accuracy.
a Soviet reverse-engineered copy of the AIM-9
You would like to think that after this process is done, the Sidewinder, made possible after a Taiwanese AIM-
final 3D computer model passes exactly through all of the 9B hit a Chinese MiG-17 without exploding;
raw input data points. This may happen for a polygon model, amazingly, the missile became lodged within the
but the raw data rarely ever matches the exact needs of a airframe, the pilot returning to base with what
NURB surface model and the accuracy is less. The following Russian scientists would describe as a university
two sequences of steps show you what you might have to go course in missile development.
 BGM-71 TOW Missile: In May 1975, negotiations
through during the reverse engineering process. The first
between Iran and Hughes Missile Systems on co-
sequence of steps is for point clouds of raw input data and the production of the TOW and Maverick missiles
second sequence of steps is for raw point data that is stalled over disagreements in the pricing structure,
organized sequentially along key paths on the object. the subsequent 1979 revolution ending all plans for
such co-production. Iran was later successful in
VI. ADVANTAGE OF REVERSE ENGINEERING. reverse-engineering the missile and are currently
Reverse engineering enables the duplication of an existing producing their own copy: the Toophan.
part by capturing the component's physical dimensions,  China has reversed many examples of Western and
features, and material properties. Before attempting reverse Russian hardware, from fighter aircraft to missiles
engineering, a well-planned life-cycle analysis and and HMMWV cars. [5]
cost/benefit analysis should be conducted to justify the
reverse engineering projects. Reverse engineering is typically VII. REFERENCES
cost effective only if the items to be reverse engineered [1] Reengineering and Reinventing- by P. N. Rastogi
reflect a high investment or will be reproduced in large [2] Reengineering the Corporation – Hammer & Champy.
quantities. Reverse engineering of a part may be attempted [3] Reversing: Secrets of Reverse Engineering- by Eldad
even if it is not cost effective, if the part is absolutely Eilam.
required and is mission-critical to a system.[4] [4] Hausi A. Müller, Jens H. Jahnke “Reverse Engineering:
Reverse engineering for military applications A Roadmap” "The Future of Software Engineering" ,
Reverse engineering is often used by militaries in order to Anthony Finkelstein (Ed.), ACM Press 2000.
copy other nations' technologies, devices or information that [5] “An approach to reverse engineering of C programs to
have been obtained by regular troops in the fields or by simulink models with conformance testing” India
intelligence operations. It was often used during the Second Software Engineering Conference Proceedings of the
World War and the Cold War. Well-known examples from 2nd India software engineering conference Pune, India
WWII and later include Pages: 137-138 Year of Publication: 2009.
[6] D.K. Pal, B. Ravi, L.S. Bhargava and U. Chandrasekhar,
 Jerry can: British and American forces noticed that the "Computer-Aided Reverse Engineering for Rapid
Germans had gasoline cans with an excellent design. Replacement Parts: A Case Study," Defense Science
They reverse-engineered copies of those cans. The Journal, New Delhi, in print, 2005.
cans were popularly known as "Jerry cans". [7] http://www.npd-solutions.com/reoverview.html[1]
[8] http://en.wikipedia.org/wiki/Reverse_engineering[2]
499
[9] http://www.pilot3d.com/Reverse%20Engineering.htm[3]
[10] http://www.chillingeffects.org/reverse[4]
[11] delaltctrl.blogspot.com/.../what-is-reverse
engineering.html
[12]http://en.wikipedia.org/wiki/Reverse_engineering#Reves
e_engineering_for_military_applications[5]
500
Design of Cellular Manufacturing Systems: A

Review
Pawan Kumar Arora1, Purnima Gupta2
1,2
Department of Mechanical Engineering, H R Institute of Technology, Ghaziabad (INDIA)
Abstract - Cellular manufacturing is an established The problem of cell design is a very complex exercise with
international practice to integrate equipment, people, and wide ranging implications for any organization (Demerol and
systems into focused factories, mini-businesses, Hyer, 1986). Normally, cell design is understood as the
responsibilities and boundaries. In recent years, the process problem of a identifying a set of part types that are suitable
of cellular manufacturing has received much attention and for manufacture on a group of a machines. However, there
popularity in many developed countries. It is therefore not are a number of other strategic level issues such as level of
surprising that a large number of manufacturing companies machine flexibility, cell layout, type of material handling
have implemented cellular manufacturing systems, especially equipment, types and number of tools and fixture etc that
in the past two decades. Cellular manufacturing system and should be considered as a part of cell design problem.
group technology has been highly potential field for research Various approaches have been made for forming
for last two decades and hundreds of research publications manufacturing cells. These methods are based on the
exploring various aspects affirm the same. This paper following approaches:
presents the approaches used under a single platform with  Coding and classification
latest research in the cellular manufacturing systems. The  Machine –component group analysis
paper also raises concern about the acute need for developing  Similarities Coefficient
models for optimizing the cellular manufacturing system.  Knowledge based
 Mathematical programming
I. INTRODUCTION
 Fuzzy clustering
In a globalizing world, manufacturers are under constant  Neural network
pressure to cut cost, while improving delivery speed, product
 Heuristic
quality, flexibility and delivery reliability at the same time
Various objectives reflecting information on similarities,
(Richard, 1996). Cellular manufacturing (CM) has to be
such as routing, tooling, design attributed etc and costs, such
proposed as one of the possibilities to meet these
as operating, material handling investment etc have been
challenges. CM is an application of group technology (GT)
considered. A numbers of constraints such as restriction on
and assumes physical grouping of machines, each grouping
number of parts type or machine types in a cell or material
or cell being dedicated to the manufacturing of a product
handling capacity limitation have been considered. The cell
family. The similarities in manufacturing requirement for
design is a complex problem. The changing manufacturing
members of a product family lead to reduced set up, less
technology, the impreciseness of a available information ,
material handling reduced in process inventory, improved
manufacturing realities such as registering, alternate process
product quality, shorter lead time, reduced tool requirement,
plans, scrap etc, further complicate the process of cell design.
improved productivity, better overall control of operation etc.
II. CLASSIFICATION AND CODING SYSTEMS FOR
Manufacturing cells are created by grouping the parts that
PART FAMILIES
are produced into families. This is based on the operation
required by the parts. These cells which consist of machine or A large number of Coding and classification
workstation are then physically grouped together and systems have been developed. The basic structures used in
dedicated to producing these part families. Cells combine the developing these coding systems are either hierarchical
advantages of flow shops and job shops with characteristics (Monocode) Chain type (Attribute or Policode) or hybrid
such as reduced cycle times, compared to job shop and (mixed).
increased flexibility and greater job satisfactions as compared The uses of classification and coding systems as
to flow shops. applied to design, manufacturing, purchasing and cost
estimation are described in details by Hyer and Wemmerlor
501
(1985). Very few papers have been appeared in the literature simultaneous fashion by Iraj Mahdavi and B. Mahadeven
using these systems to form part families. Kusiak (1983) (2008) tries to fill the gap up to certain extent.
proposed a hierarchical clustering algorithm to form part
families. A p- medium formulation is given in Kusiak(1985). IV. .SIMILARITIES COEFFICIENT BASED
Gongaware and Ham (1981) and Han and Ham (1986) issued CLUSTERING METHODS
part codes in a multi objectives clustering algorithm to form Most of the papers in the cell formation literature
part families. Xu and Wang (1989) provide fuzzy clustering have used similarity coefficient independently or jointly with
approaches to form part families. The formulation of part network , mathematical programming and knowledge based
families is only a partial solution to the cell formation methodologies. The similarity coefficient approaches drawn
problem. Once the part families are identified, the machines from the field of numerical taxonomy was first suggested by
required to fully process the parts within a machine group McAuley (1972).In similarity coefficient methods, the basis
have to be determined. K- Harmonic means cell formation is to define measure of similarity between machine tools,
algorithm improved the groping –efficiency (Alper unler & design feature etc and then use these similarity measures to
Zulal Gungor 2007). form part families and machine group based on methods such
as single linkage cluster analysis( McAuley 1972) , average
III. MACHINE- COMPONENT GROUP ANALYSIS linkage method (Seifoddini and Wolfe,1986) and complete
Machine component group analysis (MCGA) is based on linkage method , centroid method and medium method (
production flow analysis (PFA) (Burbidge,1971,1977). In Mosier 1989). A number of heuristics such as MACE(
MCGA based methods the machine components groups are Waghodekar and Sahu,1984) , mathematical classification
formed by permuting rows and column of the machine Purchek,1975) and Gupta and Seifoddins (1990) among
component chart in the forms of a zero /one matrix, The others use similarity as a measure for grouping . Askin etal
popular MCGA based algorithm are : Bond Energy (1991) used similartarity coefficient and proposed machine
Algorithm (McCormick et. al 1972), Rank order clustering and part ordering as a Hamiltonian path problem . Srinivasan
(ROC)(King,1980), Direct Clustering algorithm (Chan and Narendran (1991) proposed a non hierarchical clustering
andMilner,1982) and modified ROC(MODROC) method. Kusiaak and Cho (1992) proposed two similarity
(Chandrasekaran and Rajagopalan ,1986). Chu and Pan coefficients which are applicable to decomposable and non
(1988) and Chu (1989) provide a review on clustering decomposable matrices.
procedures. Although these algorithms are simple, they do
not capture the realities manufacturing such as production V. GENETIC ALGORITHM BASED APPROACHES:
volumes, sequence of operations, processing time etc. Cheng etal (1998) formulate the problem as
Further, in most of the cases, the problems of bottleneck traveling salesman problems and solve the model using a
machines component must be dealt with before any machine- genetic algorithm .Zhao and Wu (2000) present a genetics
component group can be identified. King and Nakornohai algorithm for the cell formation with multiple routes and
(1982) has suggested duplication of bottleneck machines to objectives. Murugan (2005) proposed new approaches for
form machine- component group. The Procedure for cell formation which takes into account the relevant
duplicating machine (Chan and Milner,1982, production data such as process sequences and set–up times.
Seifoddini,1989) and identifying bottleneck machines and A genetic algorithm has been developed for solving the cell
exceptional parts(Vannelli and Kumar,1986) have also been formation problem considering the reduction in set up time.
developed. Shafer et al (1992) provide a mathematical For successful CM implementation, cell formation (CF),
programming formulation to deal with the exceptional group layout and group scheduling (GS) are the three most
elements considering the cost of inter-cellular transfer, popular decisions. These decision are interacted may impact
machine duplication and subcontracting. Jannes Slomp(2005) each other but they are often treated separately or as a
designed a virtual manufacturing cells using multi objective sequential decision .XiaodanWa,Chao-Hsien Ch,Yunferg
design procedure considering temporary grouping of Wang,Diannrin Yue(2007) proposed a new approaches to
machines, jobs and workers to realize the benefit of CM. The concurrently make the CF,GL AND GS Decisions.
virtual cell are created periodically , for instance every week A Conceptual Framework And Mathematical Model
or every month depending on changes in demand volumes Which Integrate These Decisions, are Placed . A
and mix, as new jobs accumulate during a planning period. Hierarchical Genetic Algorithm (HGA) is Developed to
The use of sequences data cell formation has been a solve The Integrated cell problem. Two heuristic operations
least researched area. Sequences data provides valuable are proposed to enhance its computational performance.
information about the flow pattern of various jobs in a
manufacturing system. Development of an algorithm which VI. GRAPH- THEORETIC METHODS
identifies the cell and sequence of machine in cells in a
502
A number of papers based on graph theory have Montreuil etal(1999) and Venkatadri etal(1997) discuss
appeared in the literature representing vertices of graphs as fractal layouts. A fractal layout converts a functional layout
machines and weight of arcs as appropriately defined into physical cells as in conventional CMS. But unlike a
similarity coefficients. Raja Gopalan and Batra(1975) conventional CMS , fractal layout procedure does not
considered Jaccard’s similarity to represent the arc. Faber and generally create cells based on product families. Rather it
Carter(1986) define a similarity measure capturing the uses the factory within a factory concept with process
processing requirement of parts whereas Dewitte (1980) duplication.
developed three similarities coefficients considering routing
and machining information. VIII. PRODUCTION , MANUFACTURING AND
The graph theory based research papers which don’t LOGISTICS GENETIC ALGORITHM
consider similarity coefficient include Vannelli and Cellular manufacturing analysis mainly address how
Kumar(1986), Kumar etal(1986) and Chandrashsekharan and machine should be grouped and parts be produced . A
Rajagopalan(1986).The measure drawbacks inherent in these mathematical model is developed by Fantahum M.Defersha
approaches are that the practical issues such as production and Mingyuam Chen(2008) following an integrated approach
volumes, alternate process plans etc have not been for cell configuration and lot sizing in a dynamics
addressed. manufacturing environment . the model developed also
consider s the impact of lot size on product quality. Solution
VII. SIMILARITY COEFFICIENT BASED of the mathematical model is to minimize both production
MATHEMATICAL MODELS and quality related costs. To solve the practical problem, a
In various research papers, different types of linear programming embedded genetic algorithm is
similarity coefficients as objective function in mathematical developed. The algorithm searches over the integer variable
programming formulation Kusiak(1987) considered alternate and for each integer solution visited the corresponding values
process plan and developed a p-medium formulation to form of the continuous variables are determined by solving a linear
cell. The objective function is to maximize the sum of programming sub problem using the simplex algorithm.
similarities. Shtub(1989) showed that a generalized case
considered by Kusiak(1987) is equivalent to the generalized IX. RELIABILITY
assignment problem. Srinivasan etal(!990) present an In CMS, parts are processed by a group of
assignment model of the same problems and obtain fewer interdependent machine, where machine reliability plays an
exceptional elements . Kasilingam (1989) developed a important role in performance improvement of the cell.
number of similarities indices, integer programming models Assuming that machine failure times follow a Weibull
and Lagrangion relaxation strategies to form cell. distribution, the model developed by K.dass, R.S . Lashkari
These methods consider the cell formation problems and S. Sengupta(2007) determines a preventive maintenance
in a static sense for purely stable manufacturing interval and a schedule for performing PM action on each
environments. The manufacturing realities however warrant machine in the cell by minimizing the total maintenance cost
the consideration of multi –period approaches as well as and the overall probability of machine failures. The model
inherent uncertainties and vagueness present in the uses a combined cost and reliability based approaches and
information required in these models. A general review of optimizes maintenance costs by administering a group
multi period layout planning models have been made by maintenance policy subject to desirable machine reliability.
Balankrishnam and Cheng(1998). Yang and Peters (1998)
consider a multi period model with alternate production X. MATHEMATICAL AND HEURISTIC METHODS
scenarios and associated probabilities. The problem is solved Choobineh (1988) use a sequential approach
deterministically using a mathematical programming forming apart families in the first stage and then a cost based
formulation that uses the weighted flow matrix where the mathematical programming method to allocate machine to
weights are the probabilities. In their model a rolling multi – part families to form cells. Rajamani etal(1990)develop
period horizon is used where the layout can be rearranged at integer programming models to sequentially as well as
the end of each period. They consider different time horizon simultaneously form cells. Further ,they provide a generalize
from zero to time period T to find the best time horizon. frame work for design and redesign of cell considering real
Afentakis etal(1990) model a flexible manufacturing life issues such as alternate process plans , reallocation
system using simulation. The main objective of the research aspects of machine , material handling and various costs such
is to compare a strategy of reconfiguring a layout every n – as investment ,operating and material handling. They also
period with a strategy of rearranging it when the product provide efficient Column generation based solution algorithm
volume, product mix or product routing changes by a (Rajamani etal 1991). Factors such as inventory cost,
threshold percentage value. machine set up and material handling and machine
503
depreciation were considered by Askin and Chiu(1988). A rule and syntactic pattern recognition techniques to form part
decomposition scheme is developed and heuristic procedure families. Singh and Qi(1991) introduced the concept of
is given to solve the cell formation problem. Harhalakis etal multi –dimensional similarity coefficient using syntactic
(1990) developed a heuristic algorithm to minimize pattern recognition and developed an algorithm to form
normalized inter-cell traffic to form cells. Co and natural part families . Development of expert system
Araar(1988) proposed a three stages procedure to determine capturing pattern recognition, optimization and
the number of cells and cell composition. A number of other manufacturing engineering information to form cells will be
heuristics include Logendran(1990), considering inter cell an interesting area to explore.
and intra cell moves as well as utilization of workstation in a
cell, and Okogbaa etal(1992) who use inter-machine flow XII. FUZZY CLUSTERING APPROACH
information and balance the work load on identical machine Most of the approaches to cell formation discussed
to minimize the variance of busy times. Most of these models earlier assumed that the information about processing cost,
suffer from drawbacks similar to discussed earlier. processing time, part demand etc is precise. It is also
A first particle swarm optimization (PSO) algorithm assumed that each part can only belong to one part family.
designer to address the problem in cell formation. PSO is a However there may exist parts whose lineages are much less
population – based on a social behavior metaphor. The evident. Fuzzy clustering provides a solution to such
criterion used to group the machines in cells is based on the problems. Only a few papers such as Li and Ding(1988) Xu
minimization of inter-cell movements. A maximum cell size and Woing(1989) and Chu and Hayya(1991) have appeared
is imposed. which address the issues of vagueness in cell formation
Intercellular movement consideration is important problems.
while designing CMS for large volume of production.
Therefore, the sequence of machine cells is particularly XIII. NEURAL NETWORK BASED APPROACHES
important in this aspect. With these considerations a two From the computational point of view the problems
stage approach for solving self formation problem as well as of cell formation is essentially what can be characterized as
cell layout problem has been developed by Felix T.S. chan, N.P.hard. That is one of the primary reasons that so many in
K.W.l.ay, P.L.Y.Chan(2006). the heuristic solution procedures have appeared in the
The first stage is to identify machine cell and part literature. What is however needed is an approach that may
families , which is the essential part of MPGP .The work in be fast and assures a good solution to the problems.
second stage is to carry out a macro approach to study the Application of Artificial Neural Network (ANN) to cell
cell formation problem with consideration of machining formation is one such promising area include Rao and
sequences. The impact of the sequencing for allocation the Gu(1993) and Karapathi and Suresh(1992).
machine cells on minimizing intercellular movement distance
unit is investigated in this stage. 3. MANUFACTURING REALITIES AND FURTHER
M-Slimanpur , P Vrat and R. Shanker(2004) RESEARCH ISSUES
discussed inter cell lay out problem and a mathematical A careful analysis of the literature on design of cellular
formulation for material flow between the cell was done. The manufacturing systems reveals that most of the research in
problem is modeled as a quadratic assignmrnt problem. An the area of cell formation has often used either matrix
genetic algorithm is developed to solve the formulated the manipulation or similarity coefficient based approaches along
problems. The performance of the purposed genetic with mathematical programming to form cells. Wemmerlov
algorithm compared to the facility layout algorithm. The and Hyer (1987) explored research issues in the area of
experimental results showed that the model performed cellular manufacturing systems from the point of view of
significantly better than the facility layout algorithm. applicability, justification, system design and
implementation. Most of the issues raised by them still
XI. KNOWLEDGE BASED AND PATTERN remain unexplored and unanswered to a large extent
RECOGNITION METHODS There are certain researches issues genetic to cell formation
Very few papers have appeared in the area of which have profound impact on the design and subsequent
artificial intelligence applied to cell . Kusiak (1988) performance of cells .These are as follows
developed a knowledge based system which takes advantage  Engineering tolerances and process capabilities of
of expert system and optimization considering machine machine tools provide a link between engineering
capacity, material handling capabilities, technological and manufacturing (singh,1990) .Mismatch between
requirement and cell dimensions to form cells. Wu etal them may result in higher production costs,
(1986) used syntactic pattern recognition and E-I. Maraghy excessive scrap and rework (Singh and sushil,1990).
and Gu (1988) developed a system considering knowledge None of the existing approaches to cell formation
504
has considered the stochastic nature of yield the efforts in designing the cells are directed at
considering explicitly the interactions between the evolving mutually exclusive cells .However; it is
design tolerance of parts to be manufactured and the very rare in real life that such a scenario can be
process capabilities of machine tools. practical. Irani etal(1992) provide a new
 In many low volume high variety manufacturing methodology to simultaneously group machines
situations. set ups are sequence dependent unique to a part family into cells and those shared by
(Rajamani etal, 1991). However, the consideration several cells into functional sections. More research
of sequence dependence makes any real life cell is needed to jointly consider GT layout and
formation problems very difficult to solve. What is functional layout in cell formation problems.
therefore required is to develop heuristic to consider  Other important issues in the formation of cells
the important aspect. include considerations of material flow, particularly
 The information about the demand of parts, various backtracking, and integration of scheduling and
costs, processing capacity, is often vague (Singh and operational aspects into the cell design process.
Mohenty, 1991). Very few papers have appeared in There is a need to develop methodology for the
the literature using the fuzzy approach to cell evolution of cell designs. To a certain extent the
design. There is a need to consider practical issues question of material flow is addressed in Vakhharia
mentioned earlier in a fuzzy environment. and Wemmerlov (1990).
 The high variety and low demand manufacturing  Sarkar(1996 ) obscured the differences between the
environment lays tremendous stress on the fixturing Jaccard and other similarity coefficient and
, refixturing and material handling requirements indicated that none of the similarity coefficients
(Damodaran etal 1992,1993). Fixturing and seemed to be performing well under various
refixturing considerations render the cell formation situations . Therefore, there is a crucial need for
problem complex. What is needed is the comparative studies. Based on the result of
development of heuristic algorithm and new comparative studies although we cannot find an
modeling approaches such as artificial intelligence omnipotent similarity coefficient for all CF
that considers real life situations. situations, at least we need to know which similarity
 Reliability of machine –tool and cutting tools is yet coefficient is more efficient and more appropriate
another important factor that should be considered under specific conditions.
in the cell formation process. In fact, reliability  Future research is required in the area focuses on the
consideration in the presence of flexible machines development of more powerful similarity
is yet an interesting area to explore. coefficients which incorporate both alternative
 Often the manufacturing situation warrants the process routing and operation sequences factors.
consideration of non-commensurate multiple  Further research on hierarchical clustering algorithm
objective such as minimum unit cost, maximum should be done to address the important issue of
production rate etc(Singh Etal, 1990, Singh etal restrictions on cell size and the number of cells.
1992) Vanugopal and Narendran(19992) provide a More efforts are also required to develop non
multi criterion framework using genetic algorithmic hierarchical clustering algorithms.
approach .Shafer and Rogers(1991) used goal
programming approach. Wei and Gaither (1990) References
used a heuristic approach considering multiple [1] Berbidge, J.L ―The introduction of group
objectives. There is however a need a develop a Technology‖, Heinenan, Landon (1975)
efficient approaches to obtain a set of non [2] Richards, C.W.,‖A Manufacturing beyond
dominated solutions considering a number of lean‖Production and Inventory Management Journal
objectives to help the decision maker select 37(1996)
satisfying solutions. [3] Wemmerlov,U and Hyer, N.L ―Procedure for the Part
 With technological advances, older machines are Family Machine Group Identification Problem in
often replaced by more flexible one. The new Cellular Manufacturing‖ Journal of Operational
machines may be more flexible and may have better Management, 6 (1986).
process capabilities. Trade- off between flexibility, [4] Wemmerlov, U and Hyer, N.L ―Research Issue in
quality and cost must be considered in the cell Cellular Manufacturing‖ International Journal of
design process. Production Research 25 (1987).
 The physical layout of machines in a cell has long [5] Hyer, N.L and Wemmerlov ,U ― Group Technology r
term effects on the performance of the cell. Most of nted coding Systems: Structures, applications and
505
implementation‖ Production and Inventory a [20] Kar Yan Tam(1990) ―An operation sequence based
agement, 26 (1985) similarity coefficient for part familty:‖Journal of
[6] Rasaratnam Logendrana, Cumhur A.Gelogullaria, Manufacturing Systems, 9(1990)55-68
Chelliah Sriskandarajahb , ―Minimizing The Mean Flow [21] Tarun Gupta And Hamid Seifoddini, ―Clustering
Time in a Two-Machine Group-Scheduling Problem Algorithms For The Design Of A Cellular
with Carryover Sequence Dependency‖, Robotics and Manufacturing System - An Analysis for Their
Computer Integrated Manufacturing 19 (2003) 21–33. Performance‖, Computers & Industrial Engineering ,19
[7] W.M. Chan, C.Y. Chan, W.H. Ip , ―A Heuristic (1990) 432-436
Algorithm for Machine Assignment in Cellular Layout‖, [22] Seifoddini, H (1990) ―Machine-component group
Computers & Industrial Engineering 44 (2002) 49–73 analysis versus the similarity coefficient method in
[8] Felix T.S. Chana, K.W. Laub, P.L.Y. Chanb, K.L. cellular Manufacturing applications ―Computers &
Choyb , ―Two-Stage Approach For Machine-Part Industrial Engineering, Volume 18(1980) 333-339
Grouping And Cell Layout Problems‖, Robotics And [23]Ali K. Kamrani And Hamid R. Parsaei, ―A Group
Computer-Integrated Manufacturing 22(2006) 217–238 Technology Based Methodology For Machine Cell
[9] K. Das, R.S. Lashkari,S. Sengupta, ―Reliability Formation In A Computer Integrated Manufacturing
consideration in the design and analysis of cellular Environment‖, Computers & Industrial Engineering
manufacturing systems‖, International. Journal of Volume 24, Issue 3, July 1993, Pages 431-447
Production Economics 105 (2007)243–262 [24] Soha Eid Moussa And Mohamed S. Kamel,
[10] M. Aramoon Bajestani, M. Rabbani, A.R. Rahimi- Partitioning Techniques For Cellular Manufacturing,
Vahed, G. Baharian Khoshkhou, ―A Multi- Objective Manufacturing Research and Technology‖ Volume 24,
Scatter Search For A Dynamic Cell Formation Problem‖, 1995, Pages 73-95
Computers & Operations Research 36 (2009) 777 – 794 [25] Yong Yin, Kazuhiko Yasuda(2006) ―Similarity
[11] S. M. Taboun, N. S. Merchawi And T. Ulger, ―Two- coefficient methods applied to the cell formation
Stage Model For Cost Effective Part family and problem: A taxonomy and review‖ International Journal
Machine Cell Formation‖, Computers Industrial. of Production Economics, Volume 101, Issue 2, , Pages
Engineering 34 (1998) 759-776, 329-352
[12] R. Sudhakara Pandian, S.S. Mahapatra,‖ Manufacturing [26] Yong Yina,, Kazuhiko Yasudab( (2005) ―Similarity
Cell Formation With Production Data Using Neural coefficient methods applied to the cell Formation
Networks‖, Computers & Industrial Engineering problem: a comparative investigation‖Computers &
56(2009) 1340-1347 Industrial Engineering, Volume 48, Issue 3, 2005,
[13] Mcauley ,J, ―Machine Grouping For Efficient Pages471-489
Production‖, Production Engineers , (1972) 53-57 [27] Geonwook Jeon, Herman R. Leep, Hamid R.
[14] Kusiak,A and Sunderesh S. Heragu, ―Group Parsaei.Mitsuru Kuroda Et. Al (1999), ―A Cellular
Technology‖ ,Volume 9, Issue 2, (1987) 83-91 Manufacturing System Based On New Similarity
[15] Kusiak,A and Cho , M ― Similarities coefficient Coefficient Which Considers Alternative Routes
algorithm for solving the group technology problem‖ During Machine Failure‖, Computers & Industrial
International Journal of Production Research, 30(1992) Engineering, Volume 34, Issue 1,January 1998,Pages 21-
2633-2646 36
[16] Kusiak,A ― The generalized group technology concept ‖ [28] Mitsuru Kuroda!, Takahiro Tomita!, Kazuhiko Maeda,
interational journal of production Research,30 (1987) ―Dynamic Control of a Cellular- Line Production
561-569 System Under Variations In The Product Mix‖,
[17] Kusiak, A,‖Part families selection model for flexible International. Journal of. Production Economics 60
manufacturing systems’ Proceeding of Annual (1999) 439-445
Industrial Engineering Conference, Louisville, Ky [29] Chen Guang Liu ,‖A Data Mining Algorithm For
(1983) 575-580 Designing The Conventional Cellular Manufacturing
[18] F. Choobineh, ―Optimum Loading For GT/MRP Systems‖, M.A. Orgun And J. Thornton (Eds.):
Manufacturing Systems‖ , Computers & Industrial Advances In Artificial Intelligence 2007, , Pp. 715–
Engineering , 8 (1984) 197-206 720, 2007.
[19] K. Raja Gunasingh And R. S. Lashkari, ―Simultaneous [30] Nasser Aljaber, Wonjang Baek And Chuen-Lung Chen,
Grouping Of Parts And Machines In Cellular ―A Tabu Search Approach To The Cell Formation
Manufacturing Systems—An Integer Programming Problem‖ , Computers & Industrial Engineering,Volume
Approach‖ ,Computers & Industrial 32, Issue 1, January 1997, Pages 169-185
Engineering ,20(1991) 111-117 [31] Zuk Lal Guk Ngok R, Feyzan Armkan, ―Application Of
506
Fuzzy Decision Making In Part-Machine Grouping‖, Int.

J. Production Economics 63 (2000) 181-193
[32] Adnan Tariq A, Iftikhar Hussain B,*, Abdul Ghafoor, ―A
Hybrid Genetic Algorithm For Machine-Part Grouping‖,
Computers & Industrial Engineering 145 (2008) ,145-
149
[33] Saeed Zolfagharia,1, Ming Liang, ―A New Genetic
Algorithm For The Machine/Part Grouping Problem
Involving Processing Times And Lot Sizes‖, Computers
& Industrial Engineering 45 (2003) 713–731
[34] S. Lozano, D. Canca, F. Guerrero, J.M. Garc!Ia
,―Machine Grouping Using Sequence-based Similarity
Coefficients and Neural Networks‖, Robotics And
Computer Integrated Manufacturing 17 (2001) 399–404
[35] David Enke, Kanchitpol Ratanapan And Cihan Dagli ,‖
Machine-Part Family Formation Utilizing An Art1
Neural Network Implemented On A Parallel Neuro-
Computer‖ , Computers & Industrial Engineering
Volume 34, Issue 1, January 1998, Pages 189-205
[36] Miin-Shen Yang , Jenn-Hwai Yang, ―Machine-Part Cell
Formation In Group Technology Using A Modified
ART1 Method‖, European Journal Of Operational
Research 188 (2008) 40–152
[37] Bojan Jerbic , Katarina Grolinger, BozˇO Vranjes,
―Autonomous Agent Based On Reinforcement Learning
And Adaptive Shadowed Network‖, Artificial
Intelligence In Engineering 13 (1999) 141– 157
[38] Shih-Wei Lina,B, Kuo-Ching Yingc, Zne-Jung Leeb,,
―Meta heuristics For Scheduling A Non- Permutation
Flow line Manufacturing Cell With Sequence Dependent
Family Setup Times‖, Computers &Operations Research
36 (2009) 1110 – 1121
[39] R. Tavakkoli-Moghaddam,N. Javadian, B. Javadi And
N. Safaei, ―Design of a Facility Layout Problem in
Cellular Manufacturing Systems with Stochastic
Demands‖ , Applied Mathematics And Computation
Volume 184, Issue 2, , Pages 721-72
507
Parameter Selection in Genetic Algorithm for the

Solution of Allocation Problem in a Single Stage
Supply Chain
Vinay V.Panicker1, R.Sridharan2, D. Jagan3
1
Assistant Professor, 2 Professor, 3Graduate Student
Department of Mechanical Engineering, National Institute of Technology, Calicut- 673 601, Kerala, India
1
vinay@nitc.ac.in
2
sreedhar@nitc.ac.in
3
dhammai.jagan@gmail.com
Abstract- This work considers a Fixed Cost Transportation transport goods or services minimizing the total cost, which
Problem (FCTP). In addition to the unit transportation cost, constitutes variable and fixed costs. The fixed cost in the
when a fixed cost for a route is considered, the traditional objective function makes it to more difficult to solve resulting
transportation problem becomes a FCTP. The objective of any in discontinuity and makes it unsolvable by direct application
FCTP model is to find that combination of routes which can
of the transportation algorithm [1].
transport goods or services minimizing the total cost. Despite its
similarity to the classical transportation problem, it is much The rest of the paper is arranged as follows. Section
more difficult to solve a FCTP because of the discontinuity in the II deals with the review of the relevant literature. The problem
objective function due to the presence of fixed costs. It is is described in section III, followed by solution methodology
unsolvable by the direct application of the transportation in section IV. The results and discussion are presented in
algorithm. Hence, it is often formulated and solved as a mixed section V and conclusion in section VI.
integer programming problem (MIP). Any general MIP solution
method can be used to solve the FCTP; however, these methods II. LITERATURE REVIEW
are generally inefficient and computationally expensive. The
literature review provides many solution procedures for solving
The work of Hirsch and Dantzig proves that there is an
FCTP. The present work uses Genetic Algorithm (GA) for
optimizing the FCTP model for a single stage supply chain. This optimal solution for the FCP which is an extreme point of the
work investigates about the parameters of GA to be fixed. The feasible region and therefore search may be restricted to the
Design of experiment concept is used for fixing the GA extreme points of this region and the feasible region of FCTP
parameters. When the size of the problem increases, the is a bounded convex set with a concave objective function [2,
population generations and population size is to be increased for 3, 4]. Balinski [5] provides a technique for an approximate
getting a better solution. solution for any given FCTP. Murty [6] proposes an algorithm
Keywords: Fixed Cost Transportation Problem, Genetic for solving FCTP, which gives an initial distribution based on
Algorithm, Design of Experiment. the optimal solution to the variable portion of the problem.
Adlakha and Kowalski [7] consider a transportation problem
(TP) with the more-for-less (MFL) paradox. MFL paradox
I. INTRODUCTION occurs when it is possible to ship more total goods for less or
equal total cost while shipping the same amount or more from
The complexity with which supply chains operate each origin and to each destination, keeping shipping costs
makes it indispensable for building supply chain models. This non-negative. Adlakha and Kowalski [4] analyse a FCTP
paper deals with supply chain allocation problem in a single model with MFL.
stage supply chain. This allocation problem takes into account In Adlakha and Kowalski [8], a single stage FCTP is
a fixed charge which makes it different from traditional solved as a small fixed charge transportation problem based
allocation problem, and is known as Fixed Charge on Hungarian and Vogel approximation methods. Adlakha
Transportation Problem (FCTP). This is a special case of and Kowalski [9] discuss the problem in the order of loading
traditional transportation problem (TP). In FCTP, it considers when multiple absolute points are present, while solving a
a fixed cost for a route in addition to the unit cost which FCTP. Jo et al. [10] consider a non-linear fixed charge
depends on the quantity of goods transported. But the fixed transportation problem of a single stage of supply chain
cost is constant for a particular route which is a combination between a plant and a customer. The model takes
of a source and a destination. The objective of any FCTP deterministic demand and is a balanced transportation
model is to find that combination of routes, which can problem. Kannan et al. [11] propose a transportation problem
508
of a single stage of supply chain with fixed charge and xij= No of quantity transported from supplier (i) to customer
optimum results are obtained using a local search heuristic, (j)
Nelder-Mead method. Jawahar and Balaji [12] consider a
cij= Unit cost of transportation between supplier (i) to
fixed charge two-stage distribution problem of a supply chain.
customer (j)
A two stage fixed charge distribution problem associated with
multiple transportation modes selection of a supply chain is fij = fixed transportation cost between supplier (i) to customer
considered by Gan et al. [13]. (j)
Most of the works mentioned above take into account
bj= Demand at the customer end
a single stage of a supply chain distribution problem, between
plant and distributor (or customer). Jawahar and Balaji [12] ai = Capacity at the supplier
are the only researchers who have developed a two-stage
distribution model with fixed cost. Hence, a gap exists in the The objective of this formulation is to minimize the cost
literature to develop a multi echelon distribution supply chain incurred in transporting the goods from the plant to customer
model considering the fixed cost for the routes. considering the possible combination of routes.
The research work reported in the present paper This work determines the parameters for the GA so as to
considers a sample problem comprising of a set of ten provide a better solution. With this objective, a sample
suppliers and fifteen customers taking into account a fixed problem is taken (see Table 1-4 in Appendix) and using GA
cost for a distribution route between a supplier and a code developed in MATLAB, various possible combinations
customer. of the levels of parameters like population size, crossover
probability, and mutation probability are investigated.
III. PROBLEM DESCRIPTION Factorial design concept is used for this investigation.
Consider a single echelon supply chain, where there is only IV. SOLUTION METHODOLOGY
two supply chain entities like supplier (or source or plant) and
customer (or destination). The mathematical formulation for FCTP is often formulated and solved as a mixed
this single stage with a set of m suppliers ( i  1,2,..., m ) and integer network programming problem. Any general mixed
a set of n customers ( j  1,2,..., n ) taking into account a integer programming (MIP) solution method can be used to
solve the FCTP; however, these methods are generally
fixed cost for a distribution route between a supplier and a inefficient and computationally expensive because they do not
customer. take the advantage of the special network structure of FCTP
Minimize [4]. The literature provides many solution procedures for
solving FCTP. Generally, the solution procedure can adopt
 c xij  f ij y ij 
m n
optimization or approximation approach. This work is
Z  ij
… (1)
adopting the Permutation based Genetic Algorithm for
i 1 j 1
analysis.
Subjected to Genetic Algorithm consists of a string representing
the points in the search space, a set of genetic operators for
n
generating new search points and a stochastic assignment to
x
j 1
ij  a j (for i  1, 2,..., m) control the genetic operations. It typically consists of three
phases.
(Supply capacity constraint) … (2)
Phase of Initialization
m
Initialization is the generation of the initial
x
i 1
ij  bj (for j  1, 2,..., n ) (Demand population of chromosomes. This means the selection of the
initial search points. In this phase, two parameters population
constraint) … (3) size and chromosome length are more important. The
population size must effectively represent the search space.
xij  0 (for all i, j ) …4
This affects the ultimate performance and efficiency of GA.
The selection of chromosome length depends on the
accuracy requirement of the optimization problem. The higher
 1, if x ij  0 the chromosome length, the better will be the resolution and
y ij   accuracy. However, this leads to slow convergence. In
0, otherwise addition, the number of parameters in the optimization
(Non-negative constraints) … (4) problem will have a direct effect on the number of bits in a
chromosome i.e. chromosome length. For particular resolution
where and accuracy requirements, problem with more number of
parameters will have large string.
509
In this work, the chromosome length is the product of Mutation

the number of suppliers and destination points. The factorial This operator is capable of creating new genetic
design is done with the following factors and levels: material in the population to maintain the
1. Population size : 50, 70, 100, 150 and 200 population diversity. Several mutation operators
2. Crossover probability : 0.5, 0.6, 0.7, 0.8 and 0.9 have been proposed for permutation
3. Mutation probability : 0.20, 0.30, 0.40 and 0.50 representation, such as inversion, displacement,
insertion, and heuristic mutation. Mutation
Phase of Evaluation Probability (Pm) is the parameter used to control
In the evaluation phase, a function called “fitness the mutation. For each string, a random number
function” is determined. This is used as a deterministic tool to between 0 and 1 is generated and compared with
evaluate the fitness of each chromosome. The optimization the Pm. If it is less than Pm, mutation is performed
problem may be minimization or maximization type. In the on the string.
case of maximization type, the fitness function can be a This work uses the heuristic mutation
function of variables that bear direct proportionality
relationship with the objective function. For minimization
type problems, fitness function can be function of variables
that bear inverse proportionality relationship with the
objective function or can be reciprocal of a function of
variables with direct proportionality relationship with the
objective function.
Genetic Operations
In genetic operations, new population is generated from
the existing population based on the fitness values of
chromosomes. The genetic operators used are
reproduction, crossover, and mutation.
Fig 1: Illustration of the heuristic mutation operator
Reproduction
Reproduction is an operator where by an old
The steps involved in (Gen and Cheng, 1997) heuristic
chromosome is selected according to its fitness
mutation are as follows:
value and stored in a mating pool. More number
Step 1: Pick up λ genes at random.
of copies of highly fit chromosomes will be
Step 2: Generate neighbours according to all possible
selected to the mating pool.
permutations of the selected genes
Step 3: Evaluate all neighbours and select the best one as
Crossover
offspring. The procedure is illustrated in Figure 1
This is a recombination operation, where the gene
information contained with the two selected
V. RESULTS AND DISCUSSION
parents is recombined to generate two children
with some characteristics of the parents. There are
The results of Analysis of variance (ANOVA) are shown in
various techniques for crossover selection. In this
Table V. The F-value of 1.75 implies the model is significant.
work, Roulette wheel selection is used. Several
Values of Prob > F less than 0.0500 indicate model terms are
crossover operators have been proposed for
significant.In this case population size (A ) is significant in the
permutation representation, such as partial
model. Values greater than 0.1000 indicate the model terms
mapped crossover (PMX), order crossover (OX),
are not significant. Thus the crossover probability and
cycle crossover (CX), position based crossover,
mutation probability are insignificant terms. If there are many
heuristic crossover and so on.
insignificant model terms (not counting those required to
In this work, PMX operator is used. The
support hierarchy), model reduction may improve the model.
procedure for PMX operator is as follows:
As the insignificant model terms are removed, the
Step 1: Select two positions along the string
model gets improved. In Table VI shows the regression
uniformly at random
analysis. A negative "Pred R-Squared" implies that the overall
Step 2: Exchange two substrings between parents
mean is a better predictor of theresponse than the current
to produce proto-children
model. Adequate Precision measures the signal to noise ratio.
Step 3: Determine the mapping relationship
A ratio greater than 4 is desirable. The ratio of 4.876 indicates
between two mapping sections
an adequate signal. This model can be used to navigate the
Step 4: Legalize offspring with mapping
design space.
relationship
Thus, crossover resulted in two children. In order
to control crossover the parameter called
Crossover Probability (Pc) is used.
510
In the present work, the levels selected are five or

four. More levels can be selected so that more combinations
can be experimented. The model developed assumes a single
stage of supply chain with a single product in a single period.
TABLE V Hence, the present study can be extended to include multi
ANOVA RESULTS stages, multi-products, multi-period and varying demands.
The authors are presently working in these directions.
Source Sum of df Mean F p-value
Squares Square Val Prob > F
ue REFERENCES
Model 1.280E+ 24 5.333E+ 1.75 0.0357 1. F. Clover, D. Klingman, and N.V. Phillips, (1992), Network
008 006 significant models in Optimization and their applications in practice, New
York: John Wiley & Sons
2. F. L. Hitchcock (1941), “The distribution of a product from
A-pop 2.043E+ 3 6.811E+ 12.0 < 0.0001 several sources to numerous localities”, Journal of Mathematical
size 007 006 1 Physics, Vol.20, pp.224-230.
3. M. Sun, J.E. Aronson, P.G. Mckeown, and D. Drinka, (1998),
B- 5.303E+ 4 1.326E+ 4.34 0.0033 “Tabu search heuristic procedure for the fixed charge
Cross 007 007 transportation problem”, European Journal of Operational
over Research, Vol. 106, pp. 411–456.
prob. 4. V. Adlakha, K. Kowalski, (1999), “On the fixed-charge
transportation problem”, OMEGA: The International Journal of
AB 5.173E+ 16 3.233E+ 1.06 0.4086 Management Science, Vol. 27, pp. 381–388.
007 006 5. M. L. Balinski (1961), “Fixed cost transportation problems”,
Naval Research Logistics Quarterly, Vol.8, pp.41-54.
Resid 2.290E+ 75 3.054E+ 6. K.G. Murty, (1968), “Solving the fixed charge problem by ranking
ual 008 006 the extreme points”, Operations Research, Vol. 16, pp. 268–279.
7. V. Adlakha, and K. Kowalski (1998), “A quick sufficient solution
3.570E+ 99 to the more-for-less paradox in the transportation problem”,
Cor 008 OMEGA: The International Journal of Management Science, Vol.
Total 26, No.4 pp. 541-547.
8. V. Adlakha, K. Kowalski (2003), “A simple heuristic for solving
small fixed-charge transportation problems”, OMEGA: The
International Journal of Management Science”, Vol. 31,pp. 205–
TABLE VI 211.
9. V. Adlakha and K. Kowalski (2000), “A note on the procedure
REGRESSION ANALYSIS RESULTS
MFL for a more-for-less solution in transportation problems”,
OMEGA: The International Journal of Management Science,
Std. Dev. 1747.43 R-Squared 0.3585 Vol.28, pp.481-483.
10. J.B. Jo, Y. Li, and M. Gen (2007), “Nonlinear fixed charge
Mean 54102.23 Adj R-Squared 0.1532 transportation problem by spanning tree-based genetic algorithm.
Computers & Industrial Engineering, 53 (2), 290-298.
C.V. % 3.23 Pred R-Squared -0.1404 11. G. Kannan, P. Senthil, P. Sasikumar, and V. P. Vinay (2008b), “A
Nelder and Mead Methodology for solving small Fixed-charge
PRESS 4.071E+008 Adeq Precision 4.876 transportation problems”, International Journal of Information
Systems and Supply Chain Management, Vol.1, No.4, pp. 60-72.
12. N. Jawahar and A.N. Balaji (2009), “A genetic algorithm for the
two-stage supply chain distribution problem associated with a
The Figure 2 (provided at the end of the paper) shows the fixed charge”, European Journal of Operational Research,
interaction effect of population size at various levels keeping Vol.194, pp.496-537.
the crossover probability constant. Similarly, Figure 3 13. M. Gan, G. Jiang and Z. Li (2009), “Optimal model and solution
algorithm of supply chain distribution problem associated with
(provided at the end of the paper) shows the interaction effect fixed charge and multiple transportation modes selection”,
of crossover probability keeping the constant population size. Proceedings of the 2nd International Conference on transportation
engineering, Vol.345, pp.1517-1522.
VI. CONCLUSION 14. M. Gen, and R. Cheng, Genetic algorithms and engineering
design, New York, John Wiley & Sons, Inc., 1997.
The insight obtained about the parameters for GA for

solving a single stage supply chain. The parameters are kept at
various levels and using the factorial design concept, it is
found that the optimum population size for the selected
problem size is 70. The mutation probability and the crossover
probability are insignificant in the model. This can be
applicable in a single stage of supply chain. The factorial
design provides us the good combination of levels of the
factors that are investigated.
511
TABLE I
SUPPLIERS’ CAPACITY DATA
Suppliers S1 S2 S3 S4 S5 S6 S7 S8 S9 S10
Capacity 100 200 200 300 200 500 200 200 150 150
TABLE II
CUSTOMERS DATA
Customers C1 C2 C3 C4 C5 C6 C7 C8 C9 C10 C11 C12 C13 C14 C15
Demand 100 100 100 150 50 225 75 200 500 200 50 75 75 150 150
TABLE III
UNIT COST OF THE PRODUCT
S1 S2 S3 S4 S5 S6 S7 S8 S9 S10
C1 43 47 15 47 35 13 21 32 49 49
C2 16 49 49 29 42 15 27 47 42 49
C3 36 11 44 48 37 41 40 26 36 17
C4 38 11 21 11 13 43 38 23 48 11
C5 27 25 41 42 17 30 28 36 39 40
C6 21 37 36 16 14 30 49 23 33 19
C7 40 20 30 38 46 49 32 15 16 20
C8 44 20 43 19 48 24 18 20 35 29
C9 24 44 33 32 47 21 41 40 25 33
C10 13 12 31 41 48 15 33 29 10 23
C11 16 42 22 31 16 34 20 36 38 40
C12 28 13 19 47 16 43 32 50 13 28
C13 14 49 10 41 43 45 13 26 20 42
C14 27 47 17 20 15 15 45 33 32 15
C15 44 35 24 31 26 13 19 15 17 19
TABLE IV
FIXED COST FOR THE ROUTE
S1 S2 S3 S4 S5 S6 S7 S8 S9 S10
C1 267 119 461 478 296 296 235 460 248 144
C2 412 256 196 261 138 152 477 483 330 123
C3 194 241 429 106 117 167 360 393 359 280
C4 319 218 398 175 375 173 247 350 412 132
C5 472 411 295 274 279 222 303 304 427 418
C6 358 251 425 313 240 476 451 320 349 335
C7 183 220 288 192 438 178 190 168 191 274
C8 224 470 272 174 462 492 275 144 203 263
C9 338 205 341 385 188 147 218 227 270 303
C10 134 205 421 111 472 392 295 331 195 283
C11 486 319 308 192 296 350 372 258 247 496
C12 115 454 466 419 139 205 234 372 154 389
C13 142 362 298 412 386 462 457 233 380 179
C14 112 398 300 292 462 344 347 444 423 331
C15 173 196 455 111 296 167 492 385 300 288
512
Interaction
B: crossover probability
58500
Objective function
56125
B4
B5
B3
B2
53750
B1
51375
49000
Level 1 of A Level 2 of A Level 3 of A Level 4 of A Level 5 of A
A: population size
Fig 2: Interaction of population size with Objective function value
513
Interaction
A: population size
58500
Objective function
A4
56125 A3
A5
53750
A1
A2
51375
49000
Level 1 of B Level 2 of B Level 3 of B Level 4 of B Level 5 of B
B: crossover probability
Fig 3: Interaction of crossover probability with Objective function value
514
How Entrepreneurial is Engineering Education

System in India? - A Review
1
Dinesh Khanduja, 2 Pardeep Kumar Kamboj
1
Prof., Department of Mechanical Engineering, National Institute of Technology, Kurukshetra, Haryana, India
2
A.P, GITM, Bilaspur, Yamuna Nagar, Haryana.
Abstract -Engineering education has an indomitable role in passion towards creating and implementing new ideas and
entrepreneurship development. Since entrepreneurship is a creating solutions (Kent, 1990). Engineering education
dynamic process of vision, change and creation – education plays an important role in developing the technical
provides energy and passion towards creation and manpower required for industrial sector for its sustainable
implementation of new ideas on a continual basis. In India,
growth. In this context many have observed that the
engineering institutions have mostly played a passive role,
resulting in many myths and fears among students on engineering education today does not adequately prepare
entrepreneurship. Survey reports amply indicate the graduates for engineering practice (Brawner & Miller,
abundant existence of entrepreneurial aptitude among 2003). Employers argue that graduates are academically
students but ironically entrepreneurial capability is lacking experts but lack job skills such as team work, leadership
among them on accounts of poor inputs on entrepreneurship. and operation management (Wani & Sharma, 2000).
The paper gives an account of trends in engineering graduates Sparks (1993) feels that engineering graduates need to be
towards wage employment/self employment as career option sensitive towards economic, social, political, cultural and
Paper also analyses the prevalent myths and fears on ethical dimensions of their work. Entrepreneurship is
entrepreneurship. As a remedial measure, strategic
perceived to bring benefits at both the macro level of
counseling by engineering institutions is proposed which will
significantly improve the involvement of engineering faculty economic development and micro level of personnel
for the sustainable growth of entrepreneurship in India. development. Entrepreneurial vision is one of the
important forces for driving innovations, increasing market
Keywords - Engineering Education, Entrepreneurship, efficiencies and responding to challenges and opportunities
Technopreneurship, Entrepreneurial Engineer, (Strengthening…, 2002). In this scenario, small medium
Quality Education. sized entrepreneurs have a vital role in the social and
economic development of the country by improving the
I. INTRODUCTION efficiency of resources „use , reducing risks and hazards,
minimizing wastage and safe guarding environmental
Education is a social process and the form of education is a qualities (Wani and Sharma, 1999)
product of society-education dialectics. In this context, Changing needs of employers, away from
quality of education assumes an added importance and specialization and towards flexibility and life long learning,
becomes the primary concern of all the stakeholders in make a case for change in engineering education. Change
education. In current market turbulence, a focus on needs to be built on sound understanding of factors that
entrepreneurship has a special strategic significance for affect student learning. One approach, which inculcates
engineering education as it reflects a growing perception student to take responsibilities for learning and thus
that new graduates need the technical and behavioral ensures deep and active involvement, is problem based
attributes of an entrepreneur for a successful professional learning (Ditcher, 2001).
life. The challenges and opportunities of economic
liberalization and global market have shaken the economies II. ENGINEERING EDUCATION NETWORK IN
of developing countries like India where industrial growth INDIA
often gets retarded because of higher population growth,
declining GDP, growing inflation, illiteracy and Education is the most important resource in any country. It
unemployment. It today‟s dynamically changing society has multiplying effects on all facets of development in a
there is an urgent need to create an environment of society and among various educational resources,
entrepreneurship to effectively counter these socio- engineering education holds the key to economic viability
economic ills (Sanghvi, 1996). Entrepreneurship is a of a nation. India has formally recognized the importance
dynamic process of vision, change and creation. Vision is of higher education on science and technology and
to recognize the opportunity where others see chaos, committed itself to the development of science and
contradiction and confusion (Kuratko & Hodgetts, 2004). technology manpower (Constitution, 1949; Government,
Change and creation involve application of energy and 1958). Over the past fifty years the country has provided
515
full policy support (Government, 1968; 1986 a; 1986 b) world in the past few years (Peng, 2001 and McDongill &
and substantial public funds to create one of the world‟s Oviath, 2003). In India, more than 50000 engineering
largest network systems of higher education system. This graduates are passing our every year and only twenty five
network includes – percent of them get immediate employment in
 Seven Indian Institutes of Technology (these institutes public/private sectors. Government must perceive this vast
are globally acknowledged for quality education). unemployment as an alarming waste of talent, knowledge,
 Some front ranking Universities /Institutes for skills and “youthful” passion. The development of
engineering and applied sciences education (e.g., Anna entrepreneurship can be a viable solution t many economic
University, Jadavpur University, Indian Institute of evils in India. Entrepreneurship development in India is
Science Banglore, B.H.U. Varanasi, Nirma Institutes urgently needed for solving problems related to:
Ahmedabad etc. 1. National production and low productivity levels.
 Eighteen National Institutes of Technology (Almost 2. Uniform regional development
one Institute for every state in India) 3. Unemployment
 Six National Institutes for Technical Teachers Training 4. Dispersal of national wealth
and Research. 5. Exploitation of national resources
 Well established state engineering colleges in all
states.
 Around two thousand and five hundred engineering IV ENTREPRENEURIAL MYTHS IN ENGINEERING
colleges managed by private sector. STUDENTS: A CASE STUDY
The entrepreneurs in today‟s dynamic society should
 Around eleven hundred polytechnics managed by both
government and private sector. be opportunistic, money grabbing, aggressive and
autocratic (Daily, 1990 and Cason, 1997). He must imbibe
This vast network of institution should have brought
skills of invention, innovation and incubation (Samiuddin
unparalleled technological dominance to India. But this
& Rehman, 1989). Tandon (1975) finds the entrepreneurs
could not happen on account of certain faults, fallacies and
as one who conceives an industrial enterprise for the
failures of our educational planners. So a re-engineering of
purpose displays considerable initiatives, grit and
the education system is needed to improve quality of
determination in bringing the project in to function and
education. This will directly improve the entrepreneurial
during this process, performs different operations to run
capability of the engineering graduates with more focus on
start unit from conceptualization to operational stage.
project-base learning, practical skills and problem solving
E.D.I, Ahmedabad (1994) identifies essential qualities of
(Delisle, 1999).
an entrepreneur as: desire to achieve, perseverance,
III. ENTREPRENEURSHIP IN INDIA: SOME moderate risks taking, ability to find and explore
opportunity, analytical ability, ability to face uncertainty,
ASPECTS
urge for independence, flexibility, planning skills,
motivation, positive self concept and future orientation.
Entrepreneurship is more than a mere creation of business.
With these entrepreneurial concepts in mind and to
The characteristics of seeking opportunities, taking risks
access the entrepreneurial traits in engineering graduates, a
and having the tenacity to push and idea through to reality
survey was conducted among around 1500 final year
combine into a special perspective that permeates
students at fifteen engineering institutes all over Haryana
entrepreneurs (Hits et al, 2001).
for four consecutive years (2005-2009). The questionnaire
An “entrepreneurial perspective” can be developed in
was given:
individuals. This perspective can be exhibited inside or
 To assess the entrepreneurial inclination among
outside an organization, in profit or not-for- profit
students.
organization and in business or non-business activities for
 To analyze the aptitude and capability of students
the purpose of bringing forth creative ideas. Thus,
wanting to be entrepreneurs.
entrepreneurship is an integrated concept that permeates an
 To analyze the myths and fears among students not
individual‟s business in an innovative manner. The United
wanting to be entrepreneurs.
States has achieved its highest economic performance
Survey findings are depicted in following tables and
during the last ten years by fostering and promoting
figures.
entrepreneurial activity (Kuratko & Ireland, 2001). In
U.S.A, researchers are continuously striving to learn more
about the entire entrepreneurial process to better
understand the driving forces within entrepreneurs
(Bygrave & Hofer, 1991; Bull & Willard, 1993 and
Gartner, 2001). Time has descended for our country to
wake up and replan the education system to create a better
entrepreneurial environment. Entrepreneurial education
has become one of the hottest topics at U.S. business and
engineering schools, where number of schools teaching
entrepreneurial courses has grown from a few as two dozen
20 years ago to more than 1600 at this time (Solomon et al
, 2002; Katz, 2003). Indian must follow this U.S strategy
as the entrepreneurial spirit is universal, judging by the
enormous growth of interest in entrepreneurship around the
516
TABLE 1: SURVEY BREAK-UP
Civil Mechanical Electrical Electronics Computer Total

Branch Engineering. Engineering Engineering Engineering Engineering
Year M F M F M F M F M F M F
2005-06 13 15 54 10 35 53 15 24 18 18 135 120
2006-07 12 15 76 15 30 35 20 25 12 20 150 110
2007-08 20 20 115 10 80 45 70 35 70 25 355 135
2008-09 25 08 130 07 85 50 45 30 12 80 325 175
TOTAL 965 540
(M: Males; F: Females)

TABLE 2: ENTREPRENEURIAL INCLINATION
Do you want to be entrepreneurs?
2005-06 2006-07 2007-08 2008-09
Yes No Yes No Yes No Yes No
74% 26% 72% 28% 70% 30% 75% 25%
38% 62% 42% 58% 40% 60% 45% 55%
64% 36% 65% 35% 63% 37% 77% 23%
TABLE 3: EXTENT OF ENTREPRENEURIAL APTITUDE
Attributes of *Total Mean Value Total Percent Value

Entrepreneurial Aptitude M F General M F General
Need for Achievement 4.39 3.87 4.16 87.8 77.4 83.2
Urge for Independence 4.36 3.41 3.94 87.2 68.2 78.8
Planning skills 4.37 2.70 3.64 87.4 54 72.8
Future vision 4.13 2.55 3.45 82.6 51 69
Perseverance 3.87 2.35 3.22 77.4 47 64.4
Motivational Power 3.89 3.17 3.57 77.8 63.4 70.6
Opportunistic 3.88 4.10 3.97 77.6 82 79.8
Total 4.12 3.16 3.70 82.5 63.2 74.08
(* Mean calculated on a scale of 1-5; M: Males, F: Females

1) The abundance of entrepreneurial aptitude among all the
engineering students is reasonably good, particularly
among males (82.5 percent) as compared to female
students (63.2 percent) (refer table 3). The attribute of
„Need for Achievement‟ shows maximum presence (83.2 „Future vision‟ and so on. Female students specifically
percent) among the students followed by „Being lack the ability to work harder (47 percent) as compared to
Opportunistic‟, „Urge for Independence‟, „Planning skills‟, their counterparts (77.4 percent), perhaps this is due to lack
of motivation and encouragement from the society for the
517
women in their quest for independence. Dark area in the

radar diagram (figure 1) shows the extent of presence of 2) As compared to entrepreneurial inclination and aptitude,
different attributes of entrepreneurial aptitude among the the presence of entrepreneurial capability among all the
engineering students. engineering students is lacking, particularly females (56.7
percent) as compared to male students (75.6 percent) (refer
table 4). All students are poorly endowed with skills like
ability to collect funds and marketing management.
Awareness on rules and legalities regarding enterprise
FIGURE 1: EXTENT OF ENTREPRENEURIAL APTITUDE AMONG
ENGINEERING STUDENTS management is extremely poor. Students are confident on
human resource management but not so on problem
solving skills. Dark area in the radar diagram (figure 2)
Need for Achievement shows the extent of presence of different attributes of
4.5
4
entrepreneurial capability among the engineering students.
Opportunistic
3.5
3
Table 5 shows the comparative analysis of presence of
Urge For Independence
2.5 different attributes of „Entrepreneurship‟ among male as
2
1.5 well as female students of different engineering institutions
1
0.5 all over India.
0
Motivational Power Planning

Skills
Perseverance Future Vision
TABLE 4: EXTENT OF ENTREPRENEURIAL CAPABILITY
Attributes of *Total Mean Value Total Percent Value

Entrepreneurial Capability M F General M F General
Problem Solving Skills 3.40 2.69 3.09 68 53.8 61.8
Awareness on Rules & Legalities 3.15 2.40 2.82 63 48 56.4
Analytical ability 3.76 2.02 3.04 75.2 40.4 60.8
Financial management 3.70 3.40 3.57 74 68 71.4
Ability to Raise Funds 4.10 3.39 3.79 82 67.8 75.8
Marketing Management Skills 4.15 3.05 3.67 83 61 73.4
Human Resource Management 4.20 2.90 3.63 84 58 72.6
Total 3.78 2.83 3.37 75.6 56.7 62.45
(* Mean calculated on a scale of 1-5; M: Males, F: Females)
FIGURE 2: EXTENT OF ENTREPRENEURIAL CAPABILITY AMONG ENGINEERING STUDENTS
518
Extent of Total Percent Value

M F General
Entrepreneurial Inclination 80.64 65.8 77.8
Entrepreneurial Aptitude 82.5 63.2 74.08
Entrepreneurial Capability 75.6 56.7 62.45
TABLE 5: EXTENT OF ENTREPRENEURSHIP

Problem Solving Skills
4.
4
3. Figure 3: Myths & Fears on Entrepreneurship
Human Resource 3
Management Awareness on Rules &
2. FIGURE 3: MYTHS & FEARS ON ENTREPRENEURSHIP
2
1. (For Engineering Students not wanting to be entrepreneurs)
1
0.
0 Series
Marketing
Management Skills Analytical ability
Ability to Raise Funds Financial management
A. Survey Observation:
Following observation are made from the survey
findings over four years on almost 1500 engineering
graduates. These are:
 There is abundance of entrepreneurial inclination
(67%) and aptitude (74%) among engineering
graduates as compared to capability levels (62%)
among the students.
 As compare to girls, boys have much higher level of
inclination,aptitude and capability levels for
entrepreneurship.
 Among 23% graduates not wanting to be
entrepreneurs, private sector jobs are most popular
(57%), followed by government service (23%), public
519
sector jobs (14%) and others like defense, research 4) Compulsory attendance at EDP‟s and related camps at
etc. (6%). regular intervals for all engineering students.
 Most prevalent myths and fears on entrepreneurship 5) Continual counseling of students and regular career
among the students were: lack of funds (34%), lack of guidance by expert faculty as indirect and can be in
information (16%), lack of confidence (12%), lack of different forms. The counseling model, as in figure 4,
guidance (12%), involvement of tension (10%), lack can be adopted by the institutions in stages to monitor
of experience (10%) and lack of risk taking capacity the progress made by student – teacher interaction on
(6%). career plans.
B. Remedial Analysis: Personal counseling helps in increasing entrepreneurial

Despite the presence of entrepreneurial aptitude awareness and helps in identification of students with
among students in large measure, a meager percentage of entrepreneurial aptitude. It helps in clearing individual
students is actually setting up their enterprises. Sickness doubts and removing related myths and fears on
among the small industries has assumed alarming entrepreneurship Educational counseling helps in
proportion as it results in locking up of resources, wastage enhancing the skills and capability of these students.
of capital assets, loss of production and increase in Vocational counseling is an self-appraisal under
unemployment. Here, engineering institutions have a experienced faculty members where in student learns to
crucial role to play as inputs by faculty not only include prepare reports; identify products; plan production,
knowledge enhancement, these also must include skill purchase and marketing arrange for necessary documents
enhancement and increasing entrepreneurial awareness. etc. Once in operation, entrepreneurs can even seek help of
Some of the suggested remedial measures by the parent institution to ward off unforeseen crises or to
institutions for entrepreneurship development are: prevent them.
1) Expose students to publications on entrepreneurship All these steps shall be useful for:
which can be research based as well as popular. Some  Development of entrepreneurial culture among
of these are : academic journals, text books and books students.
on entrepreneurship, biographies and autobiographies  Effecting industry institute partnership.
of entrepreneurs, compendiums about entrepreneurs,  Industrial exposure to faculty of engineering
news periodicals, venture periodicals, newsletters, institutions.
proceedings of conferences etc.  Effective incubation of established industries.
2) Make students directly observe the successful  Socio-economic development of the country.
entrepreneurs. They should be asked to take their
interviews, trace their history and analyze their success
factors.
3) Arrange speeches and presentations by practicing
entrepreneurs on their mission, strategies and
experiences.
FIGURE 4 STRATEGIC COUNSELING BY INSTITUTIONS
(Counseling Model for Entrepreneurship Development at Engineering Institutions
.
Pre-operation Drill Personal Counseling

V. CONCLUSIONS
(Trainee Entrepreneurs)
Engineering institutions have moral duty in
churning out successful engineering graduates who should
Operation Drill Educational
be a nationalCounseling
asset. They can serve the nation well only
(Trainee Entrepreneurs) they adapt themselves to the prevailing socio-economic
scenario which demands them to go in for self
employment. They should be job givers rather than to be
job seekers. This entrepreneurship shall help in equitable
Post operation Drill Vocational
distribution Counseling
of wealth, removal of unemployment and
(Trainee Entrepreneurs) optimum utilization of resources. To remove many myths
and fears on entrepreneurship among engineering
graduates, all concerned institutions should formulate new
 strategies,
Crisis Counselingchange existing curriculum and install new
Post-operation Drill programmes to foster entrepreneurship. The faculty of
 Remedial Counseling
these institutions needs to be enriched and updated on latest
(Practicing Entrepreneurs)  Preventive Counseling
technological developments and economic conditions so
 Developmental Counseling
520
that they can be effectively involved to boost engineering [10] Gartner, W.B. (2001). Is There an Elephant in Entrepreneurship?
Blind Assumptions in Theory Development. Entrepreneurship
graduates towards entrepreneurship. The faculty must
Theory and Practice, 25(4): 27-39
become a tool to bring a revolution in entrepreneurship [11] Government of India (1958), Scientific Policy Resolution.
development. Besides, the existing industries also must be [12] Government of India (1968), National Education Policy.
incubated at different levels for a sustainable growth under [13] Government of India (1986), National Policy on education
(Modified in 1992)
the watchful guidance of these faulty members. All these
[14] Government of India (1986), Technology Policy Statement.
steps must be adopted and pursued with missionary zeal to [15] Hitt, M.A., Ireland, R.D., Camp, S.M., & Sexton, D.L. (2001).
make our country economically stronger. Strategic Entrepreneurship: Entrepreneurial Strategies for Wealth
Creation. Strategic Management Journal (special issue) : 22(6):
479-492.
[16] Katz, J.A. (2003). The Chronology and Intellectual Trajectory of
American Entrepreneurship Education. Journal of Business
Venturing 18(2): 283-300.
[17] Kent, C.A. (1990). Entrepreneurship Education t the Collegiate
Level: A Synopsis and Evaluation. In C.A. Kent (Ed.)
Entrepreneurship Education, pp. 111-122. New York: Quorum
Books.
[18] Kuratko, D.F. & Ireland, R.D., & Hornsby, J.S. (2001).
Improving Firm Performance Through Entrepreneurial Actions :
Acordia‟s Corporate Entrepreneurship Strategy. Academy of
Management Executive 15(4): 60-71.
[19] Kuratko, D.F. & Hodgetts, R.M. (2004). Entrepreneurship:
Theory, Process, Practice (Mason, OH; South-Western
Publishers).
[20] McDougall, P.P. & Oviatt, B.M. (2003). Some Fundamental
Issues in International Entrepreneurship. Coleman White Paper
Series, www.usasbe.org.
[21] Meyer, G.D.(2001). Major Unresolved Issues and Opportunities
in Entrepreneurship Education. Coleman White Paper (USASBE
National Conference, Feb. 2001)
[22] Peng, M.W. (2001). How Entrepreneurs Create Wealth in
Transition Economies. Academy of Management Executive
15(1): 95-110.
[23] Samiuddin & Rehman, H. (1989). Entrepreneurship
Development- A Key to Economic Growth, Entrepreneurship
Development in India, Sami Uddin, (Ed.), Delhi, India: Mittal
Publications, 49-58.
[24] Sanghvi, A.N.(1996). Promotion of Technical Entrepreneurship
through Technical Education, 19(2), 42-44.
[25] Solomon, G.T. Duffy, S., & Tarabishy, A. (2002). The State of
Entrepreneurship in the United States: A Nationwide Survey and
Analysis. International Journal of Entrepreneurship Education,
1(1): 65-86.
REFERENCES: [26] Sparks, J.J. (1993). Engineering Education in a World of Rapidly
Changing Technology. AEESEAP/FEISEAP/IACEE,
International Conference on Engineering Education, Singapore,
[1] Brawner, C.E. & Miller, T.K. (2003). Engineering design using
1-6, 10-12.
an entrepreneurial model,
[27] Strengthening the role of business and industry
http://www4.ncsu.edu/~browner/enterprio.htm
http://www.unep.org/Documentry/Default.asp?DocumentID=52&
ArticleID=78
[2] Bull, I. & Willard, G.E. (1993). Towards a theory of
[28] Tandon, B.C. (1975). Environment and Entrepreneur, Allahabad:
Entrepreneurship. Journal of Business Venturing, May, (8): 183-
Chugh Publications.
196
[29] Wani,V.P. & Sharma, S.K.(1999). Technocrat as an Entrepreneur:
[3] Bygrave, W.D. & Hofer, C.W. (1991). Theorizing about
Avenues. National Seminar on Recent Trends in Manufacturing
Entrepreneurship. Entrepreneurship Theory and Practice, Winter:
Systems, HMT Pinjore, 38-40
12-22.
[4] Casson, M.(1997) The Entrepreneur-An Economic Theory,
Martin Roberston & Co. Ltd, 57-66
[5] Constitution of India (1949) http://alfa.nic.in/const
[6] DeLisle, P.A. (1999). Engineering leadership in IEEE-USA‟S
1999 Professional Development Conference,
http://www.ieeeusa.org/newspubs/features/delisle.html
[7] Ditcher, A.K.(2001). Effective teaching and learning in higher
education with particular reference to the under graduate
education of professional engineers, International Journal of
Engineering Education, 17(1), 24-29.
[8] Entrepreneurship Development Institute, India,
Ahemdabad(1994). A Hand book for New Entrepreneurs, 7-12.
[9] Evolution of Engineering (1997). Education in Canada,
http://www.acad-eng-gen.ca/public/Evolution_97.html
521
Retail logistics
Anjali Mahna1, Dikshi Vohra2, Sandeep Bedi3
1,3
Lecturer MBA Deptt, Ganpati Business School, Bilaspur
1
mahna.anjali20@gmail.com
3
bedisimmi17@gmail.com
2
Lecturer MBA Deptt, Ganpati Institute of Technology and Management, Bilaspur
2
dikshivohra@gmail.com
Abstract - Retailing and Logistics are concerned with the Fig shows Logistics and Retail Management [5]
availability of products. Retail Logistics helps in getting
the right product to the right place at the right time. It II. OBJECTIVES
focuses on transportation, inventory, warehousing,  To know about the services of Retail
material handling, packaging and security. It is a cycle Logistics.
between the point of origin and the point of consumption.  To understand the Forward and Reverse
The paper focus on the logistics services, forward and Logistics
reverses logistics and outsourcing of logistics (Third party  To know about the Logistics outsourcing.
logistics and Fourth party logistics).[1]
III. RETAIL LOGISTICS SERVICES
I. INTRODUCTION
Transportation- Transportation is the movement of goods
Logistics is the process of planning, implementing and from the production house to consumption.Therefore,
controlling the efficient, effective flow and storage of goods, retailers have to manage the transport the transport facilities,
services and related information between the point of origin different types of transport, different size of containers and
and the point of consumption in order to meet the vehicles and availability of drivers. The modes of
requirements of customers. The purpose of managing the transportation are air, rail, road and water. [3], [15]
inventory holding cost and to increase the proits.logistics Warehouse- Warehouse is a large store or commercial
management can also be known as material management, building for the storage of goods.Sometimes, warehouse load
channel management, distribution(or physical distribution) and unloads goods directly from railways, airports or
and business or logistics management. Logistics is the seaports. It specializes in the sale bulky goods, such as
combination of transportation, inventory, warehousing, carpets, furniture, electrical goods.[14].
pacakaging, material handling, information and Inventory-The amount of stock or inventory has to be held by
security.[7],[12] retailers for each product. All the retailers have to hold some
Retail logistics is the process of managing the flow of trade inventories to some extent. There should be a proper
from the source of supply to the customer. It involves management of inventory at different locations within a
following functions- facility or within multiple locations of a supply network to
 Co-ordination among the suppliers, manufacturers protect the regular and planned course of production [5],
and vendors. [13].
 Consumer gets the right product at the right time Packaging- Retailers have to develop the products that are
and at the right place. [4] easy to handle in logistics terms, not too much costly to
 Flexible as per the demands of consumers package or handle. Sometimes consumers make purchase
 Optimal inventory levels and reduce wastage of decisions based on product presentation and packaging. The
products. main purpose of packaging is physical protection, barrier
 Physical movements of goods from one location to protection, containment, information transmission,
another, where location may be a distribution centre marketing, security and convenience.
,warehouse, store or manufacturer.[6} Security-Logistics security has become essential for the
Logistics and Retail Management successful running of any goods during transportation and
Material Management procurement are part of logistics security. Security measures
Physical distribution management should be better during the initial stages of production and
Logistics management distribution and throughout the supply chain.
C
Raw Inventory O
material Storage facilities S
Parts Unitization U
Finished M
Packaging Transportation
products E
Material Communication
R
522
Communication- Retailers must have good communication

channels for the successful running of any business Information Flow
enterprise. if they having information regarding demand and Fig2 shows Reverse Logistics [2]
supply,volumes,stocks,prices and movements of products,
then they have a more efficient and effective logistics When a consumer returns the product to the retail store, the
operation. store collects the products and sent to a centralized sorting
It should be clear that all these services are interlinked. In the facility. At the time of the return, information about the item
past they were often managed as functional areas of the and its condition may be entered into the Retailer’s
logistics. For getting good sales data retailers have to manage information system and forwarded to the return-processing
the inventory, transportation facility, storage facility, material centre.
hamdling, packaging and security.[5] When the product sent to the CRC (centralized return
centers) or DC, employee’s measure out the condition of each
IV. FORWARD AND REVERSE LOGISTICS returned product and determine the best place to disposition
Reverse logistics flow is different from the forward logistics the product.Possible destinations for product are:
flow. Figure .1 shows the information flow for a typical retail  Return to vendor
forward logistics process. The future sales are forecast for the  Sell as new
projection of future requirements. As per the requirement of  Repackage, sell as new
product, it is first sent to a distribution centre (DC), and then  Sell via outlet
to the retail stores. At every level, advanced shipping notices  Remanufacture
(ASNs) provide outlook of product coming in. [2]  Sell to broker
By contradiction, a reverse logistics flow is much more  Donate to charity
responsive, with much less outlook. Business enterprises
 Recycle[2]
introduce reverse logistics activity in response to actions by
Planning for reverse logistics is more difficult as compare to
consumers or downstream channel members. Figure 2 shows
forward logistics. Future planning and forecasting for reverse
a reverse logistics information flow. [2]
logistics are difficult because of the changing demand of
Forward logistics information flow for retail
consumers and availability of product to be remanufactured.
[8], [10]
V. LOGISTICS OUTSOURCING
ASN
Sal Pla Ship Shi Put Act Third-party logistics (3PL)-
es ASN nne ment pm awa ual Third-party logistics is an operator that provides services to
for d to ent y at sale
eca shi DC to store s
its customers. It specialize in integrated operation,
st pm stor warehousing and transportation services that can be sealed
ent e and customized to customer’s needs based on market
to conditions, demands and delivery services requirements for
DC
their products and material. [6],
3PL providers are:
Product Flow
 Freight forwarders
Information Flow  Courier companies
Fig1 shows Forward Logistics [2]  Other companies integrating and offering
subcontracted logistics and transportation
Reverse logistics information flow for Retail services.[9],[11]
Examples- [6]
DRS OM logistics
Product Sortatio ‘milk Collect Custo
to n and run’ ed at mer DHL Safe express
disposit disposit collecti store return Indo-Aryan MJ logistics
ion ion on to item Gati AS cargo
destinat decisio DC/CR Reliance logistics
ion n C
making Sical logistics
Fourth-party logistics (4PL)-
Return Fourth –party logistics provider is a consultancy firm
informati
Product Flow on to DC specialized in logistics, transportation and supply chain
523
management.4PL provider must also offers services [8] Reverse logistics website.[online]. Available:
considering a 360 degree view, which is not focused on its http://en.wikipedia.org/wiki/Reverse_logistics
ability to implement the recommendations it gives, but on all [9] Manda srinath,(2006),Third party logistics-The way
the options available in the market. [6] forward for Indian logistics market website.[online].
Example-[6] Available: http://www.frost.com/prod/servlet/market-
CPCS insight-top.pag?docid=74102578
SCMO [10] Nair shraddha, Reverse logistics gaining ground in
BMT Indian market website.[online]. Available:
http://www.livemint.com/2009/09/03210902/Reverse-
VI. CONCLUSION logistics-gainning-grou.html
Retail logistics services and practices in India have become a [11] Mitra subrata, WPS no.562/oct.2005,A survey of the
key element of business success strategy. Logistics involves third-party logistics (3PL) service provider in India
the transportation, warehousing, packaging, material website.[online]. Available:
handling, information and security. Forward and reverse http://www.iimcal.ac.in/res/upd%%CWPS562.pdf
logistics are different concepts, to manage the reverse [12] Growth in logistics-An overview website.[online].
logistics is much more difficult as compare to forward Available:
logistics, because in reverse logistics ,retailers have to http://www.iimm.org/Knowledge_bank/1_growth-in-
remanufactured or resell the product, which is a challenge for logistics-anoverview.htm
the retailers. Most of the companies outsourcing their [13] Inventory website, [online].Available:
logistics services with the help of service providers like 3PL http://en.wikipedia.org/wiki/Inventory
and 4PLthird-party logistics is an operator while fourth-party [14] (2010) warehouse Website,[online].Available:
logistics is a consulting firm. Retailers have to manage the http://www.valoff.i.e/doc/retailwarehouses.pdf
logistics services in an efficient manner for the successful [15] (2010) transport Website.[online].Available:
running of any business firm. http://www.answers.com/topic/transport
VII. REFERENCES
[1] Ellram M. Lisa, Londe J.Bernard and Weber
Margaret Mary,”Retail Logistics”, International
journal of physical distribution and logistics
management, vol.29 No.7/8,1999,pp.477-494
[2] Tibben S.Ronald and Rogers S.Dale,” Difference
between forward and reverse logistics in a retail
environment, supply chain management an
international journal, volume 7-number 5-
2002.pp.271-282.
[3] Mohan ramneesh and sahay B.S,”3PL practices: an
Indian perspective, international journal of physical
distribution and logistics management, vol.36 no.9,
2006, and pp.666-689.
[4] Soosay Claudine & chapman L.ross and
kandampully jay,”Innovation in logistic services and
the new business model,a conceptual
framework,international journal of physical
distribution and logistics
management,vol.33,no.7203,pp.630-650
[5] Sparks Leigh & fernie john,”Retail logistics:
changes & challenges”.
[6] (2009), Retail logistics basics –part III website.
[online]. Available:
http://propertybytes.indiaproperty.com/index.php/ne
wsbytes/Retail-logistics-basics
[7] Logistics website.[online]. Available:
http://en.wikipedia.org/wiki/logistics
524
JATROPHA: Healthy-Wealthy Approach to Bio-

energy
Himanshu Gaur1, Ankit Singhvi2, Amit Kumar3 Khushbu Gaur4
12,3,4
Department of Managemen, Ganpati Institute of Technology & Management, Bilaspur, Yamuna Nagar, Haryana, India
1
Himanshu_bt_2006@gmail.com
2
amitk347@gmail.com
4
Khushbu.gaur23@gmail.com
Abstract: As global supply is currently mainly dependent on traditional uses of wind , water , solar energy are wide
fossil fuels & it is now widely agreed that more sustainable spread in developed and developing countries , but they are
alternative energy sources need to be developed in coming getting more attention all over the world due to major
time. One of the potentially promising option is of biofuels , threats like climate change , exhaustion of fossil fuels ,
since these are derived from biomass , have a closed carbon
pollution , depletion in ozone layer , global warming etc.
cycle & do not contribute to green house effect hence it
represents important opportunities & challenges for The use of renewable energy is not new. Five generations
sustainable development both globally & domestically. (125 years) ago, wood supplied up to 90 percent of our
energy needs. Due to the convenience and low prices of
In Indian context biofuels is the answers to many of the social fossil fuels, wood use has fallen. Historically, low fossil
problems faced by India. Jatropha is seen as the potential fuel prices, especially for natural gas, have made growth
source of biofuels as it can help to tackle climate change which difficult for renewable fuels. Renewable energy's impact on
directly help to reduce GHG & would not contribute to the world's energy picture is significant as it accounts for
Greenhouse effect, it will also help to improve rural about 1/10 th of the world’s primary energy supply. The
employment & livelihoods. Other issues like utilization of the
overall consumption from renewable energy sources has
waste lands, an alternative for fossil fuels, farmers suicide,
help to stop local soil erosion, effective utilization of the waste declined by about 15 percent from their 1996 peak to about
produced in manufacture of biofuels in biogas form etc makes 6 quads in 2005. (Sources: Energy Information
jatropha a important crop . Biofuels will allow India to beat Administration, Annual Energy Review, August 2006.)
other players in Carbon Credit & strengthen its economy.
Objectives:
Most important as contribution of the agriculture to the GDP 1. To find out why renewable sources of energy are
has declined from 38% in 1975 to almost 20% this year if
required
India wants to grow in two digit growth rate then agriculture
has to grow at the rate of 4% , for this growth an agricultural 2. To find those sources of renewable energy which can
fuel plant “jatropha “ is one of the good solution available . answer the problems like utilization of waste lands,
This will help to give strength to Agriculture sector. fossil fuels exhaustion, Farmer’s suicide, global
warming, etc.
Key Words: Sustainable alternative energy resources, 3. How the above source can be economically &
Biofuels, Jatropha, Biodiesel, GHG effect, Carbon credit, environmentally beneficial to Indian economy.
Agriculture, Indian Economy.
II. TYPES OF RENEWABLE SOURCES OF ENERGY

I. INTRODUCTION
The five renewable sources used most often include
Renewable energy is derived from natural processes that hydropower (water), solar, wind, geothermal, and biomass
are replenished constantly or one can say which are
regenerative or for all practical purposes cannot be depleted
, hence for this reason they are different from fossil fuels ,
and do not produce as many greenhouse gases & other
pollutants as fossil fuel combustion. In its various forms, it
derives directly from the sun, or from heat generated deep
within the earth. Included in the definition is electricity and
heat generated from solar, wind, ocean, hydropower,
biomass, geothermal resources, and biofuels and hydrogen
derived from renewable resources . Though mankind’s
525
TABLE : 1 Current Technical Theoretical

Use Potential Potential
Sources: Energy Information Administration, Annual (2001)
Energy Review, August 2006. Hydropower 9 50 147
Biomass Energy 50 >276 2,900
Wind Energy 0.12 640 6,000
0.1 >1575 3,900,000
World Renewable Solar Energy
Geothermal 0.6 5000 140,000,000
Energy 2005 Water Energy
Total 60 >7600 144,000,000
The renewable energy resource base
21.87, 0.06, 0%
( exajoules a year )
22% Solar
Geo  Wind energy can only be used in those areas

where there is a availability of high speed wind.
thermal
4.58, 5%  Differences in the wind strength cannot guarantee
Wind continuous project.
2.89, 3%
63.35,  It should also be noted that intermittent sources
7.25, 7% 63% Biomass
such as wind, solar, tidal, and wave energy may
eventually require energy storage and/or back-up
to guarantee reliable supply at large penetrations.
B. Cost Analysis :- After analysis of the cost for producing

Source: “ World Renewable Energy 2005 “, Wikipedia , electricity & heat from Renewable sources of energy ,
the free encyclopedia 2 we can interpretate that one of the good option one can
go for is geothermal as cost per KW/Hr. is low for
present as well as future energy . The other options
A. Potential for Renewable Sources of Energy:- like hydropower ,wind ,solar , biomass lie equally
likely in the same range . So , what are the factors
Though renewable sources of energy only supports a which are binding this sector to explore :-
modest fraction of current energy ( i.e 14% of primary Initial cost is very high , Time taken to install it is long
energy , used mostly from traditional biomass ) , there is , geothermal sites are capable of providing heat for
much potential which could be exploited in future. many decades, eventually they are depleted as the
ground cools etc . In developing countries like India
where agriculture is considered to be as the backbone
According to data given in table 1 we can see that both of economy we have to think of those sources which
technical potential as well as theoretical potential are large can also help to give solutions to the major problems
compared to actual utilization of the renewable sources of like :-
energy , so we can interpretate that there is lot potential in  Utilization of waste land
the renewable energy sector which is uncaptured , but one  Fossil fuel exhaustion
should not forget about the limitations & hurdles which  Farmer’s suicide , output from agriculture
hinders the exploration of these sectors like ,  Climatic change ( Global Warming )
 Installation cost & time involved is very large in  Growth of economy in two digits
case of geothermal energy projects.
526
The demand says it’s time for that sector which has relation
with agriculture & would help to explore it . If we analyze
Biomass energy, it is more or less obtained from plants or
from some plant derivatives. Plants use photosynthesis to
grow & produce biomass which is also called as biomatter ,
these biomasses can be used to produce liquid biofuels .
Agriculturally produced biomass fuels like biodiesel ,
ethanol , bagasse (by product of sugarcane cultivation ) can
be burned in internal combustion engines , boilers etc in
order to generate heat energy . Now a day’s another source
of biofuel obtained from Jatropha 3 which can be used as a
replacement of Diesel is the sunrise sector in India. Some
of the major characteristics of Jatropha are:-
1. Resistant to drought and pests. 2001

2. Its seeds can be crushed to produce oil which can be energy Potential future
used in standard diesel car. TABLE : 2 costs energy cost
3. Residue can also be processed into biomass to power Electricity
electricity plants & biogas. Wind 4-8 ¢/kWh 3-10 ¢/kWh
4. The plant can grow in wasteland. Solar 25-160
photovoltaic ¢/kWh 5-25 ¢/kWh
5. Fertilises the soil in which it is grown.
12-34
6. Cost-effective, easy to sustain and can produce greater Solar thermal ¢/kWh 4-20 ¢/kWh
yields. Large
7. It can be intercropped with other cash crops like coffee hydropower 2-10 ¢/kWh 2-10 ¢/kWh
, sugar , fruits etc Small
8. Health benefits4 :- It has anti tumor activity & is hydropower 2-12 ¢/kWh 2-10 ¢/kWh
remedy for constipation , malaria , etc Geothermal 2-10 ¢/kWh 1-8 ¢/kWh
9. Help in economic empowerment, social upliftment & Biomass 3-12 ¢/kWh 4-10 ¢/kWh
poverty alleviation within marginalized communities
like : source for employment for women SHG’s ,
increase rural incomes , beneficial for small farmers Heat
etc . 0.5-5
10. Leaves less carbon dioxide. Geothermal heat ¢/kWh 0.5-5 ¢/kWh
Biomass - heat 1-6 ¢/kWh 1-5 ¢/kWh
We can see that “ Jatropha “ more or less is able to answer Low temp solar
most of our key issues like utilization of the waste lands , heat 2-25 ¢/kWh 2-10 ¢/kWh
source of fuel , a new crop with new hopes for Indian All costs are in 2001 $-cent per kilowatt hour
Source: World Energy Assessment, 2004 update
farmers , being an agricultural product it would help to
increase agricultural output , which will finally help to
increase primary sector contribution to GDP , as it leaves
less CO2 (which is considered to be as one of the major
greenhouse gases which is known to cause global
warming) hence it not cause earth’s atmosphere to warm ,
hence will act to reduce global warming.
527
1. Plantation stage of the production process of bio-

diesel from the seeds of Jatropha .
2. Extraction stage of bio-diesel production
3. Transesterification stage in which raw oil is
transesterified to bio-diesel.
The combination of three stages of bio-diesel production

and the role of each player in these stages have to be
objectively defined as they can affect the economics of bio-
diesel production.
The other cost involved are maintenance cost.
C. Economic Benefits from Jatropha :-
Jatropha proves to be a promising Bio Fuel plantation and

could emerge as a major alternative to Diesel thus reducing
our dependence on oil imports and saving the precious
Foreign Exchange besides providing the much needed
energy security. Jatropha oil displacing conventional fossil
III. JATROPHA AS BIODIESEL
fuel makes the project fully eligible as a CDM project, i.e.
recipient of CO2 credits.
Source 4 : http://www.jatrophabiodiesel.org One Jatropha4 plant gives 2-4 Kg seeds & a litre of the oil
can be produced by 3 Kg of Jatropha seeds with the yield
The Biodiesel industry is a new & small , even though it ranges between 30-50%.
has products which can compete with fossil fuels . As we
can see jatropha bio diesel is 95% efficient compare to
diesel & can give an average of 18.6 Km/Litre . D. Jatropha use to produce Electricity:-
A. Implementation:- How jatropha can be useful in electricity production is

discussed as follows:-
The former President of India, Dr. Abdul Kalam6 is one of Taking a small village with 100 households
the strong advocators of jatropha cultivation for production Energy supplied per household per day (Watt hours) = 600
of bio diesel. In his recent speech he said that out of the 60 Assumption: (@100 watts / household for 6 hours per day)
million hectares (600,000 Km2) of waste land available in Total energy for one household in the village / year = 365 x
India, over 30 million hectares are suitable for jatropha 600 = 219000 Watt Hrs. = 219 KWatt Hrs.
cultivation . The best thing is that during its life span it Total energy for 100 households = 21900 KWHrs.
requires very little water compared to other cash crops. Specific fuel consumption of diesel generator (gms/KWHrs
State Bank of India has taken initiative to provide loans ) = 250 for one unit of electricity
upto 1.3 billion rupees to local farmers in India. Other Amount of fuel required = 250 x 219 = 54750 Kg
sectors which have taken initiatives for jatropha plantation Approximately it can be taken as = 5.5 tonnes of fuel.
are:-
 Indian Railways: They had started to use oil (blended If we use biofuels of low cost then we can save a lot of cost
with diesel fuel in various ratios) from jatropha plant here, as well as provide electricity to the household. Let us
to power its diesel engines with great success. take the difference between the costs of two fuels is one
 Various states which have taken initiatives for Rs. then also 55000 Rs. saving per year. Thinking of the
cultivation of jatropha are Andhra Pradesh, Rajasthan, time when the biofuels would be cheaper, then we can
Chhattisgarh, Tamil Nadu, Maharastra etc. substitute it in place of diesel. Also if Indians are able to
develop high yielding variety of seeds of jatropha , then in
B. Cost benefit scenario: - coming time India from an oil starving nation would
convert to oil exporting nation like what happened at the
Cost benefits scenario will depend on various factors such time of Green revolution , before it India was considered as
as seed yield, area of Production, its gestation period, and an starving nation & after the success of green revolution
raw oil yield during various stages of bio-diesel India exported food grains to other country .
production-plantation, extraction, and transesterification.
An integrated Jatropha Biodiesel Project has three stages4: E. Estimated Biodiesel Requirement in India:
Year Diesel Biodiesel requirement
528
requirement,MMT blending,MMT Each member's crop is tested for quality

5% 10% 20% with payments based on the percentage
2004- 46.97 2.35 4.7 9.4 of oil. At the end of each year, a portion
05 of the BCS profits is used to pay each
2006- 52.33 2.62 5.23 9.92 member a patronage bonus based on the
07 quantity of jatropha procured.
2011- 66.90 3.35 6.69 13.38
12
Source: www.jatropha.de/Journal/Pilot_Plant_for_Biodiesel-leaflet1.pdf Tier 2 : THE DISTRICT UNION
A District Cooperative Jatropha Producers Union is

owned by BCS. The Union will buy all the societies
F. Biodiesel from Jatropha Carcus: jatropha, then processes and markets the jatropha oil.
Most Unions will provide a range of inputs and services
Jatropha trees are productive for up to 30-40 years. Each
like New technology, High yielding variety of seeds
Jatropha tree need 2m*2m area to grow and produces on an
(HYV), etc to sustain the growth of jatropha production
average 3.5 kgs of seeds, thus we can grow around 2,200
and the cooperatives' business. For consulting trained
trees per hectare & can produce 7 tons of seeds per hector.
union staff would be provided to support BCS.
From 3.7kgs of seeds 1 liter of biodiesel can be extracted,
total 2.2-2.7 tons of oil from 1 hectare of barren land.
G. Economics of Biodiesel Production:- Tier 3 : THE STATE FEDERATION

The cooperative Jatropha producers’ union in a state forms
Cost of Raw Jatropha oil Rs. 22 / litre a State Federation which is responsible for marketing the
Processing cost for biodiesel Rs. 9 / litre biodiesel.
Cost of production Rs. 31 / litre
( Less ) Return from crude Rs. 3 / litre
glycerol The Government of India has to encourage PSU’s like
Net cost of production Rs. 28 / litre Indian Oil Corporation (IOC), Hindustan Petroleum
Dealer’s Margin Rs. 1 / litre Corporation Limited (HPCL), to set up oil expellers &
Sale Price of Biodiesel Rs. 32 / litre Transesterification plants for biodiesel production. The
Profit Rs. 3 / litre biodiesel thus generated can further be used by them to
Source:” Production of Biodiesel from Jatropha Curcas “,D Ramesh , blend with their own oil (in the required ratio) which can
P.Venkatachalam. be distributed across the country at their outlets.
H.. Model for Producing Biodiesel in Rural India: Cost involved is as follows
Taking into consideration past experience of Operation FIXED COST INVOLVED
flood launched by NDDB, the World’s largest Dairy Oil Expeller Rs. 70000 for 1 Ton per
Development Programme in 1970, the strategy & the day capacity
model adopted then, also known as Anand Pattern is worth Transestrification Plant Rs. 70 – 75 Cr. for
recollecting here. The hallmark of Anand pattern was, 100,000 Tons / annum
maximizing farmer’s profit , productivity & involvement of
VARIABLE COST
people through cooperative society . The structure of our
INVOLVED
model would also be on the same guidelines as that of
Man Power Rs.450 per Ton
Anand pattern i.e. three tier structures.
Maintenance & processing cost Rs. 900 per Ton
The authors have designed this model based on their
knowledge on Anand Pattern (as mentioned above).The
first stage involves formation of a cooperative society
J. Biodiesel production in India:-
named as “Biodiesel Cooperative Society (BCS) “
Few Government Initiatives:
Tier 1 : THE VILLAGE SOCIETY
BCS is formed by jatropha producers.  In order to boost the biofuel production in the
Any producer can become a BCS country the ministry of petroleum has launched
member by committing to sell jatropha National Mission on Biodiesel.The government
only to the society. Each BCS has a has already invested 90million on the biofuel
jatropha collection centre project in 2004-05.This allocation has been scaled
where members will sell their product. up to Rs450 million.
529
 Bio-Fuel development Authority (BDA) biofuels , only bioethanol is classified as agricultural

government owned waste land which can be used products & there trade is governed by the Agreement on
for jatropha cultivation. Agriculture of the WTO , biodiesel is categorized as an
 IOC has signed a MOU with Indian Railways for industrial good & subject to the general rules of GATT .EU
plantation of jatropha. is the main producer of Biofuels , producing 95% of the
world production .
Some upcoming projects in the private sector: A key concern is the existence of trade barriers – tariffs &
non tariff barriers. Progress in this sector is also affected by
Company Amount Invested(in lack of comprehensive trade regime, which means trade
Crores) conditions vary from country to country.
Daimler Chrysler Rs 160
IV CARBON CREDIT
Natural Bio-Energy Rs 139.5
As a country goes for biofuels the greenhouse gas emission
Southern online Technologies Rs 20.6 will be decreased & this will give the country a chance to
sell their carbon credits & earn money. So what are carbon
D1 Mohan Bio Oils Rs 20
credits?
Carbon credits are defined as certificates awarded to
K. Biofuels at International Markets:- countries that are successful in reducing emissions of
greenhouse gases .Carbon credits are a tradable permit
Although efforts to produce biofuels were started way back scheme. They provide a way to reduce green house gas
(particularly the successful PROALCOOL Programme emissions by giving them a monetary value. A credit gives
launched by Brazil in 1975) , biofuels have only started to the owner the right to emit one tonne of CO2. Carbon
be seen as a serious alternative to oil worldwide over last credits are generated as the result of an additional carbon
five years . project.
A. Price at which Carbon Credits are exchanged:-
Current prices at which carbon credits are exchanged are

Euro 6 to Euro 12 per tonnes of CO2 converting it into
Indian currency we get (taking price of one Euro as 55
Rs.)Range between 330 – 660 Rs. In 2004, there was 38%
rise in Carbon credits sold and accounted to 107 million
tonnes of CO2.
The carbon trading for the small scale growers may not be
sufficiently rewarding due to high total cost per unit of
carbon credit & enormous technical, financial, &
institutional risks are involved.
B. Who are the buyers & sellers of carbon Credit:-
1) Buyers of Carbon Credit:-
Their reduced carbon emissions compared to conventional

fuels and their positive impact on rural development,
current high oil prices are the key elements behind their
market development. With the Kyoto protocol coming into
force & implementation of different domestic measures for
biofuels , global biofuel production is expected to
quadruple in the next twenty years , accounting for about
10% of the world motor petroleum .
Currently at international markets very less biofuels are
traded as these are mainly consumed in domestic markets.
Though there is no comprehensive regime applicable to
530
Rs. ( in
Companies CER's crores)
Buyers ( %
Buyers of year - Vol Torrent power AEC 11900752 199.9
Carbon Credit 2004) ume Gujrat Fluro Chemicals 3380076 56.8
Japan 41 Indian Aluminium 2553344 42.9

3% (% Volume)
Lanco Group 2289478 38.5
3% 3% Japan Netherland 23
3% Carbon Jaypee Assocites 1084469 18.2
Finance
Chennai Petroleum Refineries 1010000 17
Business 24
41%
24% Balrampur Chini 936289 15.7
Netherla USA 3
23% nd Jindal Steels 575967 9.7
Canada 3 Orissa Sponge iron 424549 7.1
Australia
& Kalpataru Power Transmision 313743 5.3
Newzeland 3 Indo Gulf Corporation 245256 4.1
Other EU 3
Grasim Industries 242270 4.1
Japanese private firms are the largest buyers of CEC’s, come upfront and provide support in the form of subsidies
and tax exemptions to boost this sunrise sector.
2) Suppliers of Carbon Credit:-
India can get huge benefits after developing the required
infrastructure. It will increase the share of Agriculture in
Asia is the largest supplier of carbon credit followed by
GDP and can drive the modest growth rate of more than
Latin America, developed economies, Eastern Europe .
10%. Foreign players should be encouraged to make
Five countries (India , Chile , Brazil , Indonesia , Romania
investment and to upgrade technologies in this sector.
) represents 2/3rd of the supply in terms of volume carbon
Problems of waste land management, economic
credits. The protocol
development, poverty eradiation, employment generation,
India being a developing country is exempted from the
as well as rising energy requirement could be solved out
requirement of adherence to the protocol. However, it can
simultaneously. Developed nations have exploited non
sell the carbon credits to developed countries.
renewable sources of energy for industrial growth, but in
Companies investing in windmills, bio diesel, co-
age of global warming, developing nations like India need
generation, bio gas are the ones that will generate carbon
to develop different models for green sources of energy, for
credit for selling to the developed nations
its industrial development. Suitable infrastructure will
Major companies operating in India in trading of Carbon
ensure the huge benefits in carbon credit market.
credits are as follows: - .
Developed nations should share technological accumen for
green processes with developing nations to make this world
Source: - http://www.indiacore.com/bulletin/papers-gp5/sachin-trivedi- healthy and wealthy.
global-warning-and-kyoto-protocol-indian-scenario-on-carbon-credits.pdf
The accompanying table gives the names of companies REFERENCES

getting benefit from Carbon Credit trading .
[1] http://www.eia.doe.gov/kids/history/timelines/index.html
V. CONCLUSION [2] http://en.wikipedia.org/wiki/renewable_energy
[3] http://en.wikipedia.org/w/index.php?title=spicy_jatropha&acti
Biodiesel industry can be one of the solutions to the on=edit
increasing diesel demands in our country. R&D on high
oil-yielding seeds and pilot projects for plantations and [4] http://www.jatrophabiodiesel.org
Trans-esterification plants are underway. Before this
[5] Dufey.Annie(2006)”Biofuels production , trade & sustainabile
industry can come onto a rapid growth track, large scale of developments :emerging issues “ ,
jatropha cultivation, infrastructure for oil seeds collection http://www.iied.org/pubs/pdf/full/15504IIED.pdf
and oil extraction must be established. Government should
531
[6] “Kalam to attend jatropha planters convention “ . India e News

Pvt Ltd. ,08 June 2006
[7] “Railways to plant jatropha for captive use “. The Hindu ,

Business Line 17 Sept.2006 .
[8] Trivedi.Sachin, “Global warming & Kyoto Protocol : India

scenario on carbon credits “
http://www.indiacore.com/bulletin/papers-gp5/sachin-trivedi-
global-warning-and-kyoto-protocol-indian-scenario-on-carbon-
credits.pdf
[9] “ Jatropha in Horticulture programs of employment gurantee

schemes “, http://www.prayaspune.org
532
A Case on Economic Impact of Biodiesel Industry

(An Indian Scenario)
Himanshu Gaur1, Ankit Singhvi2, Amit Kumar3 Khushbu Gaur4
12,3,4
Department of Managemen, Ganpati Institute of Technology & Management, Bilaspur, Yamuna Nagar, Haryana, India
1
himanshu_bt_2006@gmail.com
2
ankitbachelor@gmail.com
3
amitk347@gmail.com
4
khushbu.gaur23@gmail.com
Indian economy is growing at a fast pace. The projection is

Abstract - Indian economy is growing at a fast pace .This
that India would be requiring 3.1 million barrels of oil per
economic growth rate is accompanied by an increasing
day by 2010. In 2006 India imported oil worth Rs 171702
population which means the demand for energy resources
Crores, with diesel consumption being 40 million tons per
would also be high. In 2006 India imported oil worth Rs
year which is estimated to grow to 66 million by 2011-12.
171702 crores, with diesel consumption being 40 million
tons per year which is estimated to grow to 66 million by
2011-12 . From few decades there has been no
considerable increase in India’s oil production capacity to
From the graph1 below it can be easily inferred that the
meet the increasing demand, thus increasing the quantity
increase in consumption has not been accompanied with an
of oil imported from 63% to 70% because of which oil bill
equivalent increase in production which has resulted in
has serious consequences on Indian economy. Biodiesel
increase in the net imports. In the past three decades the
from Jatropha will turn out to be the required fuel which
quantity of oil import has increased from 63% to 70 % (as a
can provide a sustainable solution to the major problems.
percentage of total oil consumption).
Hence our research would be on Biodiesel production
from Jatropha.
Jatropha can be grown on barren land yielding 2204
barrel oil / square mile / year. In India 60 million hectares
of waste land are available, where the Jatropha
production can take place.
The plant Jatropha requires very less water which
negates the water problem even in states like Rajasthan.
It will also be helpful in reducing carbon footprints which
in turn will help us in preserving the natural
environment. And also the entry of the big automobile
players in this sector like M&M, Tata, and Daimler
Chrysler etc. makes it a happening sector.
Impact on Economy & Society - Carbon credits, utilization
of wastelands, reduced dependency for oil on other
countries, Increase in agricultural output, environmental
pollution, employment generation, etc will be some of the
major highlights of Jatropha production.
Key Words - Indian Economy, Biodiesel, Energy
Resources, Jatropha Plant, Barren Land, Oil Production,
Environment.
1
I. INTRODUCTION http://www.eoearth.org/upload/thumb/5/50/India_Oil_prod_&_cons.gif/300p
x-India_oil_prod_&_cons.gif
533
are produced in winter when shrub is leafless but in case of

As per the data given by Petroleum Ministry of India it good soil moisture & sufficiently high temperature, one can
predicts that diesel consumption in India is about five times reap several crop . Each inflorescence yields a bunch of
higher than petroleum. The other issue is the global prices of approximately 10 or more ovoid fruits. When the fruit
the crude oil touching as high as $170 per barrel, leads to exocrap dries its color changes from green to yellow and
increase in the cost of diesel fuel the other reasons for high finally to black color seeds. Flowering can vary wrt season
prices are processing cost for de sulphurisation of diesel. like in permanently humid regions flowering occurs
With the depleting fossil fuels and increasing requirements of throughout the year . Flowering occurs during the wet season
diesel, no single fuel can sustain urban transport in the and two flowering peaks are often seen. The seeds mature
foreseeable future. Hence alternative fuel has to be about three months after flowering.
considered in order to undertake energy security and import
substitution for diesel and petrol fuels. IV. BIODIESEL FROM JATROPHA
II. BIO DIESEL
Bio diesel came into picture in 1885 when Dr. Biodiesel is a carbon neutral fuel, with lower carbon cycle
Rudolf Diesel build first diesel engine , idea behind it was to time compared to mineral diesel. It helps to control
run it from vegetative source . This diesel engine was first environmental pollution and helps in energy conservation.
displayed to public in 1900 at Paris show . Though at that Biodiesel is generally made from vegetable oils like
time use of vegetable oil was uncommon but it was said , rapeseed, soybean etc. Various countries uses different
once the depletion of fossil fuels will start then to balance the sources of producing biodiesel like US uses soybean and corn
demand supply gap such oils i.e Biodiesel will gain , Europe uses rapeseed and sunflower oil , Malaysia uses
importance same as petroleum & coal tar products . palm oil , India through its extensive research uses Jatropha
Since than a lot of technological developments have Curcas oilseed , a tree borne oilseed as a major feedstock for
been taken place and plant oils are seen as substitutes for India’s biodiesel programme. The major reasons for using
petroleum products . Some other factors which are Jatropha are:
contributed to biodiesel awareness are environmental &  Oil yield per hectare is highest for tree borne oil
economic concerns ( Kyoto Protocol ) In 1991 European seeds
Community proposed 90% tax deduction for using biofuels .  Can be grown in areas of low rainfall ( <200 mm )
Currently 21 countries are producing biodiesel . on low fertility and waste lands
Biodiesel can be produced from various types of  Pest resistant
sources but the major source is Jatropha. Jatropha is a genus  Non grazed by cattle
of about 175 succulents, shrubs & trees and are from the  Low gestation period
family Euphorbiaceae . Jatropha originated in Caribbean &  Easily established in nursery
spread to tropical area of India , Africa by Portuguese traders  It is rich in nitrogen and thus can be used in
. Various variety of Jatropha are :- Jatropha cuneata , intercropping, also the seed cake can be used as an
Jatropha curcas , Krameria grayi , Jatropha gossypifolia, excellent nutrient.
Jatropha integerrima Jatropha multifida L., Jatropha  Is can be used in treatment of tumor, cancer, piles &
podagrica fever.
 Diesel produced by Jatropha is biodegradable as
III. BOTANICAL FEATURES
salt. Also it produces 80% less carbon dioxide and
Jatropha is a small deciduous tree or shrub with 100% less sulfur dioxide emissions. It provides a
smooth gray bark & are its height varies between three to 90% reduction in cancer risks.
five meters but can go up to ten meters under favorable Limitations with Jatropha production and biofuel:
conditions . It exudes a whitish colored, watery, latex when  Long gestation period , which demotivate farmers to
cut. It’s leaves are large & of green color , and shed in winter take up tree plantation
. Leaves grow alternate to sub-opposite, three-to five-lobed  Lack of confidence among farmers as this concept is
with a spiral phyllotaxis. An inflorescence is formed in the new and lacks on the technological front.
leaf axil . The petiole length ranges between 6-23 mm . Distribution is also not very wide as compared to
Flowers are formed terminally, individually, with female petro diesel.
flowers usually slightly larger and occur in the hot seasons.
 Long gestation periods demotivate farmers to take
Male to female flowers ratio .ranged from 18:2:1-30:8:1 in
up tree plantation projects.
the first year and 9:8:1-16:2:1 in the second year . The
 Unavailability of high yielding variety (HYV) seeds.
flowers open for a period of 8-10 days in the inflorescence.
The female flowers open for 2-4 days only . Normally fruits  Problem of mono cropping.
534
 Deforestation.  Kota is well connected to capital city Jaipur, UP,

 No minimum support price. New Delhi, Gujarat by both rail and road.
 Large quantity of by product in form of glycerin.  Other Government initiatives in this field like water
Byproducts of Jatropha Biodiesel are : - shed projects, Jatropha and Castor cultivation etc.
 Use of jatropha oil in making of soaps and candles.  Major players like Reliance have purchased land for
 Jatropha seed cakes remained after oil extraction can cultivation.
be used in digesters & gasifies to produce biogas Operations & Technology
which can be used in engines and in domestic sector Operation and technology used plays a important role in
as cooking gas. jatropha production. The pre requisite for jatropha cultivation
 They can also be used as fertilizers & as animal would be High yielding variety of seeds. The cost of which
fodder. varies from 8-16 Rs/ Kg. The main differentiating factor is
 Jatropha extracts can be used for treating tumor as how one cultivates jatropha plant. There are two ways by
they have anti tumor properties which we will go, they are:-
 Its seeds can be used as remedy for constipation , 1. Nursery Plantation : - Cultivating seeds in nursery , then
 Jatropha sap can be used for treating wounds transferring it the land where it will grow . Plants grown at
 Boiled Jatropha leaves can be used for treating these nurseries can be sold to prospective buyers at cost of 15
Rs. for 4 plants, which will again help to generate revenue.
malaria & fever
2. Direct Plantation: - Planting the seeds directly in the land
 Red color dye can be made from roots of Krameria
.The pre requisite of this is that they are sowed during rainy
grayi.
season. Before rains start heaps of soils are created and rain
 Its stems can be used for making hats & baskets.
water is harvested. This is the right period of sowing seeds in
 Jatropha is excellent soil erosion preventer, its the soil because during this period, they extract water from
leaves acts as wonderful soil enricher. the soil in order to stabilize their growth, after which they
 Glycerol is a versatile chemical & is found in baby will not require much water.
care products , in throat lozenges . Different stages of Jatropha cultivation are as follows:-
As we can see that the major advantage of growing
jatropha is that it can be grown on barren / unfertile land. In
India more than 60 million hectares of waste land2 are Not
available, where the Jatropha production can take place.
much care is taken in jatropha cultivation, as they don’t
V. BUSINESS DESCRIPTION
require much water, animals don’t browse them and they are
For jatropha cultivation is taking place in various pest resistant. Hence the crop is environmental friendly
states like Chhattisgarh, Madhya Pradesh, Andhra Pradesh producing environmental friendly biodiesel. Biodiesel are
etc but we have chosen Rajasthan as our area of working. used in the mixture of 5% or 20% called as B5 or B20.
One of the major reasons for selecting Rajasthan is Further tie ups with Centre for promotion for
availability of over 324 lakh hectares of wasteland and 30% Jatropha cultivation (CJP), Sikar, Rajasthan help on
subsidy given by the State Government for Jatropha continuous improvement in jatropha cultivation. They will
cultivation. Out of 324 lakh hectares of land 60 lakh hectares provide training and guidance in jatropha cultivation.
lies in Kota district. Employees will be sending to CJP for training. Further tie
Some of the major reasons for selecting Kota are: ups will also be with CJP in trying new HYV Jatropha seeds
 Availability of water, as Kota lies on banks of river in the cultivable land.
Chambal. Various modifications would be required in the engine.
 Minimum 10 hours supply of electricity in rural Modification Required In the Engine
areas , by help of Thermal power plant situated in
 There should be dual fuel mode operation if feasible or
Kota
else the biodiesel has to be blended
 Subsidy offered by state Government
 The injection pressure applied by the injector should be
 Cost of land in the vicinity of Kota is less compared very high as compared to the normal diesel engine.
to other areas in Rajasthan.  We can use heated fuel lines.
Sr.No. Description of each stage
2
http://dolr.nic.in/wasteland.htm
1 Top view of the land where jatropha
cultivation will take place
2 Jatropha flowers
3 Jatropha plant
4 Jatropha leaves and fruit
5 Jatropha seeds
535
 Blending(Bring the viscosity to the near specified range)  Cost of seeds = 7-10 Rs/ Kg .
 Transesterification of the oil (reduces the viscosity and
removes impurities) The cost of plantation has been estimated to be Rs. 2000
 Cracking/Pyrolysis of the oil per hectare for first year inclusive of site preparation, digging
of pits , fertilizers and manure , cost of saplings and planting ,
Growth & Exit Strategy irrigation , deweeding , plant protection , maintenance for one
As this project is long term and starts generating revenue year . The onwards it will be ranging from 1200 – 1600 per
after two years , as jatropha plan takes minimum of two years hectare depending on the output. For second year it will be
for giving seeds after that one can reap benefit for minimum less as operative expenses would be in terms of crop
25 years , so we can see the project is sustainable. maintenance. The other details of operative, administrative
Sustainability can also be answered by seeing the and maintenance expenses are taken from Centre for Jatropha
government initiatives , Multinational companies like Production (CJP) , Sikar , Rajasthan as per their experience
Daimler Chrysler are coming in India with Biodiesel in this field .
operated cars by 2010 , by which we will get our first crop
and can be supplied to oil producing companies.
After reaching this stage our company has three options COST SHEET FOR JATROPHA CULTIVATION
which are as follows:
1. To continue with the ongoing business , seeing the bright
future
2. Go for forward integration i.e. getting into the oil 201 201 201 201 201 201
extraction business. Year 0 1 2 3 4 5
3. Exit from the business, by selling the cultivated land to
various companies operating in biodiesel from jatropha
like IOCL, Reliance etc. Total Hectares 27 27 27 27 27 27
If the company is going with the same business, then the

expected returns are calculated and shown in cost sheet. For
forward integration, the major challenge is to set up a plant total no. of 675 675 675 675
for oil extraction, more cost will be involved . This option is jatropha plants 00 00 00 00
very risky as a lot of money is already involved in land and
the returns would be starting after two years. This can be
taken into consideration after three years when plants starts Seeds tonnage 6.2
giving seeds and biodiesel market scenario would be more per hectare 0 0 2.5 5 5 9.6
clear. If the company plans to exit the business the expected
value of the cultivated land which a company can get at a
premium of about 5- 10 times the cost incurred , but it
entirely depends upon the market situation after two years. Production of 168 259
Jatropha seeds 0 0 67.5 135 .75 .2
VI. THE FINANCIAL PROJECTIONS
For financial projections, a cost sheet is calculated which is
shown below. For calculating this cost sheet some Price / TON of
assumptions are taken which are: jatropha seeds 700 700 700 700 700 700
 Average cost of waste/barren land is = 50,000Rs per acre (in Rs) 0 0 0 0 0 0
or 1.25 lakh per hectare. Therefore cost of 27 ha land =
33.75 Lakh out of which 30% is government subsidy
will be 10.125 Lakh , finally one have to pay 23.625
Lakh . Sales
 Considering jatropha production starts from 2nd year and
seed tonnage per ha will be 0, 2.5, 5, 6.25, 9.6, 10 for 1,
2, 3 4, 5 and 6th year. 118 181
 Crop density will be 2m x 2m with 2500 plants per ha. 472 945 125 440
 Intercropping is presumed for 30% of plantation area & Jatropha seeds 0 0 500 000 0 0
rate of interest = 9% per annum
536
expenses 000 000 000 000 000 000
Expected no. of
jatropha plants 100 110 121 131 146 161
to be sold 00 00 00 00 40 00 Maintenance 100 100 200 200 200 200
Expenses 0 0 0 0 0 0
Sale of plants
(@2.5 Rs/plant 250 275 302 327 366 402 355
) 00 00 50 50 00 50 Total cost of 100 153 242 268 294 302
sales 0 000 000 000 600 000
No. of people
to be trained 50 60 70 80 90 100 -
342 - 110 175
600 550 400 869 325 265
PBT 0 0 750 750 0 0
Training fee (
@2000 / person 100 120 140 160 180 200
) 000 000 000 000 000 000 During the first two years the cost sheet is showing
negative returns it is mainly due to the high capital
investment. As initially said this project is a long term
sustainable project we can see increasing returns through
113 139 205 jatropha cultivation from third year of plantation. Payback
125 147 642 775 785 465 period for the same would be between 2-3 years.
Total Revenues 000 500 750 0 0 0
VII. IMPACT OF JATROPHA CULTIVATION ON
ECONOMY AND SOCIETY
Cost of sales Now almost it is clear that this crop will help Indian economy
to gain sustainability in the petroleum sector. With the
growing population of India demand for energy is also
increasing, and hence in the present world where we talk
337 about Kyoto Protocol , global warming it was very important
500 that our country come up with a renewable source of energy
Capital cost 0 which can solve major issues like farmers suicide , growing
demands of petroleum products , farmers suicide , decreasing
agricultural output etc with a product that is eco friendly .
Authorized  Jatropha will help to increase the agricultural output of
Capital = our county which will help to increase the agricultural
2500000 contribution to GDP.
 Biodiesel produced will help to substitute the growing
energy needs as it can sbe used for electricity generation
as well as fuel for diesel operated vehicles.
Subsidy =  No separate storage facility is needed for the biodiesel
1012500 produced from jatropha hence will help to minimize the
infrastructure cost.
 The selling and marketing of biodiesel can be done
operative 250 200 600 660 726 800 through the same channel as that of petrol and diesel.
Expenses 00 0 00 00 00 00  As this fuel less harmful gases in the environment so
India can generate revenues through selling of carbon
credits.
Administartive 150 150 180 200 220 220
537
 It will help to reduce dependency for oil on other seen sas a serious alternative to oil worldwide over last five
countries years . s
 This business will create lot of employment
opportunities.
 Glycerin - Byproduct obtained in process of making of
biodiesel can be sold @75 paise/Kg and seed waste can
Companies CER's Rs. ( in crores)

Torrent
power AEC 11900752 199.9
Gujrat Fluro
Chemicals 3380076 56.8
Indian
Aluminium 2553344 42.9
Lanco Group 2289478 38.5
Jaypee
Assocites 1084469 18.2 Their reduced carbon emissions compared to
Chennai conventional fuels and their positive impact on rural
Petroleum development, current high oil prices are the key elements
Refineries 1010000 17 behind their market development. With the Kyoto protocol
Balrampur coming into force & implementation of different domestic
Chini 936289 15.7 measures for biofuels, global biofuels production is expected
to quadruple in the next twenty years , accounting for about
Jindal Steels 575967 9.7 10% of the world motor petroleum .
Orissa Currently at international markets very less biofuels
Sponge iron 424549 7.1 are traded as these are mainly consumed in domestic markets.
Kalpataru Though there is no comprehensive regime applicable to
Power biofuels , only bioethanol is classified as agricultural
Transmision 313743 5.3 products & there trade is governed by the Agreement on
Indo Gulf Agriculture of the WTO , biodiesel is categorized as an
Corporation 245256 4.1 industrial good & subject to the general rules of GATT .EU
Grasim is the main producer of Biofuels , producing 95% of the
Industries 242270 4.1 world production .
be used as fertilizer for the crops A key concern is the existence of trade barriers –
tariffs & non tariff barriers. Progress in this sector is also
Biofuels at International Markets:- affected by lack of comprehensive trade regime, which
Although efforts to produce biofuels were started way back means trade conditions vary from country to country .
(particularly the successful PROALCOOL Programme
launched by Brazil in 1975 ) , biofuels have only started to be VIII. CARBON CREDIT
As a country goes for biofuels the greenhouse gas
emission will be decreased & this will give the country a
chance to sell their carbon credits & earn money. So what are
carbon credits?
Carbon credits are defined as certificates awarded
to countries that are successful in reducing emissions of
greenhouse gases .Carbon credits are a tradable permit
scheme. They provide a way to reduce green house gas
emissions by giving them a monetary value. A credit gives
the owner the right to emit one tonne of CO2. Carbon credits
are generated as the result of an additional carbon project.
Price at which Carbon Credits are exchanged:-
Current prices at which carbon credits are exchanged are
Euro 6 to Euro 12 per tonnes of CO2 converting it into Indian
538
currency we get (taking price of one Euro as 55 Rs.)Range Major companies operating in India in trading of Carbon
between 330 – 660 Rs. In 2004, there was 38% rise in credits are as follows :
Carbon credits sold and accounted to 107 million tonnes of
CO2. Source:- http://www.indiacore.com/bulletin/papers-
The carbon trading for the small scale growers may not be gp5/sachin-trivedi-global-warning-and-kyoto-protocol-ndian-
sufficiently rewarding due to high total cost per unit of scenario-on-carbon-credits.pdf
carbon credit & enormous technical, financial, & institutional
risks are involved . FIELD TRIALS
Who are the buyers & sellers of carbon Credit :- Buyers
of Carbon Credit :- Several Field trials have been performed.
Japanese private firms are the largest buyers of CEC’s ,  Indian Oil Corporation, (IOC) had placed an order of
SUPPLIERS OF CARBON CREDIT Buyers( year 2004) % Volume
Asia is the largest supplier of carbon credit followed Japan 41
Netherland 23
Companies CER's Rs. ( in crores) Carbon Finance Business 24
Torrent USA 3
power AEC 11900752 199.9 Canada 3
Gujrat Fluro Australia & Newzeland 3
Chemicals 3380076 56.8 Other EU 3
Indian 450 kiloliters of bio-diesel in 2004, for field trials with
Aluminium 2553344 42.9 the Indian Railways and State Roadways. IOC will be
Lanco Group 2289478 38.5 able to supplement 5% of diesel with bio-diesel by 2007.
Jaypee  The first phase of the project, by Daimler-Chrysler India,
Assocites 1084469 18.2 in 2003-04, saw production of the indigenous biodiesel
Chennai and completion of road trials on two C-Class Mercedes-
Petroleum Benz cars. The cars, powered by pure (neat) Biodiesel,
Refineries 1010000 17 traversed the rugged terrain of the country in April-May
Balrampur of 2004, and travelled over 5,900 kilo meters under very
Chini 936289 15.7 hot and humid conditions. Currently they are in second
phase of its bio diesel project for the Mercedes C-class
Jindal Steels 575967 9.7 car.
Orissa  The Council for Scientific and Industrial Research
Sponge iron 424549 7.1 (CSIR) has encouraged country's biggest truck and bus
Kalpataru makers, Tata Motors and Indian Oil to take its biofuel
Power project to the next stage, for testing its vehicles on bio-
Transmision 313743 5.3 diesel developed from jatropha plant. Tata's company
Indo Gulf buses are running on Biodiesel for last few years. In
Corporation 245256 4.1 Pune they are running 43 out of 150 buses on
Grasim 10%biodiesel.
Industries 242270 4.1  Haryana, Karnataka, started with B5 biodiesel.
by Latin America, developed economies, Eastern Europe. Recently successful trials of B20 ( 20% biodiesel blend
Five countries (India, Chile, Brazil, Indonesia, Romania) with diesel ) in 10 PMT buses was done in Pune ,
represents 2/3rd of the supply in terms of volume carbon Maharashtra. If they use this in all 800 odd buses then
credits. The protocol they would be able to save 12 crores per year.
India being a developing country is exempted from  Mahindra & Mahindra, Reliance and the Indian
the requirement of adherence to the protocol. However , it Railways have also completed their successful trials for
can sell the carbon credits to developed countries . biodiesel. Indian Railways have already given 100
Companies investing in windmills, bio diesel , co-generation hectares out of 500 hectares for jatropha cultivation.
, bio gas are the ones that will generate carbon credit for Also they have successful runs of Shatabdi Express
selling to the developed nations . between Delhi and Amritsar and JanShatabdi between
Kanpur and Allahabad. Southern Railways' Tiruchi
539
division is using a 10 per cent blend of bio-diesel to run

six trains daily. 5 Trains through Lucknow running on
10% Bio-diesel.
IX. CONCLUSION
With the fast growing Indian economy biofuel
jatropha can be a sustainable solution in order to meet the
growing energy demands. Keeping in mind the growing
awareness of the biodiesel in the World and Indian market
with the big players like Reliance, IOCL, Indian Railways
coming in for biodiesel production by jatropha becomes a
good business opportunity. The other benefits like subsidy by
state government , selling of carbon credits , growing
demands of biodiesel in National and International market
makes jatropha a lucrative business to go in. This will help to
give solution for the major challenges which our country is
facing of decreasing agricultural contribution in GDP,
farmers suicide, oil dependency on other countries, getting a
double digit growth.
X. REFERENCE
[1] Sahu Bijaya, RIS, ”Asian Biotechnology and
Development Review”,pp:3 ,
[2] Howard Lyle , ” Biodiesel Vs Other alternate fuels”
,Bi State Development Agency ,St.Louis
[3] Report of the Committee on Development of Bio Fuel,
2003, National Planning Commission Of India.
[4] Dufey.Annie (2006)”Biofuel production,trade &
sustainable developments : emerging issues “
[5] “Kalam to attend jatropha planters’ convention “India
e-News Private Limited, 08 June 2006
[6] “Railways to plant jatropha for captive use “. The
Hindu, Business Line 17 Sept.2006.
[7] “Jatropha in Horticulture programs of employment
guarantee schemes “, NGO, Prayas, Pune.
[8] Junginger Martin, Faaij Andre and Wood Jermey,
“The growing role of biofuel opportunities, challenges
and pitfalls”. Utrecht University, Netherlands, Nov
2006.
[9] I B Saravanan, E Naveen Kumar, “Biofuels in India –
A new revolution “
540
INFRASTRUCTURE OPPORTUNITIES OF
NUCLEAR POWER
IN INDIAN POWER SECTOR
Yogeshwar S.J.
Lecturer, Ganpati Knowledge Temple, Bilaspur
yogesh292@gmail.com
Abstract - Electricity is the most vital and the most important To prevent this, control rods made of a material that
asset for the development of a country. India faces a huge absorbs neutrons are inserted into the bundle using a
power shortage through out the country as the demand for mechanism that can raise or lower the control rods. Raising
power is great. Hence, there occurs a great need for and lowering the control rods allow operators to control the
installation of new power production plants to satisfy the ever rate of the nuclear reaction. When an operator wants the
growing demand of power for the future. So, there occurs a
uranium core to produce more heat, the rods are raised out
great need for our country to concentrate upon power
production. The main objective of the research work is to find of the uranium bundle. To create less heat, the rods are
out Infrastructure Opportunities for nuclear power. lowered into the uranium bundle. The rods can also be
lowered completely into the uranium bundle to shut the
I. NUCLEAR POWER PLANTS INTRODUCTION: reactor down in the case of an accident or to change the
fuel.
Nuclear power is a type of nuclear technology involving
the controlled use of nuclear fission to release energy for
work including propulsion, heat, and the generation of
electricity. Nuclear energy is produced by a controlled
nuclear chain reaction and creates heat—which is used to
boil water, produce steam, and drive a steam turbine. The
turbine can be used for mechanical work and also to
generate electricity. Nuclear Power Plant is defined as the
power plant in which nuclear energy is converted into heat
for use in producing steam for turbines, which in turn drive
generators that produce electric power.
India, a nation so short & hungry for Power MUST tap all
sources. In spite of huge but surmountable problems COAL
will remain the answer to 65% of India’s energy needs till
2035. We can keep planning UMPPs but that doesn't mean
we can ignore Nuclear Power. After we complete the 3
stage process & FBRs, we, after 15 years, can convert our
huge reserves of Thorium - nuclear power is critical for this
reason! Then even 100000/200000 MWs are dream able &
planable!
II. INSIDE A NUCLEAR POWER PLANT:
To build a nuclear reactor, what you need is some mildly

enriched uranium. Typically, the uranium is formed into
pellets with approximately the same diameter as a dime and
a length of an inch or so. The pellets are arranged into long
rods, and the rods are collected together into bundles. The
bundles are then typically submerged in water inside a
pressure vessel. The water acts as a coolant. In order for the The uranium bundle acts as an extremely high-energy
reactor to work, the bundle, submerged in water, must be source of heat. It heats the water and turns it to steam. The
slightly supercritical. That means that left to its own steam drives a steam turbine, which spins a generator to
devices, the uranium would eventually overheat and melt. produce power. In some reactors, the steam from the
541
reactor goes through a secondary, intermediate heat to the plant construction. In addition coal is not available in
exchanger to convert another loop of water to steam, which large quantities in India. This technology will continue to
drives the turbine. The advantage to this design is that the be used in US & China. The latter has huge reserves and do
radioactive water/steam never contacts the turbine. Also, in not care much about the environmental concerns and US
some reactors, the coolant fluid in contact with the reactor coal fired plants operate more efficiently and spew out
core is gas (carbon dioxide) or liquid metal (sodium, much less acid gases.
potassium); these types of reactors allow the core to be
operated at higher temperatures. B. Operating Expenses:
Coal fired power plants by far are the cheapest to operate,

if these are located in the proximity of the mines. Factoring
III. NUCLEAR POWER GENERATION – ITS in the environmental clean up and bad health affects, which
ECONOMICS indirectly add to costs via health costs, coal fired plants
costs are roughly at par with other energy sources in its 40
A. Capital Costs: years of operation. Global warming concerns have directly
been linked to the coal fired power plants. Future
Nuclear power plants at 2-3 Mwe, capacity is expensive to international agreements are likely to limit the coal fired
build. At about $ 5 Billion a plant, it has the highest capital power generation.
cost. Added local infrastructure at a green field site will Natural gas plants supplied with piped locally found gas
add another $500 million to the cost. Power transmission (i.e. low transmission costs) have cost advantage over coal
cost from an isolated location away from the urban area and nuclear power plants. Canada has cheap gas hence
will add a bit more to the operating as well as capital cost. produces electricity at a comparable cost to nuclear power
Additional R & D and developmental infrastructure plant using natural gas. The same is true for the US gas
elsewhere in the country to supply spares and services to fired plants. The LNG plants have to cope with huge
the operation will add to the indirect costs. In addition, the transportation costs, which if factored in adds more to the
fuel charge costs, whether it is imported or locally made operating expenses.
will always be a key issue. It is unlikely that US will Nuclear power plants produce electricity inexpensively as
undertake any significant technology transfer to India; the costs of raw material i.e. Uranium, if uninterrupted
hence India will have to import critical components for supply is available, is negligible. In case of India, four
operation. Again, after 40 years of operation, the plant will large standardized plants with common spares and services
have to be de-commissioned. A rough estimate of 10 to will keep the operating costs low. But uncertain supply
15% of initial cost is to be kept on the books to pay for the from abroad like Tarapur will keep India on the edge.
de-commissioning.
The spent fuel has to be either processed and or stored for The following chart compares all the operating expenses
thousands of years in a safe location. US may not wish for OECD:
India to reprocess the spent fuel, hence may like to take it
back. For this they will charge a price plus there will be the
added inconvenience of getting political approvals.
Compared to that a natural gas plant is about half the
capital cost, of a similar capacity. It can be located near to
an urban area. Some of the infrastructure needed to operate
the gas-fired plant is already in place in the country. This
would lower the overall capital cost investment.
The LNG based power plant has the same capital
expenditure as the gas based plant except that a hugely
expensive LNG ship based transport system has to be
purchased to feed the plant. Four large LNG based plants
will require a fleet of 10 to 15 ships always on the move to
transport the LNG to the plant site from its source in
Middle East. Each of the LNG transporters cost about $250
million. This adds to the capital cost of the plants.
Factoring shipping costs and re-gasification cost of LNG at
plant site or at the port prior to its usage will add to the
operating expenses of the plants. Reference: OECD IEA – 1990
Coal fired power plants are the cheapest to build. But, The above chart is for the developed countries. But in
current environmental concerns and need to remove acid relative terms, it gives the reader an idea about each cost
gases (SO2) from the stack has added huge additional costs factor. In addition cost vary from country to country
542
depending upon the local conditions. It is cheapest in Unfortunately, there are significant problems with nuclear
Canada, US and some of the OECD countries. Other power plants:
counties have local conditions that add as much as 30% to  Mining and purifying uranium has not, historically,
the power generation cost. been a very clean process.
IV INDIAN POWER SECTOR AND CONTRIBUTION  Improperly functioning nuclear power plants can
OF NUCLEAR POWER create big problems. The Chernobyl disaster is a good
recent example. Chernobyl was poorly designed and
India’s power generation is today 15 to 20% below the improperly operated, but it dramatically shows the
requirements. This results in perpetual power shortage and worst-case scenario. Chernobyl scattered tons of
outages. This gap will grow in next 10 years, as India radioactive dust into the atmosphere.
catches up the developed world. About 65% of power in
India is generated by coal fired thermal power stations.  Spent fuel from nuclear power plants is toxic for
They operate well below their capacity with load factor of centuries, and, as yet, there is no safe, permanent
40 to 60%. This is a dismal performance. Bad management storage facility for it.
and old and outdated equipment are the main reasons for
this poor performance. Remaining 35% of the power is  Transporting nuclear fuel to and from plants poses
generated by gas and hydroelectric projects. The latter are some risk, although to date, the safety record in the
dual-purpose projects, which require 10 years of political United States has been good.
planning and 15 years of construction and startup. The gas-
operated power plants are based on either on LNG or A. Problems faced by nuclear power plants at various
locally available gas. Hydroelectric power provides 15% of stages of development:
India’s power needs with gas providing additional 10%.A
mere 3% of the power is generated by nuclear energy. Site selection plays a very vital role in the planning stage of
The above situation is unlikely to change in the near future a nuclear power plant, since nuclear power plant unlike
unless an un-interrupted supply of gas comes to India very thermal power plant cannot be installed in populated
cheap or nuclear power plants are built in quick succession. regions as they need to be isolated from the human
A number of time consuming hydroelectric projects are on settlements. But it should also be near to the human
the card, but the social and political issues prevent quick settlement to reduce the power loss due to transmission and
implementation ( Baglihar, Narbada etc.). distribution. The other factor that may affect the site
selection is the availability of water source and grid
V INVESTMENTS IN POWER SECTOR AND IN connectivity plays an important factor in selecting the site
NUCLEAR POWER: of a nuclear power plant. Choice of technology is also
another important problem that nuclear power plants were
It is already clear that GDP growth target of 8% per annum face on date. India still needs to relay on foreign nation’s
is both a target and an instrument for achieving the social technology to setup or install a nuclear power project. Till
welfare goals and plan. The power sector requires huge date all the nuclear power projects which were operating in
investment for the economic development and its related India adopts Russian technology for producing power;
infrastructure. To achieve it will mean radical changes American technology which is more cost and energy
from past practices including a massive increase in efficient is not yet been implemented in the nation
investment and increase of around 62% compared to Xth completely.
Plan. Additional 10 lac crores would be required by the Kudamkulam nuclear power project is presently facing
year 2012. The Nuclear deal with US could bring a lot of this problem stating that the radiation contaminated waters
foreign investment in India. were simply discharged in to the sea without treatment
resulting in death of aquatic life; such problems may
VI PROBLEMS WITH NUCLEAR POWER PLANTS hamper the operation of a capital intensive nuclear power
project.
Well-constructed nuclear power plants have an important
advantage when it comes to electrical power generation -- During operation of a power plant there were a lot more
they are extremely clean. Compared with a coal-fired problems that were been faced by a nuclear power plant
power plant, nuclear power plants are a dream come true mainly the material handling logistics and the disposal of
from an environmental standpoint. A coal-fired power the solid radioactive waste. The radiations from the
plant actually releases more radioactivity into the reactions were highly hazardous and coming into contact
atmosphere than a properly functioning nuclear power with them might have an impact on many generations to
plant. Coal-fired plants also release tons of carbon, sulfur come. For instance, people who are exposed to these
and other elements into the atmosphere. radiations may experience physical, mental and even
genetic changes.
543
Spent nuclear fuel or nuclear wastes can be and Distribution networks. The government role is
reprocessed into higher unstable radioactive compounds, revolving around the following tasks:
which can then be used in the manufacture of nuclear •Reliability of power
weapons. If the countries with such intentions are left
unchecked, they could very well build a wide range of •Quality of power
nuclear weapons from the reprocessed wastes. This is the •Tariffs
reason why all nuclear energy producing countries are •Commercial viability of power industry
being asked to place their nuclear plants under the
International Atomic Energy Agency (IAEA) safeguards. •Challenges in Nuclear and renewable power.
•Huge loss due to transmission and distribution losses.
B. Suggestions for overcoming the problems:
Although, the nuclear power is more expensive than The Union Ministry of Power has developed appropriate
thermal power from coal is robust it is sustainable. This strategies and a blueprint to address the above issues in a
contradicts numerous claims by the DAE that nuclear time bound manner. The outcome of these strategies hinges
power is cheaper than coal based thermal power at sites on their effective countrywide implementation. These
which are 800-1,000 km away from coal mines. Nuclear strategies and the blueprints are flexible and can be
power plants, therefore, have been and remain a costlier adjusted to accommodate positive inputs and
way of trying to address India’s electricity needs than coal developments.
based thermal plants. The all above mentioned hurdles can
be well tackled by adopting the following methods. Size:
 Privatizing the nuclear power plants may result in
more competition in the market which private players
Generation capacity of more than 122 GW; 590 billion
will bring updated technologies of power production
units produced (1 unit = 1kwh) - CAGR of 4.6% over the
and will lead to better utilization of resources at a
last four years
lesser price.
 Making the nuclear power plants to supply power to
the special economic zones of the country as the  India has the fifth largest electricity generation
demand for the SEZ will not fluctuate as ordinary capacity in the world - Low per capita consumption at
residential zone. This will reduce transmission and 606 units; less than half of China
distribution loss to a great extent.  Transmission & Distribution network of 5.7 million
 Improvement in the transportation and logistics may circuit km – the 3rd largest in the world
also improve the performance of the plant  Coal-fired plants constitute 57% of the installed
 A proper water shed management with a proper generation capacity, followed by 25% from hydel
treating facility may reduce the contamination level to power, 10% gas based, 3% from nuclear energy and
a great extent 5% from renewable sources.
 Improvement in the research and development by
benchmarking with the foreign nation for optimum VIII CONCLUSION AND RECOMMENDATIONS
utility of resources. Power sector in India has seen a great
development progress since independence. It possesses a
great potential for progress of the country contributing
directly in its development process. Though the power
VII BLUE PRINT FOR INDIAN POWER SECTOR
sector of our country is not able to balance the supply and
DEVELOPMENT
demand characteristics of the nation this sector has a great
potential to fill up the gap between demand and the supply.
Power shortage has been a persistent problem for a long In deed to square off the demand and supply of power for
time. To mitigate shortages, the government has set a goal, country which has a GDP development rate of about 9% is
Mission 2012 - Power for all. The Union Ministry of Power not an easy task to achieve. The various strategies need to
has developed appropriate strategies and a blueprint to be adopted for achieving this mission is enlisted below.
address the issues in a time bound manner. The outcome of This could be achieved as nuclear power
these strategies hinges on their effective countrywide production is very limited as about 3% of the total power
implementation. These strategies and the blueprints are produced. The Government of India should feel the
flexible and can be adjusted to accommodate positive necessity to grab the opportunities for the development of
inputs and developments. this Nuclear Power Production. The Nuclear Deal with the
Meeting the target of providing access to all households by United States which offers materials and technology is an
2012 is a daunting task which would require huge excellent opportunity to develop the Nuclear Power
generation capacity (78000 MW), Transmission systems production to a great extent. By this way the share
contributed by Nuclear power will raise up to 20-25%. This
544
will allow a huge amount of foreign inflow of money in the

Indian market for the development.
A special study on reducing the losses and thefts of power
needs to be checked and this must be directly under central
electricity authority and this team must be equipped with
sufficient powers so as to execute their operations and
study.
ABBREVIATIONS
1. GDP :Gross Domestic Product
2. MW :Mega Watt
3. LNG :Liquefied Natural Gas
4. DAE :Department of Atomic Energy
5. UMPP :Ultra Mega Power Plants
6. CAGR :Compound Annual Growth Rate
7. SEZ :Special economic zone
8. DAE :Department of Atomic Energy
9. OECD :Organisation for economic co-
operation & development
10. FBR :Fast breeder reactor
11. R&D :Research and Development.
REFERENCES
[1] http://www.world-nuclear.org/how/fuelfabrication.html
[2] http://science.howstuffworks.com/nuclear-power.htm
[3] http://www.npcil.nic.in/nupower_vol11_1-3/alagh.htm
[4] http://planningcommission.nic.in/plans/planrel/fiveyr/10th/volume2/
v2_ch8_2.pdf
[5] http://www.ecoworld.com/home/articles2.cfm?tid=402
[6] http://www.npcil.nic.in/plantsoperation.asp
[7] http://www.flonnet.com/fl2227/stories/20060113000806000.htm
(Vol:22 Iss:27)
[8] http://www.igcar.ernet.in/
[9] http://www.barc.ernet.in/
[10] http://india.gov.in/business/infrastructure/power.php
[11] www.oecd.org
[12] www.cea.nic.in (Central Electricity Authority India)
[13] http://planningcommission.gov.in/
[14] Principles of Nuclear Reactor Engineering. New York: D. Van
Nostrand, 1960.
[15] Nuclear Reactor Engineering. New York: VanNostrand Reinhold,
1981.
[16] Steam / Its Generation and Use, 39th ed. New York: Babcock and
Wilcox, 1978.
[17] Mitchell, Walter III, and Turner, Stanley E., Breeder Reactors. U. S.
Atomic Energy Commission, 1971.
[18] Nero, Anthony V. Jr., A Guidebook to Nuclear Reactors. Berkeley,
University of California Press, 1979.
545
SOFTWARE QUALITY FACTORS WITH NEW

APPROACH
Ravi Jaiswal
jaiswal.ravi23@gmail.com
Abstract - Software Quality Engineering is an emerging II. BACKGROUND AND PROPOSED WORK
discipline that is concerned with improving the approach to
software quality. It is important that this discipline be firmly A. Quality Factors:
rooted in a quality model satisfying its needs. In order to These sub-terms are called quality factors, quality
define the needs of this discipline, the meaning of quality is
broadly defined by reviewing the literature on the subject.
criteria, or quality attributes. They are often used as
Software Quality Engineering needs a quality model that is synonyms, but when applied in a hierarchical structure,
usable throughout the software lifecycle and that it embraces it is common to call the higher-level attributes
all the perspectives of quality. The goal of this paper is to “quality factors” and the lower-level ones “quality
propose a quality model suitable for such a purpose, through criteria”. Quality attributes are only abstract
the comparative evaluation of existing quality models and characterisations; they can never be measured directly.
their respective support for Software Quality Engineering.
Refactoring is one of the most important and commonly used
techniques of transforming a piece of software in order to
improve its quality. However, although it would be expected
that the increase in quality achieved via refactoring is
reflected in the various metrics, measurements on real life
systems indicate the opposite. We analyzed sourceall software
quality factors like. functionality, usability, reliability,
correctness, portability, maintability they improved whole
world structure of software quality engineering.
Keywords: software quality, software safety, safety-critical

system.
I. INTRODUCTION
This paper is not a discussion about the definition of

quality. Interested readers may want to check “Facts and
Fallacies" for that. It does not matter if fitness for purpose
is a part of the defintion of quality, or equal to quality, or
no part at all of this definition. To determine the grade for a
program, both the properties of the program and its fitness
for purpose are relevant. In other words, it is irrelevant if
the properties of a program and its fitness for purpose
compose its quality or are just stand-alone characteristics
of a program. However, for the sake of writing this thesis, S/W Quality Attributes
we will establish a working definition to enable a common
understanding of quality. In this situation, the properties B. McCall’s Quality Model:
are those relevant to a software program and the values of The McCall quality model has, three major
those properties determine its quality. perspectives for defining and identifying the quality of
a software product: product revision (ability to
Quality = Portability + Reliability + Efficiency + Human undergo changes), product transition (adaptability to
Engineering + Understandability +Modifiability + new environments) and product operations.
Testability9 Product revision includes maintainability (the effort
required to locate and fix a fault in the program within
Quality has been defined "fitness for use Other definitions its operating environment), flexibility (the ease of
focus on the utility of the product or service making changes required by changes in the operating
environment) and testability (the ease of testing the
546
program, to ensure that it is error-free and meets its managing (controlling, assuring etc.) the quality of
specification). delivered products and services. ISO 9001 is a process
oriented approach towards quality management. That
is, it proposes designing, documenting, implementing,
C. Boehm’s Quality Model: supporting, monitoring, controlling and improving
The second of the basic and founding predecessors of (more or less) each of the following processes:
today’s quality models is the quality model presented Quality Management Process, Resource Management
by Barry W. Boehm . Boehm addresses the Process, Regulatory Research Process, Market
contemporary shortcomings of models that Research Process , Product Design Process
automatically and quantitatively evaluate the quality of ,Purchasing Process, Production Process, Service
software. In essence his models attempts to Provision Process , Product Protection Process,
qualitatively define software quality by a given set of Customer Needs Assessment Process.
attributes and metrics.
attributes: Maintainability, Portability, Reliability, F. FURPS Quality Model:
Efficiency , Usability, Testability (Maintainability A later, and perhaps somewhat less renown, model that
characteristics): , Understandability (Maintainability is structured in basically the same manner as the
characteristics), Flexibility (Maintainability previous two quality models (but still worth at least to
characteristics, Modifiability): be mentioned in this context) is the FURPS model
D. Dromey's Quality Model: originally presented by Robert Grady (and extended by
An even more recent model similar to the McCall’s, Rational Software - now IBM Rational Software
Boehm’s and the FURPS(+) quality model, is the FURPS+3). FURPS stands for:
quality model presented by R. Geoff Dromey . Functionality – which may include feature sets,
Dromey proposes a product based quality model that capabilities and security, Usability - which may
recognizes that quality evaluation differs for each include human factors, Reliability - which may
product and that a more dynamic idea for modeling the include frequency and severity of failure,
process is needed to be wide enough to apply for recoverability, predictability, accuracy, Performance
different systems. Dromey is focusing on the -efficiency, availability, accuracy, throughput,
relationship between the quality attributes response time, recovery time, and resource usage,
Supportability - which may include testability,
extensibility, adaptability, maintainability,
compatibility, configurability, serviceability,
installability, localizability
III. PROPOSED WORK

Introduction
Safety is concerned with the occurrence of accidents or
mishaps, defined in terms of external consequences
(accidents happen). Freedom from unacceptable risk of
physical injury or of damage to the health of people, either
directly or indirectly as a result of damage to property or to
the environment .
Software safety has to deal with the hazards identified by
safety analysis in order to make the system safe, risk-free
and fail-safe. Software safety is a composite of many
factors. At present there does not exist any standard
framework that comprehensively addresses the Factors,
Criteria and Metrics (FCM) approach of the quality models
in respect of software safety.
Dromey's Quality Model
E. ISO 9126 Quality Model:

ISO 9001 is an international quality management
system standard applicable to organizations within all
type of businesses. ISO 9001 internally addresses an
organization’s processes and methods and externally at
547
 Identification of safety critical requirements

 Design based on safety constraints
 Run-time issues management
 Safety critical testing
New Approach:
IV RESILIENCE FACTOR
Introduction:
This document presents the reliability and resilience
guidelines for Internet Portal servers, which are conformant
to the Data Center Manageability Interface (DCMI)
specification Reliability is defined in this context as the
predictable and consistent behavior of the DCMI
manageability controller within the server and across the
Data Centers.
EVALUATION TECHNIQUES SELECTED TO NEW PROPOSED

WORK
Characteristic Sub- Characteristic Quality Evaluation
Attributes Techniques
Safety hazard Failure implementation

identification and Error: An methodologies
analysis processes incorrect and mechanisms
internal system
Software quality factors with new proposal state Fault
Approach: Resilience Data Center Rapidity Reliability and
We proposed a new model for software safety based on the
software quality model that specifically identifies the Manageability(DCMI) Robustness resilience
criteria corresponding to software safety in safety critical Interface Redundancy guidelines for
applications. The criteria in the proposed software safety
model pertains to system hazard analysis completeness of Resourcefulness: Internet Portal
requirements, identification of software-related safety- servers,
critical requirements, safety constraints based design, run-
time issues management and software safety concepts and
structures fail in practice for three primary. NEW FACTORS SATISFACTION GRAPH
reasons:

understanding of what makes a system “safe
 Fail to consider the larger system into which the
implemented concept is to be embedded.
 ignore single points of failure that will make the
safe concept unsafe when put into practice.
Proposed model for software safety:

The proposed model for software safety based on the
factor, criteria
and metric approach. The quality factor software safety
may be decomposed into six quality criteria as listed
below:
 System hazard analysis

548
observed satisfactory results. Work is in progress to apply

this framework to a software-based railroad crossing
User & Customer Satisfaction
control system. It is expected that the criterion shall be of

great help to regulators, mining engineers and planners to
devise strategies for safe excavation of the mineral in near
habitat environments and define the safety conditions for
within and beyond the mine limit.
REFERENCES
[1] MIL-STD-1574A (USAF), 1979. System safety program for space

and missile systems. com/index.asp?PageAction=VIEWPRO
D&ProdID=142
[2] Wang, D., F.B. Bastani and I.L. Yen, 2005. Automated aspect-
oriented decomposition of process-control systems for ultra-high
ty ty ty dependability assurance. IEEE Trans. Software Eng., 31: 733-753.
ity
ss
y
ce
Po ili ty
ali bi li bil i
C o bi lit
e
ien
l
n [3] Bhansali, P.V., 2005. Software safety: Current status and future
ctn
tio lia a
ab
y & sab
n
rta
nc Re tai
s il
directions. ACM SIGSOFT Software Eng. Notes, 30: 3.

Us
rre
Fu
fet R e-u
n
Re
a i [4] Lutz, R.R., 2000. Software engineering for safety A roadmap.

M
Proceedings of the Conference on The Future of Software
Engineering Limerick, June 04-11, Ireland, pp: 213-226.
Sa
[5] Knight, J.C., 2002. Safety critical systems: Challenges and

User & Customer Satisfaction Graph directions. Proceeding of the 24th International Conference on
Software Engineering,
Software Component Quality Framework: [6] Dunn, W., 2003. Designing Safety Critical Computer Systems.
IEEE-Computer.
Based on the software component certification survey
accomplished our objectives are to investigating effective [7] Herman, D.S., 2000. Software Safety and Reliability Basics.
ways to demonstrate that component quality evaluation is Software Safety and Reliability: Techniques, Approaches and
not only possible and practically viable, but also directly Standards of Key Industrial Sectors. Wiley-IEEE Computer Society
Press.
applicable in the software industry. And, through
component quality, some benefits can be achieved, such as: [8] Schmid, D.C., 2002. Adaptive middleware: Middleware for real-
higher quality levels, reduced maintenance time, return of time and embedded systems. Commun. ACM.
investment, reduced time-to-market, among others. [9] Nissanke, N., 1997. Real-Time Systems. Prentice Hall International
Series in Computer Science, Prentice Hall, London.
According to Weber & Nascimento , the need for quality [10] Florio, V.D. and C. Blondia, 2008. A survey of linguistic structures
assurance in software development has exponentially for application-level fault tolerance. ACM Comput. Surveys, 40: 1-
increased in the past few years. framework is composed of 37.
four modules: [11] Leveson, N.G., 1986. Software safety: Why, what and how. ACM
Comput. Surveys.
(i) a Component Quality Model (CQM), (ii) a [12] Software Safety, 1997. NASA Technical Standard.
Evaluation Techniques Framework, (iii) a [13] Leveson, N., 1995. Safeware: System Safety and Computers. 1st
Evaluation Process., (iv) a Metrics Edn., Addison-Wesley Publishing Company, Reading,
Framework. Massachusetts.
[14] Bass, L., P. Clements and R. Kazman, 2003. Software Architecture
in Practice. 2nd Edn.,
[15] Addison-Wesley Publishing Company, Boston, Massachusetts.
[16] Fenton, N. and S. Pfleeger, 2003. Measuring External Product
Attributes. Software Metrics-A Rigorous and Practical Approach.
2nd Edn., Thomson, pp: 337-359.
V CONCLUSION
An approach for modeling software safety was proposed. A

set of quality criteria that form the basis of software safety
was presented. The proposed model is applied to a
laboratory prototype model of 4-road junction traffic
control system that includes safety-critical operations and
549
Need of the Hour: TQM in Education Sector

Vishal Garg1, Geetika Reliya2
1,2
MBA Department, Ganpati Institute of Technology and Management, Bilaspur, 1,2Kurukshetra University,
contactvishalgarg@gmail.com,
geets.reliya23@rediffmail.com
Abstract- TQM is a philosophy and system for continuously education system. The paper attempts to theoretically
improving the services and/or products offered to customers. The conceptualize TQM in higher education.
potential benefits of TQM can be applied to school & colleges.
TQM can help a school & college provide better service to its Keywords- Competences, Higher Education, Skills, Total Quality
primary customers-students and employers. The continuous Management, Conceptualize, Higher Education reforms, TQM in
improvement focus of TQM is a fundamental way of fulfilling the Education Industry.
accountability requirements common to educational reform. INTRODUCTION
Innovative interactive techniques can be applied to improve the Education quality is a key factor for improving the
interest of students and teacher.. In a TQM school or college, business quality, and therefore strengthening competitive
improvement teams and individuals are constantly working on advantage. Access to education and quality education are to be
improving service to customers. The concept of a service being
regarded as mutually dependent and indivisible needs and rights.
"good enough" is considered inadequate. Thorough understanding
Lack of education is a basic cause of poverty. Intellectual
of the differences between traditional and TQM schools is best
workers are becoming a major tool in increasing productivity,
developed in a dynamic seminar, not in a simple written guide. The
vision and skills in leadership, management, interpersonal
and knowledge is becoming the main resource.
communication, problem solving and creative cooperation are The participative management philosophy of TQM that
important qualities for successful implementation of TQM. makes use of a set of techniques and procedures for
There is a lack of a well-defined focus and an appropriate transforming products and services has been extensively and
roadmap for institutionalization of TQM process in the field of successfully used by various organizations to improve the
education industry. TQM can become globally non-competitive effectiveness, efficiency, cohesiveness, flexibility and
rather rapidly. This march towards non-competitiveness can be
competitiveness of a business as a whole. Competition and
avoided if citizens are helped to become TQM practitioners.
processes of market internationalization cause the creation of
Therefore, the potential benefits of TQM in a school, district or
new methods of quality management. In India Total Quality
college are very clear. With this type of interest and support, the
educational quality movement will likely generate continuing
Management (TQM) is a new management philosophy, theory,
interest. TQM can be used to upgrade the various ailing methodology and system of quality tools. The formation and
educational system also it can shed some new light on educational application of TQM is the one of the phenomenon of late years
management. of quality management development and internationalization.
In this paper it has been tried to bring out a clear status The importance of education for the development of
of higher education and emergent needs to enhance the quality of excellence, expertise and knowledge leading to overall
higher education. Application of TQM concepts is one of such
development in economy cannot be undermined.
measures, which will go a long way in revolutionizing the higher
550
economic growth and development in India. The World Bank‟s

recent study of 190 countries revealed that it is higher education
that helps in enriching the quality of man power in al the sectors
of industries and life also. Thus higher education is a basic
investment necessary to improve the overall quality of life and
the industrial sector. The strong linkage between the economy
and education was never as clearly visible as of now.
This has necessitated a sound strategy for the

development of higher education in almost all countries of the
world. Establishing leadership in the world is possible only
when we have a developed system of higher education in which
efficiency remains the sole criterion to evaluate performance.
The system of higher education is found efficacious in making
available to the society a dedicated, committed, devoted and
Total Quality Management is a part of management
professionally sound team of human resources to decide the
aimed at achieving quality goals through planning, monitoring,
future of any nation. This is possible only when the principles of
assuring and improving quality. Involving all members of the
quality management are inculcated in the system of higher
organization brings us closer to total quality control (Total
education. Differences between modern and traditional
Quality Management, TQM). Efficient Total quality
educational systems are evident in different educational goals,
management system in organization can facilitate quickly
teaching approaches and roles of all participants in the
challenge in word market. Total quality management realize
educational process. Efficiency and quality are the key
target and mission in education of young generation. TQM
parameters that determine the socio-economic importance of the
upgrade management quality and quality of work in education
field of education. Quality management is a part of management
institute in general.
aimed at achieving quality goals through planning, monitoring,
assuring and improving quality. In modern conditions, quality
management becomes a business function as well as any other
TQM philosophy
function, involving people of all profiles and from all the
Total Quality Management (TQM) − is a new
departments of the organization.
management philosophy and methods that using organization
The new economic growth statistics have clearly
can improve, seek for permanent success satisfying consumers‟
stressed the role of human capital as one of the important key of
requirements, improve quality of products and services, cut
551
down the costs. Lifelong learning for all has become one of the pillars of
Total Quality Management emphasizes continuous development Employees and management‟s partnerships will
improvement as a process that places a premium on require concerted efforts towards the acquisition of knowledge
achievement of customer satisfaction. This requires participation and skills in meeting day-to-day problems and making fast but
of everyone in the company in the development of shared low risk decisions.
mission, vision, plans and in the quest for continuous
improvement. Present health of Educational Sector in India
Changes from quality control to quality management Quality of university education does not guarantee
are bound with changes in the way of thinking, in the means of employment in the area of the student‟s expertise any more.
management and working methods, in conscience. The Students, their families, employers and the government want
differences between TQM and traditional quality management assurance that the students will get “good quality” education.
are shown below. The question is: how to provide “good quality education”
through TQM concept? Only two per cent of Indian colleges
Traditional quality have the potential for excellence, according to the University
Principles of TQM management Grants Commission. It's no wonder that every admission season,
Focus on customers Focus on rules cut-off marks at our few reputed colleges creep higher into the
Team collaboration Isolated individuals 90s. And, immigration queues at embassies grow longer.
Work seeking vision of group or Work seeking individual‟s Our Indian Institutes of Technology are known world-
organisation purposes
wide for their alumni who have made it to the top, not just in
Systematic continuous Solution of single problems or
tech firms, but across the Fortune 500. Yet, in terms of teaching
improvement of process there is no any improvement
quality, no IIT is among the world's top 50 technical colleges.
Systematic collection and usage of Decisions are done referring to
The quality of IIT graduates is already determined by the time
empirical data feelings or opinion
they enter the institution. To get chosen, they write a test; to
Referring only to internal
Looking for external information information prepare for this test, they spend two years in coaching classes.
The criticism is not avoided Rejecting the criticism as wrong To get into these they clear another test. An entrance exam for
Workers are conceded a right to Individuals wait for coaching to prepare you for another entrance exam!
decide explanations how to do the work Primary education drop-out rates in government
Prevention Costs of repairing schools are horrific - 8 per cent per annum in Delhi, and
probably worse in rural areas. Only 50 per cent of Delhi
Access to education and quality education are to be government school students clear their Class 10 Boards. In one
regarded as mutually dependent and indivisible needs and rights. Uttaranchal village, it is barely 20 per cent. Parents who send
This is primarily achieved by developing creativity, civic and their kids to government schools see education as being of little
democratic values, as well as by knowledge, abilities and skills value.
needed for everyday and professional life. Basic education is not Our education system is not delivering in terms of
sufficient or complete, and therefore should be considered only quality, quantity, or value for money. Economics tells us such a
as a basis for learning that needs to be used all life long. situation cannot last. Entrepreneurs will rush in to fill all the
552
gaps - in quantity, quality and price-points - unless they are Degree and diplomas holders find no place in the job
blocked by legislation. market where experience, initiative and drive count more than
Mushrooming growth of self-aided colleges, deemed any academic qualifications. Hence there is unrest among the
universities, colleges with autonomous status and the rest have educated youth today on account of the burgeoning millions of
not come to the rescue of the student community to achieve unemployed among them. This can be remedied only if the
what it rightly desires and deserves. Perhaps, the order of the existing system of education is critically reviewed and made
day is to trade on subjects with different catchy names, enticing more meaningful in its application to our day-to-day life.
the plethora of students. As a result, there are only a few listed companies,
Distance education is a massive factor in the dilution of which are functioning in the education space. All of them offer
higher education. Clearing UGC/CSIR/NET is tough because services either outside, or alongside, the formal education
the syllabus framed for a subject by different universities is not sector.
the same. UGC alone can serve as a placebo and warrant for a
uniform syllabus all over India for any specified subject for the Need of the TQM in Higher Education Sector
benefit of students. TQM approach in higher education involves not only
Teachers should not be promoted based on the achieving high quality but also influencing all segments of the
completion of orientation and refresher courses that they have educational process: organization, management, interpersonal
attended. An assortment of factors like performance appraisal, relations, material and human resources, etc. Applying the
projects undertaken, research activities, publication of papers, approach described above quality becomes total (integral).
symposia or workshops attended could be used as tools for The introduction of total quality management in higher
promotion. By doing so, UGC can also conserve its resources education requires a number of changes in educational
only to channelize them for other useful activities. UGC can institutions. The first changes have to occur in the attitudes and
organize orientation courses on a routine basis for all candidates activities of the management, in the organization and monitoring
aspiring to enter the portals of higher education and emphasize of the educational process, in the evaluation of its results, in the
it as a pre-requisite for appointment. It is high time UGC culture of communication, in the school atmosphere, and
revamps the entire system of higher education to cater to the especially in the area of interpersonal relations.
needs of the student community. I. The need of the TQM in higher education sector can also
Which is precisely the situation in India. The abysmal be elaborated as under;
situation of education in India is a direct result of low levels of II. By incorporating the concept of TQM in the education
investment and the consequent absence of choice and sector one can seek and cultivate new knowledge, to
competition. engage vigorously and fearlessly in the pursuit of truth and
The situation is even more complex in higher to interpret old knowledge and beliefs in the light of new
education. When Stanford University looked at higher education needs and discoveries which will ultimately improve the
in India, it was told that it would have to follow UGC norms in personal as well as professional life.
both teachers' salaries and fees - clearly not a formula for III. Most of the great thinkers assume that to provide the right
quality. kind of leadership in all walks of life can only be done by
the proper blend of TQM in Higher education sector by
553
helping the individuals develop their potential up to

maximum level.
IV. The need of providing the society with competent men and
women trained in all professions can be achieved by
proper knowledge imparted through the concept of total
quality in their education from the beginning.
V. The TQM concept has proved many times in industries
that quality is easy to achieve provided it is implemented
by the concept of TQM.
VI. To strive to promote equality and social justice and to
reduce social and cultural differences through diffusion of
TQM in education;
The Ministry of Education‟s goal is to turn the country into a
VII. To foster in the teachers and students, and through them in
centre of excellence in higher education. For this purpose, the
the society generally, the attitudes and values needed for
Ministry has taken several bold steps:
developing the „good life‟ in individuals and society which
I. Formation of more universities. Formation of private
can be achieved by providing proper education by the help
universities has been approved for the first time in 1996;
of TQM concept;
II. Liberalisation of higher education to private higher
VIII. To bring the universities closer to the community through
education institutions;
extension of knowledge and it‟s applications for problem
III. Quality assurance by way of the National Accreditation
solving in an efficient an effective way.
Board criteria;
IX. TQM can help a school or college provide better service to
IV. Approval of collaborative academic programmes among
its primary customers--students and employers.
home institutions and with foreign institutions;
X. The continuous improvement focus of TQM is a
V. Approval of the setting up of foreign university campuses
fundamental way of fulfilling the accountability
in the country;
requirements common to educational reform.
VI. Creation of new laws to regulate the changes and enhance
XI. Operating a no-fear TQM system with a focus on
the quality in the education sector.
continuous growth and improvement offers more
It is anticipated that with the changes that the ministry has
excitement and challenge to students and teachers than a
introduced, the quality of education in the country would be
"good-enough" learning environment can provide.
enhanced and there would be more opportunities for people to
obtain higher education qualifications. The government would
save its spending because the number of government-sponsored
The below stated figure clearly depicts how the process of
Indian students continuing their education abroad would be
TQM starts from the parents level and reaches ultimately to
greatly reduced. In addition, there would be many more foreign
employees in the end. Here parents, teachers, and supporting
students that would be attracted to continue their education in
resources provide TQM skills to the concerned ones.
the country.
554
Reasons for Implementing TQM 3.Learning and teaching

 teachers‟ work
 students‟ work and experience
 meeting the needs of the students
 monitoring and evaluating the work of students and
teachers
4. Students’ support
 students‟ personal, social and spiritual growth
 progress and achievement monitoring
 support in all aspects of learning, progress, students‟
and teachers‟ personal development
5. School ethos
 school policy
Indicators of TQM in Education Sector  school atmosphere and relations
The indicators of quality in education, as well as the quality  specific goals of each individual school
criteria associated with the indicators, help schools, college,  orientation towards students‟, teachers‟ and parents‟
universities and various educational institutes point out the satisfaction
important areas of their own activities - their own advantages 6. Resources
and disadvantages and development opportunities. Educational  school resources
quality team can debate about representation and development  teachers, professional associates, the principal; their
of particular indicator aspect and search for method for upgrade education, teachers teamwork, cooperation; being open
and meliorate indicator representation in specify school to innovation
circumstances.  material resources and premises
The indicators are grouped into seven areas with specific topics:  efficient human and material resources
7. Management
1. Curriculum (Syllabus)  leadership and quality assurance
 structure of the curriculum (program/goals, tasks, focus  approaches to leadership and management
on development of functional tasks, focus on students‟
activities, integration of programs within and between Challenges in implementation of TQM in Education Sector
areas) India is the largest democracy with remarkable
 courses and programs diversity among its population of 1.2 billion which makes up
 key competences that students develop in the given about 17% of the world‟s population. Almost 70% of Indian
institutes population is rural. The adult literacy rate stands at about 60%
2.Achievements and this is significantly lower in women and minorities.
 evaluated by external, independent agencies Education in India comprises of government, government aided
 achievement quality compared with the set goals and private institutions of which nearly 40% are government.
555
With the population growth rate of 1.5%, there is tremendous vi. Both the private and government schools in smaller
pressure on the education system to provide quality education at towns and villages are uniformly pathetic.
affordable price and improve the literacy rate. vii. Even if a student graduates from a higher secondary
Education in India faces following primary challenges: school, there are not enough colleges. The only hope
i. Access:-Having infrastructural constraints and social left to most high school graduates is correspondence
issues, it becomes harder to make education accessible education. It is not clear to me whether one can be
to all segments of the society (women, minorities, motivated enough to study through the correspondence
poor). course material sitting at home.
ii. Cost:-The cost of education is very high even for the viii. Unemployable:- Even if one graduates from college,
people and places where it is accessible. E.g. the the graduates are mostly unemployable, because of
competitive pressure on students & parents forces them poor quality course material and teaching in the
to opt for private tuitions & trainings to supplement the colleges. I have myself seen a number of such people
school education. while interviewing them for various posts in my
iii. Social & Cultural:-The ethnic diversity in India poses organization.
challenges to implement consistent education ix. Quality of education:- delivered in most institutions is
nationwide. There are more than 300 languages spoken very poor. While India has some institutions of global
in the country and makes it difficult to offer education repute delivering quality education, such as (Indian
tailored to specific social segment. Educating women Institute of Management) IIMs and (Indian Institute of
in some societies is a big issue. Children of poor Technology) IITs, we do not have enough of them.
families are forced to work and miss out the learning x. Huge demand supply gap :– not just in terms of
opportunities. Illiterate adults have very limited number of seats available but more so in terms of seats
opportunities to get educated at later age in their lives. available in institutions who offer quality education
iv. Quality:-Maintaining standard of education in more
than a million schools nationwide, offering training UGC initiatives in higher education sector in India
programs to teachers, and keeping good balance with i. Public/Private Partnership in Higher Education, at
education system worldwide is a big challenge. University of Calicut, Kozhikode, Kerala;
Schools vary in size and resources and are forced ii. Governance of higher Education, at University of
compromise in the all round development opportunities Jammu, Jammu, J&K;
they must provide to students. Several children do not iii. Access and Equity in Higher Education, at G.C.D
even get a basic elementary education. .University, Bilaspur, Chattisgarh;
v. Economic Differences:- The rich and upper middle iv. Export of Higher Education, at J.N.V. University,
class in cities find decent quality private schools to Jodhpur, Rajasthan
send their children to. Even in these schools, getting a v. Policy Planning for Higher Education under WTO and
pass in the exams is the priority, not learning. Even GATT regimes at North Bengal University, Darjeeling,
these schools fail in teaching various arts, and in West-Bengal.
particular common sense to children.
556
vi. Economics of Higher Education, at N. E. Hill view English as a "course" instead of as skills to be USED. If
University, Shillong, Meghalaya. higher levels of student competence are to be developed, there
must be higher levels of system-wide and cross-department
How to apply the concept of TQM in Education Sector?? PLANNING for instructional improvement in schools and
In a TQM school or college, improvement teams and colleges.
individuals are constantly working on improving service to 4. Teaming Replacing Hierarchy.
customers. The concept of a service being "good enough" is The hierarchical organizations of yesterday are still
considered inadequate. dominant in too many businesses and schools. Such
1. Awareness and Commitment for Everyone. organizations tend to promote individual effort "good enough"
The talents of a student will not be developed to their to satisfy a supervisor who sometimes knows less about how to
fullest potential unless EVERY member of a teaching-learning achieve quality than those he/she supervises. Cross-department
partnership promotes the highest possible quality at each step in teams can and do promote stronger improvement if they are:
the development process. An excellent way to begin is with a a. Given a clear mission and strong authority
total staff meeting. The meeting can provide: b. Supported rather than hampered by supervisors.
a. A dynamic overview of TQM elements and potential by one Support is a major element in the success or failure of TQM. If
or more presenters who have experienced both and administrators, supervisors, and department chairpersons
b. A clear commitment from the school board, superintendent, support task improvement teams, those teams can generate more
and principal that they will fully support TQM motivation and improvement than can otherwise be achieved. If
2. A Clear Mission. not, TQM cannot achieve its potential. In properly operated
Managing continuous movement toward progressively TQM programs, administrators and supervisors work diligently
higher quality standards depends on defining those standards. If at:
a TQM steering committee is formed in a school / university it a. Insisting on clear visions and missions
should determine the answer to this question--Does it have a b. Coordinating among task or improvement teams c.
clear, customer-focused mission statement and a functioning Supporting the efforts and authority of improvement teams to
process for divisions and/or departments translating this the highest possible degree.
statement into exit outcomes for graduates? If the answer is These are very critical support actions. Unless
"no", that problem must be addressed with local, state, national, administrators and supervisors fulfil them properly, task
and employer standards. These standards should emphasize improvement teams can fail because of this system weakness.
developing students' abilities to solve real-life problems. 5. Enabling AND Empowerment Replacing Fear.
3. A Systems Planning Approach. Traditional do-it-to-them evaluation systems by
Traditional education has become excessively themselves generate fear and lack of initiative. Staff members
compartmentalized. Teacher X provides an English course; focus on doing whatever is enough to keep the boss happy.
science teacher Y might focus heavily on a student's knowledge However, if volunteer members of empowered improvement
of scientific principles without paying much attention to teams are given opportunities to become experts and/or to use
developing that student's ability to use English principles in experts, that enabling generates excitement and dedication.
writing a technical report. Subconsciously, the student begins to School districts should support members of quality
557
improvement teams with funding and time others. Teams In addition to using TQM to improve learning in
function best if team members are given the background and general, every school district should specifically equip its
authority to make informed decisions. Each district and school students to understand and use TQM. This is a basic part of
should define and implement objectives for a strong focus on schools contributing to readiness for work in the global
being a learning organization. economy. Whether a educational staff decides to integrate
6. Focus on Mastery Learning. learning TQM into existing courses or to provide it as a separate
In traditional classrooms, teachers often follow this course, it is important that students DO and not just study about
sequence: TQM.
1 Plan-------------> 2 Teach----------------> 3 Test. 9. A Humanistic and a Brain Compatible Focus.
The normal curve that usually results stands as testimony is the In the Learning Environment Dr. William Glasser has
fact that many students fail to learn at the highest possible level provided one of the best translations of TQM principles into
in this system. suggestions for a very productive learning environment. Every
The TQM alternative is: educator can profit from reading his book: The Quality School
1 Plan--> 2 Teach (DO) --> 3 Check**--> 4 Revised Teacher, by William Glasser, M.D. (1998) Harper Paperbacks.
Teaching (ACT) --> 5 Test** Working with people is much more complex than
In the "check" step, formative (not-for-grade) testing is manufacturing widgets. Dr. Glasser offers an excellent blueprint
used to determine which learning some students have missed. for TQM in classrooms in the context of deep sensitivity to
Then non-mastered material is retaught in some different way or human relationships. Also,one of the most productive areas in
style. If advisable, the checking and revised teaching can be which a education task improvement team can work is in
repeated more than once. Meanwhile students who have helping all staff members use the model more brain-friendly
mastered the material move to enrichment learning or assist with techniques in teaching.
instruction of those who have not achieved mastery. This system 10. A Transformation Plan.
of mastery learning can result in much more complete learning An awareness presentation was recommended as the
for most students, in effect, a positive movement of the first step in considering transformation from traditional to TQM
"normal" curve. This improvement in learning is a basic purpose operation. Two other basic actions are recommended here:
of TQM in the classroom. a. Form a TQM steering committee that--
7. Management by Measurement. (1) Develops a plan for supporting the staff in TQM
Be aware that measurement is very important in the ** implementation and
marked steps of this cycle. The careful analysis showed that the (2) Builds a positive connection between that committee and the
new program promoted strong progress in reading, that would traditional supervisors.
affect planning for future instruction. This management by data b. Use advice from consultants and/or from schools that have
rather than by opinion allows objective pursuit of the two basic succeeded at TQM transformation.
purposes of TQM in education:
a. Improved learning. Concluding Remarks
b. Improved cost effectiveness. In an environment of global competitiveness it is
8. Development of Student TQM Skills. important that Indian products of the higher education
558
institutions are as competent as graduates of any other country,

not only in their scholastic attainments, but also in terms of the
value system and richness of their personality. Unless the
quality and standard of Indian higher education institutions is
enhanced zealously and sustained at a high level through
innovation, creativity and regular monitoring, it seems to be
difficult for the Indian academics/professionals to compete in
the World scene.
This calls for suitable assessment and accreditation
mechanisms to be available in the country to ensure the quality
and standard of the academic/training programmers at higher
educational institutions. The assessment has to be continuous
and the process has to be transparent to gain the acceptance of
the society at large.
Quality has both absolute and relative connotations.
The concept of absoluteness in quality props up the morale of
the higher education system at the delivery end i.e. institutional,
and at the receiving end (students). Quality dimensions seem to
have two implications, i.e., functionality of the output and
meeting the basic standards. Hence, the quality of a higher
education system may be seen from the point of view of norms
and standards, which may evolve depending on the need of the
hour.
In the 21st century, it is crucial to identify the relative
norms for different components of a higher education system.
The alternative dynamics for teacher preparation and the
sustaining quality in teacher input, like: Curriculum design and
development; Curricular practices vis-à-vis emerging principles
of pedagogy; Evaluation of learner‟s performance and progress
vis-à-vis curriculum evaluation; and, Quality management
practices become crucial. The quality of these components may
also differ from institution to institution. Therefore, sharing of
the experiences among institutions on Total Quality issues may
generate ideas for evolving norms and strategies for their quality
assurance of management processes, curricular inputs and
practices and the evaluation system as well.
559
Trends in Supply Chain Management

1,3
1
3
2
2
Abstract--Supply chain management, in recent times, has emerged SCM is constantly evolving and there are always new trends.
as the basis in many industries (small or large) for creating the With companies investing ever greater resources in their supply
integrated relationship between suppliers and customers. chain there is a distinct trend to have the best and brightest
Due to continuous growth in last year in supply chain management employees managing those supply chains. Supply chain
the environment has become competitive. So in order to respond to
competitive pressures companies need to know and understand the
professionals are always evaluating possible inefficiencies and
new trends in SCM. This paper focuses the emerging trends of shortcomings of their supply networks to improve their ability to
SCM in current scenario, and it provides broader awareness of deliver to the customer. This is especially true in today’s fast
SCM concepts. It addresses this need, by critically reviewing the paced, highly competitive environment where supply chain
current status of SCM in Indian context and its point of difference performance can provide manufacturers with a necessary edge
with other countries like China. Managing the Supply chain by .In order to face a number of challenges and to be at the
making use of I.T. forefront, companies are required to update their skills and
services has paved a new way of confiscating the uncertainty and introduce new innovations in their Supply Chain
enhancing the customer service and thus creating a competitive
edge.
II. OBJECTIVES OF THE STUDY
Keyword: Supply Chain Management, Vendor Management
Inventory, Collaborative Planning Forecasting and Replenishment, A. To understand the concept of SCM
Cross docking, Radio Frequency Identification, Advanced planning B.To know the trends in SCM
and scheduling. C.To know the present status of Supply Chain in India
D.To compare the India’s Supply Chain with that of China
I. INTRODUCTION
III. SCM NETWORK
Supply Chain Management is the management of a network of
interconnected businesses involved in the ultimate provision of
Element Manufacterer Distribution Retailer
product and service packages required by end customers
Supplier center
(Harland, 1996) [1]. Supply Chain Management spans all
movement and storage of raw materials, Work-in-process
inventory, and finished goods from point of origin to point of
consumption In the words of The Supply Chain Council,” SCM
is defined as managing supply and demand, sourcing raw
materials and parts ,manufacturing and assembly, warehousing,
order entry and order management, distribution across all
channels, and delivery to the customers”. [1]
Ellram and Cooper have defined SCM as “an integrating

philosophy to manage the total flow of a distributed channel
from supplier to ultimate customer”.
The concept of Supply Chain is not a new concept worldwide, it
has increased steadily since 1980, when companies began to
make their collaborative relationships with suppliers,
manufacturers and vendors. In Indian Context, it is a still at
nascent stage.
560
C. Cross Docking- Cross docking is a practice in Logistics of

IV. INNOVATIONS IN SCM unloading materials from an incoming semi-trailer, truck or rail
car and loading this material directly into outbound trucks,
Companies need to be willing to make necessary and difficult trailers, or rail cars,
changes. Success requires reducing cost base through control on With little or no storage between them. It is a function of
expenses and redesigned work processes. Logistics cost which is warehouses or distribution centers, which was introduced by
incurred as a percentage of GDP is 11.6%.[3] In order to Wal Mart.
improve their productivity they need to work on new products Cross docking is a system in which the vendor’s ship
and trends. Some o the new innovations are as- merchandise to a distribution centres in pre packed quantities
required by each store. The merchandise is delivered to one side
A. Vendor Management Inventory (VMI)- VMI is a distribution of the distribution centre; the floor ready merchandise is then
channel operating system whereby the inventory at the transferred to the other side of distribution centre for delivery to
distributor/retailer is monitored and managed by the a store.
manufacturer vendor. It is a family of business model in which Cross docking is a process by which products are aptly room the
buyer of a product provides certain information to the supplier inbound dock to the outbound dock, avoiding the need to store
of that product and the supplier takes full responsibility for and prepare order replenishment.
maintaining an agreed inventory of the material, usually at the It either picked or moved directly from the inbound dock to the
buyer’s consumption location. It includes several activities outbound dock, avoiding the need to store and prepare order
including determining appropriate order quantities, managing replenishment.
proper product mixes. It not only reduces material handling but also reduces the need
VMI is also QRIS (Quick response inventory system) to store the products in the warehouse.
The vendor’s computer acquires data electronically, no
manual data entry is required at the D. Radio Frequency Identification (RFID)-
Recipient’s end which help in reducing the lead time and in It is a technology that uses communication via electromagnetic
eliminating the vendors recording errors. waves to exchange data between a terminal and an object such
Ex.Home Depot [4] as product, animal, or person for the purpose of identification
and tracking. it is a device that contains a chip and an antenna ,
B. Collaborative Planning Forecasting and Replenishment which can be physically inserted or stuck to a product.[6] The
(CPFR) --CPFR can be defined as a collaboration where two or basic information about the product can be stored in this chip.
more parties in the supply chain jointly plan a number of The tagging of this chip enables companies to identify and track
promotional activities and work on synchronized forecasts, on their goods at various levels in a distribution chain.
the basis of which production and replenishment processes are The reason this technology is being increasingly used is due to
determined. The term CPFR was first introduced in 1995, in its extraordinary ability to track almost anything and know
connection with a pilot project between Wal-Mart. Warner- where it is at any step of the distribution process.
Lambert, Benchmarking partners, SAP and Manugistics The The end result, companies become more efficient increase sales
objective of CPFR is to better align supply and demand through and reduce costs.
trading partner data interchange exception based management Ex. Wal-Mart, SamSys Technologies of Richmond Hills.[7]
and structured collaboration in order to eliminate issues and
constraints in fulfilling consumer expectations. E. Advanced Planning and Scheduling- (also referred to as
CPFR is a business practice that reduces inventory costs while APS and Advanced Manufacturing). It refers to a manufacturing
improving product availability across the supply chain. The management process by which raw materials and production
CPFR process begins with an agreement between the trading capacity are optimally allocated to meet the demand. APS is
partners to share information with each other and to collaborate especially well suited to environments where simpler planning
on planning with the ultimate goal of delivering products based methods cannot adequately address complex trade-offs between
on true market demand. competing priorities. Traditional planning system utilize a
Ex. Wal-Mart.[5] stepwise procedure to allocate material and production capacity.
This approach is simple but cumbersome, and does not readily
adapt to changes in demand, resource capacity or material
availability.
APS has commonly been applied where one or more of the
following conditions are present-
1) Make to order manufacturing
561
2) Capital intensive production processes, where plant F. Investment in Road Infrastructure has not kept pace with the
capacity is constrained growth in road traffic. Only 20% of the roads are in good
3) Products that require a large number of components or condition.
manufacturing tasks Retail giant Wal-Mart says that at least 40% of produce in India
is wasted because of inadequate storage & transportation.[9]
Advanced planning and scheduling software enables
manufacturing scheduling and advanced scheduling VI. COMPARISON of INDIA’S SUPPLY CHAIN WITH
optimization within these environments. CHINA
F. Electronic data interchange- (EDI) - It is the structured India China

transmission of data between organizations by electronic means. 1. Higher productivity levels in
It is used to transfer electronic documents or business data from India, in terms of capital
1. China is having edge in it.
one computer system to another computer system. It also be intensity, delivery, frequency &
called as electronic document interchange. It is the exchange of stock turn ratio.
business information through standard interfaces by using 2. Within India there is a heavy 2. China, in contrast, has a far less
computers. It interoperated as transmission of business data reliance of roads. Their network extensive network of roads. Out of
is the second largest in the world its million plus kilometer road
between organizations in a computerized format that does not behind the U.S., at over 3 mn network, only around 300,000
require the rekeying information. Ex. Reliance Retail kilometers kilometers are paved
Benefits of EDI- 3. Less number of multiple lane 3.It has five times the number of
It saves time highways. multiple lane highways than India
Manual errors can be avoided 4. China also has more transport
It reduces costs involved in paper handling filing 4. Less transport options. options available to its supply chains
in the form of rail, air & waterways.
5. 63,000 kms of terrain are 5.Over 78,000 kms of terrain are
V. STATUS OF INDIA’S SUPPLY CHAIN connected by rail in India connected by rail in china
6.There are only 334 locations to 6.Goods can be flown in & out of
According to Kamal Vohra, Lead Analyst, Software and services take to the sky in India China by way of 500 airports
Research, IDC India, the total Indian SCM solutions market is 7. China has more navigable
growing at a CAGR of 7.6% and is expected to touch US$ 7. India is having 16,000 kms of
waterways. Commerce in China
132.6 mn by 2011. “The India Supply Chain Management waterways particularly in the
moves on 1, 10,000 kms of inland
solutions market in 2009 was US$ 91.8 mn with the major movement of bulk commodities.
aqueous passageways.
players being SAP, Oracle and Invensys, Lawson and 8. India is having edge than
Information. The year –on – year growth for the India Supply China in youngest population. 8.Rate of young population in China
Chain Management market took a hit during the global India will add 71 million to its is declining since 2000.only 22.8%
slowdown but is expected to recover in 2010 and beyond. working age population of 691 of people falls in the age group of 15
But if, we talk of present position of Supply Chain in India then, million by 2010, according to –29.[10],[11]
its growing at slow pace .Despite a high growth industry such as estimates by United Nations.
retailing, the country does not have the Supply chain 9. According to World Bank’s
Infrastructure to take advantage of the tremendous growth in the logistics performance Banking:
India 9. India is at 2nd number out of
China is ranked the highest of all
Because of following reasons: BRIIC countries (27th rank) in terms
all BRIIC countries(47th rank)
A. A report by the CII, Confederation of Indian industry and of customs clearance, infrastructure,
Amarthi Consulting, $ 65 bn is lost each year on account of the adequacy, logistics, timeliness and
tracking ability place.
inefficient Supply Chain Infrastructure in India.
B. Supply chain costs in India are as much as 13% of GDP as 10. China’s local market is big in
compared to 7% in developed countries. comparison to India . Its GDP is
10. Size of local market is less in
C. Since 1947, the railway network has increased only 20% in almost three times that of India and
comparison to China.
size, while the traffic it accommodates has increased tenfold. it has more consumers with buying
power
D. The lack of an integrated cold chain infrastructure means that
farm produce worth $13 bn is wasted every year.
E. Capacity constraints at airports causes’ airline fuel
consumption to increase by up to 30%.[8] Table: 6. Comparison of India’s Supply Chain with China[12]
562
VII. PERFORMANCE OF INDIA AMONG BRIIC as points out the difference of India’s Supply Chain with that of
COUNTRIES India, in which China proves to have competitive edge.
India is one of the world’s fastest growing economies with
Country Rank LPI Infr Int Sh Lgstc Time diverse markets. Managing Supply Chain in such a vast country
is most challenging for any organization because of business
China 27 3.49 3.54 3.31 3.49 3.91 practices, govt. regulation, technology, capability, transportation
India 47 3.12 2.91 3.13 3.16 3.61 and infrastructure. Thus in every case, Indian Organization need
Brazil 41 3.20 3.10 2.91 3.30 4.14 to act fast to capitalize on these opportunists to be competitive
Indonesia 75 2.76 2.54 2.82 2.47 3.46 with the world market.[17]
Russia 94 2.61 2.38 2.72 2.51 3.23
Fig.1 Example of Performance of India among BRIIC countries[13],[14] REFERENCES
Where Rank- World Rank
LPI- Cumulative Logistics Performance Index [1] (2010),Wikipedia/Supply Chain Management
Infr- Infrastructure website.[online].Available:
http://en.wikipedia.org/wiki/Supply_chain_management
Int SH- International Shipping [2] Delft University of technology,(2001-2009),Global Supply Chain
Lgstc- Logistics website.[online]. Available: http://sk-
Time- Timeliness 3.tbm.tudelft.nl:8080/opencms/opencms/gscg/background_info/
[3] A.Tambi (2009) Supply Chain website[online]. Available:
http://it.toolbox.com/blogs/everything-anything-supply-chains/who-
VIII. ANALYSIS has-a-higher-logistics-cost-china-or-india-35123
[4] (2010),Wikipedia/Vendor-managed inventory
Both India and China rank among the front runners of global website.[online].Available: http://en.wikipedia.org/wiki/Vendor-
economy and are among the World’s most diverse managed_inventory
[5] (2000),Collaborative Planning,Forecasting & Replishment
nations.[15]But if we make the analysis of the India v/s China, website.[online]. Available:
we can see that there are no. of factors that has made China http://www28.sap.com/businessmaps/91039F49E53F11D3874B000
better than India. In terms of Supply Chain and Infrastructure, 0E820132C.htm
China is having the edge. The basic reason behind the success [6] M.Jajima,”Stategic Value of RFID in Supply Chain Management “,
Journal of Purchasing & Supply Chain Management 13(2007) 261-
story of China is because of its developed economy. 273,Ontario,Canada.
India has become much more developed than before It is having [7] (2010),ERP website.[online]. Available: http://whatiserp.net/other-
a number of opportunities available with it. .[16]Only thing is software-business/emerging-technologies-in-supply-chain-
that, even then it is not able to make right business out of it. So management/
[8] M. Martin (2010) Logistics/Supply Chain website[online].
Indian govt. is required to make some investments and to keep a Available: http://logistics.about.com/b/2010/09/02/supply-chain-
vigil check on the operations of the supply chain & issues-cost-india-65-billion-each-year.htm
infrastructure. Then only its present condition can be improved. [9] (2010) Money control/Business News website[online]. Available:
http://www.moneycontrol.com/news/business/wal-mart-india-
growth-faces-supply-chain-hurdle_473232.html
IX. CONCLUSION [10] (2008),sinaenglish/china website.[online].Available:
http://english.sina.com/china/1/2007/1224/138380.html
Gone are the days where customer service was merely a buzz [11] (2010),Wikipedia website.[online].Available:
word. With the focus on customer service, companies have http://en.wikipedia.org/wiki/Demographics_of_the_People's_Repub
lic_of_China
moved away for a supply driven business towards a demand [12] Charles,(2010).China and India website.[online]. Available:
driven business. Companies are also constantly searching for http://www.chinasourcingblog.org/2010/01/china-and-india-a-
ways to reduce inventory and holding cost. The increase in comparison-i.html
speed has forced companies to search for ways to reduce [13] (2010) World Bank/Logistics Performance Index website[online].
Available: http://info.worldbank.org/etools/tradesurvey/mode1b.asp
product cycle time and move product quickly and cost [14] E.Duncan,(2010),Company reports/Industry Focus/Outsourcing
effectively. With this the concept of Supply chain has emerged website.[Online]. Available:
to be one of the important sectors across worldwide. It is so http://www.supplychaindigital.com/industry-
considered because of the time utility factor concerned with it. focus/outsource/outsourcing-hubs-china-india-eastern-europe
[15] FigDaksha.(2010).Logistics website.[online].Available:
Supply Chain Management with I.T. services has completely http://www.logistics-scm.com/2010/05/06/india-vs-china-economy-
changed the outlook of how companies manage their supply 2009/
Chain and how they maintain their collaborative relationships [16] ]- B.S.Sahay,J.N.D Gupta,R.Mohan,”Managing Supply Chain for
with their suppliers and satisfy the needs of their customers. Competitiveness:The Indian Scenario”,Supply Chain
Management:An International Journal Volume 11,(2006),pp-15-
This paper depicts the emerging trends in Supply Chain as well 24,India
563
564
Six Sigma: - How is Six Sigma Different from

Other Business Management Programs?
Mr. Himanshu Gaur1, Mr. Amit Kumar2, Mrs. Kavita Panjwani3, Mrs. Neha Chopra4
12,3,4
Department of Management, Ganpati Institute of Technology & Management, Bilaspur, Yamuna Nagar,
Haryana, India
Himanshu_bt_2006@gmail.com,
amitk347@gmail.com,
kavitaganpati@gmail.com,
oberoi.n7@gmail.com
Abstract- Six Sigma methodologies is a data INTRODUCTION

management process that can be used to achieve a
goal of near perfection in process performance. Six Six Sigma is one of the most popular quality methods
Sigma deployment with an organization’s strategy is lately. It is the rating that signifies “best in class”,
complicated by the fact that most organizations have with only 3.4 defects per million units or operations
three levels of strategy – corporate, strategic (DPMO). Its concept works and results in remarkable
business unit (SBU), and competitive. The Six and tangible quality improvements when
Sigma method was chosen because it has been implemented wisely. Today, Six Sigma processes are
successfully implemented in many large being executed in a vast array of organizations and in
corporations in order to improve the quality of a wide variety of functions.
products and business processes. Six Sigma
provides a defined and structured method that Fueled by its success at large companies such as
allows a problem or opportunity to be defined, Motorola, General Electric, Sony, and Allied Signal,
measured, analyzed, improved, and controlled. This the methodology is proving to be much more than
results in a method that can be used over and over just a quality initiative. Why are these large
again to design or improve. This paper Studies Six companies embracing Six Sigma? What makes this
Sigma is one of the strategic tools used by leading methodology different from the others?
organizations to achieve accuracy and speed and at
the same time reduce cost and increase customer
satisfaction and profits. Strategically Six Sigma is The goal of Six Sigma is not to achieve six sigma
deployed to change the culture of organization levels of quality, but to improve profitability. Prior
through inculcating process control discipline to Six Sigma, improvements brought about by quality
applied in manufacturing and non-manufacturing programs, such as Total Quality Management (TQM)
businesses.Six Sigma was developed by Motorola in and ISO 9000 usually had no visible impact on a
the 1980s. While originally developed to improve company's net income. In general, the consequences
manufacturing processes it has since been used by of immeasurable improvement and invisible impact
many organizations to improve all areas of caused these quality programs gradually to become
business. Financial companies are starting to use the fad of the moment.
Six Sigma in their businesses because they have
found it to be profitable for them, but are these In 1891, British physicist Lord Kelvin wrote, “When
results industry wide? Are the companies currently you can measure what you are speaking about, and
using Six Sigma faring better than companies that express it in numbers, you know something about it.”
do not? This paper intends to investigate the Mikel Harry, a noted Six Sigma authority, extends
application of six sigma in financial services the thought as, “we don't know what we don’t know;
industry we can’t act on what we don’t know; we won’t know
until we search; we won’t search for what we don’t
Key Words: Implementations roles, Tools of Six question; we don’t question what we don’t measure.”
Sigma, Sigma Levels, Critical Success factors for a Both imply that if you failed to quantify the results of
Six Sigma, Impact on Business. what you were doing, in a way, it means that you
might not understand what you were really doing.
565
Hence, organizations that are unable to track the  Champions take responsibility for Six Sigma
impact of quality improvements on profitability can implementation across the organization in an
not know what changes need to be made to improve integrated manner. The Executive
their profit margins. And most importantly, Leadership draws them from upper
profitability is the natural concern of management in management. Champions also act as mentors
organizations. If a quality initiative failed to present to Black Belts.
its quantitative bottom-line value to the management,  Master Black Belts, identified by
it will lose the management's commitment to it and, champions, act as in-house coaches on Six
eventually, fade away. Sigma. They devote 100% of their time to
Six Sigma. They assist champions and guide
In contrast with other quality initiatives, Six Sigma Black Belts and Green Belts. Apart from
recognizes that there is a direct correlation between statistical tasks, they spend their time on
the number of product defects, wasted operating ensuring consistent application of Six Sigma
costs, and the level of customer satisfaction. In the across various functions and departments.
short term, Six Sigma is a method to eliminate  Black Belts operate under Master Black
defects and the opportunity for defects. It utilizes a Belts to apply Six Sigma methodology to
statistical unit of measurement to measure the specific projects. They devote 100% of their
capability of the process, then achieve defect free time to Six Sigma. They primarily focus on
performance, and ultimately increase the bottom-line Six Sigma project execution, whereas
and customer satisfaction. Champions and Master Black Belts focus on
identifying projects/functions for Six Sigma.
Six Sigma is a management philosophy developed by  Green Belts are the employees who take up
Motorola that emphasizes setting extremely high Six Sigma implementation along with their
other job responsibilities, operating under
objectives, collecting data, and analyzing results to a
the guidance of Black Belts.
fine degree as a way to reduce defects in products
and services. The Greek letter sigma is sometimes
The objective of Six Sigma
used to denote variation from a standard. The  Six Sigma projects related to the voice of the
philosophy behind Six Sigma is that if you measure customer can take priority and become an
how many defects are in a process, you can figure out important part of the organizational strategy
how to systematically eliminate them and get as close of achieving the customer-related objective.
to perfection as possible. Six Sigma is a disciplined  To become a part of strategy execution in
and quantitative approach involving setting up a this case, Six Sigma professionals could
develop customer surveys, test
system and process for the improvement of defined
questionnaires, gather customer data,
metrics in manufacturing, service, or financial analyze data and establish focus groups to
processes. The approach drives the overall process of name a few activities.
selecting the right projects based on an organization's  Also, some old projects can be given new
business goals and selecting and training the right life through corporate objectives. Ideas for
people to obtain the results. Improvement projects projects that have never been supported by a
follow a disciplined process defined by a system of Champion can be reintroduced and possibly
gain support through the relevance of new
four macro phases: measure, analyze, improve,
objectives.
control.  By letting organizational objectives align
with Six Sigma projects, Six Sigma
Six Sigma identifies several key roles for its professionals can serve as leaders in
successful implementation. showing employees how to execute strategy.
 Executive Leadership includes the CEO and

other members of top management. They are
responsible for setting up a vision for Six The Six Sigma Process
Sigma implementation. They also empower
the other role holders with the freedom and
The Six Sigma process is based on the
resources to explore new ideas for
application of rigorous rules and the
breakthrough improvements.
566
measurement and monitoring of carefully

identified data. One of the most relevant Six In order to determine what is causing any
Sigma methods for business intelligence fluctuation in these CTQ measurements, we need
may be simply designated as the DMAIC
another set of measurements. This second set of
process. The name is derived from the steps
of the process. measurements is defined and collected using an
audit of business intelligence assets at a detailed
level for all components. The TBIA Business
Intelligence Capability Maturity Model, which is
a blueprint for the business intelligence audit,
may be used to perform the detailed audit of the
business intelligence asset base.
3. Analyze. Determine what the CTQ

measurements tell us about how the
customer needs are being met. What do
those CTQ measurements tell us about the
The DMAIC Process response times? How well are we
performing and are the customer quality
1. Define the goals. These should be based on needs being met? Then, we have to identify
the factors that have been identified as all the factors within the business
critical to quality (CTQ) for the customer. intelligence asset base that can and have
They must be specific and measurable. impacted those response time numbers.
Thus, we review the results from the
2. Measure the identified factors, i.e., collect business intelligence audit and correlate
the data. For example, performance may be each to the critical to quality (CTQ) needs
one of the critical to quality factors for of the customer. What has been identified
customer satisfaction. during the business intelligence audit that is
We might define a measurement for relevant to and/or impacts the customer
performance as response time (i.e., the time CTQ needs? What exactly are the reasons
from the point where a request for for performance that is anything less than
information – e.g., a query – is made to the our Six Sigma goals? That might translate,
time the information is returned to the for example, into any number of items, from
requestor). By describing expectations in some infrastructure malfunction to the
specifics, the performance goal becomes wrong analytical software. The audit will
tangible and measurable. Next, we will need help identify specific “pain points” and
to monitor and measure the CTQ factors to impacting factors.
determine whether the defined customer
needs are being met. Then, we need to plan for improvement.
What can we do to make things better? What
should we do? Identify the actions required
for improvement based on the business
intelligence audit. Prioritize the
improvement action plan based on the
impact and relevancy of each identified
issue to the critical to quality factors for the
customer. We can rate the customer CTQ
factors. Then we can build a prioritized plan
to improve business intelligence based on
resolving the underlying issues in order of
their importance to the customer.
4. Improve. The improvement process

includes taking all the actions necessary to
make the business intelligence product meet
567
the quality expectations necessary to the of the most difficult situations in the organization and
customer. disciplined improvements efforts is an important
responsibility.
5. Control. We need to make sure that the
business intelligence continues to meet the
highest quality standards. Performance
levels could decline again unless there is a
Critical Success factors for a Six Sigma
program for regular monitoring of quality
goals. There should be a standard action
response program in place for response and  Top management leadership &
correction of any further problems. commitment are essential to Six Sigma
QMS success. Top management should act
Six Sigma Belt Levels as key driver in continuous improvements,
communicate to employees about
 A well-implemented customer
GreenBelt management system is critical to Six Sigma
QMS success. Processes need to be
The Six Sigma Green Belt is the first level that is
achieved after a training of two weeks generally. The established in order to monitor customer
training includes the study of the basics of Six Sigma satisfaction levels, to receive customer
and the essential elements of Six Sigma statistical feedback, and to resolve customer concerns.
tools.  The education and training system should
provide continuous courses to employees for
These members will be working on smaller project in
equipping them with quality-related
their areas, under the guidance of the Six Sigma
Black Belts. knowledge and problem-solving skills.
 A well-organized information and
BlackBelt analysis system should be designed to
collect the performance measures in order to
Six Sigma Black Belts have to finish a four-week monitor the quality of key business
long training program. Their training involves processes.
everything that the Green Belts are trained in.
However, their training also includes an in-depth  A well-implemented process management
study of different statistical tools and methodologies, system that identifies, improves, and
which are highly complex in nature. monitors the key business processes has a
positive impact on Six Sigma QMS success.
They would normally lead the Six Sigma team in a The quality assurance system, work unit
particular area. The most important part of their performance measures, and statistical
training is the successful completion of a Six Sigma
techniques are essential to process
project.
management.
MasterBlackBelt  A well-developed strategic planning
system must translate into executable action
This level is even higher than the Six Sigma Black plans with related performance
Belt level. They are highly trained individuals who measurements. The necessary human &
have achieved a Black Belt level, but are even more
financial resources must be allocated to
trained and experienced in the Six Sigma field.
support the implementation of business
Master Black Belts (MBBs) are generally in charge action plans.
of the Six Sigma project at the organizational level.  A well-developed supplier management
Black Belts provide whatever guidance is required. system, where the main criteria for selecting
suppliers are based on quality aspects, has a
The process to achieve the Six Sigma level is highly
positive impact on Six Sigma QMS success.
complex and difficult. The proper utilization of these
members is necessary. The perfect handling of some Processes need to be built in order to
568
monitor the quality performance levels of to pressing "must-haves" and lower numbers to "nice-
suppliers. to-haves." Then, various design options are listed and
 Throughout the organization, from rated on their ability to address the customer's needs.
Each design option earns a score, and those with high
management to employees, equipping all
scores become the preferred solutions to pursue.
with quality tools has a positive impact on
Fishbone Diagrams: In Six Sigma, all outcomes are
Six Sigma QMS success. Quality tools
the result of specific inputs. This cause-and-effect
should be used in production and non- relationship can be clarified using either a fishbone
production processes. diagram or a cause-and-effect matrix (see below).
 A well-developed human resource The fishbone diagram helps identify which input
management system has a positive impact variables should be studied further. The finished
on Six Sigma QMS success. A job diagram looks like a fish skeleton, which is how it
earned its name. To create a fishbone diagram, you
advancement system is important to human
start with the problem of interest -- the head of the
resource development. Various methods are fish. Then you draw in the spine and, coming off the
developed to facilitate the communication spine, six bones on which to list input variables that
between the organization and its employees. affect the problem. Each bone is reserved for a
To promptly improve performance, specific category of input variable, as shown below.
employees need to receive their performance After listing all input variables in their respective
feedback from their supervisors. categories, a team of experts analyzes the diagram
and identifies two or three input variables that are
 A well-developed competitive likely to be the source of the problem.
benchmarking system should be capable of
collecting market and competitors’
information. The process of benchmarking
information collection needs to be evaluated
to ensure its effectiveness.
Six Sigma Tools

Cause-and-Effect (C&E) Matrix: The C&E matrix
is an extension of the fishbone diagram. It helps Six
Black and Green Belts use a variety of tools to drive Sigma teams identify, explore and graphically display
quality improvements within the DMAIC model. all the possible causes related to a problem and
Many of these tools have been incorporated into Six search for the root cause. The C&E Matrix is
Sigma software so that the computer carries out the typically used in the Measure phase of the DMAIC
underlying calculations. Most can be classified into methodology.
two categories: process optimization tools, which Failure Modes and Effects Analysis (FMEA):
enable teams to design more efficient workflows, and FMEA combats Murphy's Law by identifying ways a
statistical analysis tools, which enable teams to new product, process or service might fail. FMEA
analyze data more effectively. isn't worried just about issues with the Six Sigma
Here's an overview of some of the most important project itself, but with other activities and processes
tools: that are related to the project. It's similar to the QFD
Quality Function Deployment (QFD): The QFD is in how it is set up. First, a list of possible failure
used to understand customer requirements. The scenarios is listed and rated by importance. Then a
"deployment" part comes from the fact that quality list of solutions is presented and ranked by how well
engineers used to be deployed to customer locations they address the concerns. This generates scores that
to fully understand a customer's needs. Today, a enable the team to prioritize things that could go
physical deployment might not take place, but the wrong and develop preventative measures targeted at
idea behind the tool is still valid. Basically, the QFD the failure scenarios.
identifies customer requirements and rates them on a
numerical scale, with higher numbers corresponding
569
Impact on Business References:
 Antony. "Pros and cons of Six Sigma: an

One of the most important factors a business must
look at is disaster recovery. This is an important part academic perspective".
of organizational planning because it deals with what http://web.archive.org/web/2008072301505
would happen should a monumental disaster occur. 8/http://www.onesixsigma.com/node/7630.
How would important data and other information be Retrieved August 5, 2010.
retained? This question must be answered in the form  "The Inventors of Six Sigma".
of a plan that addresses such issues and put into place http://www.motorola.com/content/0,,3079,0
a resolution before the possibility ever comes to pass.
0.html. Retrieved January 29, 2006.
Creating a business impact analysis, or a BIA, for the
purpose of disaster recovery is important. This can be  "Motorola University Six Sigma
accomplished in a few easy steps and is an aspect of a Dictionary".
business plan that should never be ignored. http://www.motorola.com/content/0,,3074-
A BIA is the cornerstone of any disaster recovery 5804,00.html#ss. Retrieved January 29,
strategy and plan. It will be used to identify the 2006.
processes, systems, and functions that are critical to  Six Sigma: Where is it now?".
the survival of a company. When that company is http://scm.ncsu.edu/public/facts/facs030624.
yours, you want to protect it any way you can.
html. Retrieved May 22, 2008.
Gaining an understanding of these elements will
allow you to allocate your resources wisely to ensure  “Developing Six Sigma Competences,
operations even with the occurrence of unexpected DMIAC Plus & Six Sigma Tools by Dr. R.S.
events that disrupt normal business operations. Chalapati”
A business impact analysis is a Six Sigma process
which aims to reveal the factors that would impact a
business, and would result when a process that is
critical to normal operation exceeds its maximum .
allowable outage. Before you can create a BIA, you
will first need to have a solid understanding of the
operations of your business. There are many details
you will be required to know and that must receive
proper attention. This attention will be crucial to
forming a resolution that will enable you to keep your
business operating normally when faced with various
types of disasters. If proper planning is not
accomplished, such disasters could mean a major set
back for your business or, in serious situations, may
even result in the end of your company altogether.
CONCLUSION
Six Sigma improve the process of project selection

for Champions and Master Black Belts, Six Sigma
professionals can align the needs established by
organizational objectives. Through incorporating
factors such as savings, probability of success, cost
and time of completion, Six Sigma professionals can
find the essential 20 percent of projects that can
generate 80 percent of the results that are necessary
for achieving objectives. Six Sigma guide to
professionals to take the right type of projects and
can assist in the identification of the specific projects
that are necessary for success.
570
KANBAN- A NEW BUZZ WORD IN JUST-IN-

TIME
1,3
1
3
2
2
Abstract-- Just in Time Production is a technique which is used Japan is the first country which makes the Kanban, an
for minimizing the Work-in-Process inventory. JIT means to existence in the world. Toyota‘s was the first to introduce this
manufacture the product in right amount at right time. A concept. Toyota studied the supermarkets with a view to apply
massive interest has been shown, now days, as to find out the store and shelf stocking techniques to the floor of factory. By
ways to reduce inventories and increase productivity. The
this, the customers will be able to get what they need, at the
Kanban acts as the main component and also a part of large JIT
system. Kanban system is a pull system opposed to the push needed time and in the needed amount. With the help of
system that mainly focuses on the schedule-based systems like Kanban, the supermarkets only stock what it will sell and the
Material Requirement Planning (MRP). This paper tells us about customers take only that they need as there is now an
the working of Kanban system and its different types. It also assurance of future supply. Signboards are used in the
focuses on the relation between Kanban and JIT production supermarkets or in different shops as to guide the shoppers to
system. It emphasizes on the fact that with the growing their required or specific restocking locations. Kanban is a
competition in today’s scenario, in order to make continuous multistage production scheduling and inventory control
improvement in quality or to make reduction in costs and lead system [4]. It is motivated by the concept of JIT production
time, the need for Kanban system has been accelerated at an
and aims at reducing the level of inventory to a minimum.
alarming rate.
Kanban generally means signboard and billboard. It is defined
Keywords-- Kanban, Just in time, Kanban System, Three-bin, as a manufacturing strategy in which various parts are
Types, Working, Real life examples, Relation of Kanban and Just manufactured or delivered only at the time of requirement, as
In Time. we can say Just-In-Time. Kanban is bit different from an
inventory control system. It rather is a scheduling system that
tells us what to produce, when to produce and how much to
I. INTRODUCTION produce [5]. Kanban is a part of JIT [6]. There is a little more
to manage a JIT system than just Kanban and there is even
Lately, the heed to achieve the excellence in manufacturing more to Kanban than just inventory management. So Kanban
has become the main driving force behind the development is an emerging process growing in popularity since from its
and implementation of various innovative techniques. Among inception. How Kanban work is also an important to know. Its
them the more successful one is JUST-IN-TIME. JIT is a need is growing with the passage of growing time because of
system dynamic approach [1].A considerable amount of lots of its advantages. In this paper, we come across the
attention has been focused on the Japanese manufacturing Kanban systems, how the Kanban works, the objectives of
system, in a concern for finding numerous ways to reduce the Kanban, scope of Kanban in India as well as its advantages
inventories, increase productivity etc. Kanban is an upcoming and disadvantages.
technique framework that is growing in popularity now.
Kanban is a main element of Just-In-Time and Lean
Manufacturing system and is also the most important and
widely used type of PULL signaling system that has captured II. OBJECTIVES OF THE STUDY
most of the attention of researchers. Since, from the past
decade, the pull controlled system have received the attention. A. To know the concept of Kanban system
The purpose of kanban is to eliminate kanban [2]. This type of B. To know the working of Kanban
production is driven by the flow of actual demands. The word C. To know the types of Kanban systems
‗Kanban‘ is made up from two words. ‗Kan‘ and ‗Ban‘ [3].
Kan stands for card and Ban stands for signal.
571
III. KANBAN SYSTEM M4 M5
Kanban scheduling systems are the most simple, effective and

inexpensive ways for manufacturing products and controlling
M8 M9
the inventory. M1 M2 M3
In the words of Taiichi Ohno [7], the man credited with
M6 M7
developing JIT, Kanban is one means through which JIT is
achieved. An easy way to more clearly understand this
concept is Three-bin systems –
We consider a production system consists of 9 machines M1
to M9. Each machine has a certain amount of time which may
vary. Time could be constant and variable. A certain amount
of time is required to process a part. All parts may move
IV. THREE- BIN SYSTEMS machines M1 to M2 and M3 consequently. At the completion
of these three operations, some of parts may require
There are basically three-bins for the supplied parts. processing at M4 and M5 while at M6 and M7. After the
completion of these two sets, all the parts are then processed
 The first bin is set up on the floor of factory (and is to M8, M9 for further processing.
considered as the point of demand). Therefore, the system will work in the above discussed
 The second bin in the factory store. format.
 The third bin at the suppliers‘ store.
The bins are having removable cards that contain on it the

details of the product and other necessary information. The 5. TYPES OF KANBAN
cards, known as the Kanban cards, are multicolored. These
cards are stored in a bin or container according to their
priority. They describe the parts, suppliers, and quantity.
When the bin becomes empty on the factory floor, it means
there is demand for parts, which results in the emptied bin and Prod kanban In process kanban
Kanban cards are returned to the factory store. The factory
store, immediately replaces the bin on the factory floor, which
also contains a Kanban card [9], with a full bin. The factory Kanban
store then returns the now-empty bin along with its Kanban Signal kanban
cards to the suppliers‘ store. The suppliers‘ inbound product
bin with its Kanban card is then delivered to the factory store. Withdrawal
Thus, it will help in completing the last step to the system, in kanban
this way, the process will never run out of product and is Inter process
described as a loop or flow chart. It will only spare one so kanban
there will never be an oversupply.
This ‗spare‘ bin is for uncertainty in supply, use and transport.
Maria DI Mascolo and Yannick Frein[8] in their paper,‖ An
Analytical Method for performance evaluation of Kanban Supplier kanban
controlled Production Systems‖ explains the concept of
Kanban systems by taking an example written below-
There are mainly two commonly types of cards used today
are-
A. Withdrawal (conveyance) Kanban-
The withdrawal Kanban passes the authorization for the

movements of the parts as and when needed from one stage to
another. It gets the part from the previous process and then
moves them to the next process. It kept with itself some left
over parts unless or until the last part has been consumed by
572
The next process. After that, to complete the cycle, it travels C. Kanban system is also having scope in Vendor Managed
back to the preceding process. Inventory Item. It utilizes simple painted lines on the side of
It carries the following information—as part number, part the item‘s rack location. The lines depicts the level of Kanban,
name, lot size, routing process, container capacity, number of lowest inventory level etc. for e.g.- when the stock of a
containers released etc. specific cardboard fell below the line, the supplier would see
the signal during their daily delivery and thus drop the needed
B. Production Kanban – boxes in the coming day.
It is used to signal production for internal processes to start

the production. This is used or the continuous processes. This
card is the instruction to produce again. It releases an order to VIII. HOW DOES KANBAN WORK???
the preceding stage to build the lot size indicated on the card.
It carries the following information— as materials required as
inputs at the preceding stage, parts required as inputs, According to the actual demand of the customers, the
information sated on withdrawal Kanban. production or supply is determined. If sometimes the supply
chain is lengthy and it becomes tedious to forecast the
demand, in that case the best method is to reply quickly to the
observed demand. Kanban is used as a signal of demand that
VI. OTHER TYPES OF KANBAN in a minute time flows through the supply chain. This can be
used to ensure that intermediate stocks held in supply chain
Express Kanban- used where there is an occurrence of can be managed properly.
shortage of parts. Taiichi Ohno [1] states that to be effective Kanban must
Emergency Kanban - used to replace or change some follow strict rules of use[11] Toyota rules,
uncertainties such as defective parts, machine failure etc.
Through Kanban - used when the different work centers are Toyota six rules-
located close to each other. It combines the production and
withdrawal Kanban for both stages into one through Kanban. A. Do not send defective products to the
subsequent process
B. The subsequent process comes to withdraw
only what is needed
C. Produce only exact quantity withdrawn by
VII. REAL LIFE EXAMPLES OF KANBAN SYSTEM- the subsequent processes
D. Equalize production
E. Kanban is a means to fine tuning
A. A military component supplier client replaced a MRP F. Stabilize and rationalize the process
system and simplified both planning and shop floor control by
installing a simple multiple slide rack. Each slide was color-
coded and labeled as to the model of sub-assembly. The lines The working of Kanban can be better explained with the help
on the slides show that both the replenishment trigger and the of this example-
maximum quantity allowed. The upstream operations were
instructed to keep in minimum-maximum range, the number
of units on each slide [9]. Let us assume a factory that produces widgets. This widget
requires 2 parts say A and B for its manufacturing. There are
B. A rabbit-food bag producer painted the squares of Kanban three stages of production-
on the floor of shop. These Kanban spaces were large in size
and are more than enough to hold a required number of pallets A. The receiving area
of products. As the Kanban field was filled, the upstream B. The assembly area
operation would now – C. The shipping area
1) Switch to a product that was in another downstream Part A and B are stored in separate bins. On the pallets we
Kanban which is still having space placed the completed widgets. An empty pallet is returned to
the workers area when a pallet is shipped to a store.
2) Be slow down in order to match up with the usage The workers start the work by taking one of Part A and B, and
rate of their customers assemble a widget. Then we place that widget on a pallet and
move the pallet to the shipping area when it is full. If a store is
3) Shut down having a requirement o widget, the pallet is shipped to the
store.
573
Kanban is pallet in this example [12]. Kanban and JIT, though associated with each other, yet they
are not same. JIT is an inventory control system used to
improve a manufacturing firm‘s return[13]. JIT focus on
Kanban rules- having the right material, at right time, at right place and in
right amount.
1) when the components it represents is used, a On the contrary, Kanban is a scheduling system not a
known signal is only issued inventory control system. It tells a firm as what to produce,
2) if a Kanban exists only then the components are when to produce and how much to produce. To implement
manufactured JIT, we use Kanban. It acts as an indicator of demand that
3) the components which are good only be issued signals to the whole of supply chain.Kanban can be calculated
4) no over production by the above formula explained [14].
5) components are only manufactured in the order
the Kanban cards are received Thus, JIT Is an inventory management strategy and one of its
elements is Kanban. JIT uses Kanban as a means to present
inventory related costs. Both JIT and Kanban make it possible
to have right material, at right time, at right place and in right
IX. FORMULA USED amount.
No. of Kanban required can be calculated as-

XI. ADVANTAGES AND DISADVANTAGES OF
No. of Kanban = (Demand in period * order cycle time * KANBAN SYSTEMS
safety stock) / batch size (container quantity)
Advantages-
Example-
Daily demand = 500 cakes 1) It provides quick responses to changes.

2) Its cost is low, as it does not involves the use of
Production lead time = 2 days computer
3) It eliminated the queues
Safety stock = ½ day 4) It provides the better utilization of machines
5) Improves flow
Container size = 250 cakes 6) It prevents overproduction and makes control at each
operation level
Demand during lead time = (2 days * 500 cakes)

= 1000 Disadvantages-
No. of Kanban = (1000+250)/ 250 1) In case of shared resource situation, this Kanban
system is less effective
= 5 2) It is not suited to those industries whose volume
fluctuates and for short manufacturing production
runs
The optimum number of kanban can be calculated as 3) It sometimes result in poor quality in terms of scrap
discussed above[15]. 4) It does not, on its own, reduces the variability
5) A breakdown in Kanban system can result in shut
down of entire line
X. RELATION OF KANBAN AND JIT
The Toyota Production system has use the JIT strategy which
aims at improving the returns of the business by cutting down
the inventory in process and also related costs. One o the most
important element of JI is Kanban
574
XII. CONCLUSION
This paper generally focuses on the meaning of Kanban and [2] Derick.bailey,(2010)/management/Kanban/kaizen/ website.[online]
Available:http://www.lostechies.com/blogs/derickbailey/archive/2010//01/30/
JIT. In order to make continuous improvement in the working
the-purpose-of-kanban-is-to-eliminate-the-kanban.aspx
environment, use of Kanban system is increasing day by day. [3] (2010), Just in time/Kanban website [online] Available:
Kanban is a pull controlled system [16]. Kanban is simple to http://en.wikipedia.org/wiki/Kanban
operate control systems which offer the opportunity to [4] Katsuhiko Takahashi and Nobuto Nakamura, ―Decentralized reactive
delegate routine materials transactions on the floor shop. Kanban System‖, a study in Production, Manufacturing and Logistics, 139
Kanban is a chain process in which material flow from one (2002) 262-276
[5](2010), Kanban/website.[online], Available:
place to another. In this descriptive study, we came across the
types of Kanban and how they all can be used whenever http://www.strategosnic.com/kanban.htm
[6](2010), Kanban/website. [Online], Available:
required. The working of Kanban is done in a continuous http://www.strategosinc.com/kanban1.htm
manner. It forms a loop or cycle. It will helps in reducing the [7] Taiichi Ohno (June 1988). Toyota Production System-beyond large-
cost of inventory, lead time, and related costs etc., and hence scale production. Productivity Press. pp. 29 ISBN 0915299143
[8]Maria Di Mascolo, Yannick Frein and Yves Dallery, ―An Analytical
helps in improving the quality of work in less time
Method for Performance Evaluation of Kanban Controlled Production
consumption. Kanban is an upcoming philosophy that is used System‖, Sources Operation Research, Vol. 44, No. 1, Special Issue on New
in a large amount these days. The bright and dark side is Directions in Operation
always there with any existing thing, same is the case with [9]Valerie Tadrif and Lars Maaseidvaag, ―An Adaptive Approach to
Controlling Kanban System‖, Theory and Methodology, European Journal of
Kanban also. There are many advantages in using the Kanban
Management Research 132(2001) 411-424
system. Likewise some disadvantages are also attached with [10] Jack B. Harrison Lean manufacturing/Kanban website [online]
this process. Available: http://www.handsongroup.com/lean-articles/taking-the-mystique-
out-of-Kanban-systems
[11] Shingo,Shigeo(1989). A study of the Toyota Production system from an
Kanban, now days [17], has become popular for IT,
Industrial Engineering viewpoint. Productivity Press.pp.30 ISBN 0915299178
Application maintenance and for projects in fast moving areas [12] (2008 & 2010), The Kanban Plan/website.[online] Available:
like entertainment and media etc. Kanban has shown an ability http://kanban.labelprinter.com/how-does-kanban-work.php
to encourage collaboration with other parts o the organization [13] (2009), JIT+Kanban presentation/website.[online],
Available:http://www.authorstream.com/Presentation/meetpal-165592-jit-
such as marketing (upstream) and operations (downstream).
kanban-education-ppt-powerpoint/
The Kanban has enabled in continuous improvement culture [14] Oskar Olofossn, (2009) Kanban System calculator/website.[online],
in any organization and also enhanced the level of trust available: http://world-class-manufacturing.com/Kanban/kanban.html
between all tams involved in delivering valuable working [15] Hunglin Wang and Hsu-Pin (Ben) Wang, ―Optimum number of Kanban
between two adjacent workstations in a JIT system‖ in International Journal
software‘s regularly
of Production Economics, 22 (1991) 179-188
[16] Jean Luc Deleersnyder, Thom J. Hodgson, and Henri Muller (- Malek)
REFERENCES and Peter J. O‘gady, ―Kanban Controlled Pull System: An analytic Approach‖
[17] Richard J. Schonberger,‖ Applications of Single card and Dual card
Kanban‖, Interfaces, Vol. 13, No. 4 (Aug., 1983), pp. 56-67
[1] C.L. Lai, W.B. Lee and W.H. Ip, ―A study of System dynamics in just-in-
time Logistics‖, Journal of Material Processing Technology 138(2003) 265-
269
575
Software Refrence Modelling Of 128 QAM Modulator

And Demodulator
Shweta Sharma1, Ajaya Kumar2, Nidhika Birla3
1
M-tech Student,MMU, Mullana
1
sharma21_shweta@yahoo.co.in
2
Lecturer HEC,Jagadhari
2
contact_ajaya@yahoo.co.in
3
Assistant Professor HEC, jagadhari
3
nidhikabirla@gmail.com
Abstract--Future Wireless communication systems have to be QAM is a modulation scheme which conveys data by
designed to integrate features such as high data rates, high modulating the two carrier signals. The carrier waves are out
quality of service and multimedia in the existing communication of phase
framework. So modulation techniques that conserve bandwidth with each other by 90 degree. Quadrature amplitude
are developed and QAM (Quadrature amplitude modulation) is
modulation is a proven technique for the transmission of
one such technique. The design and implementation of 128-
QAM modulator and demodulator is carried out. A software digital information over wide range of channels. Thus it
model is developed with the help of MATLAB/Simulink. employs both amplitude modulation and phase modulation.
Software modeling provides with an implementation overview. The term ‘Quadrature’ is because of the use of four quadrants
It will help in analyzing the architecture that is necessary for the or four spaces. In digital QAM, the input stream is divided
implementation of the hardware. Here software reference model into groups of bits based on the number of modulation states
is developed using MATLAB/Simulink. used. In 16 QAM, four bits of the input provides 16
values (0-15) and alters the phase and amplitude of the carrier
to derive 16 unique
modulation states. Similarly, in 128 QAM, seven bits
Figure generate 128 modulation states.
1.1:
Figure
1.2: 8-
QAM
modul
ated
signal
QA
M is
curre
Constellation for 16 QAM ntly
used
Quadrature amplitude modulation (QAM): for digital terrestrial television. They are also used in digital
cable television, wireless LANs and cable modem
History of QAM: The first QAM scheme was proposed by applications.
C.R.Cahn in 1960 where in the phase modulation was
extended to a multi-amplitude phase modulation. QAM Types of QAM
constellation was first proposed by Campopiano and Glazer The different types of QAM are 16-QAM, 64-QAM, 128-
in 1962 one of which is given in the figure 1.1. Also an 8- QAM, 256-QAM and others. In 16-QAM, 4 bits generate 16
QAM modulated signal is shown in figure 1.2.
576
modulation states. Similarly 6 bits, 7 bits, 8 bits generate 64- T

QAM, 128-QAM and 256-QAM respectively. r1   r (t )1 (t )dt  si1  n1
0
Quadrature amplitude modulation is a modulation scheme T
which conveys data by changing the amplitude of two carrier
waves. The two waves are out of phase with each other by 90
r2   r (t ) 2 (t )dt  si 2  n2
deg. 0
They are the independent Gaussian random variables with
QAM modulator mean values si1 and si2. The pair (r1, r2) determines a point
QAM signal can be written as in the QAM constellation plane representing the received
noisy signal. The detector compares the distances from (r1,
s(t )  si (t ) cos 2f c t  s2 (t ) sin 2f c t   t   r2) to all pairs of (si1, si2) and chooses the closest one.
…………Where A block diagram for QAM demodulator is shown in the
 figure 1.4.
s1 (t )  A
k  
k1 p(t  kT )

s 2 (t )  A
k  
k2 p(t  kT )
A block diagram for QAM modulator is given in figure1.3:
Figure 1.4: QAM demodulator

Figure 1.3: QAM modulator
K indicates the kth symbol period. Amplitude of the
p (t) block i.e. pulse shaping is optional. reference signals can be
Data bit sequence is divided into n-tuples of n bits. There are 2/ Ep
M=2n distinct n-tuples. any value, which is as long as (si1, si2) are also
Gray coding is used for mapping n-tuples to QAM points to scaled.
minimize errors.
QAM demodulator MATLAB simulations of 128-QAM

The coherent demodulation of QAM could be implemented MATLAB code is written which takes in the input bit
by one the coherent detectors for M-ary signal. The received sequence and performs the modulation and demodulation
signal is given in the form of an equation processes. The following steps are followed
r (t )  si (t )  n(t ) The size (i.e. 16, 64 or 128 point), number of bits to be
processed are first defined. Random numbers are then
For QAM signal detection, the sufficient statistic is the
generated using the function X = randint (n, 1);
distance li
The waveform in the figure 1.5 shows a plot of 40 bits
li  r1  si1   r2  si 2 
2 2
Where
577
Figure 1.7: 128-QAM Output bits

SIMULINK simulation for 128-QAM
Figure 1.5: 128-QAM Input bits The figure 1.8 shows a model of 128-QAM modulator and a
demodulator. It has Random integer generator which is used
Random symbols are now generated using the function to generate random numbers which is the input to the
xsym = bi2de(reshape(x,k,length(x)/k).','left-msb'); rectangular QAM block. It has the option of mapping the
The function bi2de( ) requires first argument as column wise input to the constellation points and it uses the symmetric
numbers .Therefore function reshape ( ) has been used which constellation. The output will now be a complex signal and
returns the k-by- length(x)/k matrix whose elements are taken the complex value is split into real and imaginary numbers
column wise from x. using complex to Real-Imag block. It is then mixed with the
To generate a constellation signal (modulated signal), the carrier wave and the modulated output is obtained. The
function y=qammod (xsym, M) is used. reverse process is carried out in decoding the bits i.e. to
To generate the received signal, the function used is perform the demodulation.
noisy=awgn(ytx,snr,’measured’) and yrx=ynoisy. The signal
is sent over the awgn channel.A scatter plot is created which
will give the received signal and the figure 1.6 shows the plot Figure 1.8 Model of QAM modulator & demodulator
of received signal with the constellation. The scattered ones
are the received bits.
To generate the received signal, the function used is
noisy=awgn(ytx,snr,’measured) and yrx=ynoisy. The signal Figure 1.8: Model of 128 QAM modulator and demodulator
is sent over the awgn channel.
A scatter plot is created which will give the received signal
and the figure 1.6 shows the plot of received signal with the
constellation. The scattered ones are the received bits.
Figure 1.6: Constellation diagram depicting the received signal and the
signal constellation
To generate the demodulated bits at the output of the QAM
receiver, the function used is zsym = qamdemod(yrx,M) and
the decimal to binary conversion is done using the function
zz = de2bi(zsym,'left-msb'). The figure 1.7 shows the plot of
trtraTTT
received bits (demodulated bits).
Traabbvghjshj
578
Figure-1.9 Transmitted constellation, modulated wave and received

constellation wave
Conclusion:
MATLAB simulation provided with an overview of the
implementation. With the help of MATLAB simulation,
functionality was verified and the feasibility of the design
was observed.
Reference:
[1] [pdf] Zhongshan Wu, “MIMO-OFDM communication systems: channel
estimation and wireless location”, May 2006
[2] Fuqin Xiong, “Digital modulation techniques”, ISBN 0-89006-970-0,
Artech House telecommunications library
[3] Vaidyanathan RamaSarma, “A coverage area estimation model for
interference-limited non-line-of-sight point-to-multipoint fixed broadband
wireless communication systems”
[4] Ayan Banerjee and Anindya S.Dhar, “Novel architecture for QAM
modulator-demodulator and its generalization to
multicarrier modulation”, Microprocessors and Microsystems, Volume 29,
No. 7, pp.351-357,1 September 2005
[5] Jouko Vankka, Lauri Sumanen and Kari Halonen, “A QAM Modulator
for WCDMA Base Station”, Proceedings of 13th Annual IEEE International
ASIC/SOC Conference, pp.65-69, April 2000
[6] David A.Bryan, “QAM for Terrestrial and Cable Transmission ”, IEEE
Transactions on Consumer Electronics, Volume 41, No. 3, pp.383-391,
August 1995
[7] D.M. Klymyshyn and D.T. Haluzan, “FPGA implementation of
multiplierless M-QAM modulator”, IEEE Electronic letters,
pp.461-462, May 2002
579
Futuristic Trends in Logistics Quality

Anil Aggarwal
Assistant Professor, Department of Management, Gurgaon Institute of Technology & Management, Gurgaon (Haryana)
Abstract- This paper aims at appreciating the need for and International Organization for Standardization (ISO)
relevance of understanding futuristic trends in logistics defines quality as the totality of features and characteristics
Quality. In view of the changing nature of global business
environment and competition, what are the most immediate of a product, process or service that bears on its ability to
impacts on the supply chain and its management? What are satisfy stated or implied needs. Quality can, therefore, be
the markets and organizational influences that impact on stated as that attribute of a product or service which
international/global integrated logistics decisions? What are
satisfies customers‟ expectations and perceptions at the
the rationale and quantifiable benefits of integrated logistics
quality? What are the important considerations in the time of purchase and during the usable life of the product
development of a modern and intelligent integrated logistics or service.
quality programme fit for the twenty-first century?
Formal quality processes receive much attention today.
This paper attempts to find out the rational answers of these
queries and broaden the perspective regarding the concept of Quality process implementation often begins in
quality, supply chain management, integrated logistics quality manufacturing by ensuring that the product meets customer
and other concerning areas by creating awareness about and manufacturing specifications. The process then spreads
necessity to manage transition at the right time to more to other areas of the firm, such as quality purchasing
effectively cope with, and manage, the growth process. It is
intended to equip the marketers and practitioners to focus on processing and quality outsourcing. Common terms
creating a good understanding of the management issues associated with quality along with the characteristics of
associated with trends in logistics Quality. Once the firm is each are as follows:
focused, the approach will be to cover key issues of relevance
and provide a good overall understanding of the Quality QUALITY PROCESS: EVOLUTION
management challenges in the context of dynamism of supply
chain management and Total Quality assurance.
Quality Control: Stage I
• It is management driven
I. QUALITY
• Defect free services provided by the seller
In the manufacture of any product, the first and the
foremost requisite is to give an accurate description of what
a product should be. One way of doing this is by stating the Quality Assurance - Stage II
requirements for various characteristics which determine • It is driven by the customer
its quality or performance. The word „quality‟ is being used • The firm attempts to satisfy all customers.
by different people in different senses and connotations.
According to Lallan Prasad, In industry, the meaning given

Total Quality Control - Stage III
to the word „quality‟ includes: • It is driven by management, workers, customers and
suppliers working toward a Common goal.
A. the degree to which a specific product satisfies the • The firm is attempting to gain a significant competitive
wants of a consumer group; advantage.
B. The degree to which a class of product possesses
potential satisfaction for people generally;
C. The degree to which a specific product conforms to a Customer Value - Stage IV
design specification ( known as „ quality‟ of • It is driven by management, workers, customers, and
suppliers working toward a Common goal of providing
conformance‟); and
added value to the firm and its customers.
D. The distinguishing feature of a grade or product, i.e., • The firm emphasizes providing the best comparative net
appearance, performance, length of life, dependability, value for the customer Based on customization, flexibility,
reliability, durability, maintainability taste, color, etc. innovation and
Responsiveness.
580
II. SUPPLY CHAIN MANAGEMENT D. Marketing and sales; and
Philip Kotler opines supply chain as to represents a value E. Customer service.

delivery system. The supply chain is in effect the firm‟s
value chain. Value is actually spread through the firm‟s The SCM concept may well be understood with the help of
supply chain. A firm can optimize its total customer value following subheadings:
by managing. Activities in the supply chain in an integrated
1) Logistics Management,
manner, treating them as one continuous chain. V.S.
2) Retail Logistics and
Ramaswamy refers supply chain as the whole business
3) Reverse Logistics.
chain, encompassing procurement of inputs, in - bound
logistics, conversion of inputs into products, physical 1) Logistics Management:
distribution/ marketing logistics and channel functions,
which finally take the end product to the ultimate The word logistics is derived from the French word
consumers. Swapna Pradhan defines supply chain as to “loger”, which means to quarter and supply troops. In the
integrate activities across the entire merchandise flow, to last two decades, there have been several well-publicized
achieve quick response in supplying products and services logistics exercises, internationally. The Gulf War of 1991
to customers who need them. The challenge of managing a was one of the largest, since World War II. An integral part
continuous supply of goods from all these different entities of the supply chain function is logistics management. The
is the challenge of managing the supply chain. main objective of logistics management is to reduce
inventory holding costs and improve profits. It deals with
The concept of supply chain management (SCM) first the management of the flow of merchandise from the
emerged in the United States of America, through the source of supply to the end consumer. Good logistics
efforts of the apparel industry. Its application benefits reduces distribution costs; optimum uses of financial
encouraged grocery retailers to adopt the concept of resources; exploits market Opportunities; expands market;
Efficient Consumer Response. Faced with the onslaught of boosts morale and motivation of middleman; maximizes
shorter life cycles, high volatility and low predictability of customer satisfaction etc.
demand and high rate of impulse purchases, retailers have
understood the need to integrate the supply chain. 2) Retail Logistics:
Ramaswamy and Namakumari observes SCM as the Retail logistics is the organized process of managing the
combination of materials management and end product flow of merchandise, from the source of supply to the
distribution, which constitute the two vital components of customer. It incorporates the following functions: (i)
the business process and form the key tasks at the front and physically moving the goods from one location to another,
back ends of the process, respectively. Sapna Pradhan where the location may be a distribution center (DC),
ensures supply chain management as a smooth and warehouse, store or manufacturer, (ii) stocking the goods at
efficient flow, from raw material to finished goods, into the the locations needed, in the quantities needed the
hands of the consumers. She further opines that it is a management of this entire process. A logistics strategy can
concept which has increasingly replaced the traditional, either be a pull strategy or a push strategy. At the heart of
fragmented management approaches to buying, storing and logistics is the Distribution Center (DC). It serves several
moving goods. functions, from coordinating the inbound transportation,
receiving, checking, storing and cross checking, to
Kiefer Lee opines that an effective SCM requires the coordinating the outbound transportation. The method used
coordination of a wide range of activities and flows that for handling logistics largely depends on the nature of the
extend across functional and organizational boundaries. industry and the number of outlets that the organization has
Including in each city, state or region. Food World, a grocery retail
chain in India, works on the “hub and spoke” system. The
A. Inbound logistics;
hub is the distribution centre, which it develops in each
B. Operations; city. The hub services all the shops in that particular city.
On the other hand, a department store, like the Shopper‟s
C. Outbound logistics; Stop, may find that it is not feasible to develop and
maintain a distribution centre in each city, as it would have
581
one or at the most, two shops in every city. In such a case, international supply chain in an integrated manner has been
a regional distribution centre may be developed. Some instrumental in the success of the World‟s largest steel
retail organizations in India, like Globus, have outsourced manufacturer Laxmi Narayan Mittal‟s Ispat International
their needs for logistics and distribution. that operates in 14 countries and produces 70 million tones
of steel annually. Proximity to inputs and markets and
3) Reverse Logistics efficiency in integrated logistics quality management are
critical to Ispat group‟s success. Integrated logistics has
It is an emerging trend. At the simplest level, the
two distinct subsets: logistics activities and service
disposition of returned goods consists of junking them or
response logistics activities. Goods physically move
giving them away. But with more sophisticated systems
through the distribution channel using logistics activities.
and processes, returned goods can be put back into the
Non-material services move to customers at all levels of
inventory, sold at liquidation centers, or broken down to
the distribution channel by way of service response
component parts -steps that can cut costs, increase profits,
logistics activities. When logistics and service response
and improve customer service. How companies handle
logistics operation in conjunction with each other, they
product returns can also be a competitive differentiation. It
become integrated logistics.
is a new area to exploit for increased efficiencies.
However, handling reverse logistics is not easy. A. Integrated Logistics Quality (ILQ):
Specifically designed software is needed for this purpose.
Many third party service providers, such as Federal There is no single definition of integrated logistics quality.
Express Worldwide Logistics, GenCorp. Distribution Some define it as a philosophy, performance measure or an
System, and UPS Worldwide Logistics, uses customized activity. The most succinct definition is that integrated
systems to usher customers‟ returned products to a central logistics quality is meeting agreed-upon customer
recovery centre, where they are sorted for parts, requirements and expectations. The level and sophistication
reconditioned or junked. of quality depend on how the various parties view it.
III. INTEGRATED LOGISTICS Regardless certain themes underline all quality definitions
–
It was overlooked in the implementation of quality process
because few understood what it was or how it affected 1) Quality is a continuous unending process,
other functional areas of the firm. Today, however firms 2) Prevention of errors is emphasized over detection of
enhance customer service by providing superior integrated errors,
logistics to clients through efficiency (desired product/ 3) Top management involvement and commitment are
service mix at an acceptable cost), effectiveness (meeting vital.
customer requirements), and differentiation (creating value
through unique logistical service). Firms questioning for integrated logistics quality should
follow the steps in the integrated quality process.
The principal objective of any integrated logistics system Following these steps commits the firm to continuous
remains that the goods reach the final customers in the improvement and puts it on the path to the leading edge.
following manner:
Based on meeting agreed-upon customer requirements and
1) In correct quantity expectations, integrated logistics looks for to achieve the
following objectives:
2) At desired location
1) Increase customer satisfaction;
3) At right time
2) Better internal communications and coordination;
4) In usable condition
3) Improve delivery quality and reliability;
5) In the most efficient manner.
4) Reduce integrated logistics costs; and
All these objectives are inter-related to each other and may
be achieved by a firm‟s integrated logistics quality
management strategy. Efficient management of
582
5) Increase productivity etc. Central standards and (iii) Products have very short lifecycles and very short
measures techniques may be established for each of these development and production lead times;
objectives. For this purpose, bench marking may be used.
(iv) Customers want to be treated as individuals.
J.M. Juran, an acknowledged quality expert offers several
reasons for the failure of quality programs. First, many 8) Global firms need to position now or lose out in a fast-
firms focused their quality efforts on fighting imports by saturating market. In particular, the opportunity for
attempting to improve the quality of their competitive cold chain logistics could be quite lucrative. There is
products. Second, organizations did not change their no major integrated cold chain logistics company in
Priorities to truly adopt the quality concept. Even, they did India.
not include goals for improvement, responsible for quality,
9) To become a leading edge logistics organization, they
as mentioned earlier.
should adhere themselves to the following principles
B. Suggestions: for excellence:
Those firms who want to differentiate themselves from (i) Link integrated logistics to the corporate strategy;
their competitors should consider the following
(ii) Emphasize human resources;
suggestions:
(iii) Organize comprehensively;
1) Quality should be determined and defined by the
customer. (iv) Use the power of information.;
2) They should have made quality the primary issue, not (v) Form strategic alliances;
just inputs.
(vi) Measure and react to performance; and
3) Standards must be developed to measure quality from
the customer‟s perspective. (vii) Target optimum service levels.
4) Integrated logistic quality can be used as a significant IV CONCLUSION

competitive weapon.
There‟s business, and lots of it, in the logistics industry.
5) The Integrated Logistic Quality system must be The booming economy and surging demand for material,
information -intensive. New software and systems is money and information - the three pillars of supply chain -
the key to achieving competitively superior logistics are driving logistics companies to open their war chests for
performance in the future. expanding networks. The second ETIG supply chain
service providers‟ survey confirms that the logistics
6) From political events, legal liabilities, social trends and industry‟s focus has now shifted from providing
natural disasters, the benefits of emergent global transportation to giving solutions, leveraging scale, skills
supply chains can be negated if companies lack a and investments. These companies intend to invest an
studied understanding of the risks and do not put plans average Rs. 70 cores into their network in 2007-2008, into
in place to manage them. assets like warehousing and express distribution.
Incidentally, 2006 was touted as the year of private equity
7) Supply chains should be viewed as a set of inter-
worldwide and India is expected to be on global M&A
related processes / activities that need to be aligned,
radar in the coming years. Most companies predict a
coordinated and synchronized, rather than a series of
revenue growth rate of over 25% - to come from value
discrete, non-aligned activities. A modern supply chain
added services - in 2007-08. Companies plan to offer
should enable the organization to compete successfully
quality - integrated solutions that reduce the total supply
in today‟s global market environment where:
chain cost, rather than optimize elements like trucking or
(i) Everything is changing quickly and unpredictably; warehousing individually.
(ii) Low volume, high quality, customer and specific To sum up, it may be concluded that integrated logistic
products are required; quality must be planned, implemented and controlled for a
583
firm to move to the customer value stage by adopting three

dimensions: dependability, flexibility & innovation.
Dependability refers to consistent, predictable, and high-
quality integrated logistics services whenever and wherever
demanded. Flexibility implies that firms can adapt as
customer requirement change.
Finally, innovation forces the firm to continuously

improve. Firms that can offer these dimensions to
customers over a long time and ingrain the concept of
continuous improvement throughout the organization will
become “leading edge organizations”.
REFERENCES
[1] Prasad, Lallan and Bannered, A.M. 1982. Operations Management.
Sterling Publishers
[2] ISO Definitions 1. 1971. Standardization Vocabulary: Basic Terms
and Definitions, Geneva.
[3] David, J. Bloosmbery and Stephens, Leomay. 2002. Logistics:
Prentice-Hall of India
[4] Coughlin, Anne T. and Erin, Anderson. 2001. Marketing Channel.
New Delhi: Prentice - Hall of India Pvt. Ltd.
[5] Pradhan, Swapna. 2004. Retailing Management: Text and Cases.
Tata Mc Graw- Hill Publishing Company
[6] Baxi, Sachin. 2006. “Logistics gets a move on growth”. The

Economics Times (daily), New Delhi, December 20, p. 1.
[7] Indian Management (Monthly). July 2007. The Journal of the All
India Management Association, volume 46 issue 7, New Delhi
[8] Koathri R.K., Jain P.C. and Mittal Ramesh. 2008. International
Marketing. Jaipur.
[9] Kotler, Philip and Keller, Kevin Lane 2007. Marketing Management
(12th edition). New Delhi: Prentice - Hall of India Pvt. Ltd.
[10] Lee, Kiefer and Carter, Steve. 2006. Global Marketing Management.
New Delhi: Oxford University Press.
[11] Joshi, Rakesh Mohan. 2006. International Marketing. Oxford

University Press.
[12] Ramaswamy, V.S. and Namakumari, S.

A. 2004. Marketing Management: Planning.
B. Implementation & Control. New Delhi:
C. Macmillan India Ltd.
584
585
Image Enhancement using Wavelet

Transform
Amit kumar1,Geeta Kaushik2
M.Tech(student) MMEC,Mullana
Lecturer MMEC,Mullana
Abstract - The traditional image enhancement

algorithms enhance noise signal in image while II. LIFTING WAVELET TRANSFORM PROCESS
they enhance image, which leads to the de-scent of The lifting algorithm to constitute wavelet
information entropy. Designing image transformation, have three steps, split, predict and
enhancement systems with good nature is a goal update, describe specifically as follows:
which all researchers pursue. Method of lifting 1）Split. Subset the signal sj which into two do not
can best deal with MRA Multi-resolution Analysis intersect mutually sj-1 and dj-i, the commonly used
method which is time and memory consuming algorithm is that the input signal is divided into the
which impedes its real-time application. The odd and even two subsets,
process of lifting method was introduced. Method
of image enhancement based on lifting wavelet
was introduced. The algorithm and traditional
wavelet image enhancement algorithms are
compared. Result of the experiment indicate, the
quality of image have been improved. It is better
than traditional wavelet image enhancement
algorithms.
Keywords- Wavelet Transform, lifting wavelet, Figure 1 lifting algorithm diagram
Image Enhancement. 2) Predict. In view of the data relevance, available sj-i
I. INTRODUCTION forecast dj-1 .Therefore may use one uncreative
forecast operator P, Satisfied dj-1 = p (sj-1) ，Like this
The wavelet analysis is the new algorithm which the
may use the child data set sj-1 to replace the primitive
recent years developed, Mallat first used the concept
data set sj .If replaces dj-1 with difference between the
of multi resolution to defining wavelets and applying
subset dj-1 and the forecast subset dj-1 = p (sj-1), then
the wavelet transform to processing signal, it initiated
this difference has reflect both approach degree. If
the application of wavelet transform to processing
the forecast is reasonable, then the difference data set
image. The Image enhancement is one of image
contains information is less than the information of
processing basic contents. The image enhancement is
the primitive subset dj-1 .Forecast processing‘s
an image processing method which highlights certain
expression is as follows:
special information of a image, simultaneously
weakens or removes the certain does not need
information. The main purpose is causes processed 3) Update. Because decomposes the subset, original
image suitable for some kind of specific application, set some characteristics lose, make the subset the data
is more suitable than the primitive image in human's and the Original set data to have the same
visual characteristic or the machine recognition characteristic. Also has a better sub-data set sj-1
system. The traditional image enhancement algorithm through operator U, makes it to maintain the original
is usually based on the whole image statistics, so data set sj some characteristics. sj-1 Definition is as
when transforms the entire image, the low frequency follows:
information, the high frequency information as well
as include the noise, all have simultaneously carried
on the transformation, thus also strengthened the The restructuring data promotion formula is same to
noise during enhancement image, causes the the decomposition formula, only needs change
information entropy to drop. Considering the computation order and the algebraic expression：
problems existed in image processing system, this
paper puts forward a
new algorithm.
586
Merge is the combinative meaning, which use the

splits subsets Sj-1 and dj-1 to reconstruct the initial
signal.
III. IMAGE ENHANCEMENT BASED ON

LIFTING WAVELET
TRANSFORM
The basic idea of image enhancement based on lifting
wavelet transform is as follow : Firstly, we
decompose the original images into four sub-images
with lifting wavelet transform; Secondly, base on the Figure 2 lifting wavelet decomposition and
gain coefficient of each sub-images to operate reconstruction
amplification calculating, obtain the The top left corner of the lifting wavelet decompose
new wavelet coefficients; finally, according to the image is the low frequency sub-band, the others are
new amplified gain coefficients to reconstruct the high frequency sub-band, according to the figure
new image. The algorithmic framework is as follow 2,the high frequency sub-band are basically black, so
(Fig. 1): it including less information, the low frequency sub-
band including most Information. The lifting wavelet
reconstructed image has a better subjective results
and more distinct.
B. Image enhancement
The paper use tradition wavelet and 9/7 lifting
wavelet to enhance the image, the analysis and
simulation results as follow.
Figure 3 and figure 4 is respectively the image
enhancement experiment results of tradition wavelet
and 9/7 lifting wavelet.
Figure 1 Image enhancement based on lifting wavelet

transform
IV. SIMULATION AND RESULT

This article presents the result of using the lifting
wavelet decomposition and reconstruction. The
lifting wavelet image enhancement algorithm and
traditional wavelet image enhancement algorithms
are compared. Take ‗woman.bmp‘ as experiment
picture, use Matlab6.5 simulates.
A. Lifting wavelet decomposition and
figure 3 use tradition wavelet to enhance image and
reconstruction
histogram
The result is as follow:-
587
design——Wavelet analysis, Xidian

University Publishing, Xi an,1999.
[4] Song ping, Liu Bo.Image compression Based
on fast lifting wavelet transform. Science
technology and Engineering，2002, pp.68–73.
[5] W.Sweldens.The lifting scheme:A
construction of second generation
wavelets.SIAM J.Math.Anal.,1997,pp511-546.
[6] M. Maslen, P. Abbott. Automation of the
lifting factorization of wavelet transforms.
Compute Physics Communications.,
2000,pp309-326.
[7] Zhang yanhong,Hou dewen. An image
figure 4 use lifting wavelet to enhance image and enhancement algorithm based on wavelet
histogram frequency division and bihistogram
equalization. Computer Applications and
figure 4 use lifting wavelet to enhance image and Software,2007,pp159-161.
histogram. From the figure 3 and figure 4, we can [8] YANG JW,LIU LF,JIANG TZ,et al.A
have this conclusions: the original image is dark and modified Gabor filter design method for
the image gray scale scope is very narrow; the fingerprint image enhancement. Pattern
enhanced image using the tradition wavelet is dusky Recognition Letters,2003,pp1805-1817..
and image gray scale scope is also narrow; but the [9] S K Pal,R A King.Image enhancement using
enhanced image using the lifting wavelet, the image smooth-ing with fuzzysets. IEEETrans Syst
gray scale scope is very wide and each gradation Man Cybern,1981,pp494-501.
level has pixels, contrast is big, the detail is clear. [10] Y.Kim J.Jung,and S.J.Ko,―Post-processing
Therefore, using the lifting wavelet to enhance the technique based on POCS for Visual
image has a better effect. enhancement in HDTV images‖,IEEE
Trans.Consumer Electronics, August.2001,
V. CONCLUSION pp.652–659.
This paper study the image enhancement based on
lifting wavelet transform through theory and
experiment, carried on the comparison based on the
lifting wavelet image enhancement effect and the
tradition wavelet image enhancement effect. Through
the experiment, we can see using the lifting wavelet
to enhance the image has a wide gray scale scope and
detail is clear. Therefore, the lifting wavelet
algorithm is superior to tradition wavelet algorithm.
It can make good enhancement effect. Image
enhancement technologies are widely applied
invidious field such as consumer electronics, video
surveillance, medical imaging.
VI. REFERENCES
[1] S.S.Agaian,K.Panetta, and A.M.Grigoryan,
―Transform - Based Image Enhancement
Algorithms with Performance Measure‖, IEEE
Trans.Image Processing ,March.2001,pp472-
479.
[2] S.S.Agaian,B.Silver, and K.A.Panetta,
―Transform Coefficient Histogram-Based
Image Enhancement Algorithms Using
Contrast Entropy‖, IEEE Trans. Image
Processing,March 2007,pp326-332.
[3] Hu Changhua ,Zhang junbo, Xia jun,zhang fei,
Based on MATLAB system analysis and
588
Application of Lubricated Unbounded Magnetic

Abrasives in Magnetic Abrasive Machining: A
Review
Vinal Sharma1, Maninderpreet Singh2,Sehijpal Singh3
1
Research Scholar, 2 Professor, Dept of Mechancial Engg.., G.N.D.Engg. College, Ludhiana
1
vinal26@gmail.com
2
mani_754@yahoo.co.in
Abstract— Magnetic Abrasive Finishing (MAF) is one of the influenced by the rigidity of the magnetic abrasive brush.
advanced finishing processes in which work piece and magnets MAF may be internal or external depends upon the
requirement.
are given a relative motion. The cutting force is generated and
controlled by magnetic field, developed between the
electromagnetic poles and magnetic abrasives. In spite of
remarkable results produced by MAF, the major constraint
towards the commercial adoption of this technology is non-
availability of cost effective magnetic abrasives and moreover
abrasives are flown away from the working zone due to
centrifugal force produced due to the rotation of work piece at
very high rpm. Existing method of preparing magnetic abrasives
is to mix the iron particles with abrasives by using adhesives,
which is costly as well as time consuming. The aim of present
study is to review the previous research on MAF by using
unbonded magnetic abrasive particles mix with polymer gel.
Previous study shown that by mixing polymer gel with the
abrasive particle will improve the machining efficiency of the
abrasives. This paper presents a review on previous research
work in this field. Fig. 1 Working principle of magnetic field assisted finishing process
Keywords— Magnetic abrasive machining, Bonded magnetic The precise and mirror like surface can be obtained by
abrasives, Unbonded magnetic abrasives, Polymer gel, Magnetic magnetic abrasive finishing (MAF) process. Finishing
finishing with gel abrasive properties of MAF are closely related to the magnetic abrasive
used. Magnetic abrasives of MAF can be divided into two
I. INTRODUCTION parts. . The first is UMA (unbonded magnetic abrasives) in
Magnetic abrasive process is a non-conventional machining which this magnetic abrasives are prepared by mixing the
process, which is used to get good surface finish on flat ferromagnetic particles and the abrasives. Therefore, the
surface, inside and outside surface of tube. The magnetic abrasive is not physically bonded to the ferromagnetic
abrasive finishing process can be realised under high magnetic material. The other magnetic abrasive utilizes the
induction in the work zone. The figure shows the process ferromagnetic matrix to hold the abrasive and forms as
principle of Magnetically Assisted Finishing Processes for a abrasive medium, these are called BMA (bonded magnetic
cylindrical work piece. A magnetic force control system uses abrasive). However, the unbounded abrasives are easily flown
two series of electromagnets to induce the magnetic poles that away from the working area regardless of what abrasives are
produce the magnetic field during finishing. A rotating system used in MAF; this situation will reduce the polished efficiency
utilizes a brushless DC motor to drive the chuck that enables and induce the pollution problem in the environment. Despite
the work piece to achieve rotational motion. This magnetic this BMA require a long time to produce, subsequently
force should be sufficient to attract the abrasive particle and increasing costs in MAF. Therefore, a novel abrasive medium,
facilitates the machining purpose. The magnetic particles are using a polymer gel to mix the ferromagnetic particles and
joined to each other magnetically between magnetic poles S abrasive, was developed to enhance the disadvantages in MAF.
and N along the lines of magnetic force forming flexible By applying polymer gel combined with UMA as the gel
magnetic abrasive brushes (FMAB). When a cylindrical abrasive, this study attempts not only to enhance the polishing
work piece with rotatory, vibratory and axial movement as efficiency but also precision in MAF. The researchers have
shown in fig. 1. is inserted in such a magnetic field, surface shown that the technique can be applied to a wide range of
and edge finishing is performed by the magnetic abrasive products. These researchers followed this work and conducted
brush. The finishing efficiency and quality are greatly
589
research for finishing and polishing applications. Some of the the recast layer and micro-cracks on EDM machined surfaces
applications of unbonded magnetic abrasives used with some can be completely removed and a new surface of roughness on
lubricants or polymer gel are cited below in this paper. the order of 0.04 μm Ra can be produced. Additionally,
Chang et al [1] made a study on cylindrical magnetic abrasive experiments using the Taguchi method and L18 orthogonal
finishing using unbounded magnetic abrasives. The process array enable the determination of the optimum process
principle and the finishing of unbonded magnetic abrasive conditions for improving the surface finish. Further, the
within cylindrical magnetic abrasive finishing were described. significance of the control factors was identified with the
The unbonded magnetic abrasive was a mechanical mixture of assistance of analysis of variance (ANOVA), and the optimum
SiC abrasive and ferromagnetic particles with a SAE30 combination of the process parameters was verified by
lubricant. Iron grit and steel grit, for which three various conducting several confirmatory experiments.
particle sizes were prepared for both, were used as Shinmura et al [4] studied the finishing characteristics under
ferromagnetic particles, each of them being mixed with 1.2 wet finishing using distilled water. The study discussed the
and 5.5 μm SiC abrasive, respectively. Also, the finishing finishing characteristics of a magnetic field assisted
characteristics on surface roughness and material removal as mechanochemical polishing process using Cr2O3 abrasive
well as their mechanisms were investigated. Experimental mixed with magnetic particles in the case of wet finishing
results indicated that steel grit was more suitable for magnetic using distilled water, which was proposed for internal
abrasive finishing because of its superior hardness and the finishing of Si3N4 fine ceramic tubes. It was clarified that a
polyhedron shape. The variations of material characteristics highly accurate finishing can be achieved more efficiently in
on the work surface both before and after finishing were also the case of wet finishing using distilled water compared with
investigated. Si content was increased obviously, however its dry finishing. Moreover, those conditions necessary to achieve
corrosion resistibility decreased on a surface that was finished high efficiency finishing were discussed.
via steel grit mixed with SiC abrasive. Dejin Hu et al [5] studied the inner surface finishing of
Yan et al [2] used electrolytic magnetic abrasive finishing tubing by magnetic abrasive finishing using unbonded
(EMAF) as a compound finishing process, involving magnetic abrasive. It was required that the parts used in
traditional magnetic abrasive finishing (MAF) and an manufacturing semiconductors, atomic energy parts, medical
electrolytic process. The aim of including the electrolytic instruments and aerospace components have a very precise
process into the EMAF system was to produce a passive film surface roughness. Amongst them, vacuum tubes, wave guides
(or oxide film), which was much easier to remove than the and sanitary tubes are difficult to polish by conventional
original metal surface during processing. Moreover, in the finishing methods such as lapping, because of their shapes.
presence of both electric and magnetic fields, the negatively The surface roughness of these tubes affects the performance
charged ions move toward the anode surface along a cycloid of the entire system, but the finishing technology for these
curve by the action of the Lorentz force. Under appropriate tubes is very scant in manufacturing fields. The inner surface
operating conditions, this phenomenon promoted electrolytic must be less than 0.3 μm Ra after finishing. An internal
effects, resulting in a further increase in finishing efficiency, magnetic abrasive finishing (MAF) process was proposed for
yielding a superior surface. Their study described the producing highly finished inner surfaces of tubes. The process
principles of the process, the finishing characteristics of principle and the finishing characteristics of unbounded
surface roughness and material removal, and the associated magnetic abrasive within internal tubing finishing were
mechanisms. Experimental results showed that the EMAF described first. MAF setup was designed for finishing three
process yields quite excellent finishing characteristics, better kinds of materials tubing, such as Ly12 aluminium alloy,
than those obtained by MAF, especially with a high 316L stainless steel and H62 brass. Experimental results
electrolytic current. The process parameters such as indicated that finishing parameters such as polishing speed,
electrolytic current, electrode gap, magnetic flux density, and magnetic abrasive supply, abrasive material, magnetic
rate of work piece revolution must be appropriately fitted to abrasive manufacturing process and grain size have critical
obtain a superior refined surface with high efficiency. effects on the material removal rate (MRR). How the inner
Chang et al [3] improved Electrical Discharge Machined surface micro shape changes course during finishing of an
Surfaces using Magnetic Abrasive Finishing. A recast layer aluminous tube was demonstrated.
Zuoyi [6] introduced a new type of magnetic abrasive, which
is invariably present on surfaces produced by electrical was named as unbonded magnetic abrasives. The magnetic
discharge machining (EDM). For some metals with high abrasives hold easy making, low cost and good working
hardness, the recast layer may contain micro-cracks. This characteristics, so it possessed a better applying value. The
damaged layer can affect the service life of the parts produced unbonded magnetic abrasive was a mechanical mixture of SiC
by this method. This investigation demonstrates that magnetic abrasive and ferromagnetic particles with lubricant. In order to
abrasive finishing (MAF) process using unbonded magnetic gain the best machining property of the magnetic abrasive, a
abrasives (UMA), can improve the quality of EDM machined lot of experiments had been done, especially to test the
surfaces effectively. The UMA used was a mechanical working quality and working efficiency of the magnetic
mixture of steel grit and SiC abrasive. SKD11 tool steel was abrasive, for which, iron grit and steel grit were used as a
used as the work piece. Experimental results had shown that ferromagnetic particles, each of them being mixed with 5.5Jlm
590
SiC abrasive. Also, the experiments had been done to test the (b) Cost and time associated with bonded abrasive
finishing characteristics of the magnetic abrasive using steel particles for finishing is very high as compared to
grit only and the unbounded magnetic abrasive without added unbonded abrasives as it requires method like
lubricant. The experimental results indicated that when mixed
sintering or chemical for the manufacturing of BMA.
with SiC abrasive by lubricant, steel grit used as
ferromagnetic particles was more suitable for MAF than iron Thus the use of gel abrasives is very economical and
grit, and the magnetic abrasive of steel grit also have good less time consuming and provides better results. The
machining property in working work piece with lower surface roughness can be reduced to 0.1 mm Ra from
hardness. It overcomes the problem of high cost, difficulty in an initial value of 0.677mm Ra with in 10 min by
making of the magnetic abrasive. using polymer gel. Hence a gel abrasive is an
Wang and Lee [7] demonstrated that the precise and mirror economical medium of finishing.
like surface can be obtained during the process. However, the
abrasives were easily flown away from the working area
regardless of what abrasives were used in MAF; the situation
will reduce the polished efficiency and induce the pollution
problem in the environment. Besides, the abrasives could not REFERENCES
recycle after the finishing process. Therefore, a novel abrasive [1] G.W. Chang, B.H. Yan, R.T. Hsu, Study on cylindrical magnetic
medium, using the silicone gel to mix the ferromagnetic abrasive finishing using unbonded magnetic abrasives, International
particles and abrasive, was developed to enhance the Journal of Machine Tools & Manufacturing 42 (2002) 575–583.
[2] B.H. Yan, G.W. Chang, J.T. Cheng, R.T. Hsu, Electrolytic magnetic
disadvantages in MAF. Magnetic finishing with gel abrasive
abrasive finishing, International Journal of Machine Tools &
(MFGA) was utilized in their study to polish the cylindrical Manufacturing 43 (2003) 1355–1366.
rod of mild steel; furthermore, the cylindrical rod was fixed in [3] B.H. Yan, G.W. Chang, J.H. Chang, R.T. Hsu, Improving electrical
a horizontal chuck that could rotate and vibrate in the axial discharge machined surfaces using magnetic abrasive finishing,
Machining Science & Technology 8 (1) (2004) 103–118.
direction. Their study focused on the finishing efficiencies and
[4] Debin Wang, Takeo Shinmura, Hitomi Yamaguchi, Study of magnetic
the surface roughness of the work pieces after MFGA. field assisted mechanochemical polishing process for inner surface of
Moreover, recycling times of gel abrasive were also the main Si3N4 ceramic components Finishing characteristics under wet
effects that need to be approved. The results demonstrated that finishing using distilled water, International Journal of Machine Tools
surface roughness of the cylinder part was reduced to 0.1 mm & Manufacture 44 (2004) 1547–1553.
Ra from an initial value of 0.677mm Ra with in 10 min, and [5] Y. Wang, Dejin Hu, Study on the inner surface finishing of tubing by
magnetic abrasive finishing, International Journal of Machine Tools &
surface roughness could decrease to 0.038 mm Ra after 30
Manufacturing 45 (2005) 43–49.
min in MFGA. Surface roughness reduction in MFGA was 3 [6] Xiao Zuoyi. Researching for the unbounded magnetic abrasive
times of surface roughness reduction in MAF using the application in magnetic abrasive finishing, International Technology
unbonded magnetic abrasive as medium. Roughness and Innovation Conference 2006.
[7] A.C.Wang, S.J.Lee. Study the characteristics of magnetic finishing
improvement rate still remained at a high level of 90% when
with gel abrasive, International Journal of Machine Tools &
the same abrasive medium (35g) was used 15 times to finish Manufacture 49 (2009) 1063–1069.
15 work pieces; therefore, their result proved that the gel
abrasive had excellent ability for recycling.
II. CONCLUSIONS
From the above literature it is concluded that using
unbonded magnetic abrasive with polymer gel provides more
satisfactory results than using dry magnetic abrasives in
magnetic abrasive machining of the surfaces of nonferrous
material. Polymer gel is the most important material used in
this study to mix the ferromagnetic particles and the abrasives.
Advantages of using polymer gel along with unbonded
magnetic abrasives are as under:
(a) Polymer gel will bind the abrasive particles as well

as the ferromagnetic particle together and does not
allow the abrasive particles to move away from the
working zone. Hence the wastage of abrasives in
UMA is very much reduced by using polymer gel as
a medium.
591
Sensitivity Analysis of Various Sources of

Renewable Energy
Debojyoti Majumdar 1, Ashish Sen2, Ayush Agarwal3
Department of Electronics & Communication Engineering
Baldev Ram Mirdha Institute of Technology (East), Jaipur. Rajasthan. India.
debojyoti2003@gmail.com
Abstract - Due to fast depletion of non-renewable energy natural gas or petroleum products but these resources are
resources like coal, petroleum and even natural gas the not only getting fast depleted but are also non-green
present decade has seen a shift in the energy dependence of technologies. Thus there has been a shift from the non-
products from conventional energy sources to non-
green technologies to green technologies as a result of
conventional energy sources like solar energy, bio-energy,
which the alternate greener sources of energy are cropping
wind energy, hydroelectric energy, etc. Therefore
management of the available non-renewable energy resources up and are ready to replace the non-green technologies. It
and the renewable energy resources has become very has been found that the amount of electricity produced by
important for the sustainability of human civilization. Thus, nuclear energy is only 3% , while solar counts to 0.5%,
energy management has evolved as a major field of study in geothermal to 0.1% and wind energy to 1.5 % of the total
the recent times. electricity that is generated in India today. It has also been
The present paper presents to you a mathematical model found that the cost of generation of 1KWh of power with
where we have normalized the cost of installation and carbon control technologies ranges from US $89
maintenance of various non-renewable energy plants over a (normalized) for conventional energy sources whereas it is
period of one year and by taking the annual energy output of US $59 for geothermal, US $83 for nuclear, US $81 for
each plant as the other parameter of study we have tried to wind and US $255 for solar energy respectively.
find the use of which non-renewable energy resource would be
optimum using the tools of operation research as it is very III. OBJECTIVE OF RESEARCH
important to know from the point of view of energy The prime objective of research is to find out
management. Then through sensitivity analysis we have tried
mathematically which greener technology and in which
to find the range of values for which our solution remains
proportion should be generated such that the price that is
optimum.
being used for generation of power from conventional
I. INTRODUCTION energy resources is equal to the price of generation of same
Today we have various resources as our energy sources amount of power from greener and costlier technologies.
which are either renewable or non-renewable. The present Modelling the above problem as a simplex problem we
trend is to concentrate more on cleaner, greener, and have
renewable energy sources like solar energy, wind energy,
hydal energy, geothermal energy and nuclear energy. Objective Function:
By the term cleaner and greener technologies we mean (Max) Z = 0.1D1+3D2+1.5D3+0.5D4

those technologies which emit lesser amount of CO2 into
the atmosphere. Before developing any technologies, today
we should first think about the environment and if very
efficient technology does not get blended with the nature
then that particular technology might be at the risk of
becoming obsolete.
Subject to constraints:
D1<59;
D2<83;
II. FINDINGS BY OUR SURVEY TEAM
D3<81;
It has been found by survey of our group that majority of
the power that is generated today comes from coal or D4<255;
592
D1 +D2 +D3 +D4<89 0 X4 255 0 0 0 1
Where, D1,D2, D3 AND D4>=0 0 X5 6 1 0 1 1

Zj - Cj = -0.1 0 -1.5 -0.5
Where,
D1= Geothermal Energy
(Zj-Cj<0) is still less than 0 so we continue in the above
D2= Nuclear Energy
fashion till (Zj-Cj>=0).
D3= Wind Energy
Cj 0.1 3 1.5 0.5
D4 = Solar Energy C.B. B.V. Xb D1 D2 D3 D4
Modelling it so that the inequalities gets removed we have, 0 X1 59 1 0 0 0
Objective Function: 3 D2 83 0 1 0 0
(Max) Z = 0.1D1+3D2+1.5D3+0.5D4 0 X3 75 -1 0 0 -1
0 X4 255 0 0 0 1
Subject to constraints:
1.5 D3 6 1 0 1 1
D1+ X1<=59;
Zj - Cj = 1.4 0 0 1
D2 +X2<=83;
D3+X3<=81;
Here we find (Zj-Cj>=0). Hence this is the last simplex
D4 +X4<=255; table.
D1 +D2 +D3 +D4 +X5<=89 In the last table we find that there are two basic variables
Where, Di AND Xi>=0 where i=1 to 5 which are also present in the objective function (D2,D3).
Now substituting D1,D2,D3,D4 = 0, we get the values of So the value of D2 is 83 and the value of D3 is 6.
basic variables(B.V.) Xi where i=1-5. Therefore, Z= 3*83+ 6*1.5
The first simplex table is given below. = 249 + 9
Cj 0.1 3 1.5 0.5 = 258
C.B. B.V. Xb D1 D2 D3 D4
0 X1 59 1 0 0 0
IV CONCLUSION
0 X2 83 0 1 0 0
From the above calculations we can find that if we increase
0 X3 81 0 0 1 0
the production of energy from nuclear sources from 3% to
0 X4 255 0 0 0 1 83% and wind energy from 1.5% to 6 percent then we can
0 X5 89 1 1 1 1 meet the cost cheap requirements that are currently being
supplied by the conventional sources of energy taking the
Zj - Cj = -0.1 -3 -1.5 -0.5
carbon controls cost into account.
Since (Zj-Cj<0) we carry out to the second simplex table

using the principle of O.R.
Cj 0.1 3 1.5 0.5
C.B. B.V. Xb D1 D2 D3 D4
REFERENCES
0 X1 59 1 0 0 0
[1] C.R.Bhattacharya, Solar power plant cost in India and
3 D2 83 0 1 0 0
Germany, eNREE, 2004.
0 X3 81 0 0 1 0 [2] Ryan Wiser, Mark Bolinger, Annual Report on US Wind
Power Installation, Cost and Performance Trends, May,2006.
593
[3] Enermodal Engineering Limited, An Annual Report on Cost

Reduction Study for Solar Thermal Power Plants, May 5,
1999.
[4] Stan Kaplan, Power Plants: Characteristics and Costs,
November 13,2008.
[5] Sintex Bio-Gas Holders, Wealth from Waste, 2004.
[6] Julianne N. Klara, Cost and Performance Baseline for Fossil
Energy Plants,May,2007.
[7] Trondheim Energy Company, Facts about Trondheim
Energiverk AS (TEV), 2001.
[8] Dr. S.Mali, Sreepta Mohanty, Cost of Solar Power Plant.
[9] Prof.Joginder K.Alag, Economics of Nuclear Power in India,
1996.
[10] Prof.H.A.Taha, Operations Research, 2007.
[11] Prof. J.K.Sharma, Operations Research, 2007.
594
Various Factors Affecting Consumer Behavior for

Organic & Genetically Modified Food
Mani Mala1
Department of Management, Panipat Institute of Engineering & Technology, Panipat (Haryana) India
mani.manu@rediffmail.com
Abstract - People are concerned with the quality of the soil is being enhanced and preserved for future farmers. At a
food they eat more than ever before. Pesticides, time when most of the earth’s resources are being depleted
antibiotics, and hormone injections are frequently added without much concern for future generations, organic foods
to crops and cattle, creating many issues and worries in offers the assurance that farmers are doing their part to be
health minded citizens. Therefore, organic food was environmentally conscious and earth friendly. (Bourn, D.,
developed to ensure that people could trust that the food and Prescott, J. 2002)
they were eating was grown under the most healthful and Many people assume that if a food product is organic then it
natural conditions. Organic food is grown in carefully has used no pesticides at all. This isn't necessarily true,
monitored environments. This paper will study various however the use of natural pesticides is allowed when
factors which affects the behavior of consumer for buying farmers are faced with crop failure. Yet, there are strict
and consuming organic & genetically modified food. restrictions put in place when organic farmers turn to natural
pesticides as a last course of action. An organic farmer
I. INTRODUCTION TO TOPIC focuses more on the prevention of pests then they do on using
People are concerned with the quality of the food they eat pesticides or methods of pest extermination. For example,
more than ever before. Pesticides, antibiotics, and hormone when the soil has been increased to healthy levels, the crops
injections are frequently added to crops and cattle, creating have better natural resilience to pests. They also encourage
many issues and worries in health minded citizens. natural methods of pest control by encouraging insect
Therefore, organic food was developed to ensure that people predators, mating disruption, and planting crops that
could trust that the food they were eating was grown under discourage pest activity.
the most healthful and natural conditions. Organic food isn't Sometimes people feel that organic food is more expensive
so much a term that describes a particular type of food, yet it then conventional store products and are intimidated to
is a description of the processes used to grow and purchase them. However, it is good to know that not all
manufacture food. organic produce is more expensive. Like any other purchase,
Organic food is grown in carefully monitored environments. if you are a comparative shopper, one can find organic
For food to bear the USDA Organic Seal of Approval, or to products within one’s budget. Typically, organic farming
be Certified Organic, means that the growing process was requires more work to pass inspections then other facilities.
monitored and met standards determined by state and federal Also, organic farms do not receive the subsidies as other
laws. This includes inspections of farms, soils, food handling farms do; therefore their cost of operation is greater.
and processing equipment and facilities, and testing water. One of the common benefits proclaimed about organic foods
Foods that are grown organically use very little to no is that they taste better - but there are many other benefits to
artificial ingredients or pesticides. The food is grown, incorporating organic foods into your diet. Besides the
cultivated, and harvested and kept in its purest and most physical benefits to you there are environmental benefits and
natural state. The result is food that is certified to have been benefits to the animals and people who live and work on the
grown without the use of artificial preservatives, ingredients, farms.
hormones, and pesticides. Another important aspect of Organic foods prevent people from ingesting regular amounts
organic food is that in the growing process, great emphasis is of pesticides and insecticides commonly found in commercial
placed upon the conditions of the soil. Techniques and products. Animals are not routinely given antibiotics and
methods that encourage naturally renewable sources and other medication which enters the food supply to humans.
conserve water and soil are implemented. Therefore, not only Some research suggests that this excessive use of chemicals
is the food the best according to quality standards and in food can be linked to increased health problems and
nutritious content (grown without the use of pesticides, interferes with the healthy development of children.
hormones, or artificial means), but one can ensure that the
595
Organic food also protects the planet. Organic farming by price, quality, variety, packaging, and non-seasonal
ensures that bio-diversity remains available in the foods we availability. The consumers' preference of marketplace
eat and the wildlife that live on the farms. Fruits and largely depends on the convenience in purchasing at the
vegetables are naturally available in 100's of varieties. marketplace along with the availability of additional services,
Commercial growing limits the variety of each food available attraction for children, basic amenities and affordability. (Ali
by mass producing only a handful. Many species of birds, et al., 2010).
insects and other animals are affected by the chemicals and Consumer' attitudes towards organic food, in particular
farming conditions used in growing commercial foods. towards the health attribute and towards the environment are
Organic farms grow a mix of crops and promote a balanced the most important factors that explain consumers' decision-
ecosystem including insects that protect crops from pests and making process for organic food products. Moreover, it has
worms and other micro-organisms which fertilize the soil. been found that larger information on the organic food
Organic farming is considered 'sustainable' farming. The market, which drives to a higher consumers' organic food
workers and the animals are not as exposed to dangerous knowledge, is important because it positively influences
toxins or working and living conditions. This enables people consumers' attitudes towards organic food products. Finally,
to continue growing healthy foods for the rest of society consumers who try to follow a healthy diet and balanced life
without reliance on huge machinery and chemicals. The are likely to have more positive attitudes towards organic
animals raised on organic farms are not subject to the terrible food products and towards the environment, inducing a more
living conditions imposed on commercially reared animals likely intention to purchase organic foods. (Magistris &
that often live in exceedingly small spaces without the Gracia, 2008)
freedom to move or interact. These unhealthy conditions lead As the demand for organic foods has grown globally,
to a spreading of illness which is combated with regular disputes have arisen on whether organic foods are more
doses of antibiotics. nutritious, safer, and better for the environment. Too many
On organic farms the animals' needs are given priority. consumers, though, a major issue is whether organic foods
Healthy food, clean living conditions and freedom to behave taste different and, especially if they are being asked to pay a
like animals means healthier animals. When animals are sick premium price, whether they taste better. (Fillion & Araz
they are cared for individually according to their actual 2002)
needs. Organic, sustainable farming protects humans, animals The most commonly expressed motives for purchasing
and the environment. Increasing the demand for organic organic food have become consideration for the environment
products will encourage this form of farming and ensure that and health reasons. Availability and price are the chief factors
the food supply available to our children is a healthy one. which inhibit the purchase of organic food. A profile of
(Hartman Group 2000) actual purchasers of organic produce shows them to be
female aged 30-45, with children and having a higher level of
II. REVIEW OF LITERATURE disposable income. (Davies, et al., 1995)
Traditional food consumption patterns are stronger in the Based on attitude towards GM food, three consumer
south than in the north of Europe. TFC across Europe are segments are identified: the opponents; the proponents; and
typically middle-aged to elderly, health-conscious, the neutrals. Only about 40 per cent of the organic
ethnocentric, food connoisseurs, who are attached to consumers, namely the opponents, reject the use of genetic
familiarity in their food choices and who very much enjoy modification in organic food production. The neutrals are
cooking (Vanhonacker et al., 2010). The negative influence neither against nor in favour of GM food, while the
of the organic production system attribute on the cheese proponents support GM in food production. Besides attitude
consumer preference structure. Therefore, this attribute towards GM food, the proponents differ from the other two
becomes an inadequate differentiation strategy for cheese, segments in terms of beliefs, general attitudes and purchase
while origin is the most adequate differentiation. (Bernabéu, intentions. (Verdurme, et al., 2002)
et al., 2010). Experts also rate the importance of the three The main obstacle seems to be that organic food faces
mentioned attitudes (about conviction about utility of organic problems related to consumers’ acceptability; lack of food
food, reputation of store and certification process-related availability and seasonality make it difficult to establish
information), organic food-specific consumer innovativeness, appropriate retailing outlets; also, higher costs of production
organic food-specific consumer opinion leadership, word of and retailer margins jointly may result in higher prices than
mouth (WOM) (activity), WOM (praise) and affective consumers are willing to pay for organic food attributes.
commitment about the store to be high in the consumers' (Soler, et al., 2002)
purchase process. (Chakrabarti, 2010). The behavioral process of parents with respect to organic
The preferences of the consumers clearly indicate their food: beliefs, with respect to organic food, of parents who
priority for cleanliness/freshness of food products followed buy and do not buy organic food; the positive as well as
596
negative attitudes towards organic food of those who buy and (perceived) behavioural control influence consumption of
do not buy organic food; the impact of those attitudes on food organic food. (Aertsens, et al, 2009)
choice for parents who buy and do not buy organic food; and Organic food to be healthier, tastier and better for the
to model the food choice behavior of parents with respect to environment than conventional food. However, expense and
organic food.(Makatouni, 2002) lack of availability were strong barriers to the purchasing of
Even if organic products are perceived as difficult to find and organic foods. Generally, women were more positive about
expensive, most consumers judge them positively. All organic food than men (e.g. women were more likely to agree
consumers associate organic products with health at different that organic food has more vitamins/minerals than
levels of abstraction and want good, tasty and nourishing conventional food). The personal value factor related to
products, because pleasure and wellbeing are their most nature, environment and equality was the dominant predictor
important values. (Zanoli & Naspetti, 2002) of positive organic food beliefs, followed by sex. (Lea,
Although health and food safety concerns are the main Worsley, 2005)
motives for organic food purchases, ethical concerns,
specifically in relation to standards of animal welfare, play a III. VARIOUS FACTORS AFFECTING THE ATTITUDE
significant influencing role in the decision to purchase OF CONSUMER TOWARDS THE CONSUMPTION OF
organic food. Indeed, ethical considerations seem to motivate GENETICALLY MODIFIED FOOD AND ORGANIC
the purchase of organic food and free-range products and, FOOD
therefore, may be viewed as interrelated. However, such A decade after genetically modified (GM) plants have spread
ethical frameworks are closely related, if not contingent globally, Indians is still engaged in an ongoing debate about
upon, the quality of the product, which includes perceptions the safety of genetic technology applied to foods. Supporters
of higher standards of safety and healthiness. (C. Harper & of this technology state that there are significant benefits
Makatouni, 2002) from biotech crops in productivity, economics, health and
Perceived risks of agro-biotechnology played a dominant role society (James, 2006). Less developed countries have been
in influencing organic food purchase decisions. As the risk deterred from proceeding with this technology, in the belief
perception increased consumers were likely to buy organic that harm might be done to their exports of conventionally
food more often. Although premium prices of organic foods grown food products to developed countries. Consumer
were of concern to many consumers, food safety was the concerns in many countries have focussed on perceptions of
most important consideration when making organic food risk, and have been characterised as: concern for public
purchase decisions. Household income positively influenced safety, moral concerns, and fear of loss of individual life
consumers’ likelihood of buying organic food. Female (Bredahl et al., 1998). Public debate surrounding introduction
respondents were likely to purchase organic foods more often of GM foods illustrates the difficulty which modern societies
than their male counter parts. (Rimal, et al., 2005) have encountered in trying to find the “right” balance for this
Small organic suppliers to develop their relationships with technology. Factors affecting the attitudes towards GM & OF
mainstream retailers by improving their overall competence can be classified into two parts i.e direct & Indirect like
as exchange partners. To create trust and collaboration, the personality dimensions & behavioural & belief factors. Most
actors need to consider the influence of their action not only studies shows that the attitude toward GM is negative
on the adjacent actors, but on the relationships within the whereas for OF is positive.(Bredaul, 2001) it also shows tat
whole organic food chain. (Kottila & Rönni, 2008) females are more negative in comparison to male. And more
Influence of cultural dimensions was partly confirmed and positive for Of as compared to males. Various demographic
that only for individualism and assertiveness, while human factors which affect the consumer behaviour & perception for
orientation and uncertainty avoidance showed no correlation GM & OF are as follows.
to organic food consumption motivation. Croatian consumers 1. Gender:- females are negative for GM & positive for OF
display homogeneous collective awareness, i.e. they almost in comparison to males.
exclusively consider health as prime consumption motive. 2. Intuitive thinkers:-these type of consumers have
(Ivana First et al, 2009) favorable view about the OF as compared to
Organic food consumption decisions can be explained by underscoring self transcendence values.
relating attributes of organic food with more abstract values 3. Eductional background: - natural sciences students are
such as “security”, “hedonism”, “universalism”, more positive for GM foods then others.
“benevolence”, “stimulation”, “self-direction” and 4. Values :- values directly relate with the attitudes of
“conformity”. Appealing to these values can positively consumer towards GM. Those who carry endorsement
influence attitudes towards organic food consumption. for ecological & humanistic self transcendence values
Besides attitude, subjective and personal norm and are directly related to negative view for GM.
597
5. Environmental & health concerns:- these two are the market", British Food Journal, Vol. 104 Iss: 3/4/5,
strong motives for consumer & seem to affect organic pp.214 - 219
food consumption. [7] Laurence Fillion, Stacey Arazi, (2002) "Does organic
6. Quality: - OF has good quality as compared to others food taste better? A claim substantiation approach",
like conventional ones. Nutrition & Food Science, Vol. 32 Iss: 4, pp.153 – 157
7. Price: - price is quite high for OF. Consumer seems to [8] Marinos Tzavaras, Irini Tzimitra-Kalogianni, Michael
consider organic food products of higher value compared Bourlakis, (2010) "Consumer behaviour in the Greek
to the conventional ones. floral market: Comparative insights for the food
8. Availability: - due to insufficient supply of organic food industry", British Food Journal, Vol. 112 Iss: 4, pp.403
it bears negative impression in mind of consumer. – 415
9. Variety :- large variety is not available in the market of [9] Peter Shears, (2010) "Food fraud – a current issue but
organic food therefore it tends to have negative an old problem", British Food Journal, Vol. 112 Iss: 2,
impression in minds of consumer. pp.198 – 213
10. Income: - consumer with higher income have positive [10] Rodolfo Bernabéu, Mónica Díaz, Miguel Olmeda,
attitudes towards OF as compared to low-medium (2010) "Origin vs organic in Manchego cheese: which
income level consumer. is more important?", British Food Journal, Vol. 112
11. Age: - older consumers have more positive attitudes Iss: 8, pp.887 - 901
towards organic food than all other age groups. [11] Somnath Chakrabarti, (2010) "Factors influencing
12. Employment: - public sector employees have more organic food purchase in India – expert survey
preference for organic food as compared to private sector insights", British Food Journal, Vol. 112 Iss: 8, pp.902
employees. – 915
13. Household Size: - family size has a very little role but it [12] Stacey Cahill, Katija Morley, Douglas A. Powell,
does have some. (2010) "Coverage of organic agriculture in North
American newspapers: Media: linking food safety, the
IV. CONCLUSION environment, human health and organic agriculture",
Consumer behavior is affected by large number of factors. British Food Journal, Vol. 112 Iss: 7, pp.710 – 722
When its matter of genetically modified foods or organic [13] Svein Ottar Olsen, Klaus G. Grunert, (2010) "The role
food the demographic factors play a major role like age, of satisfaction, norms and conflict in families' eating
gender, education etc. behaviour", European Journal of Marketing, Vol. 44
Iss: 7/8, pp.1165 – 1181
V. BIBLIOGRAPHY [14] Tiziana de Magistris, Azucena Gracia, (2008) "The
[1] Anne Davies, Albert J. Titterington, Clive Cochrane, decision to buy organic food products in Southern
(1995) "Who buys organic food?: A profile of the Italy", British Food Journal, Vol. 110 Iss: 9, pp.929 –
purchasers of organic food in Northern Ireland", 947
British Food Journal, Vol. 97 Iss: 10, pp.17 - 23
[2] Annelies Verdurme, Xavier Gellynck, Jacques Viaene,
(2002) "Are organic food consumers opposed to GM
food consumers?", British Food Journal, Vol. 104 Iss:
8, pp.610 - 623
[3] Filiep Vanhonacker, Valérie Lengard, Margrethe
Hersleth, Wim Verbeke, (2010) "Profiling European
traditional food consumers", British Food Journal,
Vol. 112 Iss: 8, pp.871 – 886
[4] Francisco Soler, José M. Gil, Mercedes Sánchez,
(2002) "Consumers’ acceptability of organic food in
Spain: Results from an experimental auction market",
British Food Journal, Vol. 104 Iss: 8, pp.670 - 687
[5] Jabir Ali, Sanjeev Kapoor, Janakiraman Moorthy,
(2010) "Buying behaviour of consumers for food
products in an emerging economy", British Food
Journal, Vol. 112 Iss: 2, pp.109 – 124
[6] Johannes Eisenbach, (2002) "Distribution channels for
Greek organic food in the domestic and international
598
A Case Study on the Impact of Heavy Metal

Pollution in Indian Environment and Health
Hazards
Sharma, V.1, Sakhuja , N.2
P.G Department of Industrial Chemistry
Guru Nanak Khalsa College, Yamuna Nagar (Haryana) India
P.G Department of Chemistry ,
M .L.N College, Yamuna Nagar (Haryana ) India
2
nitisaki@hotmail.com
Abstract- Industrialization, urbanization severe toxilogical effect on human health and

,increased vehicular traffic and use of fertilizers aquatic ecosystem .The toxicity of chromium may
and pesticides in agriculture have resulted in cause epigastric pain , nausea, vomiting and
increased contamination of our environment by severe diarrhea .Toxicity of lead may cause severe
heavy metals .India is rapidly expanding its damage to the kidney, nervous system ,
industrial boundaries and this has led to water reproductive system , liver and brain and also
pollution, air pollution and soil pollution due to cause death. Long term intake of cadmium may
increased concentration of heavy metals. The cause kidney diseases, lungs damage and bones
heavy metals found in the environment are lead, becomes fragile and some carcinogenic properties
cadmium, mercury, chromium, zinc, nickel, may develop. Excessive intake of copper may
copper, arsenic, manganese etc.These heavy cause capillary damage, hepatic and renal
metals generally gets deposited in liver , kidneys, damage, blue green diarrheal stools and some
muscles, spleen, skin, bone and soft tissues of abnormalities of kidney function .Nickel toxicity
human beings through food chain and air. Heavy cause embryo toxic effect, allergic reactions and
metals are non-biodegradable and toxic to living contact dermatitis .A number of reports have
organisms at even low concentration and they appeared, which are highlighting environmental
persist in nature for a long period .The human pollution by heavy metals in India. People in India
health outcome of environmental contamination have been exposed to pollutants mainly via air,
by heavy metals, particularly cadmium and water and food .Hence steps have to be taken to
mercury has been amply demonstrated by the well control, reduce or eliminate heavy metal pollution
known Itai-Itai and Minimata episodes in Japan. of the environment .There is an urgent need to
Metallic pollution of the environment from develop safe limits for the Indian Environment or
anthropogenic sources constitutes a major health the limits recommended by the western countries.
hazard of this country. This has led to global
II. INTRODUCTION
concern over long term as well as immediately
imperceptive effects of heavy metals .Some metals Toxic metals are added in aquatic system from
like Mn,Zn,Cu etc present in trace quantities is industrial processes, domestic sewage discharge,
important for the life as these help and regulate street dust , land run off and fossil fuel burning.
many physiological functions of the body .Some Traces of heavy metals such as Hg, Cd, Pb,
metals if present in excess amount can cause As,Co,Mn,Fe and Cr have been identified as harmful
contaminants to aquatic ecosystem and human health
599
.Metal species released into the environment by environment .Industrialization, urbanization

technological activities tend to persist indefinitely increased vehicular traffic and use of fertilizers and
and eventually accumulate through the food chain, pesticides in agriculture have resulted in increased
posing a serious threat to the environment1. contamination of our environment by heavy metals
The toxic effect of heavy metals particularly .Most of heavy metals above trace quantities are
lead and mercury were not unknown to our ancestors harmful to humans , animals and plants3 .Some
.The toxic effects of lead and tin mentioned earlier in metals like Mn, Zn, Cu etc present in trace quantity is
the Samhita and Sutra literature of the pre-christian important for the life as these help and regulate many
era.The properties of zinc (Yarada) are also explained physiological functions of the body .Some metals if
in the same test . Intensive mining operations and present in excess amount can cause severe
processing of minerals to meet the increasing needs toxicological effect on human health and aquatic
of our industrial society have generated problems ecosystem 4-6 .
related to environmental pollution in specific The toxicity of metals 7 depends on the degree
locations all over the world .However, the global of oxidation of a given metal ion together with the
significance and human health impact of heavy forms in which occurs .Unknowingly a number of
metals pollution have become major issues of public diseases are caused due to the consumption of
concern only in the last few decades. vegetables and food grown with the help of untreated
Rapid urbanization and industrialization have industrial effluents as well as due to the consumption
produced huge qualities of solid as well as liquid of polluted water.
waste. Heavy metal elements tends to accumulate in
III. CASE STUDIES
soil and plants in undesirable amounts and
proportions as a results of disposal of solid and A few typical case studies are discussed here
liquid waste on soil. Heavy metal contamination can that are based on the various scientific investigation
affect the health of nutritional value of crops.2 by the various scientists on heavy metal pollution in
The human health outcome of environmental India .
contamination by heavy metals, particularly cadmium Studies conducted by the All India Institute
and mercury has been amply demonstrated by the of Public Health and Hygiene , Calcutta, have
well known Itai-Itai and Minimata episodes in Japan. focused attention on toxic hazards of lead in the work
Sharing the global concern over this issue, the environment .The directorate of factory inspection
department of science and technology Government of and labour safety with its constituent Central Labour
India , in march 1979 , setup a working group to Institutes at Bombay , Calcutta ,Madras and Kanpur
review problems related to heavy metal pollution and has adduced evidence of wide occupational
to consider the feasibility of initiating an All India exposure to lead among ceramic and battery workers
Coordinated project on heavy metal and to chromium among tannery workers 8 . Lead
pollution.Metallic pollution of the environment from contents in domestic pottery , plastic container , water
anthropogenic sources constitutes a major health some beverages and eatables has been reported based
hazard of this century .This has lead to global on random analysis by the Industrial Toxicology
concern over long term as well as immediately Research Centre (ITRC), Lucknow.
imperceptible effects of heavy metals .Among the A few years ago mercury was shown to be
international agencies , the World Health above tolerance limits in water , soil, sediments and
Organization ,International Labour Organization fish collected in Bombay by the Institute of Science
,United Nations Environment Progamme have been ,Bombay .The major source of lead poisoning have
in the fore front in initiating action on monitoring , been in steel and paint industries .National Institute
control and prevention of metal pollution of the of Nutrition ,Hyderabad , after appropriate surveys
600
attributed a cattle disease in Andhra Pradesh to the Chromium (VI) is another heavy metal which
ingestion of lead from water contaminated with an is introduced into the environment through industrial
effluent discharged by lead mineral processing plant discharges from the paint and the pigment, leather
in that area .Lead is a serious cumulative body poison tanning, electroplating, glass, ceramic, photographic,
.Lead is introduced into natural water from a variety textile, dyeing and canning industries. In trace
of sources such as lead smelting . tetraethyl lead amount , chromium is an essential element in the diet
manufacturing plants , mining, plating, ceramic and of some animals .However at higher concentration
glass industries. 9-10 . all compounds of chromium may cause epigastria
Lead poisoning in human causes severe pain , nausea, vomiting and severe diarrhea. The
damage to the kidney , nervous system , reproductive tolerance limit for Cr (VI) for discharge into inland
system . liver , brain and causes sickness or death. 11 surface water is 0.1 mg/l and potable water is 0.05
The permissible limit for lead in drinking water is gm/l .The analysis of 4800 tap samples in U.S.A by
0.05 mg/l .High levels of lead in water have been W.H.O in 1989 showed chromium contents ranging
reported in some places like from 0.4 to 8 gm/l .National and international
Scotland,SwedenU.K,U.S.A. 10% houses in Scotland drinking water standards rejects drinking water
the first drain water contains 300 µg/ml . Values in containing hexavalent chromium concentration more
excess of 2000 µg/ml have been recorded n some than 50 µg/ml. The highest concentration observed
places in the world by WHO. The lead concentrations was from a sample collected in Gujrat,urban in
in water samples in India was determined in Tamil summer (6 µg/ml).
Nadu ,Karnatka, Kerla, AndhraPradesh,Uttar In Kerla and Karnatka the maximum
Pradesh, Haryana, Punjab.Lead was detected in concentration itself around 0.05gm/l.In West Bengal
almost 45% samples in various states .West Bengal and Punjab the highest concentration observed were
,Orissa ,Uttar Pradesh and Bihar have higher value of 1.8 and 2.1 µg/ml respectively. 14-15 .The harmful
lead contents in drinking water .The lead smelters in effects of chromium in man are associated with
Bihar may have a role to play in increased lead hexavalent chromium.Hexavalent chromium at
concentration in drinking water and air in Bihar. 10mg/kg of body height can induce liver
nacrosis ,nephritis and death in man .Chromium has concentrations of nickel observed was from a sample
been proved to be carcinogenic in man and animals , collected from Andhra Pradesh i.e 0.543 µg/ml17 . In
increased risk of lung cancer for workers who are Uttar Pradesh , Bihar ,Gujrat ,Himachal Pradesh
exposed to high levels of chromium. ,Punjab and Karnatka the highest concentrations
Nickel is 24th element in order of natural observed was from 0.1 to 0.4 µg/ml.In all other states
abundance in the earth’s crest .Though nickel is it was less than 0.1 µg/ml.
insoluble, many nickel salts are readily soluble in Nickel induces embryotoxic and nephrotoxic
water and hence water contamination by nickel is effects , allergic reactions and contact dermatitis
common.Levels upto 1mg/l in surface waters are .Nickel alloys and nickel compounds are among the
reported through the levels are generally lower .e.g 5- most common causes of allergic contact dermatitis.It
20 µg/ml 16. More than 70% of the samples analysed may also cause asthma.Nickel also has potential for
had non-detectable levels of nickel in Tamil Nadu human carcinogen.Nickel in the ionic form can
,Kerla, Karnatka and Andhra Pradesh.In Punjab and crossthe cell membranes and get deposited in the
Orissa all the samples had detectable concentrations nucleus and the nucleolous .Nickel might be an
of nickel .In other states like West Bengal 55% of initiator and promoter of cancer18 . Arsenic occurs
water samples show nickel, 60% in Uttar Pradesh , naturally as sulphides in association with sulphides of
78% in Bihar and 85% Haryana have detectable silver , lead , copper nickel, cobalt and iron. The
nickel in various water samples .The maximum largest amount of arsenic in situ used in herbicides
601
and pesticides. It is also used in making laser devices, in making alloys such as brass, white metal ,German
in pharmaceuticals and in glass industries .Many silver and rolled zinc sheets. The carbonates , oxides
arsenic compounds are water soluble Rivers and and sulphides of zinc are sparingly soluble in water
lakes generally contains arsenic less than 0.01 while the highly soluble chlorides and sulphates tends
µg/ml.In the survey conducted by Datta and Kaul19 , to hydrolyze to form zinc hydroxide and zinc
the mean arsenic content of water collected from taps carbonate .Zinc concentration in tap water generally
, wells , hand pumps , irrigation pumps , ponds, vary between 0.01 and 1 μgm/ml 22 .the lowest
canals in and around Chandigarh was found to vary permitted value of zinc in drinking water as given by
from 0.03 to 0.15 µg/ml. EPA and WHO is 5 μgm/ml.
Arsenic in solution are more toxic than Wide variation in the average concentration of
undissolved arsenic .Inorganic arsenic can give acute zinc in public water supplies ranges from 0.002 to as
and chronic side effects which may be either local or high as 0.69 μgm/ml were observed by Zoetman and
systemic. Acute and sub acute may involves Brinkman23 .
respiratory, gastrointestinal , cardiovascular and A survey of zinc carbonates in drinking water
nervous system . Chronic poisoning may cause in different places in India also in ground water in
muscular weakness , loss of appetite , nausea and Nagpur was conducted. The level of zinc in drinking
inflammation of the mucous membrane in the eye , water were found to be within the permissible limit of
nose and lungs. 5 μgm/ml.24. Samples collected from Orissa,
Copper is the most important non-ferrous Rajasthan and Himachal Pradesh had detectable zinc
metal .It is an essential nutrient not only for animals .In Andhra Pradesh , Karnatka, Tamil Nadu and
but also for plants and lower forms of organisms .It Kerla, Haryana and Punjab 35 to 60% of the samples
has varied uses in industries and household had nondetectable levels of zinc. The highest
appliances .It is frequently found in surface water concentration of zinc was observed from a sample
.Copper levels in the drinking water varied from 0.01 collected in Visakhapatnam urban (231 μgm/ml) in
to 0.5 µg/ml .The level recommended as safe is 1 Andhra Pradesh.In Karnatka , TamilNadu ,Kerla,
µg/ml. 20 The copper contents of drinking water in Punjab ,Haryana and Uttar Pradesh the maximum
the Indian states as per the present showed that in concentrations were observed between 5 and 10
Tamil Nadu , Kerla ,Orissa , Andhra Pradesh and μgm/ml25 . Zinc may be considerd as generally non-
Karnatka more than 60% of the samples of drinking toxic .Acute toxicity in humans include vomiting ,
water showed no detectable copper. However, in dehydration, electrolytic imbalance , abdominal pain,
Bihar all samples analysed contained copper in the nausea, dizziness and lack of muscular co-ordination.
detectable range .In 20-45 % of the samples in West Acute renal failure caused by zinc chlorides has been
Bengal , Uttar Pradesh and Haryana copper was not reported.26-27 .
detected.
IV. CONCLUSION
Intake of excessively large doses of copper
leads to severe mucosal irritation and corrosion, Industrialization , urbanization, increased
hepatic and renal damage , and central nervous vehicular traffic and use of fertilizers and pesticides
system irrigation followed by depression 21.Copper in agriculture have resulted in increased
toxicity also include blue green diarrheal stools and contamination of our environment by heavy metals
saliva , acute haemolysis and abnormalities of kidney .Metallic pollution of the environment from
function. anthropogenic sources constitutes a major health
Zinc is one of the most abundant of the hazard of this country. Among the international
essential trace elements in human body .The primary agencies, the World Health Organization .
use of zinc in India is for galvanizing. It is also used International Labour Oraganisation , United Nations
602
Environment Programmes and Food and Agriculture infrastructure for quantitative analysis of
Organisation have been in the forefront in initiating metals.
action on monitoring control and prevention of metal  All India coordinated projects on environmental
pollution of the environment. Trace metals in water level of heavy metals can be carried out
act as cumulative poisons and accumulate in the
V. ACKNOWLEDGEMENT
bodies of living organisms causing chronic diseases
.Metallic contaminants destroys bacteria and hinders The authors wish to express their deepest sense of
purification system of rivers .Metallic contaminants gratitude and sincere thanks to S. Bhupinder Singh
from the industrial wastes get precipitated and settle Jauhar , Chairman and Dr. (Mrs) Verinder Kaur,
down with sewerage sludge .It prevents the further Principal Guru Nanak Khalsa College, Yamunangar
use of water for industrial and domestic purposes.It is for providing necessary facilities and full support for
important to note that there is lack of environmental carrying out these studies.
awareness .Unknowingly innocent people consumes VI. REFERENCES
concentration of heavy metals , which may cause [1] A Les, and R.W Walker, ‘Toxicity and
cancers and other respective diseases in the human Binding of Copper ,Zinc and Cadmium by the
beings. Therefore it is recommended that the various Blue Green Algae’ ,Chrococcus Paris ,Water,
industrial effluents, solid waste and sewerage waste Air and Soil Pollution,23, 129-139(1984).
water should be treated before draining or dispose [2] R.L Bansal,., V.K Nayyar and ,P.N. Takkar,
into water bodies or on land .The authors also suggest ‘Accumulation and Bioactivity of An,Cu,Mn
the government to establish a common waste water and Fe in Soils Polluted with Industrial Waste
treatment plant to remove all the contaminants in the Water .Journal of Indian Society of Soil
waste water in each district of the state .Various cost Science , 40(4), 796-799 (1992).
effective technologies that include the use of [3] S.C. Barman,, G.C Kisku, ,P.R.
microorganisms , biomass and plants (phyto- Salve,D.Misra,,R.kSahu.,,P.WRamtake
remediation) 26-30 can be applied to clean up the soil andS.K. Bhargawa,, Assesment of Induatrial
and water . Jing,Y.etal 31 suggested some recent Effluents andits Impact on Soils and Plants
advances in effect and significance of rhizobacteria in ,Journal of Environmental Biology,22(4),251-
phyto-remediation of heavy metal contaminated soils 256 (2001).
.Saxena32 suggested the use of rock phosphate [4] V. Prashanti, and K. Jeevan Rao,., ‘Impact of
mineral for the abatement of heavy metal pollution. Land Disposal of Industrial Effluents on
In India there is a working group on Properties of Soils of Noor Mohammad Lake
Integrated Environmental Programme on Heavy Bed ‘,Journal of Environmental Biology
Metal Pollution which met four times during its 20(3),271-274 (1999).
tenure, examined different aspects of environmental [5] R.S. Singh and R.P. Singh, ‘Distribution of
pollution by heavy metals in the Indian Environment DTPA extractable Co,Pb,Cr,Cu,Mn and Fe in
, So there was urgent need to study the problem both Soils Profiles Contaminated by Sewerage and
intensively and extensively. The working group Industrial Effluents’ , Journal of Indian
should made the following recommendations. Society of Soil Science,47(3),466-468(1994).
 A coordinated research programme on [6] Lena Q. Ma and G.N.Rao , , ‘Heavy Metals in
environmental levels of heavy metals to be the Environment : Chemical Fractionation of
initiated immediately. Cadmium ,Copper,Nickel and Zinc in
 The coordinated programmes are carried out Contaminated Soil’,Journal of Environment
by laboratories equipped with the basic Quality,26, 259-264 (1997).
603
[7] A. Anderson, ‘The Distribution of Heavy [18] F.W. Sunderman, Jr.’ Potential Toxicity from
Metals in Soil and Soil Material as Influenced Nickel Contamination of Intravenous Fluids
by The Ionic Radius’ , Swedish Journal of Ann.Clin.Lab.Sci.., 13,1-9 (1983).
Agricultural Research ,7,79-83 (1977). [19] D.V. Datta ,M.K. Kaul, ‘Arsenic Content of
[8] Krishna Murti ,C.R , Vishwanathan ,P., Drinking Water in Villages in Northern India ,
‘Health Impact of Environmental Exposure to a Concept of Arsenicosis ,J. Assoc.Phys.India
Heavy Metals‘, an Overview ,Toxic Metals in , 24 1-,(1976).
the Indian Environment ,(7-18)(1991). [20] W.H. Strain, A. Flynn and E.G. Mansour,‘
[9] Subramanian K.S and Coonor J.W, ‘Lead Paper Presented at International Conference
Contamination of Drinking Water’ ,J. on Heavy Metals in the Environment ,Toronto
Environment Sci.Health,Part A., 54,29-33 ,Ontario,Canada,Oct.27-31 (1975).
(1991). [21] J. Walkersmith and J. Biomfield, ‘Wilson’s
[10] Goyer R.A and Chiso;on I J,’Lead in Metallic Disease or Chronic Copper Poisoning ,Arch
Contamination and Human Health ‘,Ed by .Dis Child ., 48, 476 -479(1973).
Lee DHK New York and London ,Academic [22] WHO, Guidelines for Drinking Water
Press., 57(1972). Quality ,Vol-II ,’ Health Criteria and other
[11] Browning E., ‘Toxicity of Industrial Metals supporting information, 84-96., 111-127.,
Worths and Company ,London (1969). 262-276 and 313- 316.World Health
[12] BIS ,’Tolerance Limits for Industrial Organisation, Geneva,(1984).
Effluents Prescribed by Indian Standard [23] B.C.JZoeteman,andF.J.J Brinkman ‘Human
Institution ‘,IS : 2490 (Part I)(1981). Intake of Minerals from Drinking Water in
[13] ASTM ,’Annual Book of ASTM Standards the European Communities’ ,Hardness of
,’American Society for Testing and Material’ Drinking Water and Public Health
(1997). ,Proceedings of the European Scientific
[14] JPH, ‘Heavy Metal Pollution in Peri-Urban Colloquium,Luxemburg (1975), Oxford
Horticulture Brain Storming Session ‘,Society Pergamon Press.
for Promotion of Horticulture ,Indian Institute [24] P.M. Padni and S.P. Pande, ‘Zinc in the
of Horticulture Research ,Banglore (2007). Environment’,J.Indian Water Works Assoc.,
[15] Rao ,K.K C., Nageshwar Rao ,K.,Rao 12(2),123,(1987).
P.L.K.M and Srinivasa Rao, C., ‘Studies on [25] L. Ramos,, I.M. Hernandez and
Groundwater Quality in the Industrial Area in Gonzalaez,M.J.,’Sequential fractionation of
and Around Hyderabad’,AndhraPradesh,India Copper,Lead,Cadmium and Zinc in Soils
(Part II),Pollution Research ,10(2),75- from or Near Donana National Park,’Journal
91(1991). of Environmental Quality ,23,50-57(1994).
[16] NRC-NAS ‘Drinking Water and Health [26] A.S. Prasad and D. Oberleas,, ‘Trace elements
,National Research Council –National in Human Health and Disease ,Vol.1 Zinc and
Academy of Sciences ,Washington D.C ., 306 Copper,New York, Academic
(1977). Press,470,(1976).
[17] Lena Q,Ma and Rao ,G.N ., Heavy Metals in [27] Chanakya ,V., Jeevan Rao,K., ‘Fractionation
the Environment ,Chemical Fractionation of of Metals in Soils of Kettedan Industrial Area
Cadmium, Copper, Nickel and Zinc ,Journal of Hyderabad ‘Jour. Env. Sci. Engg.
of Environmental Quality ,26,259-264 (1997). Vol,51,No.2, 118-126(April 2009).
[28] T.I. Khan,, M. Kala and R. Marwari, ‘Heavy
Metal Analysis in Raphanus Sativus and
604
Environment’ .International Research Journal [31] Y.Jing, Z. He and X.Yang, ‘Role of soil
of Chemistry and Environment, 46-51 (2005). Rhizobacteria in Phytoremedation of Heavy
[29] P.Raju,M.K. Sareetharan ‘Removal of Lead Metal Contaminated Soils ,J. Zhejiang Univ.
(II) from Metal Plating Effluent using Sludge Sci. B,8, 192-207 (2007).
based Activated Carbon ,Envir. Science and [32] S. Saxena and S.F. D’Souza,, ‘Heavy Metal
Engg ,Vol 52 No.1 , 7-10.Jan (2010)., Pollution Abatement Using Rock Phosphate
[30] M.J.S. Yabe, and E.Olivera,., ‘Heavy Metal Mineral ,Environment International,32, 199-
Removal in Industrial Effluents by Sequential 202 (2005).
Adsorbent Treatment ,Advances in
Environmental Research , 7, 263-272 (2003).
605
Study of Photodegradation of PIB Film at

Various Concentration of Tris (α–Thiopiconil
Anilide) Metal (III) Chelates .
S .P. Handa1, A. Singh2, S. L. Vashist3, Manjeet Rani4
1,2,3,4
P.G. Department of chemistry, M.L.N. College
Yamuna Nagar- 135001 ( Haryana ) India
Abstract- The photodegradation of PIB film in doing this is to accelerate the natural proceee of
air at temperature where volatile formation is degradation induce by the UV rays of sun. For this
negligible was studied by the mean of light purpose , a chelate complex with different metals
scattering , chemical actinometric techniques. which is an extremely effective accelerator for the
The degradation is accelerated in the presence degradation of PIB film has been choosen . The
of tris(ά – thiopiconil anilide) metals(III) formation of this chelate complex ie. tris ( ά –
sensitized photo oxidative degradation of PIB thiopiconil anilide )- metal (III ) in matrix of PIB
film, an initial rapid decrease of weight average film is leading to reduce PIB film weight and
molecular mass has been observed by light random main chain scission of the polymer film
scattering measurement The degree of when exposed to 254 nm light at temperature 20˚
degradation , reaction rate, unsaturation and C in air This can also be done by changing the
quantem yield of the chain scission are stongly ratio of complex to polymer . It decrease the
increased by tris(ά – thiopiconil anilide) lifetime from years to days on exposure to UV
metals(III). The plot of rate of change of radiation.
molecular mass and degree of degradation vs.
concentration was linear and confirm the EXPERIMENTAL
random nature of chain scisson of polymer .
The unsaturation produced is proportional to The polymer sample was purified by three
the time of irradiation. precipitation by petroleum ether (40˚- 60˚C) with
methanol. It had weight average molecular weight
Key Words – Effect, Manganese, Cobalt, Iron, of 1.95 * 106 as measured by light scattering
Degradation, Polyisobutylene, Concentration experiment. PIB film was prepared by blending the
polymer with (0.01-0.1%) tris-(α – thiopicolin
INTRODUCTION anilide) metals(III) (TPAM) and pressing using a
pressure of 200kg/cm2 for 5min at 50˚C. All film
The plastics are widely accepted as raw material with and without TPAM were prepared under the
for wide range of articles for domestic and same processing conditions to avoid different
industrial purposes. The environmental benefits of thermal pretreatment of the sample.
plastic in today society are greater than is Tris-(α – thiopicolin anilide) metal(III), (TPAM)
recognized. But the knowledge of their utilization was prepared according to the method described
and disposal is limited. The polymer material used by Bohar and Scholz2.
on large scale are highly resistant to environmental The PIB films were irradiated with a light
attacks. It increase the plastic litter1 problem. For flux of 2.38*10-9 Einstein second-1 cm-2obtained
this reason there has been considerable interest in with monochromatic light of 254 nm for various
the recent year in obtaining procedures for period at 20˚C using a General electric UA-3 Hg-
controlling the out door life time of certain type of lamp in air and nitrogen . The temperature of the
plastic. The most convient and reliable method of system was controlled within +0.2 ˚C .
606
The value of quantem yield, Øcs, of bond present in the polymer chain, k is the rate
polymer chain scission were determined by constant ( Ist order ) for bond fission.
potassium ferrioxalate actinometery3. The one way of degradation reaction is the
The change in weight average molecular measurement of quantem yield ( Øcs ) for the chain
weight (Mw ) and refractive index increment scission process. The quantem yield for chain
(dn/dc ) for PIB film in iso octane were find using scission was calculated6 for the PIB film with or
light scattering photometer and a differential without 0.01 wt% of TPAM, TPAC, TPAF after
refractometer. Zimm4 plot have been used to different time of irradiation at various temperature
estimate Mw as a function of time. and by plotting 1/Pw,t versus irradiation time as
shown in figure
RESULT & DISCUSSION ( 1.10-1.12). The calculation of Øcs is based on
light absorbed by the polymeric film.The Øcs
An analysis of relative change in weight average dependence on the temperature for neat PIB, PIB +
molecular wt. ( Mw ) as describe by Scott has been TPAM, PIB + TPAC and PIB + TPAF system are
shown to provide versatile test for random chain shown in figure (1.13)
scission . A random nature of the bond scission is
necessary when polymer decomposition does not
occur in primery photolysis process . This would .
be expected from well known energy migration by
varios photophysical processes within polymer
PIB + 0.01 w% TPAM
until bond repurture occur at a weak point in 3.0 PIB + 0.03 w% TPAM
structure . The plot and tables show the rapid PIB + 0.05 w% TPAM
decrease in the Mw initially which then slow down PIB + 0.07 w% TPAM
PIB + 0.10 w% TPAM
, suggesting that the initial rapid drop in Mw is due 2.5
the scission of bond at various weak link that may
be distributed along the polymer chain. And the
initial rate at which the bond are broken is not 2.0
5
1 /Pw,t * 10
sustain. The process becomes slower and bond

scission may be random. In order to clarify the
type of bond scission, the rate of decrease in Mw 1.5
with time, dMw/dt , was calculating using the

relation
1.0
dMw/dt = (Mw,o - Mw,t) / t

20 40 60 80 100 120 140 160
t (hour)
Where Mw,o and Mw,t are weight average molecular
weight at irradiation time t and zero respectively.
In order to further strengthen the view, the weight Fig .1.10 Variation of reciprocal of weight average
average chain scission5 “s” defined as in equation degree of polymerization during
254 nm irradiation of PIB film with different
Pw,t /Pw,o = 2 / s concentration of TPAM at 20˚ temperature
Where Pw,o and Pw,t are wt. average degree of

polymerization at time zero and time, t .
For randomly distributed weak links which break
rapidly in the initial stage, degree of degradation,(
α ) is given as α = β + kT . Where β is weak
607
24
PIB+0.02w % TPAC PIB
22
PIB+0.04w % TPAC TPAM
2.6 PIB+0.06w % TPAC 20 TPAC
2.5 PIB+0.08w % TPAC TPAF
18
2.4 PIB+0.10w % TPAC
2.3 16
3
Quantem yield * 10
2.2
14
2.1
2.0 12
1.9
10
1.8
1.7 8
5
1/ Pw,t * 10
1.6
1.5 6
1.4 4
1.3
1.2 2
1.1 0
1.0 -20 0 20 40 60 80 100 120
0.9 0
0.8 Temperature(C )
20 40 60 80 100 120 140 160
t (hour)
Fig. 1.13 Variation of quantem yield (Øcs ) during
Fig .1.11 Variation of reciprocal of weight 254 nm irradiation of PIB film with and without
average degree of polymerization during 0.01% TPA metal chelate as a function of
.254 nm irradiation of PIB film with different temperature
concentration of TPAC at 20˚ temperature
2.6
2.4
PIB + 0.01W% TPAF 2.2

PIB + 0.03W% TPAF
4.0
PIB + 0.05W% TPAF
2.0
PIB + 0.07W% TPAF
3.5 PIB + 0.10W% TPAF
k(g) / k(0)
1.8
3.0
1.6
5
1 / Pw,t *10
2.5 1.4
2.0 1.2
1.0
1.5
0.00 0.02 0.04 0.06 0.08 0.10
conc.(w%) of TPAM
1.0
20 40 60 80 100 120 140 160 Fig. 1.14 Effect of concentration of TPAM on the
t (hour) rate of sensitization of degradation of PIB film
during 254 nm irradiation at 20˚ C
Fig. 1.12 Variation of reciprocal of weight average
degree of polymerization during
254 nm irradiation of PIB film with different
concentration of TPAF at 20˚ temperature
608
by non reactive processes. The larger Øcs value are

2.4
displaced by PIB film which are internally
photosensitized by TPAM. The value of Øcs
2.2 increased with increase in the percentage of
TPAM, TPAC, TPAF incorporated in the matrix of
2.0 PIB film. The effect of concentration (0.01- 0.1 %)
of TPA metal chelates in the photodegradation of
k(g) / k(0)
1.8 PIB were examined .Figure(1.14-1.16 ) give the

variation of degree of sensitization, K(g)/K(o)
1.6
versus concentration of TPAM, TPAC, TPAF in
PIB film at 20˚C. The change in Mw,dMw/dt,
1.4
Pw,t/Pw,o, α and K for PIB film with the metal
1.2
TPA chelate are calculated. TPA metal chelates
accelerated the photooxidative degradation at all
0.02 0.04 0.06 0.08 0.10 the concentration and the effect increase with
conc.(w%) of TPAC increase in concentration . But the chelate of TPAF
show the best performance as the photosensitiser
Fig. 1.15 Effect of concentration of TPAC on the by furnishing the chain initiating free radical.
rate of sensitization of degradation of PIB film
REFERENCES
3.5
[1]. R. Chandra and S.P. Handa Polymer
Photochemistry 3(1983 ) 391-406.
[2]. Bohar. G. and Scholz . E .Z . Anorg .U .
3.0
Allgem . Chem. 299(1939) 281.
[3]. C. A. Parkar and C. G. Hatchard, Proc.
2.5 Roy. Soc., A235, 518(1956).
k(g) / k(0)
[4]. B. H. Zimm, J. Chem. Phys., 16,

2.0
1093(1948)
[5]. E. Montroll and R. Simha, J. Chem. Phys.,
8, 721(1940).
1.5
[6]. B. Ranby and J. F. Rabek,
Photodegradation, Photooxidtion and
1.0 Photosensitisation of polymer, Wiley,
0.00 0.02 0.04 0.06 0.08 0.10
Newyork, p.79, (1973).
conc.(w%) of TPAF
[7]. J. Jortner, J. Polym. Sci., 27, 199(1959).
Fig. 1.16 Effect of concentration of TPAF on the
rate of sensitization of degradation of PIB film
The Øcs value for PIB film with TPAM,TPAC,

TPAF increase with temperature much more than
those for neat PIB film. The low value of Øcs
indicate that most of the light energy is dissipated
609
Digital Image Recognition with Enhanced Tools

Using Matlab
Manoram vats1, Inder jeet2, Anil Garg3, Vikas Sharma4
1,2
M.tech Student, Maharishi Markendeswer University, Mullana
3
Lecturer,Maharishi Markendeswer University, Mullana
4
Assistant Professor, Ganpati Inst. Of Tech & Mgt, Bilaspur
Abstract - Object recognition is one of the major research One picture is more than ten thousand words. Pictures or
topics in the field of computer vision. In robotics, there is images have deeper effect on us than words. An Image may
often a need for a system that can locate certain objects be defined as a two-dimensional function, f(x,y), where x
and y are spatial (plane) coordinates, and the amplitude of f
in the environment - the capability denoted as ‘object at any pair of coordinates (x,y) is called the intensity or grey
recognition’. Feature-based object recognition methods level of the image at that point. When x, y, and the
use information derived from local image patches. When amplitude values of f are all finite, discrete quantities, we
patches overlap object boundaries, however, errors in call the image a digital image. A digital image is composed
both detection and matching will almost certainly occur of a finite number of elements, each of which has a
particular location and value. These elements are referred to
due to inclusion of unwanted background pixels. This is as picture elements, image elements, pels, and pixels. Digital
common in real images, which often contain significant image processing means processing of the digital images by
background clutter, objects which are not heavily digital computers. The digital image processing techniques
textured, or objects which occupy a relatively small serve two main purposes, first improving picture information
portion of the image. In this paper work, object for visual interpretation and the second; processing digital
images for storage, transmission and representation
recognition from background image using wavelet according to machine perception.
transform has been proposed. Here, the input images of
size N×N are considered. The recognition is carried out II. FUNDAMENTAL STEPS IN DIGITAL IMAGE
PROCESSING
by considering nonoverlapping sub-images of different
sizes, depending upon the target images. Each distinct The fundamental steps in the digital image
processing are image acquisition, image enhancement,
sub-image block, taken from the top-left corner of the image restoration, image compression, image segmentation
original image, is decomposed using one- or two-level and object recognition, which are discussed below.
DWT. After decomposition and reconstruction image is
segmented using edge detection . The color information II.1 IMAGE ACQUISITION
helps to obtain the texture information of the target Image acquisition is the first process in digital
image processing. Generally, the image acquisition stage
image while the edge extraction detects the boundary of
involves preprocessing, such as scaling. Image acquisition
the target image. After combining these, the target image basically involves image sensing, acquisition and image
can be correctly segmented and represent. The developed digitization. In Image sensing, one or more sensors are used
algorithm employs a novel technique for recognizing to sense the reflected electromagnetic energy (that may be in
man-made and non-manmade single, two, and any form e.g. visible light, U.V. light, I.R. or X-rays etc.).
An image captured by a sensor is expressed as a continuous
multitargets from space objects, located within a
function f(x,y) of two co-ordinates in the plane. At this stage
boundary by evaluating non overlapping image image is said to be acquired. Image digitization involves two
blocks.The proposed algorithm has been implemented in processes sampling and quantization. First the function f(x,y)
MATLAB 7.0 and various images have been tested. is sampled into a matrix with M rows and N columns. The
Result obtained show that the proposed algorithm values of the coordinates (x,y) now become discrete
quantities. Now the image is quantized which assigns to
extracts maximum part of the image.
each continuous sample an integer value. The continuous
Keywords - Image processing, object, multitargets, color range of the image function f(x,y) is split into L intervals.
information etc. The finer the sampling (i.e., the larger M and N) and
quantization (the larger L) the better the approximation of
I. INTRODUCTION
the continuous image function f(x,y). For a gray-level image,
610
these L discrete levels are typically taken as an integer / n2). In digital image compression, three basic types of data
power of 2 (i.e. L=2k). The number, b, of bits required to redundancies can be identified and exploited. Data
store a digitized image is compression is achieved when one or more of these
b=M*N*k redundancies are reduced or eliminated. These data
redundancies are:
Such an image which can have 2k gray levels is commonly
 coding redundancy
called a “k-bit” image.
 interpixel redundancy
II.2 IMAGE ENHANCEMENT  psychovisual redundancy
Image enhancement is the simplest and most In general, coding redundancy is present when the
appealing area of image processing. Basically it brings out codes assigned to a set of events (such as gray-level values)
the detail that is obscured, or highlights certain features of have not been selected to take full advantage of the
interest in an image. A familiar example of image probabilities of the events. In most of the images, certain
enhancement is when we increase the contrast of an image gray levels are more probable than others (that is, the
because it looks better. It is a subjective area of processing. histograms of most images are not uniform). So in such
cases, instead of assigning equal number of bits to both the
II.3 IMAGE RESTORATION most and least probable values, the more probable gray
Image restoration is a method that aims to levels are assigned fewer bits and thus resulting in the
suppressing image degradation using knowledge about its reduction of coding redundancy.
nature. Degradation of images can have many causes such as In many images, the value of any given pixel can
defects of optical lenses, graininess of the film material, be reasonably predicted from the value of its neighbors, the
relative motion between an object and camera, wrong focus information carried by individual pixels is relatively small.
etc. The objective of image restoration is to reconstruct the Much of the visual contribution of a single pixel to an image
original image from its degraded version. Most image is redundant; it could be guessed on the basis of the values
restoration methods are based on convolution applied of its neighbours. This results in reducing the interpixel
globally to the whole image. Image restoration techniques redundancy.
can be classified into two groups: The brightness of a region, as perceived by the eye,
(i) Deterministic methods, which are applicable to images depends on factors other then simply the light reflected by
with little noise and a known degradation function. The the region. For example, intensity variations in an image can
original image is obtained from the degraded one by a be perceived in an area of constant intensity. Such
transformation inverse to the degradation. phenomenon results from the facts that the eye does not
(ii) Stochastic techniques, which try to find the best respond with equal sensitivity to all visual information.
restoration according to particular Certain information simply has less relative importance than
stochastic criterion, e.g., a least squares method. In some other information in normal visual processing. This
cases the degradation transformation must be estimated first. information is said to be psycho visually redundant. It can be
Restoration attempts to reconstruct or recover an image that eliminated without significantly impairing the quality of
has been degraded by using a priori knowledge of the image perception.
degradation phenomenon. Thus restoration techniques are II.5 IMAGE SEGMENTATION
oriented toward modeling the degradation and applying the
inverse process in order to recover the original image. Image segmentation is one of the most important
steps leading to the analysis of processed image data. Its
II.4 IMAGE COMPRESSION main goal is to divide an image into parts that have a strong
Image compression, as the name implies, deals with correlation with objects or areas of the real world contained
techniques for reducing the storage space required for saving in the image. Two kinds of segmentation are there. First one
an image or, the bandwidth required to transmit it. The is the complete segmentation which results in set of disjoint
underlying process is the removal of redundant data. From a regions uniquely corresponding with objects in the input
mathematical point of view, this amounts to transforming a image. In this cooperation with higher processing levels
2-D pixel array into a satisfactorily uncorrelated data set. which use specific knowledge of the problem domain is
The transformation is applied prior to storage or necessary. The second one is the partial segmentation in
transmission of the image. At some later time, the which regions do not correspond directly with image objects.
compressed image is decompressed to reconstruct the In this, image is divided into separate regions that are
original image or an approximation of it. Data redundancy is homogeneous with respect to a chosen property such as
a central issue in digital image compression. It is a brightness, color, reflectivity, texture, etc. In a complex
mathematically quantifiable entity. If n1 and n2 denote the image, a set of possibly overlapping homogeneous regions
number of information carrying units in two data sets that may result. The partially segmented image must then be
represent the same information, the relative data redundancy subjected to further processing, and the final image
RD of the first data set can be defined as RD = (1- 1/CR) segmentation may be found with the help of higher level
where CR is called as the compression ratio, and is CR= (n1
611
information. Segmentation methods can be divided into II.6.1 Edge detection technique:
three groups according to the dominant features they employ. Classical edge detectors use a pre-defined group of
(i) First is global knowledge about an image or its part; the edge patterns to match each image segments of a fixed size.
knowledge is usually represented by a histogram of 2-D discrete convolutions are used here to find the
image features. correlations between the pre-defined edge patterns and the
(ii) Edge-based segmentations form the second group. sampled image segment.
(iii) Third is the region-based segmentation. ( f * m)( x, y)  i  f (i, j )m( x  i, y  j ),
Many different characteristics used in edge j
detection or region growing are brightness, texture, velocity where f is the image and m is the edge pattern
field etc. Edge-based and region-bases segmentation These patterns are represented as filters, which are
approaches solve a dual problem ... border x region. Each vectors (1-D) or matrices (2-D). From the point of view of
region can be represented by its closed boundary and each functions, filters are discrete operators of directional
closed boundary describes a region. The segmentation derivatives. Instead of finding the local maxima of the
results of these two approaches can therefore be combined in gradient, we set a threshold and consider those points with
a single description structure. gradient above the threshold as edge points. Given the
source image f(x, y), the edge image E(x, y) is given by
II.6 OBJECT RECOGNITION
Object recognition is the technique of detecting the
presence and determining the pose of a set of known objects
E  ( f * s) 2  ( f * t ) 2
in given images. For some applications, the known objects
may be composed of identical components. The relations Where s and t are two filters of different directions.
among these components can be exploited to improve
recognition accuracy. It is area of image processing that (a) Roberts edge detector:
deals with assigning label (e.g. vehicle) to an object based
on its description. One of the most interesting aspects of an
image is that it can be considered to be made up of patterns.
A pattern is essentially an arrangement. It is characterized by
the order of elements of which it is made, rather than by the
intrinsic nature of these elements. Therefore this part of
digital image processing is concerned with the recognition of
individual image regions, which are called as objects or
patterns. Regarding the issue of selecting the features and a The edge patterns are shown
classification scheme for object recognition, past approaches
suggest a trade-off between the complexity of features and
the complexity of the classification scheme. A first group of
methods uses simple generic features in very high
dimensional spaces, usually combined with elaborate
classification schemes. If the features themselves are simple
and not informative, then a large number of features are
required and the classification function must extract the Figure1.1: Edge Pattern of Roberts edge detector
relevant information from the feature distributions. These filters have the shortest support, thus the
In object recognition, first a database related to position of the edges is more accurate. On the other hand,
various objects is prepared. Then, the object shown in an the short support of the filters makes it very vulnerable to
image is matched or compared with the already available noise. The edge pattern of this edge detector makes it
database. The larger the database regarding an object, the especially sensitive to edges with a slope around π/4. Some
better and more quickly the object in the concerned image is computer vision programs use the Roberts edge detector to
recognized. Machine intelligence, scene analysis, computer recognize edges of roads.
vision and finger print recognition are some areas that (b) Prewitt edge detector:
depend on this branch of digital image processing.
II.6 VARIOUS TECHNIQUES FOR OBJECT

RECOGNITION
Object recognition is a subject that has been studied in
computer vision for decades.
1. Edge detection technique
2. Region growing technique
3. Thresholding technique The edge patterns are shown
612
the subimages in the edge space are typical edge patterns

with different directions; the other subimages resemble lines
and blank space.
(e) Canny Edge Detection:
The Canny edge detector arises from the earlier
work of Marr and Hildreth, who were concerned with
Figure 1.2: Edge Patterns of Prewitt edge detector modeling the early stages of human visual perception. In
These filters have longer support. They designing his edge detector he concentrated an ideal step
differentiate in one direction and average in the other edge, represented as a Sign function in one dimension,
direction. So the edge detector is less vulnerable to noise. corrupted by an assumed Gaussian noise process. In practice
However, the position of the edges might be altered due to this is not an exact model but it represents an approximation
the average operation. to the effects of sensor noise, sampling and quantization.
(c) Sobel edge detector: The approach was based strongly on convolution of the
image function with Gaussian operators and their derivatives,
so we shall consider these initially.
Basic idea is to detect at the zero-crossings of the
second directional derivative of the smoothed image in the
direction of the gradient where the gradient magnitude of the
smoothed image being greater than some threshold
The edge patterns are similar to those of the Prewitt depending on image statistics.
edge detector. These filters are similar to the Prewitt edge It seeks out zero-crossings of
detector, but the average operator is more like a Gaussian,
which makes it better for removing some white noise.
(d) Frei-Chen edge detector:  2 (G * I ) / n2  ([G / n] * I ) / n
A 3×3 subimage b of an image f may be thought of as a
vector. For example, n is the direction of the gradient of the smoothed image.
Canny‟s Criteria for good detection
Good detection: low probability of not marking real edge
points, and falsely marking non-edge points.
w
|  G ( x) f ( x)dx |
SNR  w
w
Let V denote the vector space of 3 × 3 subimages. Bv , an
f
2
n0 ( x)dx
orthogonal basis for V, is used for the Frei-Chen method. w
The subspace E of V that is spanned by the subimages v1,
v2, v3 and v4 is called the edge subspace of V. The Frei- f is the filter, G is the edge signal, denominator is the root-
Chen edge detection method bases its determination of edge mean-squared response to noise n(x) only. The goals of the
points on the size of the angle between the subimage b and Canny Operator were stated explicitly.
its projection on the edge subspace. (a) Good Detection: the ability to locate and mark all real
edges.
(b) Good Localization: minimal distance between the
detected edge and real edge.
(c) Clear Response: only one response per edge.
Localization Criterion
Good localization: close to center of the true edge
w
|  G ( x) f ' ( x)dx
1
Localizati on   w
E[ x 0 ]2 n w
f
2,
0 ( x ) dx
Figure 1.3: Edge Pattern of Frei-Chen edge detector w
A measure that increases as localization improves.
613
II.6.2 Region growing technique

Region based approaches, including region growing,
region splitting, region merging and their combination,
attempt to group pixels into homogeneous regions. In the
region growing approach, a seed region is first selected, and
then expanded to include all homogeneous neighbors, and
this process is repeated until all pixels in the image are
classified.
In the region splitting approach, the initial seed Figure 5.1 Original image 1
region is simply the whole image. If the seed region is not
homogeneous, it is usually divided into four square sub-
regions, which become new seed-regions. This process is
repeated until all sub-regions are homogeneous. The region
merging approach is often combined with region growing or
region splitting to merge the similar regions for making a
homogeneous region as large as possible.
II.6.3 Thresholding technique
Threshold techniques are based on the thresholds
which are normally selected from the image histogram. It is
said that all pixels whose values are between two values of
thresholds belong to one region. The fact that the thresholds
are derived from the histogram says that these techniques
don‟t take into account spatial information of the image and
therefore, incur problems to do with noise as well as with Figure 5.1.1 Edge Detection using wavelet decomposition
blurred edges in the Image. Grey Level Thresholding is a Image1
simple region based technique. An object exhibits a uniform
grey level and rest against background of different grey level,
thresholding will assign a value of 0 to all pixels with grey
level less than the threshold level and a value of 255 to all
pixels with a grey level greater than the threshold level.
Thus image is segmented into two disjoint regions, one
corresponding to background and other to object. A
threshold operation may be viewed as a test involving some
function of the grey level at a point, e.g. the average grey
level over some neighborhood and the position of a point in
the image.
Three classes of thresholding are:
(a) Global Thresholding:
The test is dependent only on the grey level of the point. Figure 5.1.2 Processed Image of “Image 1”
(b) Local Thresholding:
The test is dependent on the neighborhood property of the
point and on the grey level of the point.
(c) Dynamic Thresholding:
The test is dependent on the point coordinates, a
neighborhood property of the point and on the grey level of
the point. Figure 5.2 Original image 2
III. RESULTS AND ANALYSIS

The proposed algorithm has been tested on standard
test images. Six 512*512 images „image1‟, „image2‟,
„image3‟, „image4‟, „image5‟, „image6‟ have been used for
testing the proposed algorithm.
614
Figure 5.2.1 Edge Detection using wavelet decomposition

Image 2 Figure 5.5.1 Edge Detection using wavelet decomposition
Image 5
From the images above, it is obvious that for those

images whose background images are blurred can be
segmented with high quality. It is because when the wavelet
coefficients are applied to extract the boundary of the image,
only the partial images with clear boundary would be
extracted. Therefore, by performing the wavelet
decomposition the blurred background images would be
eliminated, and only the clear foreground images would be
left. After getting the approximate boundaries, we want to
get the information of the pixels which reside in the
extracted boundaries. However, the Matlab “edge”
Figure 5.2.2 Processed Image of “Image 2” command has problem full extracting all the boundaries and
making all the boundaries a closure. Therefore, when
performing the Matlab “infill” command, only the image
region whose surrounding boundaries make a closure would
be filled. In order to fix it, the dilation is performed to
connect the disconnected boundaries. After the dilation,
performing “imfill” would fill the image regions more
effectively.
Other than using the existent Matlab code, the
characters of HSI (hue, saturation, and intensity) is also
Figure 5.3 Original image 3 applied to segment the image. Only the information of the
pixels with similar HSI character to the foreground image
would be kept. In order to apply the characters of HSI to
segment the image, partial images of the foreground image
is cut to calculate the average value of the hue, saturation,
and intensity, and then the deviation of the HSI value is set
so create different ranges of the hue, saturation, and intensity.
Afterwards, the HSI value of every pixels of the image is
examined. Only the information of the pixel whose HSI
value falls in the range will stay. Otherwise, its information
will be set to zero. By applying the character of HSI to
image segmentation, we can obtain all the information of the
pixel whose HSI value is similar to that in foreground
Figure 5.3.1 Edge Detection using wavelet decomposition images.
After performing two methods mentioned above,
the approximate color information of pixels and the
information of boundaries are acquired. To combine both of
the information, we get the union of the results from the
above two steps so the result from different methods would
615
be combined. The reason why we get the union of the results Trans. on Pattern Analysis and Machine Intelligence,
instead of the intersection is we only got partial images from vol. 12, no. 1, pp. 55–73, 1990
the two different methods mentioned above. So only by [9] T. Chang and C.-C. J. Kuo, “Texture analysis and
getting the union of them can we get an image that is more classification with tree-structured wavelet transform,”
close to the target image which we want to segment out from IEEE Trans. Image Processing, vol. 2, no. 4, pp. 429–
the entire image. However, getting the union of them won‟t 441, 1993
increase the noise significantly because when we perform [10] M. Unser, “Texture classification and segmentation
the decomposition on the image whose background image is using wavelet frames,” IEEE Trans. Image Processing,
blurred, it eliminates most of the background image and only vol. 4, no. 11,pp. 1549–1560, 1995.
keeps the boundaries with the clear image region. [11] F. Espinal, T. L. Huntsberger, B. D. Jawerth, and T.
The image of the union of results of the two Kubota, “Wavelet-based fractal signature analysis for
methods above contains most of information of the target automatic target recognition,” Optical Engineering, vol.
image and some noise. In order to eliminate the noise, we try 37, no. 1, pp. 166–174, 1998.
to connect the disconnect boundaries by dilating the [12]Automatic Target Detection UsingWavelet
boundaries a few times, and then we intersect the combines TransformEURASIP Journal on Applied Signal
image with the dilated boundaries to eliminate the trivial Processing 2004:17, 2663–2674 c 2004 Hindawi
noise that doesn‟t reside in the target image. The result of Publishing Corporation.
the intersection is the final image. [13] Wavelet tutorial by Robi Polikar: Available at:
www.rice.edu
IV. REFERENCES [14] A Rosenfeld and M Thurston. Edge and curve detection
[1] “An introduction to Wavelets” for visual scene analysis. IEEE Transactions on
http://www.amara.com/IEEEwave/IEEEwavelet.html Computers, pages 562–9, May 1971.
[2] J. Sklansky, “Image segmentation and feature [15] D. Marr and E. Hildreth. Theory of edge detection.
extraction,” IEEE Trans. Systems, Man, and Proceedings of the Royal Society of London. Series B,
Cybernetics, vol. 8, no. 4, pp. 237–247, 1978. Biological Sciences, pages 187–217, February 1980.
[3] O. D. Faugeras and W. K. Pratt, “Decorrelation methods [16] M.Kunt. “Edge detection Review”Proc, Int. Conf.
of texture feature extraction,” IEEE Trans. on Pattern Acous. Speech. Signal Processing,Paris 82.
Analysis and Machine Intelligence, vol. 2, no. 4, pp. [17]T. Peli and D. Mala, A study of edge detection
323–332, 1980. algorithms, Computer Vision Graphics Image Process.,
[4] P. C. Chen and T. Pavlidis, “Segmentation by texture Vol. 20-1. pp. 1-21,September 1982.
using correlation,” IEEE Trans. on Pattern Analysis and [18] R. Lepage and D. Poussart, “Multi-resolution edge
Machine Intelligence, vol. 5, no. 1, pp. 64–69, 1983. detection,” Proc. IJCNN 1992, Baltimore, Vol. 4. pp.
[5] M. Unser, “Local linear transforms for texture 438-443.
measurements,” Signal Processing, vol. 11, no. 1, pp. [19] J Canny. A computational approach to edge detection.
61–79, 1986. IEEE PAMI, pages 679–98, November 1986.
[6] M. Unser and M. Eden, “Multiresolution feature [20] Fredrik Bergholm. Edge focusing. IEEE PAMI,
extraction and selection for texture segmentation,” IEEE 9(6):726–741, 1987.
Trans. on Pattern Analysis and Machine Intelligence, [21]Moshine karrakchou, Wei Li .Optimal ramp edge
vol. 11, no. 7, pp. 717– 728, 1989. detection by orthogonal wavelet transform Signal
[7] A Theory for Multiresolution Signal Decomposition: Processing Laboratory Swiss Federal Institute Of
The Wavelet Representation STEPHANE G. MALLAT Technology , Switzerland.0-7803-0593-0/92 1992 IEEE
0162-8828/89/0700-0674$01 .OO 0 1989 IEEE [22] F. Meyer, “Color image segmentation,” in Proc. Int.
[8] A. Bovik, M. Clark, and W. S. Geisler, “Multichannel Conf.Image Processing,Maastricht, The Netherlands, 1992
texture analysis using localized spatial filters,” IEEE
616
Fourier Transformation of Satellite Image

Ruchi Kawatra1, Apneet Kaur2
1
MTech(IT),, USIT, GGSIP University, Delhi
2
M.Tech(IT), Punjab Technical Universit. Jalandhar
1
ruchirehani@rediffmail.com
2
apneet@yahoo.com
Abstract: This paper includes the study of Remote sensing data, we have been able to extract from the imagery about the target
especially satellite data, when processed through image in order to better understand it, reveal some new information,
processing techniques, play a powerful role in planning and or assist in solving a particular problem.
management of natural resources for their optimum utilization. The sensors mounted on aircraft or satellite platform
The increasing demand for spatial data i.e. latest road/rail
measure the amount of energy reflected from or emitted by the
network, land use /land cover maps, soil conservation maps and
other processed/interpreted maps from satellite images in today’s Earth‟s surface. These sensors scan the ground below and to
context, have given rise to the development of Image Processing either side of the satellite‟s or aircraft platform and, as the
Software’s, meeting the demands for the various applications at platform moves forward, an image of the earth‟s surface is
different level of users. Digital Image Processing is concerned built up. Each scan line of a remotely sensed image is a digital
with the manipulation and analysis of Digital Images with the or numerical record of radiance measurements made at regular
help of computers. It is one of the methods for processing of data interval along the line. A set of consecutive scan lines forms
from satellites. Transformation converts data from spatial image. Image data, since numerical in nature, can be
domain to a two-dimensional frequency using a transformation displayed, enhanced and manipulated through computers.
algorithm. The Fast Fourier Transform (FFT) is a DFT
Aerial photography is the original form of remote sensing
algorithm, which reduces the number of computations from
something on the order of N02 to N0 log N0. IPSNIC is windows and is widely used for topographic mapping, engineering and
based image processing software developed in VC++. It provides environmental studies and exploration for oil and minerals.
user to apply various classifications, filter operations, These successful applications, using only the visible portion
enhancement on remotely sensed satellite image. We are of the electromagnetic spectrum, suggest that valuable
performing FOURIER TRANSFORMATION on satellite images additional information might be obtained by using other
using IPSNIC. wavelength regions.
Aerial photographs are a familiar form of remotely sensed
Keywords – Remote Sensing, GIS, FT, FFT, DFT, image. They differ from the satellite images in two ways: (i)
They are instantaneous records rather than composites of
I. INTRODUCTION separately scanned lines, and (ii) they are analogue in nature
rather than digital. The latter difference implies that the
The major objective of ours is Fourier transformation of photographs cannot be processed by computer unless they are
digital satellite data using IPSNIC modules. The image is converted to digital form by scanning instrument. A
projected and transformed to a geometrically corrected image photograph may also be represented and displayed in a digital
using mathematical projection & Fourier transformation format by subdividing the image into small equal-sized and
equations based on inputs of Ground Control Points. The shaped areas, called picture elements or pixels, and
geometrically corrected digital data is then taken and the pixel representing the brightness of each area with a numeric value
with higher frequency is displayed. Remote Sensing data play or digital number. The photograph can be scanned and
an important role in various application areas i.e. urban subdivided into pixels with each pixel assigned a digital
planning, crop monitoring, watershed management, hazard number representing its relative brightness. The computer
management, rail network, roadways, sanitary, river, contour displays each digital value as different brightness level. These
etc. two ways of representing and displaying remote sensing data,
II. REMOTE SENSING either pictorially or digitally, are interchangeable as they
convey the same information.
Remote Sensing is the science of acquiring information
about the Earth‟s surface without actually being in contact
with it. This is done by sensing and recording reflected or III.GIS (GEOGRAPHIC INFORMATION SYSTEM)
emitted energy and processing, analyzing and applying that
information. Remote Sensing may be broadly defined as the A Geographic Information System is an integration of
collection of information about an object without being in computer hardware and software that can create, manipulate,
physical contact with it. The final element of the remote and analyze a geographically referenced database to produce
sensing process is achieved when we apply the information new maps and tabular data. GIS includes the capabilities of
617
Computer Aided Design (CAD) and DataBase Management

Systems (DBMS), but is more than just a combination of  The frequency of each of the scale components of the
those systems. In a GIS, a relationship between the graphic image
map data and tabular database is maintained so that changes to  The proportion of information associated with each
the map are reflected in the database. GIS allows automatic frequency component
determination of the relationships between maps, and can
create new maps of those relationships.
MATHEMATICAL REPRESENTATION:
GIS has basically two components:
A 2-Dimensional DFT of a 2-Dimensional f (x, y) discrete
(i) Spatial function will be:
(ii) Non Spatial
N-1 N-1
GIS allows us to view, understand, question, interpret, and F (u, v) = (1/N) (∑ ∑ f (x, y) exp [-i 2*∏
visualize data in many ways that reveal relationships, patterns, (u*x+v*y)/N])
and trends in the form of maps, globes, reports, and charts. It x=0 y=0
can manage large collections of natural resources and Where,
environmental data and the complex data sets needed for N x N is the order of 2-Dimensional matrix
urban studies. It can overlay maps to eliminate or include u= 0, 1, 2,..., N-1
areas based on multiple layers of tabular criteria. It can v= 0, 1, 2,…, N-1
automatically generate buffers around features like sensitive
land use types. Any analysis that uses map data can make use Here, we are not using DFT but the advanced algorithm
of GIS. Applications for GIS include resource assessment and called Fast Fourier Transformation. The direct evaluation of
management, habitat assessment, development planning, the DFT involves N complex multiplications and N-1 complex
waste management site analysis, infrastructure and additions for each value of F(n).Since there are N values to be
environmental impact analysis, and urban land records determined, then N2 complex multiplications and N(N-1)
analysis complex additions will be performed. But in case of
application of FFT with Decimation In Time the number of
IV FOURIER TRANSFORMATION complex multiplications is (N/2) log2 N and the total number
of complex additions is Nlog2N.This reduction in addition and
The purpose of Fourier Transform is to break down the
multiplication efforts represent a significant saving in
image into its scale components, which are defined to be
computational efforts as shown in table below:
sinusoidal waves with varying amplitudes, frequencies and
directions. The coordinates of two-dimensional space are TABLE 1
expressed in terms of frequency (cycles per basic interval). SAVING COMPUTATIONAL EFFORTS WITH THE USE OF FFT
The function of Fourier Transform is to convert a single-band
image from its spatial domain representation to the equivalent
frequency-domain representation and vice-versa. N N2 Nlog2N Computational Advantage
The Fourier transform is an operation that transforms one (Direct FT) ( FFT) (N/log2N)
complex-valued function of a real variable into another. In 2 4 2 2.00
such applications as signal processing, the domain of the 4 16 8 2.00
original function is typically time, and is accordingly called 8 64 24 2.67
the time domain. That of the new function is frequency, and so 16 256 64 4.00
the Fourier transform is often called the frequency domain 32 1,024 160 6.40
64 4,096 384 10.67
representation of the original function. It describes which 128 16,384 896 18.29
frequencies are present in the original function. This is 256 65,536 2,048 32.00
analogous to describing a chord of music in terms of the notes 512 262,144 4,608 56.89
being played. In effect, the Fourier transform decomposes a 1024 1,048,576 10,240 102.40
function into oscillatory functions. The term Fourier transform 2048 4,194,304 22,528 186.18
4096 16,777,216 49,152 341.33
refers both to the frequency domain representation of a 8192 67,108,864 106,496 630.15
function, and to the process or formula that "transforms" one
function into the other. The idea underlying the Fourier
Transform is that the grey-scale value forming an image can V TECHNICAL FEASIBILITY
be viewed as a three-dimensional intensity surface, with the
rows and columns defining two axes and the grey-level value Hardware and Software Cost: The whole system is designed
at each pixel giving the third (z) dimension. The Fourier and developed at the site where it can be used so that there is
Transform thus provides details of :- no additional cost for the hardware and software.
618
Knowledge: The use of commercial Image Processing I) Loading of Image: The subsystem is involved with loading
software require a lot of remote sensing and scientific and the image in the PXL format. Image has been provided from
computer related skills, while the customized IPSNIC LISS III and PAN sensors of IRS-1C and stored in a matrix
software will only need the amount of knowledge which the format for manipulation.
particular task requires.
Licensing: The commercial software requires the licensing II) Input Matrix Subsystem: This subsystem deals with the
from the respective commercial companies for loading padding of zero (0) in rows and columns so that the number of
software to multiple machines, which deals in a hell lot of rows is equal to number of columns and the number is integral
money to them, while customized IPSNIC doesn‟t require power of 2.
licensing
III) 1-Dimensional FFT Subsystem: This subsystem performs
VI PRODUCT FEATURES 1_dimensional FFT on each row of the input matrix taking 1
row at a time.
IPSNIC is powerful, innovative and user-friendly image
processing software developed, for interpretation and analysis IV) Transpose Subsystem: Here the output of the previous
of satellite data. The software can be used for processing of subsystem which is in the form of a matrix is transposed so
data from satellite platforms, a direct inter-face has, however, that rows become columns and columns become rows.
been provided for the data from LISS-3 and PAN sensors of
IRS-1C. V) Display Subsystem: The aim is to display the transformed
Its standard features include display and processing of the image to the user. The frequencies of all the pixel values in
satellite data, along with different functions for image analysis final output matrix are calculated and window is divided in 4
which are as following: quadrants. The pixel with highest frequency is displayed at
 Easy user-interface with image window center of the quadrants moving outwards for lower
 Grey scale and color image display frequencies.
 Standard and false color composite display.
 Capable of processing multi images simultaneously A) Algorithm to convert to square matrix:
 Various types of linear and non-linear enhancement
either through menu bar or through control panel. Read Image
 Zoom in facility BEGIN IF
 Zoom out facility
IF number of rows is not equal to number of columns
 Setting out a zoom factor
 Interface for hard copy option THEN COUNT the number of rows and columns and
 Graphical display of histograms for all the bands select the
showing the distribution of frequencies
simultaneously. greater of two (say k)
 Numeric value display of the pixels as percentage PAD zero (0) in rows/columns to make square matrix
reflectance from the ground.
 Low pass or smoothing filters for pre-Processing the of order „k‟.
image mainly or to fill missing scan lines. ELSE
 High-pass filters for delineation of high frequency
component i.e. line, edges and other linear features DO nothing
for various applications. END IF
 Multi – spectral classification for providing a
solution to categorize the image into several END
information classes depending upon the input from
the user. B) Algorithm to apply FT:
 Development of thematic maps.
READ Image Matrix
VII. ALGORITHM
PERFORM 1-Dimensional FFT on each row and store in
The module for performing FFT has been divided in the intermediate array
following subsystems each of which provides identifiable
service and well defined interface with which it communicates TRANSPOSE the intermediate array
with the rest of the system: PERFORM 1-Dimensional FFT on each row of transposed
intermediate array
619
TRANSPOSE the array formulated in last step perform operations on that.

(iii) Give printing support for various image-processing
END
results on an image.
Idle
User Enters
image Name
REFERENCES
In Pixel
Format
Memory Unavailable
[1] Smith E., Al-Yasiri A. and Merabti M., “A Multi-Tiered Classification
Opening
Image
Scheme for Component Retrieval”, Proceedings 24th Euro Micro Conference-
1998, vol. 2, Aug 25-27, 1998, pp. 882 – 889.
Valid [2] Basili V.R., “Software Development: A Paradigm for the Future”,
Input
Proceedings COMPAC‟89, Los Alamitos, Calif.: IEEE CS Press, 1989, pp.
471-485.
Squaring of
Image Matrix
[3] Basili V. R. and Rombach H. D., “The TAME Project: Towards
Improvement-Oriented Software Environments”, IEEE Trans. Software Eng.,
Square Matrix vol. 14, no. 6, June 1988, pp. 758-771.
[4] Boehm B.W. and Ross R., “Theory-W Software Project Management:
Making Size of Matrix
Principles and Examples”, IEEE Trans. Software Eng., vol. 15, no. 7, 1989,
Integral Power of 2 pp. 902.
[5] Careem.M. , Bitner.D. and Silva De.R, "GIS Integration in the Sahana
Valid Digitised
Matrix Disaster Management System" paper presented at ISCRAM, under the
Applying
Geographical Information Science for Crisis Management session, Delft,
FT Netherlands, 2006.
[7] Folger Peter.,”Geospatial Information and Geographic Information
Command
Accepted
Systems (GIS): Current Issues and Future Challenges” Specialist in Energy
and Natural Resources Policy,June 8, 2009
New Window Waiting Memory Unavailable
[8] Ramachandra.I.V.and Aithal.H.Bharath.,”Landslide Susceptible Locations
For Diasplay in Western Ghats: Prediction through Open Modeller” ISRO-IISc Space
Technology Cell, Indian Institute of Science, Bangalore, 2010
Valid
Response
[9] Bradleya.G.S., Greenb.R S. and Stowc D.C., “Fourier analysis of low-
resolution satellite images of cloud “New Zealand Journal of Geology and
Geophysics, Palmerston North, New Zealand .Volume 34, Issue 4 December
Display FT
1991 , pages 549 – 553.
[10] Singh Yogesh, “Software Engineering”. New Age International
Publishers.
[11] Gonzalez C.Rafael and Woods E. Richard,”Digital Image Processing”
[12] Nithya S. Evany and Prasanna P. Rajesh," An Integrated Approach with
GIS and Remote Sensing Technique for Landslide Hazard Zonation" publish
Internaltional Journal of Geomatics and Geosciences lume 1, No 1,
2010,Tiruchirappalli
[13] Taub & Schiling, “Electronic Communication System” , Pearson
Education.
Fig.1 Flowchart for computing Fourier transformation
VIII. CONCLUSION
IPSNIC has been performing various image processing

operations on images obtained from various satellites by
remote sensing for various geological and GIS studies. The
new addition has been done in IPSNIC to perform Fast
Fourier Transformation on images, which helps in design of
filters for image enhancement and data compaction
techniques.
Although great variety of image processing operations has
been included in IPSNIC but many more are still left. And
also many new features are still to be included to increase its
utility. So the following add on features are recommended in
the IPSNIC in coming time:
(i) Support for various other image files formats.
(ii) Facilities for user to load selected channels of image and
620
Doping of Polyaniline With Functionalized Mwnts

And Their Effects on Electrical Conductivities
K.C. Yadav 1, T.K. Gupta2, Chhotey Lal3
Department of Mechanical Engineering, Gurgaon Inst. of Tech. and Management, Gurgaon
Carbon Technology Unit, National Physical Laboratory, Dr. K.S. Krishnan Road, New Delhi-110012-India,
kcyadav26@gmail.com
tejendra.amu@gmail.com
Abstract - This study represents preparation of Carbon Nanotube I. INTRODUCTION

Polyaniline Composites via dispersing of MWNTs and Carbon Nanotubes were discovered by S.Iijima et al. [1]
Polyaniline in toluene solvent by powder methodology in his Arc-discharge experiment. Carbon Nanotubes (CNTs)
techniques. The percentage fractions of CNTs in the composites
have become leading material for tremendous strategic
are 0, 5, 7, 10, 12 by weight. The uniform Dispersion of Carbon
applications based on its unique structure, surface and bulk
Nanotubes with PANI by doping process has been carried out.
properties, due to its chemical stability, electrical
The adhesion, alignment and the effect of composite nature have
been studied by systematic characterization techniques
conductivity, high aspect ratio, high mechanical strength and
employing Scanning Electron Microscope (SEM) and thermal Young’s modulus [2, 3]. Carbon Nanotubes have potential
behavior (TGA). The thermal stability effect and functional applications in nanoelectronics [4, 5] and CNT based
groups were studied by TGA and FTIR respectively. The composites [6, 7]. Conducting polymers have found different
functional group on CNTs were attached by chemical method, applications in energy storage devices including super
which were present in the in the composites with Polyaniline. The capacitors and batteries [8-10], electrochromic devices [11],
Functionalization of nanotubes is the way to help them to make
sensors [12] etc. PANI was discovered in 1934, which is one
strong bonds with the polymers. Electrical conductivities of the
of the first intrinsic conducting polymers that is used in
composites were determined by Four-Probe Method, which
various applications. It is made by the polymerization of
shows that the conductivities of PANI composite continuously
increase with increasing the fraction of MWNTs. The Polyaniline
aniline monomers by the oxidation of aniline monomers. It is
has effectively surface attachment and influenced binding special as compared to other polymers due to its high
properties of the composite, which have been observed on chemical and thermal stability under normal conditions, easy
different types of Nanotubes precursor materials, prepared by process of polymerization and low cost. The conductivity of
different roots of synthesis. The CNTs have been synthesized at PANI based mixtures are between the range of 10-9 Scm-1 and
National Physical Laboratory (NPL), New Delhi by Chemical 10 Scm-1. It is green in color and redox active material. PANI
Vapor Deposition (CVD) from the organic substrates as well as
has a potential use in making CNT-PANI Composites due to
arc discharge process CNTs were treated with HNO3 to
its good processability, environmental stability, and reversible
functionalize them. The Polyaniline matrix is suitable for CNTs
control of conductivity both by protonation and charge-
addition & the composites may be useful for various applications.
transfer doping [13, 14]. PANI is used for making CNT based
Keywords: Carbon Nanotubes, Polyaniline, Chemical Treatment, composites to achieve its excellent properties.
Electrical Conductivity. The MWNTs have been synthesized by catalytic chemical
vapor deposition (CVD) at Carbon Technology Unit, National
Physical Laboratory, New Delhi, India by taking toluene as a
621
carbon source & ferrocene as a catalyst. The solution of these The carbon nanotubes remain in the bundles in the
mixtures is injected by uniform flow rate of 0.1 ml/min in to polymer matrix due to the weak van der Waals attraction
0C
the reactor furnance at 750 and 200 torr pressure of Ar gas. between the tubes themselves; keeping in view these tubes
Composite material is the system consisting of a were dispersed into the ultasonication bath uniformly
mixture of two or more microphases of different composition. thoroughly in the matrix without reducing their aspect ratio
There are some advantages of composite materials over the To mix these all mixtures individually and
bulk material which we are using like matrix, polymers and dissolved in 60ml toluene. Kept for 6 hours in ultrasonication
ceramics are high specific strength, low specific gravity, high and then filter them with 0.2µm pore size filter paper and
stiffness, better toughness and easily fabricated. The grinding them in pestle and mortar at least for 45 minutes to
conducting properties of polymer based composites increase bind completely. Dry these all mixtures in microwave oven at
by doping of high conducting materials in the polymer matrix. 500C for 24 hours to remove all the water contents.
PREPARATION OF COMPOSITES
II. EXPERIMENTAL
The composites of 2mm thickness, 2mm width and
MWNTs have been synthesized by catalytic chemical
5cm length were prepared. The die and punch were used for
vapor deposition (CCVD) method at constant temperature
giving the shape (length, width & thickness) of composites by
7500C, by taking 32 ml toluene as carbon source material and
pressing the material with press machine under molten
2.8 gm ferrocene as the iron catalyst source material. The
condition of PANI. Clean the die with acetone and filled it
reactant materials were uniformly dispersed into the solution
with different mixtures of CNT+PANI. The mixture in die
form by sonicator, and then the precursor material was
with press machine was pressed by applying the pressure of 2
injected in to the quartz reactor of 42mm diameter at flow rate
tonnes at its moulding temperature of 1370C and remains in
of 0.1 ml/min. The carbon nanotubes, fullerenes and other
the press till its melting temperature of 245 0C.
catalyst impurities were deposited on wall of the quartz
reactor in the carbon soot form.
III. RESULTS AND DISCUSSIONS
Techniques used for the characterization of these
PURIFICATION OF CARBON NANOTUBES
composites:
It is essential to remove the contaminants from
1. 1. Thermo gravimetric analysis (TGA)
carbonaceous soot and there are many purification methods.
2. 2. FT-RAMAN
In the present studies CNTs have been purified by acidic
3. 3. Scanning Electronic Microscope (SEM)
treatment taking 1N-HNO3 [15] followed by the washing with
4. 4. Electrical Conductivity Measurement
distilled water and dried at 1000C in electric oven. The
5. 5. X-Ray Diffraction (XRD)
purified material was further heat treated for air oxidation at
3500C to remove amorphous carbons.
1. THERMO GRAVIMETRIC ANALYSIS (TGA)
TGA was done in airflow at the heating rate of 100C/min
FABRICATION OF CNT COMPOSITES WITH PANI
with Mettler Toledo, TGA/SDTA 851e Thermal Analysis
In the composite CNTs and PANI were mixed in the
System up to a maximum temperature of 1000 0C. The
appropriate ratio by taking different %age of CNTs i.e. 5, 7,
improvement in the stability of PANI with increasing the
10 and 12 by wt. and keeping fix amount of PANI.
fraction of CNTs in the composites was observed. TGA also
DISPERSION OF NANOTUBES WITH POLYMERS
622
gave the information that other forms of carbon were present

or not. The decomposition of PANI starts above 300 0C and
the decomposition of CNT starts at 650 0C & completely
decomposed above 7500C. TGA graph shows that the thermal
stability of PANI in the composite is found better than neat
PANI.
Fig.SEM image of Composite with 10 % CNT in PANI
3. ELECTRICAL CONDUCTIVITIES
Electrical Conductivities at room temperature were
measured by Programmable DC voltage/current detector (four
Fig. 1 TGA curves of MWNT/PANI Composites for 5, 7,
probe method). Electrical conductivities of the composites
10, and 12 Wt. % of CNTs.
increase with increasing the fraction of CNTs Fig. (10) and
highest electrical conductivity 18.116 Scm-1 is found for 60%
2. SCANNING ELECTRON MICROSCOPE (SEM)
by weight of CNTs in the Composite. Conductivity of Pure
SEM micrograph have been taken by LEO S-440 PC
PANI is found to be 0.435 Scm-1.
Based Digital SEM having 3.5.nm SEI Mode, 5.5 nm BEI
Mode and accelerating voltage is variable 300V-40kV in steps
of 10 Volts. SEM shows uniform adhesion of CNT with PANI
(Shown in fig. 3, 4, 5, 6, 7, 8 and 9). The coated CNT become
thicker as the amount of deposited PANI increases.
Uniformity increases with increasing the fraction of CNTs in
PANI. This shows the successful fabrication of CNT-PANI
composites with varying the fraction of CNTs.
Fig.4 Conductivity graph of Composites with varying % of

MWNT/PANI
Fig.37: SEM image of Composite with 5% CNT in PANI
IV. CONCLUSION
623
The uniform CNTs were prepared by CVD process and [7] Wong EW, Sheehan PE, Lieber CM. Nanobeam
their composites were successfully prepared from the varying mechanics: elasticity, strength, and toughness of nanorods and
proportion of CNTs with PANI. nanotubes. Science 1997;277:1971–5.
The RAMAN observation shows that the CNT peak is[8 [8] A. Mohammadi, O. Inganas, I. Lundstrom, J. Electrochem.
still in the composite and SEM studies enable the effective Soc. 133 (1986) 947.
adhesion of CNTs in PANI. [9 [9] P. Novak, K. Muller, K.S.V. Santhanam, O. Haas, Chem.
The electrical conductivity of the CNT composites with Rev. 97 (1997) 207.
PANI increases with increasing the amount of CNTs (up to[1 [10] T. Osaka, K. Naoi, S. Ogano, J. Electrochem. Soc. 185
60%). (1988) 1071.
REFERENCES [1 [11] H. Yashima, M. Kobayashi, K.B. Lee, D. Chung, A.J.
[1] S.Iijima, Nature 1991, 354, 56. Heeger, F. Wudl, J. Electrochem. Soc. 134 (1987) 46.
[2] S.S. Wong, A.T. Woolley, E. Joselevich, C.L. Cheung,[1 [12] P.N. Bartlett, R.G. Whitaker, J. Electroanal. Chem. 224
C.M. Lieber, J. Am. Chem. Soc. 120 (1998) 8557. (1987) 27.
[3] S.S. Wong, J.D. Harper, P.T. Lansbury, C.M. Lieber, J.[1 [13] Skotheim TA, Elsenbaumer RL, Reynolds JR. Handbook
Am. Chem. Soc. 120 (1998) 603. of conducting polymers. New York: Marcel Dekker; 1997.
[4] Frank S, Poncharal P, Wang ZL, de Heer WA. Carbon[1 [14] Premamoy G, Samir KS, Amit C. Characterization of poly
nanotubes quantum resistors. Science 1998;280:1744–6. (vinyl pyrrolidone) modified polyaniline prepared in stable
[5] Tans SJ, Verschueren ARM, Dekker C. Room-temperature aqueous medium. Eur Polym J 1999; 35:699–710.
transistor based on a single carbon nanotube. Nature[1 [15] A.G. Rinzler, J. Liu, H. Dai, C.B. Huffman, F.J.
1998;393: 49–52. Rodriguez-Macias, P.J. Boul, Appl. Phys. A 67 (1998) 29.
[6] Ajayan PM, Stephan O, Colliex C, Trauth D. Aligned
carbon nanotube arrays formed by cutting a polymer resin-
nanotube composite. Science 1994;265:1212–4.
624
An Insight into Motions Controlled by

DTMF Technique
Gaurav Yadav1, Nidhi Sharma2, Priya Sehrawat3 and Mrinal Verma4
, CSE/08/418, CSE/08/427, CSE/08/433, ECE/07/121,
1,2,3,4
Shri Balwant Institute of Technology, Sonepat-Meerut Road, Pallari, Sonepat-131 001, MDU
cse08418.sbit@gmail.com
ece07121.sbit@gmail.com
Abstract— Man has invented many machines and in almost all I. INTRODUCTION
the machines, ultimately motions have been controlled by in-situ
or through remote techniques. In this direction, the use of DTMF Being able to achieve reliable communication is an important
(Dual Tone Multiple Frequency) technique available in a mobile open area of research to Robotics as well as other
or cell phone is becoming an interesting topic, as it offers many technological areas. As interest in robotics continues to grow,
convenient solutions for controlling the various motors both in Robots are increasingly being integrated in everyday life. The
forward and reverse directions. In fact, once a motor gets results of this integration are end-users possessing less and
controlled, its motion can be translated in many dimensions.
less technical knowledge of the technology. Currently, the
The Cell Phone Application group in the Incubation Cell at the
SBIT has utilized two cell phones in controlling three motors. In primary mode for robot communication uses RF
actual situation, DTMF signals have been utilized to control (radiofrequency). RF is an obvious choice for communication
three motors mounted in a robot developed at the SBIT. In this since it allows more information to be transferred at smaller
robot, two motors control the movement of the robot, while the distance. The overall goal of the project is to control robot
third one is utilized to give a feedback on the commands given to over a long distance using DTMF technology efficiently.
the robot through a video camera, which shows the position of
the robot w.r.t. the environment. In other words, the video Today as the mobile phones are become very essential for
camera can be located at a desired position. everyone and has a vital use so to think about a mobile phone
In DTMF technique, there are two mobiles, one mounted on the operated robot is an innovative idea. We can operate our robot
robot and another one is at the control end. At the control end, if from any distant or remote area. It is a wireless robot but
any button on the cell phone is pressed, it generates a separate
instead of using a separate wireless module (transmitter and
dual tone through DTMF codes, which are utilized in controlling
various motions. receiver) we are using the cell phones for this purpose. This
This configuration is just an academic demonstration of the robot has advantages over simple wireless bot as it overcomes
motion controls through DTMF technique and in terms of its the limitations of wireless like limited range, frequency
applications; it is going to have wider acceptability in future. interference etc. Mobile operated bot is having a wide range
The details of the use of DTMF technique shall be demonstrated (service provider range), less fear of interference as every call
as well presented in details during the Conference. is having a unique frequency and moreover it has more control
We present controlling of a Robot using DTMF technique and keys (12 keys).The principle used for mobile controlled robot
camera mounted over it.The robot is controlled by a mobile is the decoding of the DTMF tone. DTMF tone stands for
phone that makes call to the other Mobile phone attached to the
dual-tone multi-frequency tone. During any call if a button is
robot. In the course of the call, if any buttonis pressed, tone
corresponding to the button pressed is heard at the other End of pressed, a tone corresponding to that button is generated and
the call. This tone is called dual tone multi frequency tone heard at the other end of the call. This tone is basically known
(DTMF).Using DTMF code; direction of motion of the robot can as DTMF tone and these tones are standard one, fixed by
be controlled by Mobile phone. Robot has a RF camera that IEEE, ISO, EIA, ITU etc. Page Layout
transmits an actual video at the operator’s monitor. An easy way to comply with the conference paper
formatting requirements is to use this document as a template
Keywords— Mobile phones, DTMF decoder, controller, RF and simply type your text into it.
camera, Laptop/PCmonitor.
625
II. DESCRIPTION
The transmitter side is placed in the area which is to be
supervised. The receiver section is placed in the operator side
which receives the video from the corresponding area.
Fig. 3 working of robot (Flow Chart)
A. Working:
The mobile operated robot is having basically five main
phases:
1. Make a call to mobile on robot.

Fig. 1 Flow chart description
2. Sending the signal generated by DTMF encoder in
transmitter.
III. DTMF TONE
3. Receiving the signal by receiver.
The DTMF technique outputs distinct representation of 16 4. Decode the signal with HT9170 decoder IC.
common alphanumeric characters (0-9, A-D, *, #) on the
telephone. The lowest frequency used is 697Hz and the 5. Process the decoded signal with on board processor
highest frequency used is 1633Hz, as shown in Table 1.The ATmega16.
DTMF keypad is arranged such that each row will have its
own unique tone frequency and also each column will have its Firstly make a call from the remote phone to the phone
own unique tone frequency. Above is are presentation of the attached to the robot and connect the receiving mobile phone
typical DTMF keypad and the associated row/column with headset in auto answer mode. As the call is received, the
frequencies. By pressing a key, for example 5, will generate a
dual tone consisting of770 Hz for the low group and 1336 Hz connection is established between two. Now if you press a
for the high group. button then the DTMF tone generates a signal by adding the
frequency corresponding to that button and sends to the
receiver. Receiver detects it and sends it to HT9170 decoder
IC which decodes the DTMF tone and fed the decoded signal
to the microcontroller ATmega16 i.e. on board processor.
According to the program in the microcontroller the
robot starts moving.
VP and VN are the dual i/p of the op-amp; GS is the output of
op-amp. When input signals given at pin1 and pin2 found to
be effective then DV (pin15) becomes high, the correct 4- bit
code of tone is transferred to the output pins D0-D3. The
Fig. 2 DTMF frequency chart
decoded digital data is then negated using 4 NOR gates of
7404 HEX INVERTER. This inverted input will be given to
Port A of microcontroller. The microcontroller is programmed
to give output at Port D, to control the motor driver. As the
microcontroller is not able to drive the motor so a motor
driver IC L293D is used for this purpose.
626
Fig. 6 Motor driving circuit with IC(L293D)
V. RF CAMERA
Fig. 4 DTMF data output table RF camera consists of a 2.4GHz Audio/Video wireless RF
Transmitter.
The most popular 2.4GHz ISM band is used and it is designed
with high reliability. Airwave RF module is compliance with
the criteria of FCC and R&TTE which can transmit a wide
band audio & video signals up to 10 meters in an open area.
RFcamera is of compact size and it consumes a low power.
RF camera is composed of a highly efficient FM-FM
modulation/demodulation scheme. No external audio circuits
needed. The number of Channels selected is four and default
value is ch4 (not enable). Other channels can be selected by
applying low to enable.
Fig. 5 The entire schematic of the circuit
IV. MOTOR DRIVER CIRCUIT Fig. 7 RF camera used

L293D is a dual H-Bridge motor driver. So with one IC, two
DC motors can be interfaced which can be controlled in both
clockwise and counter clockwise directions and its direction VI. RF TRANSMITTER
of motion can also be fixed. The four I/O’s can be used to RF transmitter transmits video and sound to the RF receiver
connect upto four DC motors. L293D has output current of which is connected to the TV located anywhere (up to 100 ft.
600mA and peak output current of1.2A per channel. Moreover away).The RF transmitter consists of a wireless2.4 GHz
for the protection of the circuit from back EMF, output diodes technology which is combined with a wireless power source
are included within the IC. The output supply (VCC2) has a that produces a video without any delay.
wide range from4.5V to 36V, which has made L293D a best
choice for DC motor driver. The name "HıBridge" is derived
from the actual shape of the switching circuit which controls
the motion of the motor. It is also known as "Full Bridge”. By
using two motors the robot can be moved in any direction.
This steering mechanism of the robot is called differential
drive.
627
VIII. CONCLUSIONS
In this robot we are able to control the motions of robot by a

Mobile. There are two mobiles that we have used in this robot.
One mobile will be placed along the robot and other mobile
will be used to call the previous Mobile and to send the
DTMF Tones. These Multi tones will help us to control the
motions of a Robot.
ACKNOWLEDGMENT
We would like to acknowledge Dr. H.N.Dutta for his valuable
technical suggestions and constant encouragement, without
Fig. 8 RF camera transmitter used which this project would never come into existence. I deeply
express my heartful thanks to the Mr. Peeyosh Kumar and Mr.
Pradeep Kumar Sharma for getting the project well in time.
VII. RF RECEIVER
REFERENCES
The RF Video Receiver works with Wireless Cameras. The
[1] AVR Microcontroller Book by Robosapiens India.
Camera converts video into wireless radio frequency (RF)
signals and transmits them to the Video Receiver which is [2] www.fourshareshared.com
connected to a TV anywhere (up to 30 ft. away from the
Camera). The Video Receiver converts the signals back to [3] Software Fourshareddesktop 3.2 version
video signals, which are fed through a cable to our TV's Video
input jack. [4] www.google.com
[5] http://en.wikipedia.org/wiki/robotics-#control
[6] http://en.wikipedia.org/wiki/robotics-#robotresearch
[7] http://en.wikipedia.org/wiki/robotics#powersource
[8] http://en.wikipedia.org/wiki/robotics#structure
[9] www.robosapiensindia.coms
[10] www.webopedia.com
[11] www.google.com
[12] www.yahooanswer.com
Fig. 9 RF camera receiver used
Fig. 10 RF camera receiver connector (Easy cap TV card)
628
Impulse Noise Reduction using Noise Adaptive

Fuzzy Switching Median Filter
Harish Kumar Bansal1, Er.Geeta Kaushik2
1
M.Tech (Student) M.M.E.C, Mullana
2
Lecturer M.M.E.C, Mullana
Abstract - This is a two-stage noise adaptive fuzzy behavior will speed up the filtering process at the same time
switching median (NAFSM) filter for salt-and-pepper preserving image details by selecting only “noise pixels” for
noise detection and removal. Initially, the detection stage processing. In addition, the resorted fuzzy reasoning deals
will utilize the histogram of the corrupted image to with the uncertainty presence in the local information and
identify noise pixels. These detected “noise pixels” will helps to produce an accurate correction term when restoring
then be subjected to the second stage of the filtering detected “noise pixels”.
action, while “noise-free pixels” are retained and left
unprocessed. Then, the NAFSM filtering mechanism II. NAFSM FILTER METHODOLOGY
employs fuzzy reasoning to handle uncertainty present in NAFSM: Noise Adaptive Fuzzy Switching Median Filter
the extracted local information as introduced by noise. NAFSM filter is a recursive double-stage filter, where
Simulation results indicate that the NAFSM is able to initially it will perform the salt-and-pepper noise intensities
outperform some of the salt-and-pepper noise filters detection before identifying the locations of possible noise
existing in literature. pixels. When a “noise pixel” is detected, it is subjected to the
Keywords - Fuzzy reasoning, histogram, noise adaptive next filtering stage. Otherwise, when a pixel is classified as
fuzzy switching median filter, salt-and-pepper noise. “noise-free,” it will be retained and the filtering action is
spared to avoid altering any fine details and textures that are
I. INTRODUCTION contained in the original image.
A new type of salt-and-pepper noise filter called the noise A. Detection Stage:
adaptive fuzzy switching median (NAFSM) filter. The The proposed NAFSM filter will utilize the noisy image
NAFSM filter is a hybrid between the simple adaptive histogram as to estimate the two salt-and-pepper noise
median filter and the fuzzy switching median filter. The intensities. Based on the assumption that an image corrupted
adaptive behavior enables the NAFSM filter to expand the with salt-and-pepper noise will produce two peaks at the
size of its filtering window according to the local noise noisy image histogram , the detection stage begins by
density, making it possible to filter high-density of salt-and- searching for these two peak intensities. However, this
pepper noise. Meanwhile, the inherited switching median assumption does not always hold true, especially when an
behavior will speed up the filtering process at the same time image is corrupted with extremely low-density of salt-and-
preserving image details by selecting only “noise pixels” for pepper noise. In this case, other noise free intensities will
processing. NAFSM filter is a recursive double-stage filter, peak in the noisy image histogram instead of the salt-and-
where initially it will perform the salt-and-pepper noise pepper noise intensities. As a result, when the noise
intensities detection before identifying the locations of intensities are wrongly detected, the salt-and-pepper noise
possible noise pixels. When a “noise pixel” is detected, it is will be left unfiltered in the noisy image.
subjected to the next filtering stage. Otherwise, when a pixel As to overcome this problem, the local maximum, which is
is classified as “noise-free,” it will be retained and the the first peak encountered when traversing the image
filtering action is spared to avoid altering any fine details and histogram in a particular direction. Therefore, the detection
textures that are contained in the original image. algorithm of the proposed NAFSM filter will search for the
We proposed a new type of salt-and-pepper noise filter called two local maximums, Lsalt and Lpeeper, representing the two
the noise adaptive fuzzy switching median (NAFSM) filter. salt and- pepper noise intensities starting from both ends of
The NAFSM filter is a hybrid between the simple adaptive the noisy image histogram. The search is directional sensitive
median filter and the fuzzy switching median filter. The and will be directed towards the center of the histogram.
adaptive behavior enables the NAFSM filter to expand the When both local maximums, Lsalt and Lpeeper, are found, the
size of its filtering window according to the local noise search will be halted immediately. Normally, for an image
density, making it possible to filter high-density of salt-and- stored as an 8-bit integer, Lsalt =255and Lpeeper=0 These two
pepper noise. Meanwhile, the inherited switching median salt-and-pepper noise intensities will be used to identify
629
possible “noise pixels” in the image. A binary noise mask N

(i, j) will be created to mark the location of “noise pixels” by
using
(a) (b) (c) where X(i

(B) Filtering Stage: Fig.1
After the binary noise mask N (i, j) is created, “noise pixels”
marked with N (i, j) =0 will be replaced by an estimated IV. CONCLUSION
correction term. The proposed NAFSM filter uses a square
NAFSM filter for effective removal of salt and- pepper noise
filtering
is presented. The proposed filter is able to suppress high-
Window W2s+1(i ,j) with odd (2s+1) x (2s+1)dimensions,
density of salt-and-pepper noise, at the same time preserving
given as
fine image details, edges and textures well. In addition, it
does not require any further tuning or training of parameters
once optimized. By carefully considering the tradeoff
between the complexity of the filtering algorithm and the
Then, the number of “noise-free pixels”, G2s+1 (i,j) in the performance of the filter, the proposed NAFSM filter is able
filtering window W2s+1(i ,j ) is counted using to yield
good filtering results with efficient processing time. Future
research should, in the authors’ opinion, focus on estimating
the local information adaptively based on fuzzy inference in
order
to further shorten the processing time when the image is
If the current filtering window W2s+1(i ,j) does not have a corrupted with high-density of salt-and-pepper noise.
minimum number of one “noise-free pixel” (i.e., G2s+1 (i,j) <1
), then the filtering window will be expanded by one pixel at V. REFERENCES:
each of its four sides. This procedure is repeated until the [1] K. S. Srinivasan and D. Ebenezer, “A new fast and
criterion of G2s+1 (i,j) >=1 is met. For each detected “noise efficient decisionbased algorithm for removal of high-
pixel”, the size of the filtering window is initialized to 3x3, density impulse noises,” IEEE Signal Process. Lett.,
i.e., s=1. These “noise-free pixels” will all be used as vol. 14, no. 3, pp. 189–192, Mar. 2007.
candidates for selecting the median pixel (i,j) , given [2] Z. F. Deng, Z. P. Yin, and Y. L. Xiong, “High
by probability impulse noise-removing algorithm based
on mathematical morphology,” IEEE Signal Process.
Lett., vol. 14, no. 1, pp. 31–34, Jan. 2007.
[3] X. Zhang and Y. Xiong, “Impulse noise removal using
directional difference based noise detector and
III. SIMULATION RESULTS adaptive weighted mean filter,” IEEE Signal Process.
The PSNR (dB) evaluation scheme is used to assess the Lett., vol. 16, no. 4, pp. 295–298, Apr. 2009.
strength of the filtered image, while processing time required [4] H. Ibrahim, N. S. P. Kong, and T. F. Foo, “Simple
for executing each filter is also taken into consideration as to adaptive median filter for the removal of impulse noise
measure the computational efficiency of the filters from highly corrupted images,” IEEE Trans.
implemented. Since image is subjective to the human eyes, Consumer Electron., vol. 54, no. 4, pp. 1920–1927,
visual inspection is carried out on the filtered images as to Nov. 2008.
judge the effectiveness of the filters in removing salt-and- [5] W. Luo, “Eficient removal of impulse noise from
pepper noise. digital images,” IEEE Trans. Consumer Electron., vol.
Fig. 1 shows the graphs of average PSNR value. It can be 52, no. 2, pp. 523–527, May 2006.
seen the proposed NAFSM filter is able to outperform [7] M. Nachtegael, D. Van der Weken, and E. E. Kerre,
highest PSNR values at all level of salt-and-pepper noise. “Fuzzy techniques in image processing: three case
studies,” Int. J. Comput. Anticipatory Syst., vol. 12,
pp. 89–104, Aug. 2002.
630
[8] E. E. Kerre, Fuzzy Sets and Approximate Reasoning.

Xian, China: Xian Jiaotong Univ. Press, 1998.
[9] C. Cornelis, G. Deschrijver, and E. E. Kerre,
“Classification of intuitionistic fuzzy implicators: An
algebraic approach,” in Proc. 6th Joint Conf.
Information Sciences, 2002, pp. 105–108.
[10] C. Cornelis, Tweezijdigheid in de Representatie en
Verwerking van Imprecieze Informatie,
Doctoraatsproefschrift, Univ. Ghent, Ghent, Belgium,
2004.
[11] R. C. Gonzalez and R. E. Woods, Digital Image
Processing. Englewood Cliffs, NJ: Prentice-Hall,
1992.
[12] V. Zlokolica and W. Philips, “Motion and detail
adaptive denoising of video,” in Proc. IS&T/SPIE
Symp. Electronic Imaging, 2004, pp. 1417–1421.
631
Space-Time Block Coded OFDM Model for CCI

Reduction Using Adaptive Beam forming and
Null Deepening
Lalitesh Sehgal
Lecturer- ECE Deptt. , GPE Bilaspur (HARYANA)
er.laliteshsehgal@gmail.com
Abstract- Reduction of multipath fading effects and coding can minimize the effects of multipath fading and
suppression of multiuser interference (MUI) contributes achieve high channel capacities in the MIMO (multiple-
major challenges in design of wide-band third generation input multiple-output) systems [6]. Recently, there has been
wireless mobile system. Space-time coding (STC) offers an an increasing interest in providing high data rate services
effective transmit antenna diversity technique to combat
fading. Single user ST coded orthogonal frequency division
such as video conferencing, multimedia internet access
multiplexing(OFDM) transmission over frequency selective and wide area networks over wideband wireless
channel suffers from finite impulse response channel channels. Consequently, the transmitted signals experience
fading.ST multiuser transceivers suitable with frequency frequency-selective fading. Thus, the channel induces
selective multipath channels.ST block codes are suitable for intersymbol interference (ISI) which makes code
eliminating the MUI without destroying orthogonality. performance degrade. Without equalization, a promising
approach to mitigate ISI is OFDM technique [8] which
The combination of space time coding and frequency is used in various standards of wireless communication
division multiplexing (OFDM) system provides space
systems. The high rate data stream is de-multiplexed into
diversity. This combination provides spectral efficiency and
robust high data rate transmission over frequency selective a large number of sub- channels. The number must be
channel. In this paper, adaptive beam forming based on least chosen to ensure that each sub channel has a bandwidth
mean squared error algorithm and null deepening are less than the coherence bandwidth of the channel, so the
developed to combat common channel interference for space- sub channel is characterized as flat fading. Each sub
time coded OFDM (STC-OFDM) system. channel however has a high error probability in deep
fades.
Index terms- Diversity methods, Space time coding,
Adaptive antenna arrays, Beam forming, orthogonal ST codes were originally designed for single user and
frequency division multiplexing. investigated for known as slow flat fading
channel[20][21].The flat fading channels is no longer
I. INTRODUCTION justified in wide band communication ,which motivated
recent extension of ST-coding through frequency selective
The upcoming growth in demand for high capacity data channel for orthogonal frequency division multiplexing[27]
rates and new services necessitates the development of and generalized OFDM(GOFDM) [25][26].
wide band wireless system. In design of such systems,
performance and capacity limiting factors are multipath ST multi user transceivers for multiple access through
fading, multiuser interference (MUI), co-channel frequency selective channels [27] contains multiple
interference (CCI). transmit antenna but only one receiver antenna will be
sufficient.ST coding for multi user system is challenging
Transmit diversity has been studied for combating fading due to the presence of severe MUI. For an M-user system
and improving capacity[25][17].The transmit diversity where each user is equipped with transmit antennas,
scheme based on Space –time coding exploit multiple MUI is caused by (M-1) instead of (M-1) interfering
transmission that are combined with appropriate signal signals. Assuming flat fading channels [2], the structure of
processing at receiver to provide diversity gain. ST block codes to suppress MUI in space using beam
forming approach that relies on multiple receive antennas.
Space time coding was first proposed in [20] to achieve To cancel MUI, minimum M receiver antennas are
maximum diversity gain. Space time coding is a coding required, which limits practically in downlink.Where the
technique de-signed for multiple antenna transmission. In receiver complexity is at premium.
addition to the diversity improvement on flat fading
channel, it can achieve a coding gain with no bandwidth The combination of space-time coding and the OFDM
sacrifice. Combining multiple receive antennas, space-time modulation[7] is not only alleviate drawbacks of each
632
other, but also improve the high speed transmission by encoding a block of symbols to generate a space-time
performance limited to two fundamental impairments, code word. At a time t, the space time encoder constructs a
multipath fading and ISI. However, using multiple matrix of K modulated symbols given as
transmit antennas at each mobile causes mutual
interference at the receiver by either signals transmitted from
different antennas of the same transmitter or other
transmitters. Additional processing is required to Xt =
mitigate co-channel interferences (CCI) in space-time
coded OFDM (STC-OFDM) systems.
To maximize the STC-OFDM system efficiency , Where each element belongs to a constellation from M-ary
the problem of CCI introduced by the space-time coding phase shift keying. The i-th row i=1,…., , represents a
must be solved. Adaptive antenna arrays are an attractive data sequence sent out the i-th transmit antenna. At the i-th
solution because they can suppress CCI and mitigate the transmit antenna, the serial-to-parallel converter allows us
effects of multipath fading [23],[4],[5] Regarding to to obtain parallel data. OFDM modulation is used to
beam forming techniques for STC-OFDM systems, some modulate the parallel data,
research attempts have been mainly focused on the
transmit beam forming in downlink since the fact that , ,…………, ,by the IFFT. The total bandwidth
download intensive services and wireless web browsing B Hz is divided into K overlapping subcarriers. In the time
are to be introduced in next generation[9],[13],[18] Study domain, a cyclic prefix (CP) is added to each OFDM frame
on receive beam-forming which is widely applied to during the guard time interval. The length of CP must be
uplink of cellular mobile systems has also attracted larger than the maximum time delay of multipath fading
attention to both suppress CCI and minimize fading channel such that it can be avoided ISI due to the delay
effects. This latter is the case that we consider in this spread of the channel. Consider the receiver shown in Fig.
paper. In[11], it is shown that the scheme of MIMO 1(b). OFDM demodulation computes the FFT and removes
wire-less systems incorporating a beam-forming method CP. The output of the OFDM demodulator for the k-th
before space-time decoder can effectively mitigate CCI subcarrier, k= 1…,K , and for the j-th receive
while preserving the space-time structure. The beam- antenna, j= 1…., , can be expressed in the frequency
forming method called the minimum variance distortion domain as
response(MVDR) beam-former is used as a CCI canceller
in OFDM systems using space-time trellis codes in reverse = (1)
link. One disadvantage of the MVDR beam-former is
based on accurate estimation of the desired DOAs and
Where is the channel frequency response of the k-th
degrades obviously when there are errors in desired
DOAs. To improve the robustness to uncertainty in DOAs of the subcarrier between the i-th transmit and j-th receive
MDVR method, a robust beam-forming algorithm based on antenna in the presence of the noise sample . The
particle filter is proposed in [24].A minimum mean maximum likelihood decoding rule amounts to the
squared error (MMSE) beam-forming is applied to the computation of
space-time block coding combined with the OFDM
system[16]. The method relies on the number of training =argmin (2)
blocks corresponding to the chosen cluster sizes.
Space frequency OFDM system with the null steering The minimization is performed over all possible space-time
beam- forming for CCI suppression is investigated in [10]. code words. Interleavers are used to improve the
In this an adaptive beamforming algorithm based on min performance.
imum means square error of pilot signals is presented
which does not require known desired DOAs as the
MVDR beamforming and the null steering beamforming.
The resulting coefficients are inversed in order to
deepennulls such that it can increase CCI suppression ability in the
space-time trellis coded OFDM systems.
(a)
II. TX - RX MODEL BASED ON STC-OFDM
The conventional STC-OFDM scheme which includes

arrays of nT transmit and n R receive antennas are
illustrated in Fig.1. A transmitter shown in Fig.1 (a) starts
633
= (6)
(b) Where is the signal transmitted from antenna i at
Fig. 1 (a) STC Transmitter and (b) STC Receiver time t( ) that is propagating in fading path p and has time
delay . The antenna array response steering in the
III. IMPLEMENTATION OF STTC FOR CCI CANCELLATION direction of arrival .is defined as[12]
–
The STC-OFDM system is modified to increase the = (7)
capability to reduce interferences. Fig.2 and Fig. 3 gives
the block diagram of the proposed STC-OFDM model with is an additive white Gaussian matrix with zero mean
CCI cancellation. Due to achievable diversity gain and and variance .
coding gain, space-time Trellis codes (STTC) is chosen as
a space –time encoder. In Fig. 2 transmitter multiplexes the
STTC data and pilot symbols to generate data
sequences . By performing the IFFT on , the resulting
signal can be represented in vector form as [5]
Fig. 2. Proposed STC-OFDM transmitter
= , i= 1 (3)
Where =
= and
F= Fig. 3. STC-OFDM receiver with CCI canceller

To suppress CCI, an adaptive beam former is introduced
before the space-time decoder as shown in Fig. 3 Beam
former serves as a beam filter to receive a strong signal from
Matrix F defines the FFT operation. Superscript H denotes
a particular direction while simultaneously blocking it from
the complex conjugate transpose of matrix.
another direction. The beam response depends on the DOAs
A model consisting of one desired mobile and one of the desired signal and DOAs of CCI falling on the
interfering mobile is considered. Each mobile has two antenna array. Let be the l-th beam former output at time
transmit antennas and the base station has four t given by
receive antennas ). Assume that the signals
propagate from the two transmit antennas of a mobile to = l =1, 2 (8)
the base station in the same direction of arrivals (DOA)
with two independent fading channels. The two Where = is a weight vector
independent paths in each DOA is given in vector form as which is crucial to form a beam response properly. After
the FFT operation, the received signal vector in the
= p=1, 2 (4) frequency domain is given as
Where is the p-th fading path of the i-th transmitting = (9)

antenna. After demodulation and CP removal from each The signal is then de-multiplexed to perform weight
frame, the received signal at the antenna array can be adapting and space-time decoding. In the following sub-
modeled as sections, an algorithm of adaptive beam-forming and null
deepening is presented to control the weights. The
= + conventional beam-forming is known as the null steering
+ (5) beam-forming to combat CCI. The expression for the
space-time decoder is also given to analyze the effects of
The first term in (5) represents the signals received from CCI cancellation to the decoded code words.
the desired mobile and the second term represents the
CCI.The signal transmitted from the desired mobile is A. Adaptive Beam-forming and Null Deepening algorithm for
given by CCI Cancellation
634
In the adaptive algorithm [15], the antenna weights are = + (15)

updated to minimize mean squared error. The error let be the converged weight vector of the l-tm beam-
quantity is defined as the difference between the reference former. The beam response can formed using the function
pilot symbols and the received pilot signals . expressed as
Accordingly, the mean squared error (MSE) is given by
= . (16)
To increase the capability of interference cancellation,
= (10)
deep nulls are synthesized at the all CCI directions and at
Where Q is the number of pilot symbols which are the direction of one path where p 1 called “not in a
multiplexed to the STTC at the receiver. Let and look direction “. Equation (16) can be written in a matrix
be the reference pilot signals and the received pilot signals form as [14] [15]
of Q sub-carriers, respectively and is given as
=
=D (17)
Using matrix notation, the error vector in frequency Where N is the number of samples in the beam response
domain of (10) is given by and the matrix D is
= - (11)
=
Transform the error vector in to the time domain by
=
The procedure of placing a null at any direction with an
= (12) angle width of is carried out by the following steps.
= 1. Impose a null o the response by replacing M

samples with zeros. The chosen samples are located in
Where the range of around . Let be the beam
response with the imposed null is given by
Substituting (8) and (9) into in (12) gives the error 2. Apply the inverse beam response to recalculate the
vector in time domain as weights of the response constrained with prescribed
nulls by =
= - (13)
3. Substitute the weight vector into (16) to obtain
Weight adjustment by the least mean square (LMS)
deep null synthesis
algorithm to obtain minimum errors is [4]
In the next subsection, the null steering beam-former
= -2 (14) which can perfectly steer the main beam in the desired
direction and impose nulls in the direction of CCI signal
will be discussed.
Where is the conjugate derivative with respect to
the complex weight vector w and is a positive scalar B. Null steering Beam-forming algorithm for CCI Cancellation
that controls the convergence characteristics of the
algorithm. Using error vector in (13), the weight vector of In the null steering beam-forming, the desired direction of a main
the L-th beam-former at time t is adjusted by the beam and the direction of null must be known priory to generate the
following recursive relation weight vector. For the l-th beam-former in Fig. 3 ,let ( ) be the
steering vector where the unity response is required and
635
( ) be the steering vector for nulling. Then, the

weight vector of the l-th beam-former satisfies [12] (24)
A= , l=1,2 (18) B. ST-Decoder after Null Steering Beam-forming
Where A = [ ] with columns Using the response of the null steering beam-former, all
being the steering vector containing all sources. The constrained for CCI signals except the desired signal from one path in a
each beam-former is = when l=1and = look direction can be completely cancelled. Substituting
when l=2. The solution for the weight vector is given by (19) into (8), the j-th beam-former output can be expressed
as
= (19)
(25)
IV DECODER
V. CONCLUSION
For STTC, the Viterbi algorithm [16] is used to perform the
maximum likelihood decoding. Assume that channel state CCI canceller using the Least Mean Square (LMS)
information is available at the receiver. The Viterbi adaptive beam-former and null deepening is represented in
algorithm selects the path with the minimum distance the STC-OFDM system. Due to the time diversity of
metric as the decoded sequence. multipath propagation, the proposed bean-former can
significantly suppress CCI for each path and preserve the
A. ST-Decoder after Beam-forming and Null Deepening structure of space-time decoding. The null steering beam-
former which require prior knowledge of direction of
Using the response of the adaptive beam-forming and null arrivals (DOAs) can be used to compare the performance
deepening, the Beam-former outputs are affected by two of proposed CCI canceller.
paths from the desired mobile and the residual CCI, the
residual CCI assumed to be negligible for simplicity and REFERENCES
the main Beam has a unity response. Putting (5) in to (8),
[1] A. F. Naguib, N Seshadri, and A. R. Calderbank, “ applications of
the l-th beam-former output can be expressed as space-time coding and signal processing for high data rate wireless
communication, “ IEEE Signal Processing , volume 17 May 2000
= +
[2] A. F. Naguib, N Seshadri, and A. R. Calderbank, “ applications of
space-time coding and interference suppression for high capacity
= + + and high data rate wireless communication, “ IEEE Signal
(20) Processing , volume 17 May 2000
Assuming that =0 and = , thus we can remove [3] B. Vucetic and J. Yuan, Space-time Coding. John Wiley & Sons
Ltd. 2003 [4] B. Allern and M. Ghawami. ”Adaptive Array System
subscript . “, John Wiley & Sons Ltd. 2003
= + + [5] C. K. Kim, K. Lee and Y. S. Cho, “Adaptive Beam-forming

(21) algorithm for OFDM Systems with Antenna Arrays, “IEEE Trans.
On consumer electronics, Nov 2000
The output is transformed in to frequency domain at the [6] D. Gesbert, M. Shafi, D. Shiu, P. Smith, and A. Naguib, “From
k-th subcarrier as theory to practice: An overview of MIMO space-time coding
wireless systems”, IEEE Journals on selected areas in
communications, Apr 2003
l=1, 2 (22)
[7] D. Aggarwal, V. Tarokh, A. Naguib, and N Seshadri, “Space-time
Where is the Fourier transform of . The coded OFDM for high data rate wireless communication over wide”
frequency channel response is , IEEE Journals on selected areas in communications, Apr 2003
[8] Goldsmith, Wireless Communication, Cambridge University Press,

2005
(23)
[9] H. Liu, and Q Feng, “ Post-IDFT Multidimensional beam former for
STC-OFDM System, “ IEEE Asia-Pacific Microwave Conf. , Dec
Where , and 2006
. The space-time decoder using the Viterbi
algorithm [16] to get decoded symbols become [10] H. Liu, and j. Li, “Space-frequency OFDM system with Null-
steering Beam-former”, Sixth international Conf on ITS
Telecommunication. , Jun 2006
636
[11] J. Li and K. B. Letaief and Z. Cao, “Co-Channel Interference

cancellation for Space-time OFDM System, IEEE Trans. On
Wireless communication, Jan 2003
[12] L. C. Godara, Smart Antennas, CRC Press, 2004
[13] P. Xia, S. Zhou, and G. Giammakis, “Adaptive MIMO-OFDM based

on Partial Channel State Information”, IEEE Trans. On Signal-
Processing, Jan 2004
[14] R. Suleesathira and T. Sooknuan, “Angular Spread Estimate via PC-

MUSIC applied for null synthesis”, Third ECTI International Conf.
2006
[15] Raungrong Suleesathira, “Co- channel Interference Cancellation for

Space-time Coded OFDM System Using Adaptive Beam forming
and Null Deepening”, Journal of Telecommunication vol.1, Feb
2010
[16] S. M. Lee, B. H. Yoon and H. J. Choi, “On Beam forming Space-

time Block Coded OFDM System in Multipath Fading Channel”
,IEICE On communication, Mar 2005
[17] S. M. Alamouti, “A simple transmit diversity technique for wireless

communication,” IEEE J. Select Areas communications, Oct 1998
[18] T. Athanasiadis, K. H. Lin and Z. M. Hussain,” Transmission of

Compressed Multimedia Data over Wireless Channels using Space-
Time coding with Adaptive Beam forming,” IEEE Trans. On Signal-
Processing, Nov. 2005
[19] V. Tarokh, A. F. Naguib, N Seshadri, and A. R. Calderbank, “Space-

Time Codes for High Data rate Wireless Communication:
Performance Criteria in the presence of Channel Estimation Errors,
Mobility, and Multipath, “IEEE Trans. on communications, volume
47 Feb 1999
[20] V. Tarokh, A. R. Calderbank and H. Jafarkhani, “Space-Time Codes

for Orthogonal Design,” IEEE Trans. on Information Theory,
volume 45 July 1999
[21] V. Tarokh, N Seshadri, and A. R. Calderbank, “Space-Time Codes

for High Data rate Wireless Communication: Performance Criteria
and Code construction, “IEEE Trans. on Information Theory,
volume 45 Mar. 1998
[22] W. C. Jakes, Microwave Mobile Communication, Prentice Hall,

2005
[23] Y. Li and N. R. Sollenberger,” Adaptive antenna arrays for OFDM

System with Co-channel Interference,” IEEE Trans. on
communications, volume 47 Feb 1999
[24] Y. Li , X. Sun and K. Dhen, ”Robust Beam forming Algorithm to

Co-channel Interference Cancellation in Space-Time Coded OFDM
System,” IEEE Technology Education and Networking Conf. Nov.
2006
[25] Z. Liu, G. B. Giannakis, ,” Transmit antenna space-time block code

for generalized OFDM in the presence of unknow multipath,”
Asilomar Conf. Signals Systems, and Computers Nov. 1999
[26] Z. Liu, G. B. Giannakis,” Transmit antenna space-time block code

for generalized OFDM in the presence of unknown multipath,” Mar.
2001
[27] Z. Liu, G. B. Giannakis, ,” Space-Time Block-Coded Multiple

Access Through Frequency Selective Fading Channels,” IEEE
Transaction on communication, Vol. 49 June 2001
637
Model for Cost and Quality of Component Based

Software
Ravi Jaiswal
jaiswal.ravi23@gmail.com
Abstract - Cost, schedule and quality are highly correlated stakeholders’ differ in their views of quality Software users
factors in software development. They basically form three today are demanding higher quality than ever before and
sides of the same triangle. Beyond a certain point (the many of them are willing to pay a higher price for better
“Quality is Free” point), it is difficult to increase the quality quality software products. Mature IT organizations are
without increasing either cost or schedule or both for the
setting up IT Governance frameworks to provide for
software under development. As products and applications
mature, users expect higher quality products. They want IT accountability for the quality of the products they purchase
organizations to be responsible and accountable for the and deploy. The Software Evaluation Framework, for
quality claims made by the product marketing teams. In the example, considers the influence of both the development
last couple decades, much software engineering research has methodology and the background of the stakeholder in its
focussed on standards, methodologies and techniques for attempt to evaluate software quality
improving software quality, measuring software quality and
software quality assurance. Most of this research is focused on II. BACKGROUND AND PROPOSED WORK
the internal/development view of quality. More recent studies
done in conjunction with the marketing groups have made
attempts to understand the customer view of quality. All of
Measurement is the assignment of numbers to objectsor
these different ongoing activities to understand quality from events according to rule. Therule of assignmentcan be
the various perspectives have made the field even more any consistent rule. The only rule not allowedwould
enriching and exciting. The Fifth Workshop on Software berandom assignment, for randomness amountsin
Quality aims to bring together academic, industrial and effect to a nonrule."
commercial communities interested in software quality topics
to discuss the different technologies being defined and used in "Measurement is the process of empirical, objective,
the software quality area assignmentof numbers properties objects or eventsof
the real world in such a way as to describe them."
Keywords - software quality assurance, process
iniprovernent, metrics, static analysis IEEE Standard lays out a methodology for developing
metrics for software quality attributes. The standard defines
1. INTRODUCTION attribute as "a measurable physical or abstract property of
an entity." A quality factor is a type of attribute,
During the lifecycle of a software product, different "management-oriented attribute of software that contributes
stakeholders view the quality of the software differently. to its quality." A metric is a measurement function, and a
the development team may focus on reducing the defects in software quality metric is "a function whose inputs are
the code to minimize MTTF (Mean Time to Failure) of the software data and whose output is a single numerical value
product whereas the customers care about the total user that can be interpreted as the degree to which software
experience and view quality as not only the defect-free possesses a given attribute that affects its quality."
operation of the product but also want ease of use and ease
of installation. Hence, depending on whom you talk to, you
will most likely get a different answer on what they mean III. A FRAMEWORK FOR EVALUATING METRICS
by quality. Though people have been discussing software
quality for decades, software quality research is still The term, construct validity, refers to one of the most basic
relatively immature, and it is difficult for a user to compare issues in validation, the question: How do you know that
software quality across products. Practitioners and you are measuring what you think you are measuring? In a
researchers are still not clear as to what a good measure of check of the ACM Guide to the Computing Literature , we
software quality is because of the variety of interpretations found only 109 references that included the phrase
of the meaning of quality, of the meanings of terms to "construct validity." Of those papers, many mentioned the
describe its aspects, of criteria for including or excluding phrase in passing, or applied it to measurements of human
aspects in a model of software, and of the degree to which attitudes (survey design) rather than characteristics of a
software development procedures should be included in the product or its development.
definition. Recent studies have addressed the notion that
638
total number of defects that might affect A function

IV. A MORE QUALITATIVE APPROACH TO can be defined as a collection of executable statements
QUALITATIVE ATTRIBUTES that performs a certain task, together with declarations
of the formal parameters and local variables
Rather than fighting the complexity of software manipulated by those statements.
engineering attributes, it might make sense to embrace
them. These notes are based on work done at two meetings
of experienced testanagers (the Software Test Managers'
Roundtables), interviews by Cem Kaner of test managers,
and extensive work by Kaner and some of his consulting D. Customer Problems Metric:
clients on improving the effectiveness of their bug Another product quality metric used by major
reporting. The bug reporting notes have also been refined developers in the software industry measures the
through use in classroom instruction and course problems customers encounter when using the product.
assignments based on the notes, and in peer critiques of For the defect rate metric, the numerator is the number
previous presentations. of valid defects. However, from the
customers’standpoint, all problems they encounter
V SOFTWARE QUALITY METRICS OVERVIEW while using the software product,not just the valid
defects, are problems with the software. Problems that
Software metrics can be classified into three categories: are not valid defects may be usability problems,
product metrics, process metrics, and project metrics. unclear documentation or information, duplicates of
Product metrics describe the characteristics of the product valid defects (defects that were reported by other
such as size, complexity, design features, performance, and customers and fixes were available but the current
quality level. Process metrics can be used to improve customers did not know of them), or even user errors.
software development and maintenance. These so-called non-defect-oriented
A. Product Quality Metrics: E. Customer Satisfaction Metrics:

As discussed in Chapter 1, the de facto definition of Customer satisfaction is often measured by customer
software quality consists of two levels: intrinsic survey data via the five-point scale:
product quality and customer satisfaction.  Very satisfied
The metrics we discuss here cover both levels:  Satisfied
_ Mean time to failure  Neutral
_ Defect density  Dissatisfied
_ Customer problems  Very dissatisfied
_ Customer satisfaction
B. The Defect Density Metric:

Although seemingly straightforward, comparing the
defect rates of software products involves many issues.
In this section we try to articulate the major points. To
define a rate.
Lines of Code:
The lines of code (LOC) metric is anything but simple.
The major problem comes from the ambiguity of the
operational definition, the actual counting. In the early
days of Assembler programming, in which one
physical line was the same as one instruction, the LOC
definition was clear. With the availability of high-level
languages the one-to-one correspondence broke down.
C. Customer’s Perspective:
The defect rate metrics measure code quality per unit.
It is useful to drive qualityimprovement from the Scope of Three Quality Metrics
development team’s point of view. Good practice in
F. Software safety model Metrics with New S/W quality
software quality engineering, however, also needs to
factors:
consider the customer’s perspective. Assume that we
are to set the defect rate goal for release-to-release
Preliminary system safety analyses (e.g., Preliminary
improvement of one product. From the customer’s
Hazard Analysis (PHA)conducted during the system
point of view, the defect rate is not as relevant as the
requirements phase when the role of software is being
639
defined, begin to identify the hazards associated with a analyses identify when software is a potential cause of a
particular design concept and operation. These preliminary hazard or will be used to support the control of a hazard.
analyses and subsequent system and software safety
Factor
Software Safety
Critical Requirements
Hazard Anaysis
Completeness
Requirements
Identify Safety
Management
Constraints
System
Run Time
Safety
of
Hazards are conditions (i.e., state of the controlled
system) that can lead to a mishap.
G. Safety Taxonomy:
The taxonomy for the safety attributes defines
conditions of the system (hazards) that mightlead to
undesirable consequences (mishaps); methods Mishaps are unplanned events that result in death,
normally used to identify hazards, evaluate the injury, illness, damage or loss of property,or harm to
consequences of a hazard, and eliminate or reduce the the environment.
possibility of mishaps; and indicators of safety in the
aggregate (system, environment, users and operators). J. Methods
H. Concerns The safety engineering approach consists of
Interaction complexity and coupling strength  hazard identification and analysis processes
Interaction complexity ranges from linear to complex  implementation methodologies and mechanisms.
and is the extent to which the behaviorof one
component can affect the behavior of other K. Resilience
components.
Linear interactions are thosein expected and familiar This paper presents the reliability and resilience guidelines
production or maintenance sequence, and those that for Internet Portal servers, which are conformant to the
are quite visible. Data Center Manageability Interface (DCMI) specification
Reliability is defined in this context as the predictable and
Complex interactions are those of unfamiliar consistent behavior of the DCMI manageability controller
sequences, or unplanned and unexpected sequences, within the server and across the Data Centers. A future goal
and either not visible or not immediately Coupling of our research is to propose an intuitive and simple
Strength Coupling strength ranges from loose method of quantifying the four resilience concepts, while at
coupling to tight coupling and is the extent to the same time maintaining some degree of scientific rigor.
whichthere is flexibility in the system to allow for Although there are several resilience performance measures
unplanned events. such as direct regional economic resilience the calculation
and application of these measures can be tedious and
I. Factors: impractical from a business management perspective.
640
resilience triangle, as a graphical device to illustrate [3] L. Bass, P. Clements, and R. Kazman, Software Architecture in
Practice (2nd Ed.) Addison-Wesley Publishing Company, Boston,
system functionality as measured over time. an
Massachusetts, 2003.
instantaneous loss of functionality with an incremental
recovery time. [4] Norman Fenton and Shari Pfleeger, “Measuring External Product
Attributes: (ch. 9). Software Metrics – A Rigorous and Practical
Appoach. 2nd Edition.
[5] Adnan Rawashdeh and Bassem Matalkah, “A New Software

Quality Model for Evaluating COTS Components”, Journal of
Computer Science.
[6] Boehm, B., Software Risk Management, IEEE Computer Society

Press, CA, 1989
[7] Al-Kilidar, H., Cox, K., Kitchenham, B. “The Use and Usefulness
of ISO/IEC 9126 Quality Standard” International Symposium on
Empirical Software Engineering .
[8] Raghu Singh, “A Systematic Approach to Software Safety”.

Proceedings of Sixth Asia Pacific Software Engineering Conference
(APSEC), Takamatsu, Japan ,1999.
[9] John McDermid, “Software Hazard and Safety Analysis”. Book

chapter in Formal Techniques in Real Time and Fault Tolerant
systems, pages 23-34, Springer Link Book Series, 2002.
[10] M.S. Jaffe and N.G.Leveson, “Completeness, robustness, and safety

in real-time software requirements specification”, Proc. of the 11th
Rapidity Robustness Redundancy Resourcefulness International Conference on Software Engineering.
[11] N.G.Leveson, “The Difference Between Software Safety And

Hardware Safety”, Safeware Engineering Corp.
V SUMMARY
[12] Ralph R. Young, The Requirements Engineering Handbook, Artech
Robustness testing can be a valuable addition to any House, 2004
[13] MIL-STD-882C, System Safety Program Requirements 1993
software development or integration effort. This aspect of
testing is often overlooked, but it can add value at almost [14] NATO Standardization Agreement (STANAG) 4404 Safety Design
all levels of testing. An acquirer can use simple forms of Requirements and Guidelines for Munitions Related Safety Critical
robustness testing during demonstrations to get a top-level Computing Systems 1996.
idea of the overall quality of the software. More complete [15] Ramakrishna, Satish et. al., “Run time Assertion Schemes for Safety
robustness testing can be used during development testing Critical Systems”, Ninth IEEE Symposium on Computer Based
to better test the GUI and issues dealing with error Medical Systems, Ann Arbor, Michigan, 1996.
detection and correction. Operational testers can use
robustness testing concepts to guide more extensive testing
of resource usage aThis study discussed the criteria
relevant to software safety. A new model for software
safety is proposed. A set of quality criteria that form the
basis of software safety is presented. In this way, this
approach will present the component quality area
background that supports us to propose the software
component quality framework. After they are quality
model , frame work quality review and component based
software model they are defining , planning, operation,
analysis and interpretation of the experimental study will
be presented in order to evaluate the viability of the
proposed new approach named Safety and Resilience.
REFERENCES
[1] Software Safety, NASA Technical Standard, 1997.
[2] N. Leveson, Safeware: System Safety and Computers, Addison-

Wesley Publishing Company, Reading, Massachusetts, 1995.
641
Evaluation of Thermal Load in Wire EDM 1

Rajendra kumar
1
Ganpati Institue of Technology & Management, Kurukshetra University
1
radaur_rudra@yahoo.com
Abstract: Wire electrical discharge machining is one of the  : electrical resistivity , Ohm-m
fastest growing manufacturing technologies in non-traditional
manufacturing process for electrically conductive materials..  : weight function
The effective process analysis and modeling helps in
understanding the influence of the parameters on the
temperature distribution along the wire. In the present
K    : element stiffness matrix
e
research work a finite element thermal model has been

developed by which temperature distribution along the C    : element capacitance matrix
e
 f    : element load matrix

tungsten wire has been predicted. The main objective of this
research work is to determine the temperature distribution
along the tungsten wire and predict its failure. Further it is
observed that tungsten wire can withstand higher I. INTRODUCTION
temperature in comparison to brass wire as expected.
The scientists and the researchers are facing more and more
Keywords: wire EDM; Thermal load; FEM challenging jobs in the field of manufacturing due to the
continuous developments. Any new development comes
NOTATION
after excessive efforts in the field of designing and
manufacturing. A manufacturing revolution is centered on
A : crosssection of the wire, m2
the use of new tools to meet the demands imposed by
Cg : capacitance global matrix increasingly sophisticated designs, and unmachinable
material. This results in introduction of new manufacturing
Cp : specific heat, J/Kg.K processes used for materials known as non-conventional
manufacturing processes [10].
Electrical Discharge Machining (EDM) is a non-traditional
fg : loading global matrix
manufacturing process in which there is no physical
contact between tool and workpiece. The process uses an
h : convective heat transfer coefficient, W/m2 K
accurately controlled electrical discharge that creates a
Hx : enthalpy, k J spark between the workpiece and an electrode. Each spark
vaporizes a small portion of the workpiece. As the
K : thermal conductive, kJ/msK workpiece slowly moves along its cut-path, successive
sparks continuously erode material in the movement
Kg : stiffness global matrix direction, thereby cutting the desired parts [11]. EDM is a
diverse process by which various products like tiny electric
k : number of iterations connectors, medical parts, automatic stamping dies and
p : circumference of the wire,m aircraft body panel can be manufactured. EDM has
replaced much of the machining and grinding steps needed
q : Joule heat flux or internal heat generation, W/mm3 in the die making. Complex dies components further can be
cut with EDM which are always stronger than those made
r : wire radius, mm of segments [12].
R : resistance per unit length of wire electrode between x1 & Many different machining applications use the theory of
EDM, such as Wire Electrical Discharge Machining,
x2, Ohm-m-1 Electrical Discharge Milling, Electrical Discharge
To : base line temperature of the operation, K Grinding, Electrical Discharge Dressing, Ultrasonic Aided
EDM, Abrasive Electrical Discharge Grinding, Micro
T : approximate solution temperature , K Electrical Discharge Machining, Micro Wire EDM, and
Double Rotating Electrodes EDM. Wire EDM differs
V : flow velocity, m/s from other processes because it utilizes a wire traveling
longitudinally through the workpiece as the electrode [11].
Vw : wire speed, m/s
In the present research work wire Electrical Discharge
x1, x2 : coordinate of the current supply position Machining (wire EDM) has been selected for predicting its
wire rupture.
t : pulse on time, s A schematic diagram of wire EDM process is shown in
Fig.1. Wire EDM is a spark erosion process used to
 : mass-density, Kg/m
642
produce complex (two and three dimension) shapes load carrying capacity than tungsten. During wire EDM
through electrically conductive work piece. Sparks which machining higher fatigue strength allows higher current
jump between an electrode and the work piece are supply from pulse generator without wire breakage [4].
precisely controlled in order to successively cut a The major problem of wire EDM is wire breakage which
programmed path through workpiece. Sparking occurs in a occurs at low tension due to fluctuations. So wires of high
frequency range from 2,000 to 500,000 sparks per second tension capacity are required. Moreover high tension wire
causing it to appear that many sparks are occurring results in higher precision [14].
simultaneously. Each spark vaporizes part of both the Values of the various selective parameters are given below
electrode and the work piece thus increasing the distance [6, 5]:
between them at that point. As a result, the subsequent
spark occurs at another location where the electrode and TABLE 1
the work piece are closest [11].
Properties Tungsten Brass
In all EDM processes, a dielectric fluid is used to help in Tensile strength 2 2
2200 N/mm 1080 N/mm
controlling the spark gap between the electrode and the
Fatigue strength 2 2
workpiece, flush away eroded material, and control the 3340 N/mm 940 N/mm
temperature of the work piece and its surroundings [11]. Melting point o o
3410 C 1083 C
In wire EDM process, a small diameter wire ranging from Electrical 30 Ohm-1-m-1 22 Ohm-1-m-1
0.03 to 0.25 mm is used as the tool electrode. It is essential conductivity
to hold the wire in a designed position against the object Diameters (d) 30μm, 250μm 30μm, 250μm
because the wire repeats complex oscillations due to Density (  ) 3 3
electro-discharge between the wire and the workpiece. The 19300 Kg/m 8500 Kg/m
Specific heat (Cp) 140 J/kg.K 380 J/kg.K
wire is continuously supplied from the supply spool
Resistivity of wire 8 8
through the workpiece by the wire traction rollers. A direct 11.50×10 6.39×10 Ohm-m
current power supply delivers high-frequency pulses of material (  ) Ohm-m
electricity to the wire and the workpiece. The workpiece is Thermal 168 W/m.K 110 W/m.K
mounted on the table of the machine and the dielectric conductivity (K)
medium is ejected to the sparking area. Unlike Recrystallization 1245 K 573 K
conventional EDM, the workpiece in wire EDM is never temperature
submerged in dielectric fluid; instead, a localized Enlarge view of spark gap
dielectric fluid stream is used [12]. The absence of cutting
forces due to the use of electric spark in the EDM process
help in machining thin, small, and delicate parts. There is Wire spool
no relative contact between the tool and work material
hence the work material hardness is not a limiting factor Pump
for machining materials. But EDM process also has its
limitations. The metal removal rates are low as compared Moving
to conventional metal cutting processes. Complex wire
materials require more lead-time for fabrication [12].
Wire material
In this research work tungsten and brass wires of diameters Dielectric fluid
30μm, 250μm are used. The values of various selective wire
Spark Gap
parameters for tungsten and brass are shown in Table 1.
Modern wire EDM requires high cutting speed, and Upper
nozzle
precision for high manufacturing rates. The wire tension
and thermal load in wire EDM process are the key variable ba
B
for the selection of wire material to produce high precision
se
parts with process stability a Lower nozzle
The ideal wire electrode material should have high
electrical conductivity, higher mechanical strength, s
optimum spark and flush characteristics. It is well known
that there is no perfect wire that excels in every criteria and e
Wire bin
hence some compromises are necessary depending upon b
Base
the desired results and applications [13]. a

Higher precision work on wire EDM machines require s
small inside radii, generally in the range of 30 μm, 250 μm. e Fig.1 Schematic diagram of wire EDM process.
In these sizes brass wire and coated electrodes have low
643
Following assumptions have been made for finite  2T  x  T x   C p T x, t  h p 

element modeling: m   T x   T0  q
The material of the wire is homogeneous, isotropic, x 2
x K t KA K
and of constants properties, Convective heat-transfer (3)
2
coefficient, h = 10,000 W/m K, base temperature, T0 FEM modeling
Strong form of weight residual method
= 318 K have been assumed [5], The heat flows under
The partial difference equation (3) will be used as a
transient conditions, Cross-vibration effects in the
governing equation. The essential boundary conditions are
moving wire are neglected, For a single pulse the
discharge duration and the pulse on-time are assumed T 0, t  and T L, t  where as the natural boundary
to be same wire velocity V w is a constant. T T
conditions are xL = x 0 =0
Temperature Modeling x x
The energy balance equation can be stated as follow [9] Let  be weight function and T be the approximate
solution of the equation (3), from the weight residual
Heat inflow Heat generated
method, we have:
Heat out flow Change in internal
during time t + by internal sources during t
L
  C p Vw  C p  hp q 
=
0 
 T    T    T   T  T0     dx  0
during t + energy during t K K KA K
q x  q  (4)
q xx  qconv.  H xx  H x  (1) Equation (4) is a strong form of method weight residual
Weak form of weight residual method

qx Hx Substituting U   , dU    dx, and using the partial
integration we have
L L
q
q conv.   T  dx   T  L   T  0     T  dx
0 0
dx
Using the boundary conditions T  L   T  0  0 , we
have
q x  x H x  x L L
Fig.2 Thermal energy balance with convection.   T  dx      T  dx

0 0
The calculations of wire temperature require the solution of Substituting this solution in equation (4) we get
one dimensional form of heat flow equation. After solving L
  C p Vw  Cp  h p q 
the heat balance equation (1) for stationary state heat flow 0 
    T    T    T   T  T     dx  0
K 
0
in an infinite body, moving with constant wire velocity V w ,
K K KA
a differential equation can be stated as: Rearranging the equation we get
  C p Vw  Cp
d 2T  x  dT x  h p   h L  T  dx     q  h L  T  dx
L L
q
dx 2
m
dx

KA
T x   
K
0 
    T  
K
 T  
K
 T
K A  0  K KA 0 
(2) (5)
 C p Vw Equation (5) is the weak form of weight residual method
Where m  , Galerkin‟s method
K The fundamental assumption of this method is that:
K  Thermal conductivity, C p  Specific T e  x, t    e  x, t  [5]
heat,   Density, h  Convective heat transfer co- We assume a suitable form of variation of T in each finite
efficient, p = Circumference of wire, A = Cross-section element and express T x, t  for each element „e‟as:
e 
of wire, q = Heat generated by internal sources, T e 

x, t   n xT t  And T e  x, t    e  x, t 
T
Now, by assuming the temperature as a function of time we Recalling weak form equation (5) written in terms of
get the following (PDE) residual:
644
 e T e   C pVw e T e  Similarly,
x2e  
 T t  n x  n x  T t 
e T e
   
T t  n x  n x  T t  
e T e
  x2e
 e q h p e  
 dx f   n x   n x T0  dx
K e 

  h p e T e e T e  C p e T e e T e  x1e  
       
K KA
x1e 
 KA T t  n  x  n  x  T t   T t  n  x  n  x  T t 
 (11)
 K  Assuming first order polynomial approximation of
temperature for each element.
1  x2  x 
e
=
x2e
n x   e 
e 

L  x  x1e 
   T t  T t  n x T0
q h p e T e 
e T
n e x    dx (12)
x1e
K KA
And
(6)
 1  1
T t  is a constant vector over each element at a
e
n e   x   e  
particular time t , hence we can rearrange the equation
L 1
(13)
 e  e T   C p Vw e e T  h p e  e T  e 
x2e n x  n  x        
n x  n x   n x  n x   T t   Substituting the values of, n e   x  , n e  x  in equation

 
e T 
T t  

K KA  

(3.9), we have
C  
 
  p n e  x  n e x  T t  Ke
e

x1 T
 K   1  1  C p Vw 1  x2e  x  
e e    1 1      1 1 
x2 L
 1 K 2 e
 
Le  x  x1  
=  h p 1 xe  x 
  dx
x2e
T t   n x  Kq  Kh pA n   x T  dx
x1e 
  K A e 2  x  x e  x2  x x  x1
2 e
 e  
  
e T e e
0  L  1 
 x1e 
(14)
(7) Now after integrating we get
We can rewrite equation (7) in matrix assembly form
which can be expressed as K e  =
K e  T e t   C e  T e t   f e  1  1  1  C p Vw  1 1 h p Le 2 1 
   2K  1 1  6 KA 1 2
(8) Le  1 1     
It can be seen that the term C T t  is the additional
e  (15)
term that appears because of unsteady state. It is known as Similarly,
element capacitance matrix.  Cp 1
x2e
 x2e  x  e 
Where C e 
   
 x  x x  x e
 dx 
 K Le 
2 1
 x  x1 
2
  C = 
e
e  e  x1e 
K  element stiffness matrix.
element capacitance matrix. (16)
Now integrating equation (3.16) we have,
 f e  = element load matrix.
e  e  e  e   C p Le 2 1 
Where K , C , and f are defined as: C  1 2 
K = e  K  
(17)
T   C p Vw e
x2e
 e  T
  n  x  n e
 x   n  x n e
 x T

h p e 
n  x n e
 x   dx
Similarly to find f e  let us approximate
x1e 
K KA   
q e  x   n e  x  q e   q e 
T
  T
n e  x  (10)
(9) (18)
Similarly, Then
x2e
  C p e  T
n x n e x   dx
x2e e 
 e  
=  n x n  x 
e 
C =  f e  e T q

hp
T0 n e  x  dx
x1e  
K
x1e  
K KA
(10) (19)
645
Now substituting Equation (12) in Equation (19) and at the uniform spacing of 0.02 m for a total length of
integrating we have, 0.1 m using finite element modeling. The maximum
f e  =
 
Le 2 1 q x1e  h T0 pLe 1 temperatures reached by tungsten and brass wires are
 525.61 K and 397 K respectively. Similar results were

6 K 1 2 q x2e   
2 K A 1 obtained by Saha et al. [5] as shown in Fig. 2 which
(20) vary within the range of 1 to 5%. From Fig. 1 it can be
Equation (15), (17), and (20) are element matrix equations. seen that the temperature variation is large in tungsten
Global matrix is found by assembling these equations, wire than brass wire. As the tungsten wire is able to
which can be stated as: withstand higher temperatures so it is more suitable for
machining hard materials.
K g T  C g T  f g
(21) Saha
Where,
450
Present model
400
K g = Stiffness global matrix. 350
Temperature (K)
300
250
C g = Capacitance global matrix. 200

150
100
fg = Loading global matrix. 50
0
Newton -Raphson method is taken as the time marching 0.02 0.04 0.06 0.08 0.1
scheme. Length of wire (m)
Here we introduce the approximation as

T  Tk
Tk  k 1 , Fig.2 Comparison of temperature distribution for brass wire of 250 µm
t dia.
(22)
A comparison was made in tungsten and brass wire for a
Where k is the number of iterations and t is time step.
Solving equation (21) diameter of 30 µm having uniform spacing of 0.02 m for a
Tk 1  C g1 f g t  C g1 K g Tk t  Tk total length of 0.1m as shown in Fig. 3. It can be seen that
(23) the maximum temperatures attained by tungsten and brass
wires are 345.59 K, 340 K respectively. It observed that
Where Tk 1 is unknown‟s time step temperature.
temperature of brass wire (diameter 30 µm) reaches near to
Results and Discussion
its recrystallization temperature thus it may not used
The selective properties of tungsten and brass wires are
given in table 1. and other properties for tungsten and practically.
brass wires are, wire radius, r  0.125 mm , Cross-
8
A =4.9087 10
350
sectional area, m 2 , Heat transfer 345
Tungsten 30 µm dia.
Brass 30 µm dia.
340
2
coefficient, h = 10,000 W / m K , the Wire velocity,
Temperature (K)
335
330
V w = 0.5 m/min. The base temperature, To = 318 K. 325
320
315
600 Tungsten 250 µm dia. 310
Brass 250 µm dia. 305
500 300
Temperature (K)
400 0.02 0.04 0.06 0.08 0.1

Length of wire (m)
300
200 Fig. 3 Temperature distribution for tungsten and brass wires of 30 µm dia.
100
0
0.02 0.04 0.06 0.08 0.1
Length of wire (m)
Fig. 1 Temperature distribution for tungsten and brass wires of 250 µm

dia.
Fig. 1 shows temperature distribution along the
length of tungsten and brass wires of diameter 250 µm
646
450
2 Thin wires having high tensile and fatigue
400
Brass 250 µm dia.
strength are used for higher precision wire in wire
EDM. Tungsten wire has high fatigue strength
Brass 30 µm dia.
350
Temperature (K)
300 than brass. So high current can be supplied by
250
200
which faster removal of material is possible with
150 out any breakage of wire.
100 3 The model successfully predicts the temperature
50 profile for tungsten and brass wire materials. So
0
this model may also be used for predicting the
0.02 0.04 0.06 0.08 0.1
temperature distribution for other wire materials.
Length of wire (m)
Fig. 4 Temperature distribution for brass wire of different diameters. REFERENCES

1. J.N.Reddy, 2003. “An introduction to the finite element metthod”,
New Delhi: Tata Mc Graw-Hill publishing co.
Fig.4 shows the temperature distribution brass 2. Elmet Technologies, elmettechnologies.com/products/Tungsten.
wire of diameter 250 µm & 30 µm. It is observed that the 3. A. Herrero, L. Uriartea, J. Esmorisa, J.A. Sánchezb, and L.N. Lopez
maximum temperature reached by wire of diameter 250 µm de Lacalleb, 2008. “ Discussion on thin wire EDM error analysis
is higher than that of 30 µm diameter. and characterization multi-material micro manufacture” 4M
Network of excellence.
600 4. F. Klocke, D. Lung, D. Thomaidis, and G. Antonoglou, 2004.
Tungsten 250 µm dia. “Using ultra thin electrodes to produce micro-parts with wire-EDM”
500 Journal of Materials Processing Technology 149, 579–584.
Tungsten 30 µm dia.
Temperature (K)
400 5. S. Saha, M. Pachon, A. Ghoshal, and M.J. Schulz, (2004). “Finite

element modeling and optimization to prevent wire breakage in
300 electro-discharge machining” Mechanics Research Communications
200
31, 451–463.
6. Elmet Technologies, elmettechnologies.com/products/Tungsten.
100 7. EDM wire, Intech EDM Ltd.
www.charmillesus.com/intec/shop/documents/wirebook.
0
8. Hiromitsu Kuroda, Seigi Aoyama, Takamitsu Kimura,Katsunori
0.02 0.04 0.06 0.08 0.1
Sawahata, and Takahiro Sato, August 2003. “Development of High
Length of wire (m) Performance Coated Wire Electrodes For High-speed Cutting and
Accurate Machining.” Hitachi cable review no.22, 51.
Fig. 5 Temperature distribution for tungsten wire of different diameters. 9. Krishnamurthy, 1994 “Finite element analysis, theory and
progrmming” New Delhi: Tata McGraw-Hill publishing co.
Fig. 5 shows the temperature distribution 10. Yogendra Singh, August 2006. A thesis on “Analytical study of
comparison between tungsten wires diameters 250 µm and EDM process considering various thermal aspects using Ansys”
Kurukshetra University, Krukshetra, India.
30 µm. The maximum temperatures reached by each wire 11. Richard C. Stephenson, August 2007. A thesis on “Comparing the
are 525.61 K and 340 K respectively. It can be seen that feasibility of cutting thin-walled sections from five commonly used
maximum temperature reached by wire of diameter 250 µm metals utilizing wire electric discharge machining, School of
is higher than that diameter 30 µm. The recrystallization Technology Brigham Young University, East prov, Utah.
12. Programme of study: Automotive education.
temperature of tungsten wire is very high so tungsten wire www.tef.gazi.edu.tr/English/mechanic/manufacturing/talasliuretimE
for 250 µm and 30 µm can be used for precision wire CTs.doc.
EDM. 13. Seigi Aoyama, Seigi Aoyama, Koichi Tamura,Takahiro
Sato,Takamitu Kimura, Katunori Sawahata, October 1999. “High-
performance Coated Wire Electrodes for High-speed Cutting and
II. CONCLUSION Accurate Machining” Hitachi cable review no.18, 75.
14. A.B.Puri, B. Bhattacharya, 2003. “Modelling and analysis of the
The recrystallization temperature of brass and tungsten are wire-tool vibration in wire-cut EDM” Journal of Materials
573K, 1245 K respectively. The recrystallization Processing Technology 141, 295–301.
temperature of tungsten wire is quite high, than the
temperature attained during machining process so it will
give better results in comparison to brass wire.
In this research work simulation method of total wire EDM
process using finite element method has been developed by
which the temperature distribution along the length of wire
is calculated. The following conclusions are made from the
present research work.
1 The tungsten wire can withstand higher
temperature as compare to brass wire. Hence it is
possible to use tungsten wire for machining very
hard materials.
647
Positive Attitude has been a driving force behind Ganpati's success and
achievements. The institute has a lush green campus spread over 27 acres &
provides an environment which is free of noise and pollution. The institute offers
4 - year B.Tech. Degree courses in the Engineering streams of Mechanical, Civil,
Electronics & Communication, IT and Computer Science Engineering.
We also provide an opportunity for 2-Year program in Master in Business
Administration, in order to meet futuristic needs of Industry.
The institute not only aims at imparting quality education but also
inculcates cultural values to its students. To enable our students to keep pace with
the competitive world, Seminars, Workshops, Personality Development
Programmes & Guest Lectures by highly learned faculty are regularly organized.

Proceedings

Transféré par

Informations du document

Titre original

Copyright

Formats disponibles

Partager ce document

Partager ou intégrer le document

Options de partage

Avez-vous trouvé ce document utile ?

Ce contenu est-il inapproprié ?

Droits d'auteur :

Formats disponibles

Proceedings

Transféré par

Droits d'auteur :

Formats disponibles

Proceedings for National Conference

National Advisory Board

Prof. SS Rattan Prof. Sudhir

Chattar Singh Kashyap

Bilaspur - 135 102

I am pleased to know that Ganpati Institute of Technology and Management is organizing a

I wish the conference to be a Grand Success.

Chattar Singh Kashyap

World Energy Council

I wish the Conference success.

Indian Institute of Technology Roorkee,

I wish the event a grand success.

Dr. Pankaj Chandna

Kurukshetra Haryana INDIA

As India transforms itself from a technology-borrower to a technology-developer and is poised to

Prof. Ajmer Singh

Bilaspur - 135 102

I express my sincere good wishes for the success of the conference

Dr. Inderdeep Singh

Designing with Composite Materials: Issues and Challenges

Dr. A.K. Sharma

Electromagnetic Energy in Material Processing :

Fig. 1. The electromagnetic spectrum with relative size measures [5]

MICROWAVES IN MATERIAL PROCESSING

Fig. 4. Electromagnetic spectrum with microwaves highlighted [6]

• Short processing times

Fig. 7 Typical BSE image of EWAC clad cross section.

Dr. Pradeep Kumar Jha

Continuous Casting of Aluminium- Recent Trends

Dr. Sehijpal Singh

Fine Machining With Magnetic Abrasives: Latest Trends

MAGNETIC ASSISTANCE FOR ABRASIVE MACHINING: BRIEF HISTORY

TECHNOLOGY OF MAGNETIC ABRASIVE MACHINING

Fig. 1 Plane and circular finishing with MAM (1)

MAJOR APPLICATIONS OF MAM

LATEST DEVELOPMENT IN MAM

MAGNETIC FLOAT POLISHING

ELECTROLYTIC MAGNETIC ABRASIVE FINISHING

MAGNETO ABRASIVE FLOW MACHINING

MAGNTORHEOLOGICAL ABRASIVE FLOW MACHINING

Sr. No. PLENARY ADDRESS Page No.

i. Designing with Composite Materials: Issues and Challenges ix

Cutting Forces in Oil Machining EN8 in Dry,

conditions. To determine the best design, it requires the use of

Fig. 1: Schematic Representation about Cutting Force Table 3: Level of Variables

Exp Cutting Depth Feed Cutting

Table 5: Analysis of Variance Table for Taguchi Method 0.05

[11]JayL .Devore,”Propability and Statistics for Engineering

Effect of Process Parameters on Abrasive Jet

proven to significantly improve the overall performance of the

on the roughness of the machined surface. Increase in jet Table 1

top surface and gradually it becomes rougher at higher depths.

Nozzle WC, sapphire,

Critical parameters Abrasive flow rate

Material application Hard and brittle

S.No AJM Parameter Condition

Table 7 shows the Relationship between pressure and material IV CONCLUSION

Table 8 shows the Relationship between pressure and material REFERENCES

[3] R. Balasubramaniam, J. Krishnan and N.

[6] A. P. Verma and G. K. Lal Publication “An

Experimental Analysis During Drilling of Glass

constitutes 72 experiments. There are three levels for feed

using high pixel camera. B 5 20.02 4.004 9.33 3.32 Yes