Proceeding of GTUICON2019 PDF

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Proceedings of Multi-Disciplinary
International Conference - GTUICON2019
Management Theme:
Managing Global Enterprises
Pharmacy Theme:
Quality Medicine for Patient Care
Engineering Theme:
Scientific Revolution through Engineering
and Technical Research
ISBN: 978-93-5351-069-5
Organized by
Gujarat Technological University

Published by:
The Registrar,
Edition: 1st
Date of Release: 14th March – 2019
ISBN: 978-93-5351-069-5
Price : INR 1200/-

All rights reserved. No part of this publication may be reproduced, transmitted, or stored in a
retrieval system, in any form or by any means, without permission in writing from the
publisher.
Book Designed, Organized and Compiled by: Mr Hitesh Gujarati

Graphics Designer: Mr Pankaj Sharma
ISBN issued by: Raja Rammohun Roy ISBN Agency, Department of Higher Education,
Ministry of Human Resource Development , New Delhi, India
ISBN issued on: 05-February-2019
Acronym: GTUICON2019 –
Gujarat Technological University International Conference 2019
Content:
Compilation of Selected papers presented during the Multi- Disciplinary International

Conference organized by Gujarat Technological University on 14th - 15th – 16th March, 2019
at Chandkheda Campus, Ahmedabad, Gujarat (India)
Note: This book cannot be sold for commercial purpose without permission of Registrar, GTU.
Copyright © Gujarat Technological University
Disclaimer:
This book is a compilation of selected papers presented by various researchers. Gujarat Technological University
will not be responsible and will not respond to any claim of plagiarism by any person or organization in any
circumstances. Authors are solely responsible for such claims.
Foreword
“Share your Knowledge, It is a way to achieve immortality”- A famous quote by Dalai Lama inspire and enlighten
us about the importance of Knowledge Sharing.
As an academician, as a student or as a professional all of us are inherent part of this knowledge economy. Not only
India, but entire world is passing through a drastic conversion where, new ideas with applicability and feasibility
are welcomed in a way and time which was not before few years back. Internationalization, Innovation and Intellect
(I3) is becoming a key of success.
As an academic institution, it has been our prime objective that we create opportunities where, people from differ-
ent domains can come together and share their knowledge.
It is indeed a matter of great pleasure for me to share that GTU is organizing its 1st Multi-disciplinary internation-
al conference in field of Management, Pharmacy and Engineering on 14th, 15th and 16th March 2019.
Though the countries have their own boundary, as a human, we are practically living boundaryless lives. We are not
only global citizens now, we are also global customers in true sense. At the same time, when, the globalization is
providing such a wide opportunity for businesses and customers, it also comes with the number of challenges. For
any business which is operating on global market need to deal with many issues like socio-cultural differences in
people, changing technological, economic and political environment, impact of export-import policies etc. A con-
ference theme for Management discipline on “Managing Global Enterprises” shall appropriately address the rele-
vant issues.
India has emerged as a one of the largest players in healthcare and medicinal sector in the world. Currently, we are
the third largest producer of the drugs in terms of volume. In last two to three years, many health and welfare
schemes are launched by central government to ensure the quality health services for all citizens of the nation. But,
looking at the variety of new diseases and the mass to cater, it becomes crucial for Indian pharma industry to ensure
a quality medicine with most affordable price along with best patient compliances. Looking this need, a conference
theme for Pharmacy discipline on “Quality Medicine for Patient care” seems very relevant and promising.
When we talk about innovation, directly or indirectly we talk about role of technology. The current mission of the
nation like Make in India, Digital India and Skill India are revolving around the core domain of technological re-
search and innovation only. Becoming technologically self-reliant in all major areas is a need of the nation today
and this objective can be achieved only through developing core competencies on the research in technological do-
mains. The discussion on “Scientific Revolution through Engineering and Technical Research” as a conference
theme of engineering domain shall surely give fruitful insights on this required objective.
I am pleased to learn that we have received about 250 research papers from more than 400 authors. I congratulate
all the authors who have given their valuable contribution in this conference in terms of their research and
knowledge sharing. I also congratulate the organizers, technical session chairs and members of review committee of
this conference. I am sure this proceeding will be helpful to all the stakeholders of respective domains of all three
disciplines.
Prof. (Dr.) Navin Sheth
Vice Chancellor
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Acknowledging
International Academic Partners
Index
Segment I - Information Related to Dignitaries and Themes of the Conference 1
Segment II – Management - Part I – Full Papers 17

Sr Page
Paper ID Paper Title Author Name
No No
A Study on the Occupational Health and Safety Ms Priyanka Hiteshbhai Mehta
1 PCM084 Conditions of the Employees Working in the Bio- 19
Medical Industries of Ahmedabad, Gujarat Dr Sujatha Sony Onattu
Study on Ease of Selling – A Decision Making Mr Devang Gajanan Kale
2 PCM100 27
Drivers for E-Retailers Across Globe Prof (Dr.) Jayrajsinh D. Jadeja
International Competitiveness of Horticultural Seed Dr Swaminathan Balasubramaniam
3 PCM042 36
Exports From India Ms Pokiya Nikeeta Jamanbhai
An Analytical Study on Impact of Basel-II Norms Dr Hemali K Tanna
4 PCM105 48
on Profitability of Banks in India Dr Kaushal Bhatt A. Bhatt
Entrepreneurship from Feminist Perspective: With Dr Medha Gupta
5 PCM023 68
Special Reference to MSMEs in the State of Punjab Ms Harinder Kaur Deo
A Study of Indian Public Sector, Private Sector & Mr Nilesh P Movalia
6 PCM102 Foreign Banks: Non-Performing Assets v/s 77
Prof Viralkumar M Shilu
Recovery Mechanism
Social Entrepreneurship: A Dynamic Process
7 PCM014 Ms Gayatri Dwivedi 90
Towards Social Prosperity
Dr Kiran J. Patel
Predicting Factors of E-Payment Adoption in India:
8 PCM117 Mr Parth M. Modi 99
The Customers’ Perspective
Dr Rajesh D. Kiri
Consumer Brand Preference Towards Smartphone:
9 PCM065 Crafting the Role of Hedonic and Utilitarian Ms Rinky Mukeshbhai Trivedi 112
Attributes
A Study on Perception of Degree Engineering Mr Harshal Gunvantrai Vashi
10 PCM054 Students of Navsari District Regarding their 119
Dr Trupti Samir Almoula
Employability
A Study on Commonalities and Differences Among
11 PCM080 CSR Approaches of Selected Leading Two Dr Kedar Hemantkumar Shukla 129
Wheeler Manufacturing Companies in India
Dr H N Mishra
Comparison of Indian GAAP and IFRS in India:
12 PCM093 Dr Mahammadrafique U. Meman 137
An Empirical Analysis of Selected Companies
Ms Purnima M. Chouhan
Effectiveness of Options Strategy of Information Mr Shaikh Mohammadimran Abdulsaeed
Technological Sector Introduced by National Stock
13 PCM121 146
Exchange for Highest Market Capitalization of Dr Munira Habibullah
India
Marketing Strategies for Convenient Stores to
14 PCM083 Sustain Again E-Commerce with Respect to Dr Kedar Hemantkumar Shukla 159
Consumer Durable
4Ps of Green Marketing : Ways of Influencing
15 PCM032 Dr Anupama Chirag Dave 166
Potential & Latent Greens
16 PCM136 Why Entrepreneurs Do What They Do? Mr Parshotam Garibdas Makhija 173
An Assessment of 360 Degree Performance
17 PCM019 Appraisal System- A Study with Special Reference Dr Vasavada Jagrutkumar Kaushikbhai 178
To Private Banks
Learning Agility, Organisational Performance and
18 PCM137 Mrs Susmita Ghosh 186
Organisational Culture: an Explorative Study
Corporate Lobbying: Managers Perspective,
19 PCM130 Mr Suchet Rathod 197
Comparative Analysis of India, China and USA
Contemporary State and Trends of Business Dr Vikas Sitaram Chomal
20 PCM051 216
Intelligence and Analytics Market in India Ms Mubashshirahbanu M Shekh
Implications of Non Performing Assets - NPA: A Mr Pareshkumar Anandji Dave
21 PCM058 Study on the Profitability of Selected Banks in 222
Dr Yogesh C Joshi
India
22 PCM036 Business Models for Entries Ms Jayshree Waghela 232
An Analysis of Profitability Position of Selected
23 PCM020 Prof Rajendra Bhupatlal Patoliya 241
Public Sector and Private Sector Bank in India
Possibilities of Microfinance for Patola Weavers in Prof Nita Maganlal Khant
24 PCM057 252
Saurashtra Region Dr Veena S. Samani
Factors Affecting Entrepreneurial Orientation and Ms Archana Vipulkumar Sarkar
25 PCM069 256
Satisfaction of Women Entrepreneurs in India Mr Prasad Sai Kola
Customer’s Awareness Towards Mutual Fund Mr Pankajray Vinodchandra Patel
26 PCM098 265
Services with Special Reference to Vapi City Prof Jyoti Devidas Gulvani
Mr Aabha Sunilkumar Singhvi
27 PCM087 Talent Management 272
Mr Pankajray Vinodchandra Patel
Managing Natural Resources in the Perspective of Dr Subhashish Aditya Mishra
28 PCM118 Sustainable Tourism Development : A General 281
Mr Amar Deshpande
Reference to Coastal Areas of India
29 PCM024 Microfinance in Indian Context – An Overview Mr Sachin Dilipbhai Abda 286
A Study on Performance Evaluation of Engineering Mr Virang Kishorchandra Shukla
30 PCM022 292
Colleges in Private Sector Mr Shah Dhavalkumar Ashokbhai
Tourism Industry: Is it the New Growth Engine of
31 PCM066 Dr Alaknanda Kamal Madhani 298
India?
Mr Ashish Kamleshbhai Galaiya
32 PCM041 A Study About Bitcoins Ms Komal Mahendra Darji 307
Ms Madhumalti Gulabbhai Rohit
Mr Virang Kishorchandra Shukla
33 PCM021 The Relevance of Branding in Digital Era 313
Mr Shah Dhavalkumar Ashokbhai
Optimistic Marketing: Acombined Approach of
34 PCM063 Psychology and Customer Relatonship Mr Maulik Rakesh Shah 318
Management
A Study on Regulation Regime for E-Commerce in
35 PCM070 Mrs Bhavna Prataprai Bosamia 325
India
36 PCM128 Atypic Financial Services Mr Deepak Arora 334
NPA Mess: A Challenge to Asset Reconstruction
37 PCM126 Ms Vaishnavi Jignesh Patel 344
Companies
Policy Holder's Awareness on Life Insurance Mr Viral P. Vora
38 PCM094 353
Services: With Special Reference to Vapi City Dr Munira E. Habibullah
39 PCM053 Ambush Marketing: Emerging Trends for Gen-Z Ms Mayuri Mohit Neve 360
A Study on Examining Role of Creative
40 PCM089 Accounting Practices in India With Reference to Dr Apurva Anil Chauhan 364
Perspective of Management Students
Mr Brijesh Jagdishbhai Patel
A Study on Recent Buyback in India & Their
41 PCM048 Ms Krishna Ashish Bhatt 372
Impact on Share Prices
Ms Shreya Rajeshkumar Panchal
42 PCM129 Are Independent Directors Really Independent? Ms Somya Chaturvedi 381
Artificial Intelligence v/s Human Capital, A Ms Yashvi Amrishbhai Modi
43 PCM049 389
Replacement or a Compliment Ms Hitarthi Dilip Pandya
44 PCM110 Strategies for Branding an Academic Institution. Mr Divyang Satyendra Tiwari 400
Segment II – Management – Part II - Abstracts of Papers Presented during the Conference 405
A Study on Corporate Governance & CSR –The Mr Virang Kishorchandra Shukla

45 PCM018 407
Performance Evaluator of The Country Mr Shah Dhavalkumar Ashokbhai
Prof Adwitiya Shambhunath Acharya
46 PCM030 A Study On LBG Model Of CSR 407
Ms Ayona Rajendran Pillai
47 PCM040 Leadership, Does Gender Matters? Ms Vhora Alfiya Soyeb 408
Technology Oriented Entrepreneurial Bricolage
48 PCM044 Strategy and Sustainability Orientation for Dr Brijesh S 408
Sustainable Enterprise Performance of Startups
Impact of Green Accounting Reporting on Social Dr Sarika Srivastava
49 PCM045 409
Welfare Mr Darshil Dipakbhai Shah
HR Policies : Advantageous with Marketing 4 Ps or Mr Smith Atul Patel
50 PCM050 409
Not? Ms Rinkal Mansukhbhai Solanki
51 PCM062 Employee Attrition in Educational Institute Ms Prachi Vishal Notani 410
The Role of Advertisement Creativity for Brand
52 PCM052 Ms Sukriti Basudeo Sharma 410
Management
Relationship Between Research and Development
53 PCM067 Dr Dhiren Jotwani 410
Capabilities and Firms’ Performance
Exploring Zambian FMCG Market; Opportunities
54 PCM078 Dr Ankita Srivastava 411
and Challenges: An Exploratory Study
Mr Sumit Mishra
Challenges of Robotics Process Automation in
55 PCM088 Ms Sree Devi K K 411
Business Process Management Industry
Dr Badri Narayanan M K
Behavior Based Safety- Assessing Human Factors Mrs Sujata Sinha
56 PCM120 412
and Influencing Behavior : A Review Dr Ashotosh Muduli
Non-Banking Finance Companies: The Changing
57 PCM124 Ms Shraddha Mayank Bhagat 413
Landscape
Market Segmentation and Customer Focus
58 PCM125 Mr Hirenkumar Mahendrabhai Patel 413
Strategies: A Tool to Value Chain Management
59 PCM127 How to Fight NPA Mr Bhavesh Mukeshbhai Chandavani 414
Dr Krishnaba Vaghela
Impact of Global Openness on Influence Intention
60 PCM138 Mr Ashwin Jadeja 414
to Buy Foreign Products
Ms Richa Shreevastava
Impact of Perceived Trust, Perceived Security and Dr Krishnaba Vaghela
61 PCM139 415
Privacy Policy in Online Purchase Intention Dr Kedar Bhatt
Segment III – Pharmacy - Part 1 – Full Papers 417
Sr. No. Paper ID Paper Title Author Name Page No.

Extraction, isolation and identification of bio active
1 PCP005 flavonoids and phenolic compounds from ocimum Dr. Nisha Hemant Parikh 419
basilicum seed
Reversal of neuroinflammation and oxidative stress Ms. Krishna Mahendrakumar Shah
by poly herbal formulation against experimental
2 PCP006 424
model of lipopolysaccharide- induced anxiety and Dr. Sunita Shailendra Goswami
depression
Efficacy and safety of teneligliptin as add on therapy Dr. Sunita Shailendra Goswami
3 PCP007 to glimepiride/metformin in indian patients with type 436
Mr. Vinendra Mansinh Parmar
2 diabetes mellitus
Dr. Hitesh Jain
Formulation and evaluation of microsponge loaded
4 PCP011 Dr. Dhananjay B. Meshram 451
controlled release topical gel of mometasone furoate
Ms. Niyati Shreyas Shah
Effect of cassia angustifolia and raphanus sativus leaf Dr. Sunita Shailendra Goswami
5 PCP012 extracts on hepatic function in high fat diet fed and 464
Dr. Deepti Kaushalkumar Jani
diabetic rats
Dr. Hitesh Jain
To study the anti-microbial activity of gentamicin
sulphate cream containing cow ghee
Ms. Niyati Shreyas Shah
Dr. Hitesh Jain
Formulation and evaluation of sustained release
microspheres of acebrophylline
Ms. Swetal Babubhai Dindod
Dr. Hitesh Jain
Design and development of sustained release bilayer
floating tablet of labetalol hydrochloride
Mr. Hiral Ranchhodbhai Bariya
Dr. Hitesh Jain
Formulation and evaluation of controlled-release
floating matrix tablets of metoprolol tartrate
Ms. Shweta Bhagwan Nehate
THERMALLY TRIGGERED MUCOADHESIVE IN
10 PCP017 SITU GEL OF METRONIDAZOLE BENZOATE:ß- Ms. Hina L Bagada 507
CYCLODEXTRIN FOR PERIODONTAL CAVITY
Dr. Hitesh Jain
11 PCP027 Herbal transdermal patch Dr. Dhananjay B. Meshram 519
Ms. Veedhi Rajendrakumar Rathawa
A clinical study to evaluate efficacy and safety of Dr. Sunita Shailendra Goswami
12 PCP033 subcutaneous methotrexate and oral methotrexate in 525
Mr. Hardikkumar G Dodiya
patients with early rheumatoid arthritis
Detail study of soil actinomycetes near herbal
13 PCP035 medicinal plant azadirachta indica area in search of Mr. Darshit Vasabhai Ram 534
quality antimicrobial compound
Comparative effect of the acetone and chloroform
fractions of methanolic extract of lagenaria siceraria
14 PCP037 Mr. Rakeshkumar Parsottambhai Prajapati 543
(molina) standley fruits on marble-burying behavior
in mice: implications for obsessive-compulsi
Dissolution enhancement of nisoldipine using porous Ms. Ashwini Dilipbhai Patel
15 PCP039 553
carrier Dr. Manisha S Lalan
Nano scaled carriers based transdermal drug delivery
16 PCP041 of actives : optimization of critical quality attributes Dr. Prachi Pandey 560
and exploration of efficient action in arthritis .
Derivative spectrophotometric method for estimation Dr. Dimalkumar Arunbhai Shah
17 PCP043 of mirabegron and solifenacin succinate used in the Ms. Pooja Jagdish Tahilramani 568
treatment of overactive bladder syndrome Ms. Khyatiben Vijaykumar Upadhyay
Oral solid dosage form carrying the antioxidant Dr. Prachi Pandey
18 PCP044 575
activity of pomegranate peel extract Ms. Payal Maheshbhai Parmar
Stability indicating rp-hplc method development and Ms. Priyanka M Yadav
validation for estimation of xylometazoline
19 PCP046 586
hydrochloride and ipratropium bromide in Dr. Hiral J Panchal
pharmaceutical dosage form
Novel oral aerosol of vardenafil for the treatment of Dr. Prachi Pandey
20 PCP047 593
erectile dysfunctioning Mr. Rushi Jawaharbhai Trivedi
Preparation and characterization of binary and ternary
21 PCP050 inclusion complex nanosponges of carbamazepine in Ms. Rashmi Prabhakar Jagtap 598
hpßcd and pvp polymer
Dr. Saikat Pande
Development of floating microspheres by doe
22 PCP053 Ms. Janu Alkeshkumar Vashi 605
approach to improve bioavailability of loratadine
Dr. Ajay Babulal Solanki
Stability indicating rp-hplc method development and
23 PCP054 validation for simultaneous estimation of nebivolol Ms. Anjanaben Anilbhai Bera 611
hcl and cilnidipine in tablet dosage form
Formulation, evaluation and optimization of novel Dr. Prachi Pandey
24 PCP055 vesicular topical gel of betamethasone dipropionate Ms. Vaishnavi Pravinbhai Patel 623
for psoriasis Mr. Hardik Sanjaykumar Shah
Novel liquid chromatographic method for analysis of Ms. Dhruvi Anilkumar Prajapati
25 PCP058 trazodone hydrochloride in the presence of its related 632
Dr. Shailesh Karshanbhai Koradia
substances
Stability indicating rp-hplc method for simultaneous Dr. Hiral J Panchal
26 PCP062 estimation of mupirocin and halobetasol propionate in 639
Ms. Vanessa Richardson James
pharmaceutical dosage form
Formulation and evaluation of microemulsion loaded
27 PCP075 Dr. Sunita A Chaudhary 646
gel of diacerein for psoritic arthritis
Isolation, characterization and estimation of an active
28 PCP078 Dr. Sindhu Balganesh Ezhava 652
constituent from aegle marmelos.
Clinical investigations into benefits of dolichos
29 PCP079 Dr. Siddhiben Umeshkumar Upadhyay 659
biflorus with reference to its antiutolithiatic activity
Ms. Zubiya I Surti
30 PCP082 Topical spray of misoprostol for treatment of burns Dr. Naazneen I Surti 673
Mrs. Janki Vikramsinh Parmar
Synthesis and biological evaluation of novel
31 PCP091 Mr. Nilesh Subhash Khairnar 678
quinazoline derivatives as an anticancer agent
A study on regulatory requirements to prevent
32 PCP092 Mr. Rahul Kiritkumar Jadav 685
counterfeit drugs in usa, europe and india
Segment III – Pharmacy - Part II – Abstracts Of Papers Presented During The Conference 691
Surface solid dispersion approach for solubility and

33 PCP042 dissolution enhancement of poorly soluble fenofibrate Ms. Ruby Robert Christian 693
and rosuvastatin calcium in fixed dose combination
Segment IV – Engineering - Part 1 – Full Papers 695
Sr. Page
Paper ID Paper Title Author Name
No. No
Selection and investigation of solvents based on Mr Krunal Jagdishchandra Suthar
1 PCE270 thermodynamic predictive model for an extraction Dr MILIND H JOSHIPURA 697
of phenol from waste water Ms Heena Ashokkumar Yadav
Dielectric constant of nickle oxide nanoparticles in Ms SHIVANI SINGH
2 PCE149 704
presence of polyvinylpyrrolidone (pvp) Dr Naina Harish Tahilramani
Study on the effect of kinetic parameters on Ms Ujvala P. Christian
controlled release of chlorpyriphos through
3 PCE125 711
polyurea shell synthesized by interfacial Dr SHRIKANT J. WAGH
polycondensation
Ionic liquids for pretreatment of lignocellulosic
4 PCE122 biomass: technology for enhanced biofuel Prof RIMA CHANDRESH GAJJAR 720
production
Ms Anjali Manubhai Patel
Development of looping system for Recycling of
5 PCE095 Prof Minarva Jignesh Pandya 726
Urinal wastewater using Electrolytic process
Mr Nirjar Rajendra Bhatt
Prof Darshan Jayeshbhai Mehta
Rainfall Trend Analysis Using Non-parametric Mr Mohammed Husain Mohammed
6 PCE080 735
Test: a case study of Jaffna District, Sri Lanka Suhail
Mr Rasenthiram Athavan
Performance Evaluation of Submerged Membrane Prof Minarva Jignesh Pandya
7 PCE103 Bioreactor Using Physical Reciprocation For Mr Nirjar Rajendra Bhatt 744
Fouling Prevention Ms Rashmikumari Vinod Singh
Analysis and design of overhead water tank by
using precast concrete components beam and Mr KURBANHUSEN ISMAILBHAI
8 PCE009 752
column with vertical and lateral loads resist MOMIN
connection
Groundwater characteristics in different zones of Mr DHARMENDRA VASANTLAL
9 PCE042 767
surat, gujarat, india. JARIWALA
Dendrochronology of tectona grandis and it’s Prof M K Vyas
10 PCE312 correlation with weather parameter- temperature 776
and precepitation Mr ALAY N MEHTA
Application of Electromagnetic field as a polishing Ms Dipika Valabhai Parmar
11 PCE124 791
treatment of dairy effluent for reuse Prof Bina Birenkumar Patel
Determination of heavy metal contamination of
12 PCE302 Ms Himani Pandey 797
mahi river in gujarat region
Analytical investigations for unlined canal seepage Dr Niranjan Markandray Trivedi
13 PCE206 805
of jojwa- wadhwana irrigation scheme Ms Sherin Saul Christian
Assessment of vehicular air pollution using Prof Bina Birenkumar Patel
14 PCE135 816
operational Street pollution model (OSPM) Ms Sonali Devalubhai Patel
Ms Hettal Mahendrakumar Tokle
Ms Fiza Usmangani Meghrajiya
Application of gis in public transportation system
15 PCE170 Ms Sunhera Hanifbhai Memon 826
(conceptual study)
Ms Yax Rakeshkumar Suthar
Ms Ayesha Sharique Syed
Ms VANDANA PRASHANT PANDYA
16 PCE041 Study of Lift Irrigation method in Tapi District 829
Prof Rina Kamlesh Chokshi
Application of response surface methodology for Ms BHASHA CHANDRESH MEHTA
17 PCE105 the treatment of dye intermediates wastewater by 836
hydrodynamic cavitation Ms HUMA S SYED
Identification of potential for Recharge in
18 PCE005 Sabarmati river basin of North Gujarat, India. Dr SAMTA PARAG SHAH 846
Using remote sensing and GIS techniques
19 PCE301 Virtual trainer: perfection in exercise form Mr Chhatrapalsinh Mahendrasinh Zala 858
Indian sign language recognition for
20 PCE233 communication between deaf people and normal Mr Hamirani Hardik Rameshbhai 865
people
An Improved Decision Tree For Enhancing
21 PCE204 Ms Ria Nayanbhai Paneri 873
Classification Techniques in Datamining
Enhanced load balancing techniques using hybrid
22 PCE205 Ms Farjana Hasambhai Girach 886
approach in cloud computing
Mr Mahesh H Panchal
A Survey on Various Attacks over Smartphone
23 PCE231 Ms Hardika V Menghani 897
through Camera
Mr Bharat V Buddhadev
Androvasion: a stealthy trojan using evasion in Mr Bharat V Buddhadev
24 PCE280 android for exposing privacy based content over 905
sound channel Ms Ketaki Anandkumar Pattani
Separable Reversible Data Hiding using RGB
25 PCE242 Dr Dimple Chandrakant Anandpara 916
Image
A Comparative Study on Student Attendance
26 PCE268 Ms PINALEE B. RATHOD 926
Management System
Ms Krupali J Joshi
A Survey on Different Attacks over Microphone in
27 PCE232 Ms Seema B Joshi 930
Smartphone
Mr Bharat V Buddhadev
A Study on Concept Drift Detection in Mr Viral Shah
28 PCE333 937
Classification Method of Data Stream Mr Bhavesh Tanawala
Mr Priyank Nipam Bhai Patel
Improvement of Distribution Network Performance Mr Tej Ajitkumar Shah
29 PCE254 944
by Reconfiguration Mr Namra Hareshkumar Shah
Prof Chintan R Patel
Ms Honey M Popat
30 PCE246 Plasmonic nanoparticles for solarcell applications Mr T Shiyani 952
Dr J H Markna
Mr KETAN KISHORKUMAR
A review on use of automation techniques in ACHARYA
31 PCE030 957
diagnosis and prediction of chronic diseases
Dr UTPAL T PANDYA
Text to Image Generation Using Generative Ms Shradhdha Kaushikbhai Shukla
32 PCE315 966
adversarial Network Prof Khyati D Chavda
Segmentation approach based gujarati handwritten Ms Kajalben Haridattbhai Vyas
33 PCE316 973
word recognition system using machine learning Mr Narendrasinh B. Gohil
A review on desing of frequency selective surface Ms Dheemahi Kamalkumar Bhatt
34 PCE317 982
for stealth technology application in military Prof Shailendrasinh B. Parmar
Economic solution provide traceability to force
35 PCE123 transducers used in weighing and force application Mr Dipakkumar Kanubhai Prajapati 993
by the primary method
Technological advancements in Sustainable fuels Mr Shah Jinesh Bipinbhai
36 PCE120 production from biomass– A research insight 998
through review and future direction Dr Janak B Valaki
Computer aided design for the component of
37 PCE193 Dr VRATRAJ KALADHAR JOSHI 1013
centrifugal process pump
Current research trends in electric discharge Ms UTTAKANTHA AJAY DIXIT
38 PCE224 1026
machining under rotating tool electrode: a review Dr PIYUSHKUMAR B TAILOR
Mr DHAVAL MAHESHKUMAR
Effect of tool rotational speed and tool travel speed MODI
39 PCE190 1035
on friction stir weld: a review
Dr SHAILEE G ACHARYA
Mr Ankit Dilipbhai Patel
A review on micro-channel heat sink for heat
40 PCE228 Dr P V RAMANA 1055
transfer enhancement
Mr CHETAN OMPRAKASH YADAV
Design and experimental analysis of solar air
41 PCE007 Mr Heminkumar Vardhilal Thakkar 1066
collector for solar desalination system
Comparative evaluation of arc welding processes Dr Hemantkumar R Thakkar
42 PCE091 on pitting corrosion and mechanical properties for Mr SAGARKUMAR INDRAVADAN 1072
duplex stainless steel weld SHAH
A Review on Seamless Integration Between Mr PATEL BINTUL JITENDRABHAI
43 PCE219 CAD,CAPP and CAM Software by Using the STEP 1086
Data For Rotational Part. Mr VISHWANATH S BALI
Performance Evaluation and Selection of FMS Dr S H Sundarani
44 PCE255 system using Multi Criteria Decision Making 1096
(MCDM) Dr M. N. Qureshi
Mr Dhavalkumar Bharatbhai Prajapati
Design and Optimization of the Liquid Chiller Tank Mr Suthar Arpit Ghanshyambhai
45 PCE019 1106
Using SS Shred around the Inner Tank Mr Valand Kiran Mukeshbhai
Mr Vora Adesh Jamanbhai
Second order modeling and cyclic analysis of pulse Prof Udaykumar Vitthalrao Joshi
46 PCE285 1116
tube refrigerator with hybrid regenerator Dr V D Dhiman
Conversion of a Single Gas Rotameter to Measure Mr Dhavalkumar Bharatbhai Prajapati
47 PCE017 1130
Volume Flow Rate of Different Gases Mr A K Sahu
A Technical review on fusion welding of Al-Mg-Si Mr Pratik Tansukhray Kikani
48 PCE066 1139
alloy for Mechanical properties. Dr Hemantkumar R Thakkar
Segment IV – Engineering - Part II – Abstracts of Papers Presented during the Conference 1149
Thymol loaded sodium alginate and ethyl cellulose Dr SHRIKANT J. WAGH
49 PCE133 microparticle by precipitation: a comparative 1151
approach Mr YASHAWANT P. BHALERAO
Treatment of municipal waste water by pyrolysis of
50 PCE155 Ms KINJAL RASIKBHAI ROKAD 1152
municipal sewage sludge
Integration of Ag doped tio2 Nano particles, carbon Mrs Darshana Tushar Bhatti
51 PCE192 and tio2 nano particles in Solar Photo-Fenton Mr Nikul M Dave 1153
Process for Pharmaceutical Effluent Treatment Mr BRIJESH B KARKAR
52 PCE217 Rotary valve vased PSA Prof Kinjal Maulik Patel 1154
Tio2 -GO the nanomaterial and their composites for Ms Deepa Sadashiv Kshirsagar
53 PCE234 the photocatalytic activity and the morphological 1155
study Prof RAJARAMAN S T
A review on feasibility study on removal of
54 PCE245 hexavalent chromium (cr+6) ions from aqueous Mr YASH AMIN 1156
solution using electrocoagulation
Molecular event based kinetics modeling of
55 PCE304 Ms Kajalben Vijaykumar Purohit 1157
oxidative coupling of methane
Prof Darshan Jayeshbhai Mehta
Sustainable design proposals for improve the
56 PCE008 Prof KEYUR JAYANTIBHAI 1158
growth of kawas village
PRAJAPATI
Prof BHASKER VIJAYKUMAR
BHATT
Spatio-Temporal analysis of Urbanization in Surat
57 PCE033 Dr Neerajkumar Dineshchandra Sharma 1159
region
Dr SHASHIKANTKUMAR KHUBLAL
MANDAL
Mr RUDRESH RAJANIKANT JOSHI
Assessment of rainwater harvesting systems in rural
58 PCE051 Mr Jaysan Mahendrabhai Gohil 1160
areas: a case study
Mr Charmin Jarsania
Water quality assessment of gavier lake – surat, Mr DIPESH CHITTARANJANBHAI
59 PCE064 1161
gujarat RAJPUT
Optimization of embodied energy for low energy Mr RAHUL DHIRUBHAI CHAUHAN
60 PCE077 1162
green concrete Mr Ajaysinh R Vaghela
Exploring the impact of human hair as a fiber in Mr SHAAQIB HUSAIN ADAM
61 PCE085 1163
concrete mix design for rigid pavement BASHIR MANSURI
Ms CHANDNI MAHESHBHAI PATEL
Mr YASH ULLASBHAI SHAH
Ms RENUKA KAILASHGIRI
GOSWAMI
Prof CHANDRAVADAN
BANWARILAL MISHRA
Impacts of Land Use/Land Cover Changes on
62 PCE089 Surface Temperature of Palam in Delhi Region, Dr Surendra Pratap Singh 1164
India
Sponge Neighbourhood in Indian Context:A Mr Ridham Vinodbhai Moradiya
63 PCE096 Stratagic Planning For Storm Water Management 1165
And Water Conservation Prof Mital J. Dholawala
Ms ANJALEE RAMCHANDANI
Assessment of Ambient Air Quality Using Sensor VASUDEV
64 PCE100 1166
Based Mobile Monitoring System
Prof Amruta Shailendra Kuhikar
Reduction of Color From Industrial effluents using Ms PARMAR KRISHNABEN
65 PCE106 1167
Polymeric Adsorbent Resin GIRDHARLAL
Application of Remote Sensing and GIS in Flood:A
66 PCE117 Mr Dhruvesh K Mathur 1168
case study of Villages near Mahi River in Gujarat
Ms Sarah M Sharique Syed
Feasibility study for hardness removal using
67 PCE119 Mr Nirjar Rajendra Bhatt 1169
electrolytic process: lab scale and pilot scale
Prof Amruta Shailendra Kuhikar
Pilot scale study of vermifiltration for food
68 PCE127 Mr HARSH BAHECHARBHAI PATEL 1170
processing industry wastewater
Mr CHIRAGKUMAR
PRANJIVANBHAI KAVAR
69 PCE130 Sustainable pervious pavement design Mr APURVA JAGDISHBHAI PATEL 1171
Prof BOSKI PRANAV CHAUHAN
Study on perfomance of concrete by partial
70 PCE131 replacement of fine aggregate with non Mr DEEP AMRUTLAL BHALANI 1172
biodegradable waste
Mr Nirmalkumar Atulbhai Patel
Optimization of Removal Efficiency of PM Control
71 PCE145 Mr GAURANGKUMAR HAZARIBAN 1173
Equipments For Existing Textile Boiler
BAN
Mr DAYANAND TAK
Use of Kota Stone Slurry/Powder to Improve
72 PCE146 Prof Jitendra Kumar Sharma 1174
Engineering Properties of Expansive Soil
Prof Kamaldeep Singh Grover
A case study on water quality of gomti lake-a
73 PCE158 Mr MEET SURESHBHAI PRAJAPATI 1175
pilgrimage place located in dakor,gujarat
Prof CHANDRAVADAN
Scientificaly evaluating the usage of crumb rubber BANWARILAL MISHRA
74 PCE177 Mr Vatsal Hasmukhbhai Patel 1176
powder for soil stabilization
Mr Kanishq Sharma
Dr Niranjan Markandray Trivedi
75 PCE207 Experimental study on canal seepage 1177
Ms Sherin Saul Christian
Evaluation of Compressive strength of R.C.C Mr BHARGAVKUMAR KABABHAI
76 PCE218 1178
Column Strengthened Using Ferrocement JINJALA
Mr Ravikumar Ajitbhai Jadav
Reduction of Particulate Matter Concentration at
77 PCE292 Mr GAURANGKUMAR HAZARIBAN 1179
Traffic Booth Using Different Filter Assembly
BAN
Mr KRUNALKUMAR
Decentralize management system for municipal VALLABHBHAI DESHMUKH
78 PCE293 1180
solid waste in major municipal corporation Mr GAURANGKUMAR HAZARIBAN
BAN
Mr CHIRAGBHAI VINODBHAI
Treatment of cetp influent by hydrodynamic CHOTALIYA
79 PCE294 1181
cavitation Mr GAURANGKUMAR HAZARIBAN
BAN
Nitrate and Fluoride Concentration in Groundwater: Prof Minarva Jignesh Pandya
80 PCE328 1182
A case study of Mehsana district, Gujarat Ms Kanani Niyati Arvindbhai
Improved route selection method of TORA based
81 PCE015 Ms Jenisha Pramodbhai Lakhtariya 1183
on lifetime over Mobile Ad Hoc Network.
82 PCE076 Survey on hidden incumbent problem in 802.22 Ms KHUSALI HARENDRA OBHALIA 1184
Mr Swapnil Maheshkumar Parikh
Mr Varun Bhrugeshkumar
A systematic review: approaches of machine Brahmakshatriya
83 PCE154 Ms Shreya Vijay Nimbhorkar 1185
learning for intrusion detection system
Mr Om Ramniklal Vora
Ms Khyaati Pandita
Mr Mihir Dineshbhai Mehta
Comparative study of AODV and AOMDV
84 PCE187 Mr Vinay Narendrabhai Soni 1186
Protocol in MANET
Mr Chintan Kiritkumar Bhavsar
Human activity identification using hybrid
85 PCE203 Ms Tarunika Dursinhbhai Chaudhari 1187
approach
Real time facial landmarks detection using
86 PCE215 Mr Bassar Ahemed Mo Muzammil Patel 1188
cascaded deep neural network
Review Paper on Forensic Analysis on Android
87 PCE264 Ms KHUSHALI BHARATBHAI VALA 1189
Mobile Application
A Review on Android Based Mobile Application
88 PCE265 Ms Sunali Jayantibhai Jogsan 1190
Security
89 PCE271 Wannacry Ransomware: A Review Ms SRUSTI DILIPKUMAR MEHTA 1191
Mr Dhawal Punamchand Khem
Mr Nishit Rajeshbhai Trivedi
90 PCE272 Web based auto timetable generator 1192
Mr Ashutosh Devesh Sharma
Mr Hemant Arvindbhai Solanki
Review on url based phishing attack detection
91 PCE273 Ms PRANALI PURNENDU OZA 1193
techniques
Ms BINJALBEN NARENDRABHAI
92 PCE307 A survey on human activity recognition SUTHAR 1194
Ms PINAL J PATEL
Knowledge based Expert System for Medical Ms DIKSIKUMARI MUKESHBHAI
93 PCE322 1195
Disease Diagnosis SUTHAR
Comparing Sensor Networks and Interrupts with
94 PCE337 Mr Bassar Ahemed Mo Muzammil Patel 1196
Hob
Mr HARSHADKUMAR DAHYALAL
A review on Integrated Renewable Energy System PATEL
95 PCE036 1197
based power generation for off grid rural area Mr VAIBHAV HARSHADKUMAR
PATEL
Maximum Power Extraction from Photovoltaic Mr Rasik Dayabhai Bhagiya
96 PCE043 1198
Array using dc-dc Boost Converter Dr Rajesh Patel
From Smart Grids to an Energy Internet: A Review
97 PCE210 Prof ROZINA RAJESH SURANI 1199
Paper on Key Features of an Energy Internet
Mr Suryakant Gupta
98 PCE244 Power quality improvement techniques Mr SAURABH SAMARBAHADUR 1200
YADAV
An overview of sodium sulfur battery technology
99 PCE253 Dr Deepak Kumar 1201
for energy storage
Mr Paras Budheshbhai
Various Control Techniques of Home Automation
100 PCE313 Mr Rudra Gopal Umraliya 1202
System
Mr Chirag Pareshbhai Pandya
An enhance approach of energy efficient zone base
101 PCE044 Ms TINKAL RAJNIKANT PATEL 1203
routing over manet
A Design of Microstrip patch Antenna for gain Ms Varsha Kishorbhai Gohil
102 PCE093 1204
enhancement using paper substrate Ms Mayuri Prajapati
A review on mechanical measurement of inflatable Mr DHARMENDRASINH JEELUBHAI
103 PCE262 1205
antenna REVAR
Mr Meet Nareshbhai Sarvaiya
Mr Shivam Bharatbhai Joshi
Design of arduino controlled robotic arm using
104 PCE277 Mr Harsh Jayeshbhai Patel 1206
esp8266
Mr Chirag Himantbhai Vaghani
Mr CHETAN N. CHAUHAN
Enrichment of ultrasound images using noise Ms Reema Rajankumar Parekh
105 PCE235 1207
reduction techniques: review paper Dr Manish Thakker
Implimentation of data fusion algorithm on indoor Dr Manish Thakker
106 PCE274 1208
environment monitoring system Ms ZEAL RAJESH SINGH
Rotating Vane Swirler Using Atmospheric Ambient
107 PCE010 Prof Mansha Kumari 1209
Air in Combustion Chamber.
Dr ALPESH VIRENDRABHAI
Algae biodiesel: a sustainable fuel for solution of MEHTA
108 PCE011 1210
major global problems
Dr Nirvesh Sumanbhai Mehta
Development and Implementation of ESW overlay Mr BRIJESHKUMAR RANJITSINH
109 PCE034 1211
for MONEL 400 PADHIYAR
Vibrational dynamics of a cu60zr20hf10ti10 bulk
110 PCE037 Dr ADITYA MAHABHAI VORA 1212
metallic glass
An empirical review on characteristics of pulse Mr Sachindra Jagdishbhai Doshi
111 PCE038 1213
parameters of pulsed metal inert gas welding Dr Dr. D.B. Jani
Prof KIRANKUMAR KACHRAJI
A Comparative study of different geometry of BHABHOR
112 PCE040 Mr DEEP GOVINDBHAI LALKIYA 1214
Rotary Desiccant Dehumidifier
Dr Dr. D.B. Jani
Mr Pranav Pareshbhai Darji
Comparison of kinematic analysis of modified theo Mr Keval Vipulkumar Bhavsar
113 PCE045 jansen mechanism based robot made of pla and Mr DHARMIK PRAVINBHAI GOHEL 1215
mild steel Mr Jitendra Kamleshbhai Modi
Mr Umang Vijaykumar Parmar
Phase change materials and components for Dr Ronakkumar Rajnikant Shah
114 PCE046 medium and high temperature thermal energy 1216
storage system – a review Mr MAYUR KUMAR SOLANKI
Prof SUNIL JAYANTILAL
PADHIYAR
115 PCE060 Artificial muscles: robotics application Ms PRATIKSHA AWASTHI 1217
Prof RUPANDE NITINBHAI DESAI
Mr JAYAL C. GANDHI
Lubrication system and lubrication for sustainable
116 PCE067 Dr SHASHANK J. THANKI 1218
machining: recent trends and future direction
Dr JAYKUMAR J. VORA
Minimization of gas porosity defect in no-bake Mr Manojkumar Vitthalbhai Sheladiya
117 PCE072 casting using artificial neural network and genetic 1219
algorithm Dr Shailee Ghanshyambhai Acharya
A review paper on optimization of multiple process Dr SHASHANK J. THANKI
parameters of electrical discharge machine for Dr JAYKUMAR J. VORA
118 PCE079 1220
machining of commercially pure titanium and its Mr RUCHIT NARENDRABHAI
alloys GOHIL
Dr Hemantkumar R Thakkar
A Comparative study of PVD and CVD coated
119 PCE092 1221
inserts used for improvement of cutting tool life Mr KEYUR VITTHALBHAI PARMAR
Prof DHAVAL A PATEL

Design and optimization of thin and thick pressure
120 PCE094 Mr DHIRAJKUMAR SHANKARLAL 1222
vessel
PRAJAPATI
A review on residual stress in friction stir welding: Mr SAMIR KANAIYALAL RAVAL
121 PCE102 causes, measuring techniques, nature of Dr KESARABHAI BHIKHABHAI 1223
distributions, consequences and control JUDAL
Mr RAJNIKANT RAMESHBHAI
A literature review on plant layout optimization PANDYA
122 PCE108 1224
using craft in manufacturing industry Mr KRUNAL THAKORBHAI
TANDEL
Drag Reduction by Active Flow Control for Mr MEETKUMAR K. PATEL
123 PCE118 1225
Simplified Model Vehicle Mr KRISHNA KUMAR
Machining of metal metrix composite (mmc) Mr NIRAVKUMAR JAYANTIBHAI
124 PCE121 materials by ultrasonic assisted electric discherge PRAJAPATI 1226
machining (usaedm): a research review Dr Bharat C. Khatri
Cavitation identification and prevention in Mr DHARMADIP P. RAJ
125 PCE126 1227
centrifugal pump Mr SUMIT D. RATHOD
Mr ANAND DARJI
Design of unique Landing gear by Simulation of
126 PCE128 Mr DARSHIT GAJERA 1228
Bird’s Leg
Mr JIGNESH VALA
Energy and Exergy Analysis of Bio fuel Blends Mr Siva Krishna Turlapati
127 PCE129 1229
used in Internal Combustion Engines Mr Kamaltej Malineni
Activated tig welding – a systematic review of its
128 PCE136 Mr Joel V. Daniel Tharaken 1230
process and parameters
Comparison of an evacuated tube solar collector Dr Dr. D.B. Jani
and parabolic trough solar collector using trnsys
129 PCE137 1231
simulation software for weather condition of Mr Mohsin Jamilahmed Dadi
ahmedabad and cherrapunji
Production of Bio-ethanol from Sweet Sorghum for Mr Hitarthkumar Rajeshkumar Surati
130 PCE141 Engine Utilization as Alternative Fuel in Spark 1232
Ignition Engine Dr Dipak C Gosai
A review on parametric investigation of tube Ms NUSARATJAHAN A. RAJ
131 PCE144 hydroforming process using fea & numerical 1233
analysis Mr VIJAYKUMAR R. PAREKH
Mr JAYESH KUMAR SANJAY PATIL
132 PCE160 A review on crack analysis 1234
Mr VISHAL B SUKHADIA
Study and development of green elastomeric Prof RIYAZ YUSUFBHAI MODAN
133 PCE161 1235
compounds Mr AKASH MUKESHBHAI LIMBANI
Mr GNANU GHANSHYAMBHAI
Change in design of non pneumatic tire with use of BHATT
134 PCE164 1236
polyurethane elastomer. Mr RAVIRAJ JITENDRAKUMAR
PATEL
Investigating effect of Ultrasonic drilling Mr KETAN S. VAGHOSI
135 PCE168 parameters on drill hole diameters of GFRP 1237
composites Dr GHANSHYAM D. ACHARYA
Liquid na1-xkx alloy: a thermodynamical Dr ADITYA MAHABHAI VORA
136 PCE175 1238
investigation Prof Rajesh C. Malan
Mr ANAND DARJI
Design, analysis and modification of rigid curved
137 PCE179 Mr JIGNESH VALA 1239
kite wing
Ms Naisargi Ajaybhai Belani
A review paper on solar dryer use for drying Mr Harshit Prakashbhai Bhavsar
138 PCE188 1240
fruits,vegetables and other food Mr CHETANKUMAR M PATEL
Prof HARSHADKUMAR DEVJIBHAI
Review on tools for design of sustainable SANTOKI
139 PCE191 manufacturing system framework for ceramic tiles 1241
industry Dr G. D. Acharya
Scope of 3d printed pattern in the field of sand Dr Shailee Ghanshyambhai Acharya

140 PCE209 1242
casting-a review Mr Jigarkumar Rakeshbhai Patel
State of the art of process parameters on geometric Mr ABHI KULIN SHAH
141 PCE212 accuracy, surface roughness and energy Prof HARDIKKUMAR RASIKLAL 1243
consumption in incremental sheet forming DODIYA
Prof HARDIKKUMAR RASIKLAL
DODIYA
A review on pocket machining: used tool path and
142 PCE214 Dr DIVYANG D PATEL 1244
feed rate optimization technique consequences
Mr BAVARAMANANDI
SWETANGKUMAR KRUSHNADAS
A review on influence of welding characteristics on Mr ABHI KULIN SHAH
143 PCE216 responses of ultrasonic assisted laser beam Prof AJAYKUMAR MANAND 1245
processes SOLANKI
Design and development of lug using micro-cellular Mr VISHWANATH S BALI
144 PCE221 1246
injection molding - a review Mr Chiragkumar Somabhai Patel
Modal analysis of face mill tool with different shim Prof Nayana Bhadresh Gandhi
145 PCE223 1247
material Dr Divyang Pandya
Mr SAURABH ANILKUMAR BAN
A review on Effect of Fused Deposition Modeling Mr JAIMIN VIRENDRAKUMAR
146 PCE239 1248
Process Parameter on Response Parameter THAKKAR
Dr AKASH B PANDEY
Mr Bhupendra Subhash Patil
Performance Analysis of a Single Cylinder Diesel
147 PCE289 Dr RAJESH CHELLAPPAN IYER 1249
Engine Fuelled With Water Diesel Emulsion Fuel
Dr Dipak C. Gosai
MATHEMATICAL MODELING OF A ROTOR- Dr V D Dhiman
BEARING SYSTEM FOR TRANSIENT
148 PCE291 1250
ANALYSIS USING MATLAB CODE AND Ms Mili Jayakrishana Hota
dyrobes©_ROTOR DYNAMICS SOFTWARE
Improvement of a structural framework to improve
Mr ASHISHKUMAR BHANABHAI
149 PCE298 sustainable supply chain acceptance- An ISM-fuzzy 1251
PATEL
MICMAC approach
Literature review on air/non-newtonian two phase Mr BRIJESHKUMAR R. PATEL
150 PCE325 1252
flow in mini rectangular channel Mr KRISHNA KUMAR
Different test methods for optical and thermal Ms YOGESHWARIBEN P. THAKOR
151 PCE326 1253
performance of solar concentrators: a review Mr HARDIK M PATEL
Mr PARTH BALVANTBHAI
Additive manufacturing of composite materials in LIMCHIYA
152 PCE327 1254
fused deposition modelling: a review
Mr JAYDEEP RAJESHBHAI SHAH
Proceedings of Multi-Disciplinary International Conference – GTUICON2019
Segment - I
Information Related
to
Dignitaries and Themes of the Conference
1 ISBN: 978-93-5351-069-5
CHIEF PATRON
Prof. (Dr.) Navin R. Sheth
Vice Chancellor, Gujarat Technological University, Ahmedabad
PATRON
Dr. J. C. Lilani
In-charge Registrar, Gujarat Technological University, Ahmedabad
CO-PATRON
Prof. (Dr.) S. D. Panchal
Former In-charge Registrar, Gujarat Technological University, Ahmedabad
CONVENORS
Mr. Hitesh Gujarati

Research Associate,
Centre for Financial Services, Graduate School of Management Studies,
Gujarat Technological University,
Ahmedabad
Dr. Sarika Srivastava

Assistant Professor, Graduate School of Management Studies,
Ahmedabad
Dr. Keyur Darji

Deputy Director & Head, Department of International Relations,
Ahmedabad
ISBN: 978-93-5351-069-5 2
KEY NOTE SPEAKERS
MANAGEMENT
14-03-2019
Ms. Rama Moondra

Mr. Jagat Shah
Consultant & Trainer,
Founder - Global Network & Cluster Pulse
Alumnus of Indian Institute of Management
Ahmedabad
Calcutta
Dr. Zdzislaw Polkowski Mr. Sanjay Chakraborty

Rector’s Representative for International Founder and Chief Marketing Advisor,
Cooperation and Erasmus + Programme in
ESSKSEE Consultancy
Jan Wyzykowski University in Polkowice,
Poland
PHARMACY
15-03-2019
Dr. Ketan R. Patel,

Chairman & Managing Director,
Troikaa Pharmaceuticals Limited,
Ahmedabad
Prof. Saranjit Singh – Professor

National Institute of Pharmaceutical Education and Research (NIPER),
Mohali, India
Abdelwahab Omri
The Novel Drug and Vaccine Delivery Systems Facility,
Department of Chemistry and Biochemistry
Laurentian University, Sudbury, Ontario, Canada
Manish Bajaj
M. Pharm, DIM, DIBM
Head - Regulatory Affairs, APCER Life Sciences
ENGINEERING
16-03-2019
Prof. (Dr.) Suresh M. Deshpande

EMU, JNCASR, Bangalore
3 ISBN: 978-93-5351-069-5
ADVISORY COMMITTEE MEMBERS
MANAGMENT
Dr. Trupti Almoula
Dr. Pankajray Patel
Dean Management Studies & Director
Director, GTU, Ahmedabad
(NIM, Bharuch)
Dr. S. O. Junare
Dr. Hemant Trivedi
Professor,
Chairman, School of Communication,
Gujarat Forensic Science University,
Flame University, Pune
Gandhinagar
Dr. Hemant Kothari
Dean, PG, Pacific University, Udaipur
PHARMACY
Dr. C. N. Patel
Dean- Pharmacy, GTU & Principal, Dr. Rajesh Parikh
Director, GTU & Coordinator - Advisory
Sarvajanik Pharmacy College Committee
Dr. Sunita Goswami

Dr. Mahesh Chabbaria
Associate Professor, L.M. College of
Principal, L.M College of Pharmacy
Pharmacy
Dr. Vimal Kumar
Principal, ITM Universe
ENGINEERING
Prof. (Dr.) J. C. Lilani Dr. Makarand Karkare
I/C Registrar, GTU Director, School of Engineering and
Technology, GTU
Coordinator - Advisory Committee
Mr. Mahesh Panchal Dr. G. P. Vadodaria
Deputy Director, GTU Dean, Engineering, GTU
Co-Coordinator – Advisory Principal, LDCE
Committee
Dr. Rajul. K. Gajjar Dr. R. A. Thakker
Principal, VGEC Professor, VGEC
PAPER REVIEW COMMITTEE MEMBERS
MANAGMENT
Dr. Rajesh Khajuria
Dr. S. O. Junare
Director,
Professor,
C. K. Shah Vijapurwala Institute of
Management,
Gandhinagar
Vadodara
Dr Vijay Pithadia Dr. PGK Murthy,

Director, Dean (Doctoral Program)
Sri Aurobindo Institute of Management Parul University,
Rajkot Vadodara
ISBN: 978-93-5351-069-5 4
Dr. Narayan Baser

Dr. Mamta Brahmbhatt
Associate Professor
Associate Professor
School of Petroleum Management,
B. K. School of Business Management
Pandit Deendayal Petroleum University,
Ahmedabad
Gandhinagar
Dr. Parimal Trivedi Dr. Chirag Rathod
Registrar (I/c) Project Leader,
Sakanlchand Patel University, Visnagar Centre for Entrepreneurship Development
Dr. Bhavesh Vanpariya Dr. H. N. Misra
Associate Professor Director,
Tolani Institute of Management Studies, The Mandvi Education Society Institute of
Adipur (Kutch) Business Management & Computer Studies,
Dr Ravi Vaidya Dr. Mayur Shah
Associate Professor Associate Professor
S R Luthra Institute of Management Shri Chimanbhai Patel Institute of
Surat Management & Research, Ahmedabad
Dr. Abhishek Parikh
Associate Professor Dr. Trupti Almoula
V. M. Patel Institute of Management, Dean Management Studies & Director
Ganpat University (NIM, Bharuch)
PHARMACY
Dr. Archana Paranjape Dr. Praful Bharadiya
Director, Edutech Learning Solutions Pvt. Professor, Department of Pharmaceutics,
Ltd., Vadodara L. M. College of Pharmacy, Ahmedabad
Dr. Ajay Solanki Dr. Rakesh Patel
Associate Professor, A. R. College of HOD, Associate Dean, Shree S. K. Patel
Pharmacy and G H Patel Institute of College of Pharmaceutical Education &
Pharmacy, Vallabh Vidhyanagar Research, Ganpat University
Dr. Rajnikant Maradia
Dr. Ciddi. Veeresham
Associate Professor, Department of
Professor, Department of Pharmacy,
Pharmaceutical Chemistry, Faculty of
Kakatiya University, Warangal
Pharmacy, DDU, Nadiad
Dr. Sachin Parmar
Dr. Charmi Kothari
Assistant Professor, Department of
Associate Professor, Institute of
Pharmaceutical Sciences, Saurashtra
Pharmacy – Nirma University, Ahmedabad
University, Rajkot
Dr. D. M. Patel
Dr. Sanjeev Acharya
Professor & Director, Arihant School of
Principal, SSR College of Pharmacy,
Pharmacy and Bio Research Institute,
Savitribai Phule Pune University, Silvassa
Uvarsad
Dr. Gayatri Patel Dr. Sunny Shah
Associate Professor, Ramanbhai Patel Assistant Professor, B. K. Modi Govt. Pharm
College of Pharmacy, CHARUSAT, College,
Changa Rajkot
Dr. Jolly Parikh Dr. Tejal Mehta
HOD, Department of Pharmaceutics, A. R. HOD, Department of Pharmaceutics.,
College of Pharmacy, Vallabh Institute of Pharmacy – Nirma University,
Vidhyanagar Ahmedabad
5 ISBN: 978-93-5351-069-5
Dr. Jigna Shah Dr. Tejal Soni

HOD, Department of Pharmacology, Professor, Department of Pharmaceutics and
Institute of Pharmacy – Nirma University, Pharmaceutical Technology, Faculty of
Ahmedabad Pharmacy, DDU, Nadiad
Mr. Trupesh Pethani
Dr. Jayvadhan Patel
Principal, Nootan Pharmacy College,
Visnagar
University, Rajkot
Dr. Kirti Patel Dr. Vandana Patel
Associate Professor, Faculty of Pharmacy, Principal, Babaria Institute of Pharmacy,
M.S. University, Vadodara Vadodara
Dr. Kashyap Thumar
Dr. Vaishali Thakkar
Assistant Professor, Graduate School of
Professor & PhD Coordinator, Anand
Pharmacy, Gujarat Technological
Pharmacy College, Anand
University
Dr. Lalji Baldaniya
Dr. Vandana Gavande
Associate Professor cum I/C Principal,
Assistant Professor, Singhad Institute of
Faculty of Pharmacy, Marvadi Pharmacy
Pharmacy, Pune
College
Dr. Meghna Patel
Dr. Mihir Raval
HOD, Department of Pharmaceutical
Sciences, Saurashtra University, Rajkot
University, Rajkot
Dr. Pragna Shelat
Dr. Neeta Shrivastava
Professor, Department of Pharmaceutics, K.
Assistant Director, B. V. Patel PERD
B. Institute of Pharmaceutical Education and
Centre, Ahmedabad
Research, Gandhinagar
Mr. Devendra Vaishnav
Assistant Professor, Department of Pharmaceutical Sciences,
Saurashtra University, Rajkot
ENGINEERING
Dr. Vyomesh M. Parsana Dr. Latesh B. Chaudhari
Assistant Professor Principal
V.V.P. Engineering College R. N. G. Patel Institute of Technology
Rajkot
Dr. Jaydeepsinh M. Barad Dr. Shashi Vivek Ranga
Associate Professor Assistant Professor
R. N. G. Patel Institute of Technology Govt. Engineering College
Sector 28, Gandhinagar
Dr. Shrikant J. Wagh Dr. Ratnadip R. Joshi
Principal Professor
GPERI MIT World Peace University
Dr. Digant A. Pastagia Dr. Arti Pamnani
Assistant professor Associated Dean
Shree Swami Atmanand Saraswati Institute B & B Institute of Technology
of Technology
Surat
ISBN: 978-93-5351-069-5 6
Dr. Jayeshkumar S. Patel Prof. Darshan Jayeshbhai Mehta

Principal Assistant Professor
Vadodara Institute of Engineering Dr S & S S Ghandhy Government
Engineering College
Surat
Dr. Mohammed Shakil Malek Dr. Nipa A Desai
Principal Principal
F. D. (Mubin) Institute of Engineering and Neotech Institute of Technology
Technology
Dr. Bhavin G. Buddhdev Jitesh Bhupendrarai Oza
Assistant Professor Senior Lecturer
Vishwakarma Government Engineering Government Polytechnic
College, Chandkheda Jamnagar
Dr Arvindkumar M Jain
Dr Sanjay K Dave
Principal
Head of Department
Dr Jivraj Mehta Institute of Technology
B & B Institute of Technology
Mogar
Bhasker Vijaykumar Bhatt
Dr. Dipali Bhaskar Kulkarni
Associate Professor
Professor
Bhaikaka Centre for Human Settlements
ITM Universe
Sardar Patel University
Vadodara
Vallabh Vidyanagar
Dr. Komal P. Mehta
Ms. Hema Vanar
Head of Department
Assistant Professor
ITM Universe
SAL College of Engineering
Vadodara
Amit Ganatra Amit Nayak
Professor Assistant Professor
Devang Patel Institute of Advance Devang Patel Institute of Advance
Technology and Research Technology and Research
CHARUSAT CHARUSAT
Prof Hardik M. Patel
Prof. Dulari bhatt
Assistant Professor
Assistant Professor
Shanker Sinh Vaghela Bapu Institute of
Gandhinagar Institute of Technology
Technology, Gandhinagar
Dr. Vidhi Khanduja Dr. Pradeep Laxkar
Head of Department Associate Professor
SAL Engineering and Technical Institute ITM Universe
Ahmedabad Vadodara
Dr. Tejas Patalia Anandkumar Amrutlal Sutariya
Professor Assistant Professor
V.V.P. Engineering College Shanker Sinh Vaghela Bapu Institute of
Rajkot Technology
Gandhinagar
Dr. Sudhir Vegad Shilpa Serasiya
Head of Department Head of Department
A D Patel Institute of Technology Kalol Institute of Technology & Research
Centre
7 ISBN: 978-93-5351-069-5
Rachit Adhvaryu Rohit kumar Singh

Assistant Professor Assistant Professor
V.V.P. Engineering College Gandhinagar Institute of Technology
Rajkot
Prof. Madhuri Chopade Preeti Baser
Assistant Professor Associate Professor
Gandhinagar Institute of Technology Kalol Institute of Technology & Research
Centre
Dr. Ami Tusharkant Choksi Vishakha Sanghavi
C.K.Pithawala College of Engineering & V.V.P. Engineering College
Technology Rajkot
Surat
Tadhani Jaydeep
Dipesh Vaya
Assistant Professor
Head of Department
Atmiya Institute of Technology and
S S college of Engineering
Science
Rajasthan Technical University
Atmiya University
Mr. Dhaval Sathawara Dr. Dharmesh J. Pandya
Institute of Computer Technology Atmiya Institute of Technology and Science
Ganpat University Atmiya University
Kiran Patel
Paresh Modha
Head of Department
Assistant Professor
Kalol Institute of Technology & Research
A D Patel Institute of Technology
Centre
Dr. Hardik A. Shah Prof. Pratik Munjani
A D Patel Institute of Technology Atmiya Institute of Technology and Science
Atmiya University
Rozina Surani
Gagandipsingh Narendrasingh Khanduja
Assistant Professor
Assistant Professor
Vishwakarma Government Engineering
Marwadi University
College
Rajkot
Chandkheda
Dr. Vishal S. Vora
Assistant Professor Dr. Sanjay N. Sampat
Atmiya Institute of Technology and Head of Department
Science Govt Polytechnic for Girls
Atmiya University Surat
Dr. Dipesh Kamdar Rajnikant Natubhai Rathod

V.V.P. Engineering College L. E. College
Rajkot Morbi
Jatin Chakravarti Dr. Vijayendra Desai
Gandhinagar Institute of Technology L. E. College
Morbi
ISBN: 978-93-5351-069-5 8
Hakani Raj Arvindkumar Dr. Vijayendra Desai

Gujarat Technological University C.K.Pithawala College of Engineering &
Technology
Surat
Dr. Tejas V. Shah Prof. (Dr.) Deepali H. Shah
S. S. Engineering College Govt. Engineering College
M M Sharma Dr. Mehul K. Shah
Vishwakarma Government Engineering Vishwakarma Government Engineering
College College
Chandkheda Chandkheda
Dharmendrakumar Ramanlal Raval Kalpeshkumar Ranchhodbhai Patel
Shree Satsangi Saketdham Ramashram Shree Satsangi Saketdham Ramashram
Group of Institute Group of Institute
Vadasma Vadasma
Dr. Dipteshkumar Patel Utsav Gadhia
Shanker Sinh Vaghela Bapu Institute of Shanker Sinh Vaghela Bapu Institute of
Technology Technology
Gandhinagar Gandhinagar
Harshit Bhavsar Dr. Ghanshyam D Acharya
SAL College of Engineering Atmiya Institute of Technology and Science
Atmiya University
Govind Prabhudas Gagrani Megha C. Karia

Vidhyadeep Institute of Engineering and V.V.P. Engineering College
Technology Rajkot
Jayvir Shah Dr. Ronakkumar R Shah
Veerayatan Institute of Engineering A D Patel Institute of Technology
Dr. Yashavant D Patel Nishant Thakar
A D Patel Institute of Technology Shree Satsangi Saketdham Ramashram
Group of Institute, Vadasma
Khunti Manjuben Keshav Virdi Gurpritsingh Taljitsingh
Govt. Engineering College Alpha College of Engineering &
Rajkot Technology
Dhiren Ramanbhai Patel Dr. Anishkumar Hasmukhlal Gandhi
Alpha College of Engineering & C.K.Pithawala College of Engineering &
Technology Technology
Surat
9 ISBN: 978-93-5351-069-5
Vratraj Kaladhar Joshi Manojkumar V Sheladiya

Faculty of Engineering Technology and Atmiya Institute of Technology and Science
Research Atmiya University
Shah Jinesh Bipinbhai Pratik T. Kikani
Atmiya Institute of Technology and Atmiya Institute of Technology and Science
Science Atmiya University
Atmiya University
Dr. Nirajkumar Mehta Ms. Kavita Kriplani
Associate Professor Deputy Director
ITM Universe Gujarat Technological University
CONFERENCE ORGANIZING COMMITTEE
MANAGMENT
Mr. Hitesh Gujarati Dr. Keyur Darji
Research Associate, GTU Deputy Director, GTU
Dr. Sarika Srivastava Dr. Kaushal Bhatt
Assistant Professor, GTU Assistant Professor, GTU
Dr. Krishnaba Vaghela Mr. Tushar Panchal
Mr. Vikrant Vala Parth Sejpal
Research Associate, GTU Assistant Professor, GTU
PHARMACY
Dr. Kashyap Thummar Mr. Amit Patel
Assistant Professor, GTU & Coordinator Assistant Professor, GTU
Mr. Hemal Nayak Ms. Rutika Ghariya
Ms. Asmatbanu Pathan Ms. Dipa Mehta
Ms. Bhumika Maheriya Ms. Anjali Patel
Assistant Professor, GTU Admin Assistant, GTU
ENGINEERING
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Coordinator, Organizing Committee
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Mr. Vagmin Joshi Ms. Reema Parekh
Ms. Neha Gameti
Research Associate, GTU
ISBN: 978-93-5351-069-5 10
TECHICAL SESSION CHAIR
MANAGEMENT (14-03-2019)
Dr. S. O. Junare
Dr. Trupti Almoula
Professor,
Dean Management Studies & Director
(NIM, Bharuch) & Dean, Management - GTU
Gandhinagar
Dr. Abhishek Parikh Dr. Chirag Rathod
Associate Professor Project Leader,
V. M. Patel Institute of Management, Centre for Entrepreneurship Development
Ganpat University Ahmedabd
Dr. Narayan Baser Dr. Mamta Brahmbhatt

Associate Professor Associate Professor,
School of Petroleum Management, B.K.Shcool of Management,
Pandit Deendayal Petroleum University, Gujarat University, Ahmedabad
Gandhinagar
Dr. Nira Singh Dr. Parimal Trivedi
Associate Professor Senior Brand Consultant,
Shanti Business School Integrity Branding and Communication,
Ahmedabad (Optional) Ahmedabad
PHARMACY (15-03-2019)
Dr. R. K. Patel Dr. Avinash Sheth
Principal & Dean, Faculty of Pharmacy Shree Principal
S K Patel, College of Pharmaceutical Department of Pharmacy,
Education & Research, Ganpat University Sumandeep Vidhyapith
Dr. Pragna Shelat Dr. Mihir Raval
Professor HOD
Department of Pharmaceutics Department of Pharmaceutical Sciences,
KBIPER Saurashtra University, Rajkot
Dr. Tejal Mehta Dr. Hetal Thakkar
Head of the Department Assistant Professor
Department of Pharmaceutics Department of Pharmacy
Nirma University M. S. University
Dr. S. J. Rajput Dr. Rajnikant B. Mardia
Dean Senior Assistant Professor
Department of Pharmacy Department of Pharmaceutical Chemistry
M. S. University DDU, Nadiad,
Gujarat
Dr. Jigna Shah Dr. Mahesh T. Chhabria
Professor & Head, Principal
Department of Pharmacology L. M. College of Pharmacy
Nirma University, Ahmedabad Ahmedabad
Dr. Sachin Parmar Mr. Pranav Jogani
Assistant Professor Deputy General Manager
Department of Pharmaceutical Sciences Zydus Cadila, Ahmedabad
Saurashtra University, Rajkot
11 ISBN: 978-93-5351-069-5
ENGINEERING (16-03-2019)
Dr. Latesh B. Chaudhari Dr. Shashi Vivek Ranga
R. N. G. Patel Institute of Technology Govt. Engineering College
Dr. Jayeshkumar S. Patel Dr. Bhavin G. Buddhdev
Vadodara Institute of Engineering Vishwakarma Government Engineering
College, Chandkheda
Jitesh Bhupendrarai Oza Dr Sanjay K Dave
Senior Lecturer Head of Department
Government Polytechnic, Jamnagar B & B Institute of Technology
Dr. Pradeep Laxkar Dr. Tejas Patalia
Associate Professor Professor
ITM Universe, Vadodara V.V.P. Engineering College, Rajkot
Amit Ganatra Dr. Vidhi Khanduja
Professor Head of Department
Devang Patel Institute of Advance SAL Engineering and Technical Institute
Technology and Research , CHARUSAT
Dr. Hardik A. Shah Gagandipsingh Narendrasingh
Associate Professor Khanduja
A D Patel Institute of Technology Assistant Professor
Marwadi University, Rajkot
Dr. Sanjay N. Sampat Dr. Vijayendra Desai
Head of Department Assistant Professor
Govt Polytechnic for Girls C.K.Pithawala College of Engineering &
Surat Technology, Surat
Dr. Tejas V. Shah Dr. Mehul K. Shah
S. S. Engineering College Vishwakarma Government Engineering
College, Chandkheda
Dr. Ghanshyam D Acharya Megha C. Karia
Atmiya Institute of Technology and Science V.V.P. Engineering College
Atmiya University Rajkot
Dr. Ronakkumar R Shah Khunti Manjuben Keshav
A D Patel Institute of Technology Govt. Engineering College
Rajkot
Dr. Anishkumar Hasmukhlal Gandhi Dr. Nirajkumar Mehta
Principal Associate Professor
C.K.Pithawala College of Engineering & ITM Universe
Technology, Surat
Govind Prabhudas Gagrani Vratraj Kaladhar Joshi
Vidhyadeep Institute of Engineering and Faculty of Engineering Technology and
Technology Research
ISBN: 978-93-5351-069-5 12
ADMINISTRATIVE COMMITTEE MEMBERS
Ms. Chitrali Parmar, CA Mr. Mahesh Patel

Internal Auditor, GTU, Ahmedabad Chief Accounts Officer, GTU, Ahmedabad
Mr. M. N. Parmar Dr. Chirag Nagda

Account officer, GTU, Ahmedabad Deputy Registrar, GTU
WEB DEVELOPMENT AND DESIGN
Ms. Rina Thakkar

Administrative Assistant, GTU, Ahmedabad
DESIGN & GRAPHICS
Mr. Pankaj Sharma

Admin. Assistant, GTU, Ahmedabad
PURCHASE COORDINATION COMMITTEE
Mr. Yuvrajsinh Raol

Deputy Director, Purchase Department, GTU, Ahmedabad
13 ISBN: 978-93-5351-069-5
Theme of Management : Managing Global Enterprises
Sub-Themes
1. Finance and Economics
• International Financial Practices
• International Economics Environment
• Financial Management of Enterprises in Emerging Economies
• Global Financial Crisis and World Economy
• Macroeconomic Practices for Global Market
• Green Accounting Practices in Global Environment
• International Banking Operations
• Digital Currency
2. Marketing
• Strategizing Global Marketing Practices
• Cross Continent Business Challenges
• Customization Vs. Standardization
• Green Marketing
• Brand Management
• Emerging Trends of Global Marketing
• E-Commerce and Marketing in the digital era
• Digital platform for international marketing
3. HR and Governance Policy

• Managing Multicultural Organizational Behaviour
• Ensuring Diversity in Multilateral Organizations
• Governance and CSR Practices in Multinational Organizations
• Leadership and Global Strategy
• Talent Management and Mobility
• Challenges of Ethical Issues in Digital Era
4. IT and Operations
• Digital Infrastructure and Global Business
• Offshore Logistics Management
• Supply Chain Management
• Managing Global Business through IT systems
• Challenges of Digital Media Platform
• Big Data Analytics for Global Business
• International Competitiveness
• Digital and Social Media Marketing
• Optimizing Services on Global Platform
5. International Business, Strategy and Entrepreneurship

• International Business Structures and Strategies
• Innovative Practices to Manage Global Businesses
• Business Models for Entries
• Role of Entrepreneurship in Global Environment
ISBN: 978-93-5351-069-5 14
• Entrepreneurial Skills to compete in Global Market

• Social Entrepreneurship
• Entrepreneurial growth, innovation and strategies
• Business Strategies from Start Up to Global market
• Global strategies for Entrepreneurs
• Strategic Alliance and Technology Transfer in Global Village
• Design Thinking
• Innovation Management
• New challenges to marketing operations and strategies in diverse economies
Theme of Pharmacy: Quality Medicine for Patient Care

Sub-Themes
• Development of safety and Efficacious Drug delivery system
• Design and Development of safe and efficacious drugs
• Herbal medicines and Formulation in health care
• Advances in Analytical Techniques
• Rational use of drug combinations
• Manufacturing of quality medicine and role of Drug regulation
Theme of Engineering: Scientific Revolution through Engineering and Technical Research

Sub-Themes
1. Computer and IT Engineering
• Computational and Artificial Intelligence
• Knowledge Management
• Parallel and Distributed Computing
• Cyber Security
• Digital Forensics and Incident Response
• Internet of Things
• Data Science and Computational Analytics
• Image Processing
• Mobile Computing
2. Civil and Environment Engineering
• Advanced Concrete Technology
• Earthquake engineering and Seismic Analysis
• Soil Dynamics
• Water Resource Engineering
• GIS and Remote Sensing
• Ground Water and Surface Hydrology
• Environmental Geo-informatics
15 ISBN: 978-93-5351-069-5
3. Chemical Engineering
• Bio-Chemical Engineering
• Bio fuels
• Nano-Technology in Chemical / Biochemical Industry
• Effective Catalytic Conversions
• Chemical/Bio Chemical Engineering Utility for Medical/ Pharmaceutical Sciences.
• New Techniques in Wastewater and Potable Water Treatment.
• Utilization Of Sonication/ Ultraviolet Techniques
• Membrane Technology
4. Electronic and Communication Engineering
• DSP Processor design for AUDIO/VIDEO Applications
• Embedded System for Electronic Design Automation
• VLSI and Embedded System Design for Telecommunication Applications
• Analog and Digital Signal Processing
• Millimeter-Wave Integrated Circuits
• UWB Technology
• Mobile Cellular TV
• 4G Wireless Networks and Systems
5. Mechanical And Mechatronics Engineering
• Advances in Thermal Sciences & Engineering
• Advances in Materials Science & Engineering
• Advances in Mechanical Engineering Design & Development
• Refrigeration and Air Conditioning
• Robotics and Mechatronics
• Automobile pollution and control management
6. Electrical Engineering
• Renewable Energy Sources And Storages
• Energy Efficient Systems
• Soft Computing Techniques in Power Systems
• Renewable Power Conversion Technologies
• Advanced VLSI Systems
• Power Quality Improvement Techniques
7. Instrumentation and Control Engineering
• Recent Trends in automation and control system
• Optimization & optimal Control
• Computer vision and artificial intelligence
• Recent developments in biomedical and instrumentation application
• Signals and image processing
• Control system design and analysis
• Intelligent and guided control system
• Agriculture, environment, military and space application
ISBN: 978-93-5351-069-5 16
Segment II
Management
Theme:

Part – I
Full Papers
17 ISBN: 978-93-5351-069-5
This page is
This page is
ISBN: 978-93-5351-069-5 18
PCM084
A STUDY ON THE OCCUPATIONAL HEALTH AND SAFETY CONDITIONS OF
THE EMPLOYEES WORKING IN THE BIO-MEDICAL INDUSTRIES OF
AHMEDABAD, GUJARAT
Priyanka H Mehta Prof.(Dr) Sujatha Sony Onattu
Research Scholar, Professor,
MLW Department, School of Social Science, MLW Department, School of Social Science,
Gujarat University, Navrangpura Gujarat University, Navrangpura
Ahmedabad 380009 Ahmedabad 380009
Priya287084@gmail.com Sujathasony@rediffmail.com
9825316516 9825444063
ABSTRACT :
Working condition at hospitals have been a tremendous concern to the medical services organization
around the world, nevertheless from the global point of view there are no confirmations on this
imperative subject. However, there are research articles and journals by various authors on the
working conditions of the medical services organization. The target of this paper is to portray the
working condition of doctors, nurses and other staff in small and big hospitals at Ahmedabad, for which
around 250 employees were taken as targeted sample size from the public, private and trust-based
hospitals of Ahmedabad city. This study will help to highlight the problem faced by employees in the
health care services sector and try to understand the various occupational hazards faced by them.
Through this study it is intended to find solutions and suggest the measures for improving their
conditions. It also focuses on the challenging issues regarding gender, marital status, peer –
subordinate relations, unfair treatment with staff and discrimination, occupational stress and burnouts,
sanitation and sterilization related issues, travelling distance, job timings, remuneration, etc. The
objective for this research is to illuminate those factors which has a larger impact on th e working
condition and focuses not just on the physical amenities and related factors but also on stress full
working condition and organizational norms which become the cause of psychological barriers for the
employees. So, in a nut shell a safe and healthy working condition is very essential in any kind of
biomedical industry small and big and hence there is a need to take up such studies to assess the existing
conditions and how it can be improved upon.
Keywords: Bio medical industry, medical services organization, burnout, occupational health,
occupational stress, occupational hazards, hospital environment, working conditions, psychological
barriers, etc.
INTRODUCTION
Health care Sector of India is the biggest generators of revenue as well as employment. India has a
health care workforce of over 4.3 million of employment. India has health care work force of 4.3 million
out of which mainly from bio medical industry. Bio medical industry in India is developing at a fast
pace largely because of the increase in its scope and consumption. (India Brand Equity Foundation,
2018). One of the main causes for it is also the growth of the medical tourism in Gujarat. The world
class medical services are provided at reasonable costs and there are around 108 big and small
multispecialty hospitals in Ahmedabad itself. Every year around 10000 to 15000 people visit
Ahmedabad for the medical tourism purpose. (ALL INDIA CRITICAL CARE HOSPITAL: The Times
of India, 2016)
The mushrooming of big private and corporate hospitals is driving the growth accounting for 40% of
the health care in India. The public-Sector share will reduce to a 19% of the health care services. The
last decades have apprehended private capitals flowing towards estabilizing huge tertiary care hospitals
and corporate hospital chains. (Srinivasan & Chandwani, 2014)
19 ISBN: 978-93-5351-069-5
Gujarat is evolving in terms of number of hospitals, health care centers, beds and is expected to continue
a possible trend in the future. Doctor to patient ration is 1:10 and nurse to patient ratio 1:5. There are
around 42285 doctors and 17551 nurses, besides the large number of technical and support staff.
(Directorate General of Health Services, 2018). Thus, Gujarat is emerging as front runner with the
growth of tourism for medical purposes in India. The state provides great potentials to boost medical
tourism mainly in the four major cities - Ahmedabad, Surat, Vadodara, and Rajkot. (Rana & Bhayani,
2015)
However, despite the bright employment opportunity with dignified jobs candidate resist to enter the
field, largely because of occupational stress and unsatisfactory working conditions. (Martin, Murgai,
chaterjee, & Chaterjee, 2015). The bio medical industry especially hospital involves genuine health
hazards- mainly biological, physical, ergonomic, psychological, chemical, radiological etc. For instance
lifting and moving patients, slips, infections, dealing with upset or aggressive patients etc. (India Brand
Equity Foundation, 2018).Also inappropriate administration of waste can cause enormous issues for the
employees ,.like respiratory tract diseases, gastro intestinal issues, etc. So, it is also important that the
new Bio-medical waste management guideline of 2018 (Ministry of Environment, Forest and Climate
Change, 2018) is adhered to and ensure that employees are aware of these guidelines.
Another important aspect is the growing women workforce especially and, in the Bio, Medical sector.
As per a study around 77.38% were found to be female employees, mostly in the age group of 20-30
years . (Gudipati , 2017) They face various issues such as gender disparity, unequal remunerations, poor
working condition, duty timing related issues, lake of facilities, occupational stress, biases, lack of
family support, sexual harassment and occupational hazards, etc. (Elvira, 2013)
All these can influence health care professionals’ physical and emotional wellbeing restricting their
competency and diminishing their life qualities. The objective of the current study was to looked into
the impact of the work conditions on health of workers and examined strategies to cope up with the
baneful effects. To assess their occupational health and ensure safety conditions for them. (Koinis, et
al., 2015)
LITRETURE REVIEW
A number of national as well as international studies were examined as part of this research. In
the year 1950 the World Health Organization (WHO) and International Labour
Organization(ILO) and this definitions of occupational health – It has subsequently been
revised in 1995, keeping in mind the major objectives in the bio medical industry, That is (i)to
secure the health and enhance the working capacity of the workers.(ii) to improve the working
condition at the work place so as to maintain the conducive psychological and physical
health.(iii) encouraging a co-operative work culture and conducive working climate.
(International Labour Office and World health Organisation, 2013) ILO emphasis on
prescribing standards for sanitation and cleanliness in the bio medical industry. (International
Labour Organization, March 2016)
The Bio medical industry one of the sector with accelerated growth in the world. In this industry
more than 80% are staff are constantly on their toes for coping up with the emergency at the
workplace. The workforce is exposed to the occupational hazards like stress, anxiety, illness,
injuries, chemicals, drugs, bloodborne pathogens, laser hazards, X-ray hazards, radioactive
hazards anesthetic gas material, anesthetic gas leakages, harmful wastage materials, workplace
violence and nepotism. (Occupational Safety and Health Administration, 2018)
According to Patel and David, Though the dynamism in the field of bio medical industry in
India, provides good employment prospects, the absence of clear polices, poor implementation
of govt regulation, negligence regarding occupational disease, poor working conditions,
ISBN: 978-93-5351-069-5 20
inadequate implementation of occupational safety standards and environmental standards

hampers the health and safety of health care worker in the biomedical industry and hinders
its progress. (Patel & David, 2016)
As per the Ojha and Dr. Sinha if hospital wants to overcome the challenges, the human
resources is the key; and hospital HR professional should begin championing talent
management and best practices that foster a work culture which focuses on performance
improvement and accountability of health care staff. (Ojha & Sinha, April 2016)
Manimaran & Senthil Kumar, says that HRM professionals’ plays an imprortant role in
improving occupational health conditions ,especially in deveoping country like India.
(Manimaran & Senthil Kumar, 2016)
Though there are number of studies on the topic none of them focuses specifically on the
occupational health and safety conditions of the employees working in the bio medical industry
.Hence this study attempts to fill the gaps.
RESEARCH METHODOLOGY
This study is based on the empirical research undertaken in the bio medical sectors especially
the public hospitals, corporate hospital including other private hospitals and trust run hospitals
in Ahmedabad. The stratified random sampling has been used to get a representatives sampling.
and get a of around 248 from various hospitals. The primary data collection was done through
interview and observation. The data was collected from the target group of nurses, doctors,
paramedical, technical and supported staff. In the primary data collection, apart from the direct
methods of data collection, indirect methods of google form was also administrated for the data
collection. The secondary data collection was done from reports, Case studies, papers, books,
Web-based resources of journals, etc. Further the data was sought from Research Institute and
Libraries as well.
QUESTIONNAIRE
The questionnaire is distributed over three sections consisting of personal and demographic
data, organizational data including hazards involved and the compensation and benefits related
data.
DATA PROCESSING
It was completely computer assisted using SPSS and largely Descriptive statistics using Mean,
Percentages and Standard Deviation. etc.
OBJECTIVES OF STUDY
The general objectives of the study were to understand the presented condition and occupational hazards
involved in these hospitals.
The specific objectives were as follows
1. To understand the level of occupational health of employees in the hospitals

2. To assess the safety conditions of employees.
3. To suggest measures for an enhancing motivation and efficiency of these hospital employees.
21 ISBN: 978-93-5351-069-5
THE SPECIFIC HYPOTHESIS WHICH WAS TESTED WERE AS FOLLOWS
1. H0A= There is no significant relationship between types of hospitals and work place
cleanliness & hygiene.
2. H0B= There is no significant relationship between types of hospitals and odd behaviour
3. H0C= There is no significant relationship between types of hospitals and constitutions
complaints committee and services
4. H0D= There is no significance relationship between types of hospitals and employees’
pay.
ANALYSIS AND DISCUSSION
A. Personal and demographic information

As far the number of employees distributed across various types of hospitals were concerned it was
found that 38% were in the public sectors hospitals, 39% of employees were in the corporate & private
sectors hospitals and 24% were from trust-based hospitals, which shows that high growth in the private
hospitals & especially corporate hospitals in the city.
As far as category of employees were concerned,48% were nurses ,14% are doctors, 23% were
managerial staff, 9% are clerical staff and 7% housekeeping staff. It is evident that the majority staff i.e
half of them are nursing staff and largely women.
Even if we look at the overall scenario the data shows 79% are female employees, 14% male employees
and 7% others as well.
Amongst the total employee 71% are permanent employees, only 18% on contractual basis which is
good, and 11% are trainees. Majority are in their prime, i.e 44% between 28-38 years and 26% between
18-28 years of age group. Out of them around 71% were married and majority, 64% and 18% with one
and two children respectively.
B. Occupational Data and Hazards Related Information
As far as Organization information, majority 84% said they liked their workplace and 13% said
otherwise. Also 65% said the workplace was clean and hygienic, however 31% felt that it was not so.
72% were satisfied with the amenities but 24% did not comment on that. 75% of them believed that the
equipment provided to them were properly sanitized. However, 14% denied, 86% felt the surgical
instruments were properly sterilized, only 6% felt otherwise.70% of them felt that the medical supplies
provided have proper quality where as 17% responded negatively.
42% experienced stress because of emerging situation and critical cases very often and 42% felt such
stress sometimes, however 47% felt that often superiors supported them in such circumstances.
Only 4% felt that there that there is odd behaviour from superiors, 8% felt odd behaviour from
colleagues. 25% felt they have complaints against their colleagues and some 4% felt it was better to
leave the organization. 23% said that they felt insecure during night shifts. When asked if they knew of
any complaints committee, only 52% responded positively.
C. Compensation and Benefits related information

As far as pay was concerned 61% said they are satisfied with the current pay and 48% also felt
that their pay was higher than the competitors. The various benefits they received was like
HRA, residential quarters, Travelling Allowance, transportations facilities, uniforms, washing
allowance, bonus, gratuity, PF, night shift allowance, rental allowance, overtime allowance
maternity benefits, etc. 65% of them said they got 6 months maternity benefits. 72% of them
said they were given concession for treatment of their families.
ISBN: 978-93-5351-069-5 22
However, 62% said they suffered occupational disease while treating the patients, though 68%
said they were also provided with anti-dosage treatments that to free of cost They also have the
amenities like canteen, food coupon, ladies room, rest room, recreation room etc. in majority
of cases.
Hospital wastes are a major concern and hazards for employees. It needs to be managed
effectively. However, it was seen that only 44% were aware about it and 33% were totally
unaware about the issues. There were various kinds of wastages like chemical waste, heavy
metals, radioactive wastes, sharp objects, genotoxic waste, pharmaceutical waste, etc .66% said
they have been imparted waste management related training. Other than this training 39% were
given technical training, 27% were given Behavioural training and 32% were given both. So,
the hospital sectors have training as a priority as it is evident, which is very crucial for keeping
the employees updated and motivated,
In 61% employees they find it convenient as the hospitals are near their residence. Majority of
them, ie 37% of them get pay between rupees 20,000 to 40,000 which is relatively descent pay
for these hospital employees, it being the prime factors for attracting them towards hospital
jobs.
ANALYSIS OF THE HYPOTHEIS
HYPOTHESIS -1
1. H0A= There is no significant relationship between types of hospitals and work place
2. H1A= There is significant relationship between types of hospitals and work place
The first table of descriptive statistics provides the value of the label is given to each type of
the hospitals which was Segregated into the categories respectively and their names are public,
private and trust-based hospitals those have value label of 1,2 and 3 respectively.
Between-Subjects Factors
Value Label N
1.0 Public 93
Type of hospital 2.0 Private 96
3.0 Trust 59
Descriptive Statistics
Dependent Variable: Q8 ( cleanliness & hygiene)
Type of hospital Mean Std. Deviation N
Public 1.366 .5272 93
Private 1.219 .5272 96
Trust 1.678 .5395 59
Total 1.383 .5569 248
In this above second table mean, standard deviation of each categories respectively Public,
Private and trust-based hospital means is 1.366, 1,219 and 1.678 and standard deviations are
0.5272, 0.5272 and 0.5395 respectively.
So, here for finding the relation between two variables Leavene scheffe test had been applied
to test homogeneity for the hygiene factors in the various types of hospitals.
23 ISBN: 978-93-5351-069-5
Levene's Test of Equality of Error Variances (Pandya, Bulsari, & Sinha, 2014)
Dependent Variable: Q8 (Hygienic and working conditions)
F df1 df2 Sig.
4.643 2 245 .010
Here F ratio test value is 4.643 and significant value is 1% which is lesser than 5% level of
significance level with the degree of freedom of 2 . It is reflected that all the types of hospitals
tried to maintain the hygiene at their premises.
HYPOTHESIS -2
H0B= There is no significance relationship between types of hospitals and odd behaviour
H1B= There is significance relationship between types of hospitals and odd behavior
Dependent Variable: Q22 Odd behaviour
Type of Hospital Mean Std. Deviation N
Public 2.677 1.4458 93
Private 2.708 1.3371 96
Trust 2.034 1.3892 59
Total 2.536 1.4137 248
In this above second table mean, standard deviation of each categories respectively Public,
Private and trust-based hospital means is2.677, 2.708 and 2.034 and standard deviations are
1.4458, 1.3371 and 1.4137 respectively.
F df1 df2 Sig.
1.937 2 245 .146
Here F test value is 1.937 and significant value is 0.146 which is higher than 5% level of
significance level with the degree of freedom of 2.it is also reflected that all the types of
hospitals employees faced the odd behaviour because in this data majority of the employees
are from female and others, and strength is 213 out of 248 employees. So it is possible that they
have faced any kind of odd behaviour. Here null hypothesis H0B is rejected. H1B says there is
positive relationship between types of hospitals and odd behaviour,
HYPOTHESIS -3
1. H0C= There is no significant relationship between types of hospitals and complaint
committee and services
2. H1C= There is significant relationship between types of hospitals and complaint
committee and services
Dependent Variable: Q25 Do you know any complaint committee of any services are existed in the
organization
Public 1.774 .8357 93
Private 1.896 .9117 96
Trust 1.559 .8152 59
Total 1.770 .8675 248
F df1 df2 Sig.

2.509 2 245 .083
ISBN: 978-93-5351-069-5 24
Here F test value is 2.509 and significant value is 0.083 which is higher than 5% level of
significance level with the degree of freedom of 2 . It is reflected H1C alternative hypothesis is
accepted and all the types of hospitals and complaints committee and services have significant
relationship. The in public and trust run hospital have the complaint protection committee but
in the private and corporate hospital complaint committees are not working efficiently. Instead
of resolving conflicts regarding this private hospital hide these matters.
HYPOTHESIS -4
H0D= There is no significant relationship between types of hospitals and employees’ pay.
H1D= There is significant relationships between types of hospitals and employees’ pay.
Dependent Variable: Q49Howmuchtheypaytoasane mployeepermonth In INR
Public 1.978 1.4063 93
Private 1.698 .9190 96
Trust 1.915 .9877 59
Total 1.855 1.1431 248
In this above table mean, standard deviation of each categories respectively Public, Private and
trust-based hospital means is 1.978, 1.698 and 1.915 and standard deviations are 1.4063, 0.9190
and 0.9877 respectively.
So, here for finding the relation between two variables
F df1 df2 Sig.

7.109 2 245 .001
Here F test value is 7.109 and significant value is 0.001 which is lower than 5% level of
significance level with the degree of freedom of 2. It is reflected that H 0D null hypothesis is
accepted and all the types hospital and compensation of the employees have no significance
relation. The compensation factors are higher in. public and trust run hospital. However,
employees want to continue their services at private and corporate sector hospitals, because of
facilities available.
CONCLUSION
The analysis about occupational health and safety conditions of the health care worker shows
that there are various challenges related to the occupational health and safety conditions Better
improvement must be required as far the health and safety measures for these health care
workers It was observed that to some extend private hospitals were compromising the standards
of safety and health. However, it can be concluded that personal and compensation related
factors also has a significant impact on the occupational factors of the health care workers.
REFERENCES
[1] ALL INDIA CRITICAL CARE HOSPITAL: The Times of India. (2016, January, 29). Retrieved
November 28, 2018, from http://www.blkhospital.com:
http://www.blkhospital.com/pdf/toi_hospital-rating_29jan.pdf
[2] Directorate General of Health Services. (2018). National Health Profile 2018. Central Bureau of
Health Intelligence:Ministry of Health & Family Welfare, Government of India. New Delhi: India
25 ISBN: 978-93-5351-069-5
Offset Press. Retrieved from

http://shodhganga.inflibnet.ac.in/bitstream/10603/112294/12/12_chapter4.pdf
[3] Elvira, N. (2013, December). The Importance of Human Resources Management to the Health
Care System. ACADEMIC JOURNAL ARTICLE: Economics, Management and Financial
Markets, 8(4). Retrieved from https://www.questia.com/read/1P3-3231345531/the-importance-of-
human-resources-management-to-the
[4] Gudipati , R. K. (2017, March 20). Women, employment and empowerment in Indian Economy.
Retrieved December 7, 2018, from www.thehansindia.com:
https://www.thehansindia.com/posts/index/Civil-Services/2017-03-20/Women-employment-and-
empowerment-in-Indian-Economy/288084
[5] India Brand Equity Foundation. (2018, JULY 20). FOREIGN DIRECT INVESTMENT (FDI):
ABOUT FDI IN INDIA. Retrieved september 3, 2018, from https://www.ibef.org/:
https://www.ibef.org/economy/foreign-direct-investment.aspx
[6] International Labour Office and World health Organisation. (2013). Thirteenth Session of the Joint
ILO/WHO2003. Geneva: INTERNATIONAL LABOUR ORGANIZATION.
[7] International Labour Organization. (March 2016). Occupational Safety and Health Policy
Document :On the road to a safer and healthier culture at work. Geneva: Decision of Council of
Ministers No. 371.
[8] Koinis, A., Giannou, V., Drantaki, V., Angelaina, S., Stratou, E., & Saridi, M. (2015, April 13).
The Impact of Healthcare Workers Job Environment on Their Mental-emotional Health. Coping
Strategies: The Case of a Local General Hospital. Health Psychology Research, 3(13 (1) 1984),
11-17. doi:10.4081/hpr.2015.1984
[9] Manimaran, ,. A., & Senthil Kumar, S. A. (2016). Human Resource Management in the Healthcare
Industry – A Literature Review. American Journal of Information Management, 4(6), 124-128.
doi: 10.11648/j.jhrm.20160406.14
[10] Martin, R., Murgai, R., chaterjee, u., & Chaterjee, u. (2015, June). Employment Outcomes along
the Rural-Urban Gradation. Economic and political Weekly, 50(26-27), 1-5. Retrieved from
https://www.epw.in: https://www.epw.in/journal/2015/26-27/review-rural-affairs-review-
issues/employment-outcomes-along-rural-urban
[11] Ministry of Environment, Forest and Climate Change. (2018). Revised Guidelines for Common
Bio-medical Waste Treatment and Disposal Facilities. New Delhi: CENTRAL POLLUTION
CONTROL BOARD. Retrieved from . Retrieved December 12, 2018, from
http://envfor.nic.in/legis/hsm/biomed.html
[12] Occupational Safety and Health Administration. (2018, December 16). Workers safty in the
hospitals :. Retrieved from https://www.osha.gov:
https://www.osha.gov/dsg/hospitals/understanding_problem.html
[13] Ojha, V., & Sinha, G. (April 2016). The Role of HR in Hospital Administration and Employee
Satisfaction. International Journal of Engineering Technology, Management and Applied
Sciences, 4(4), 183-189.
[14] Pandya, D., Bulsari, D., & Sinha, S. (2014). CHAPTER-2 TWO WAY ANOVA. In D. K. Pandya,
D. S. Bulsari, & S. Sinha, SPSS IN SIMPLE STEPS (pp. 119-134). DELHI: KOGENT LEARING
SOLUTIONS INC AND DREAM TECH PRESS.
[15] Patel , J., & David, S. (2016). Ethics in occupational health and safety: case studies from Gujarat.
INDIAN JOURNAL OF MEDICAL ETHICS, 1(4), 1-7. doi:10.20529/IJME.2016.060
[16] Rana, S. N., & Bhayani, P. (2015, March). Medical Tourism in Gujarat: Undiscovered
Opportunities. INDIAN JOURNAL OF RESEARCH, 4(3), 6-7. Retrieved from
https://www.worldwidejournals.com/paripex/recent_issues_pdf/2015/March/March_2015_14274
58121__42.pdf
[17] Srinivasan, V., & Chandwani, R. (2014, January 8). HRM innovations in rapid growth contexts:
the healthcare sector in India. The International Journal of Human Resource Management, 25(10),
1505-1525. doi:10.1080/09585192.2013.870308
ISBN: 978-93-5351-069-5 26
PCM100
STUDY ON EASE OF SELLING – A DECISION MAKING DRIVERS FOR
E-RETAILERS ACROSS GLOBE
Devang G. Kale Prof. (Dr.) Jayrajsinh D. Jadeja

Research Scholar, Dean,
Faculty of Management Studies, Faculty of Management Studies,
M S University of Baroda, M S University of Baroda,
devang.kale@yahoo.co.in jdjadeja@yahoo.co.uk
Abstract
Rational: E-commerce industry is rapidly growing not only in developed countries but also in developing
countries. There are few countries which are even skipping Advanced Trade era (Hypermarket,
Supermarket etc.) and enjoying E-buying.
In most of the countries, infrastructural development for E-commerce is very rapid. Internet penetration,
Smart phone usage, E-marketers are increasing at a faster pace. Though infrastructural and other drivers
to E-commerce are advancing quickly, there are still many challenges come across E-retailors. Major
challenges are in terms of Payment options, Logistics, E-comm skills development, Legal framework,
Access to finance etc. Sometimes these factors hinder growth of E-commerce in a country.
Objective: Present study has been done to classify countries into three groups with respect to readiness for
E-commerce, like 1. Ready Now, 2. Almost Ready and 3. Not Ready. After this grouping second step is to
identify factors which are impacting growth of E-commerce within above mentioned groups.
Methodology: Study is based on secondary data available for year 2014, 2015 and 2016 on United Nations
Conference on Trade and Development (UNCTAD), International Telecommunication Union - Information
and Communication Technology (ITU ICT) and World Economic Forum – Network Readiness Index
(WEF). Data around different variables like, Internet users, Fixed broadband subscriptions, Debit
card/Credit Card used in last one year, Postal Reliability etc. are collected for 99 major countries. Cluster
Analysis and Multiple Linear Regression model used to analyze data.
Findings & Conclusion: Findings of the study will help Multinational Retailors to frame their business
strategy by identifying key countries for E-commerce business. This study will also give details about, which
are the factors driving E-commerce business within countries. Using this information, E-commerce
retailors will be able to design their services.
Key words: E-commerce, E-retailers, Advanced trade
INTRODUCTION
E-commerce market is rapidly growing across world. According to various research agencies, current size
of retail E-commerce across globe is somewhere between $ billion 2400-3000, which contributes around
8-10% in overall retail market across globe. Growth is not equal for all the countries but it is mostly in line
with available infrastructure and other macro environmental factors like Social, Economic and Political
available within countries. All manufacturers want to have visibility around E-commerce growth whereas
retailers are engaged in identifying opportunity.
27 ISBN: 978-93-5351-069-5
For eg. Countries like US and UK which have got advanced infrastructure for E-commerce business in
terms of skills, technology and legal framework. As internet/smartphone penetration is too high, also people
are skilled enough to buy online and most important is, transportation and legal framework is very good.
On the other hand in the countries like India, Colombia, and Indonesia, required infrastructure is still in
development phase.
So far various models have been observed in various countries like, Click & Collect (order made online but
collected from the store), Pure Play (online companies distributing products only online), Cross Border E-
commerce (online purchase made from merchant located in other country) etc. All these formats are based
on the available infrastructure within country.
So before making million $ decisions, retailers should know about the readiness of a country for E-
commerce business, including the factors which are most influencing to E-commerce business.
OBJECTIVES
The aim of the study is,
1. To group countries in three clusters in terms of E-commerce business readiness:
1) Ready Now – very much developed in terms of e-comm business, major players have already
started doing business;
2) Almost Ready – countries where most of the infrastructure is ready, may be in next six months
to an year, major players can go for the setting up a business;
3) Not Ready – countries where infrastructure is not in place, it may take time to have proper
infrastructure for starting up e-comm business in a country.
2. To find out most impacting factors on E-commerce growth within identified three groups of
countries:
After classifying countries into various groups, we need to identify major factors which are
responsible for the classification of a country in a specific group in terms of E-comm business
readiness.
Overall study is based on secondary data collected from various resources. Complex statistical process
applied on the various data sets to achieve required objectives.
Research Design
Present study is Inferential however clustering of countries can be considered as descriptive part of research.
Hypothesis of Study
H01: From E-commerce perspective, all countries are same in nature.
H01: Factors affecting E-commerce growth is same for all countries irrespective of Technical, Skills and
Infrastructure available within countries.
Data Collection
Secondary data is used for this research from United Nations Conference on Trade and Development
(UNCTAD), International Telecommunication Union - Information and Communication Technology (ITU
ICT) and World Economic Forum – Network Readiness Index (WEF). Data points are ranging from 2014,
2015 and 2016. (Source: http://wits.worldbank.org/analyticaldata/etrade-indicators.aspx)
ISBN: 978-93-5351-069-5 28
Variables used in the study are,
1. Internet users (per 100 people)

2. Fixed broadband subscriptions per 100 inhabitants
3. Active mobile broadband subscriptions per 100 inhabitants
4. Debit card used in the past year (% age 15+)
5. Credit card used in the past year (% age 15+)
6. Used an account to make a transaction through a mobile phone (% age 15+)
7. Postal reliability index
8. LPI (Logistic Performance Index) timeliness score - The frequency with which shipments
reach consignees within scheduled or expected
9. Burden of customs procedures - World Economic Forum
10. B2C internet use - NRI World Economic Forum
11. Firms technology absorption - NRI World Economic Forum
12. Legal framework for electronic transactions? (Yes/No/Draft)
13. Legal framework for data protection/ privacy online? (Yes/No/Draft)
14. Legal framework for consumer protection when purchasing online? (Yes/No/Draft)
15. Legal framework for cybercrime prevention? (Yes/No/Draft)
16. Country rank in the UNCTAD B2C E-commerce Index – UNCTAD
17. Country rank and in the ITU ICT Development Index - ITU Database
18. Country rank in the WEF Networked Readiness Index - World Economic Forum
Variable 16th, 17th and 18th are used only for reference and there is no direct contribution of these
variables in the study.
(Source: 1. https://www.itu.int/en/ITU-D/Statistics/Pages/default.aspx,
2. http://unctad.org/en/pages/PublicationWebflyer.aspx?publicationid=1882
3. https://www.ictsd.org/)
Statistical Methods
1. K-means cluster analysis has been used to classify countries into three groups called Ready Now,
Almost Ready and Not Ready.
2. Multiple Linear Regression is used on each group of country to identify variables which are most
influencing to current state of E-commerce business within country.
Flow of Research
Following are the steps using which research has been carried out.
1. Literature Review to identify problem.

2. Searching for secondary data from trustworthy sources.
3. Cleaning of data (i.e. removing blanks, outliers and countries which are having very low
weightage with respect to E-commerce Business.)
4. Analyzing data using MINI TAB.
5. Finding & Recommendation.
29 ISBN: 978-93-5351-069-5
LITERATURE REVIEW
Following research papers are reviewed for getting knowledge around common variables affecting E-
retailers presence in a given country.
1. Shivani, Grewal, H.,”E-Commerce: Security Challenges & Growth: An Indian Perspective,”

IJMRS’s International Journal of Management Sciences, Vol.01,Issue 02,june 2012,pp-44-51
2. Er. H. Kaur , Mrs.D. Kaur, “E-commerce in India – Challenges and Prospectus”, International
Journal of Engineering and Techniques – Volume 1 Issue 2, Mar-Apr 2015.
3. World Trade Organization. “E-commerce in developing countries: Opportunities and challenges
for small and medium-sized enterprises”.
4. UNCTAD (2015). Information economy report 2005: Unlocking the Potentials of e-commerce
for developing countries. United Nations Publication.
ANALYSIS
Based on the values available for above mentioned variables for 99 important countries, K-means cluster
analysis done using MINI TAB. K-means clustering approach is selected because objective here is to
classify available countries in to exactly three clusters which will further called, Ready Now, Almost Ready
and Not Ready countries.
Cluster analysis is run using 15 variables for which complete data is available, and then all 99 countries are
clustered in three major groups.`
Number of clusters: 3
Average Maximum
Within distance distance
Number of cluster sum from from
observations of squares centroid centroid
Almost Ready 35 1707.357 6.131 11.597
Not Ready 35 2036.182 6.408 15.051
Ready Now 29 1174.587 5.415 11.989
Cluster Centroids
Grand
Variable Almost Ready Not Ready Ready Now centroid
UNCTAD B2C E-comm Value 54.1457 30.4171 78.1345 52.7838
ITUICT -Development Index Value 5.6223 3.4209 7.8500 5.4966
WEFNetwork Readiness Index Value 4.2171 3.5829 5.3966 4.3384
Distances Between Cluster Centroids
Almost Ready Not Ready Ready Now

Almost Ready 0.0000 23.8389 24.1208
Not Ready 23.8389 0.0000 47.9568
Ready Now 24.1208 47.9568 0.0000
ISBN: 978-93-5351-069-5 30
Table 1: List of countries by their readiness towards E-commerce business

Ready Now Almost Ready Not Ready
Australia Albania Algeria
Bahrain Argentina Armenia
Belgium Brazil Bangladesh
Canada Bulgaria Bhutan
Croatia Chile Bolivia
Czech Republic China Bosnia and Herzegovina
Denmark Colombia Botswana
Estonia Costa Rica Cambodia
Finland Cyprus Cameroon
France Ecuador Cote d'Ivoire
Germany Hungary Dominican Republic
Ireland Iran Egypt
Israel Italy El Salvador
Japan Jamaica Ethiopia
Korea, Rep. Kuwait Georgia
Latvia Lebanon Ghana
Luxembourg Lithuania Guatemala
Netherlands Macedonia Honduras
New Zealand Malaysia India
Norway Mexico Indonesia
Singapore Panama Jordan
Slovak Republic Peru Kazakhstan
Slovenia Poland Kenya
Spain Portugal Mongolia
Sweden Romania Montenegro
Switzerland Russian Federation Nepal
UAE Saudi Arabia Nicaragua
United Kingdom Serbia Pakistan
United States South Africa Philippines
Thailand Senegal
Tunisia Tanzania
Turkey Uganda
Ukraine Venezuela, RB
Uruguay Zambia
Vietnam Zimbabwe
Above table shows some obvious results in terms of United Kingdom, United States, Japan, Australia,
Germany, France in Ready Now group, whereas countries like Argentina, Colombia, Thailand, Malaysia
in the group of Almost Ready countries. On the other hand it also shows few surprising results where
growing economies like India is in the list of Not Ready countries.
Next target is to identify variables which are responsible for the current stage of E-commerce development
in a given country. Out of the above mentioned 18 variables, sum of the last three variables i.e.
16. Country rank in the UNCTAD B2C E-commerce Index – UNCTAD
17. Country rank and in the ITU ICT Development Index – ITU Database
18. Country rank in the WEF Networked Readiness Index – World Economic Forum
31 ISBN: 978-93-5351-069-5
is used as dependent variable and rest of the variables, i.e. variables 1 to 15 are used as independent
variables. Based on set of dependent and independent variables, Multiple Linear Regression is run for all 3
clusters.
Multiple linear regression to identify key variables
Ready Now Countries
Categorical predictor coding (-1, 0, +1)
Stepwise Selection of Terms
α to enter = 0.15, α to remove = 0.15
Analysis of Variance
Source DF Adj SS Adj MS F-Value P-Value

Regression 7 1442.83 206.118 101.09 0.000
Internet users (per 100 people) 1 35.02 35.017 17.17 0.000
Fixed broadband subscriptions 1 33.34 33.340 16.35 0.001
Active mobile broadband sub. 1 10.89 10.887 5.34 0.031
Debit card used in past year 1 20.41 20.407 10.01 0.005
Credit card used in past year 1 265.52 265.522 130.22 0.000
Postal reliability index 1 103.37 103.367 50.69 0.000
Firms technology absorption 1 20.99 20.987 10.29 0.004
Error 21 42.82 2.039
Total 28 1485.65
Model Summary
S R-sq R-sq(adj) R-sq(pred)

1.42795 97.12% 96.16% 92.74%
Regression Equation
Total Value = 0.99 + (0.2112) Internet users (per 100 people)

+ (0.2035) Fixed broadband subscriptions
+ (0.0292) Active mobile broadband sub.
+ (0.0595) Debit card used in past year
+ (0.2485) Credit card used in past year
+ (0.3404) Postal reliability index
+ (3.129) Firms technology absorption
Almost Ready Countries
Regression 8 2089.76 261.220 64.89 0.000

Legal framework for E-transactions 1 9.98 9.981 2.48 0.127
Legal framework for data protection 2 30.03 15.014 3.73 0.038
Error 26 104.66 4.026
Total 34 2194.42
ISBN: 978-93-5351-069-5 32
Model Summary

2.00637 95.23% 93.76% *
Regression Equation
Legal framework Legal framework for

For E-transaction Data Protection
Draft Draft
Total Value = -4.50

+ 0.4127 Internet users (per 100 people)
+ 0.2077 Fixed broadband subscriptions
+ 0.3066 Credit card used in past year
+ 0.2679 Postal reliability index
+ 2.854 Firms technology absorption
Above equation holds true when country has created draft for Legal framework for E-transaction and Legal framework for Data
Protection. In case country has these two frameworks in place or not in place then regression line intercept with Y axis i.e. -
4.50 in above equation will get changed. All these combinations are mentioned below.
Legal framework for E-transaction Draft Draft Draft Yes Yes Yes
Legal framework for Data Protection Draft No Yes Draft No Yes
Intercept Value -4.50 -9.30 -5.62 -0.32 -5.13 -1.44
Not Ready Countries


Regression 7 2372.59 338.94 29.73 0.000
Active mobile broadband sub. 1 26.92 26.92 2.36 0.136
LPI timeliness score 1 33.23 33.23 2.91 0.099
Error 27 307.83 11.40
Total 34 2680.42
Model Summary

3.37654 88.52% 85.54% 78.29%
Regression Equation
Total Value = -4.28 + 0.2195 Internet users (per 100 people)

+ 0.387 Fixed broadband subscriptions
+ 0.0517 Active mobile broadband sub.
+ 0.512 Credit card used in past year
+ 0.1727 Postal reliability index
+ 2.71 LPI timeliness score
+ 3.19 Firms technology absorption
33 ISBN: 978-93-5351-069-5
FINDINGS
Outcomes of cluster analysis are very much in line with the expectations as countries like USA, UK,
Germany, France, Canada are falling in the group of Ready now countries. Whereas developing countries
like Cambodia, Algeria, India is falling in the group of Not Ready countries.
Ready now countries are really good with respect to, Infrastructure, Payment solution, Trade Logistics and
E-commerce skills, however need improvement in Legal & Regulatory framework.
Table 2: Strong Vs. Need improvement areas of Ready Now countries

Strong Areas Need improvement areas
Banking infra – usage of debit & credit card Legal framework wrt e-comm transactions
Postal reliability index Usage of internet
Firms technology absorption
Almost Ready countries are somewhat similar to Ready Now countries in terms of strong and need
improvement areas.
Table 3: Strong Vs. Need improvement areas of Almost Ready countries

Internet usage Legal framework wrt e-comm transactions
Postal reliability index Burden of customs procedures
Firms technology absorption Logistic performance index in terms of timeline
Not Ready countries are lagging in terms of multiple areas. They are really facing challenges with
Infrastructure services as well as trade logistics.
Table 4: Strong Vs. Need improvement areas of Not Ready countries

Internet usage Banking infra – usage of debit & credit card
Postal reliability index Logistic performance index in terms of timeline
Legal framework wrt e-comm transactions
Burden of customs procedures
Active Mobile usage
CONCLUSION
Overall all countries are showing some gaps in terms of Legal framework for electronic transactions,
privacy online, consumer protection while buying online and framework for cybercrime prevention.
However countries from various groups are having some specific areas of improvement as highlighted
below.
1. Ready Now Countries: Overall these countries are well advanced in terms of infrastructure,
payment solutions, trade logistics, E-commerce skills and legal framework.
All big MNCs can target these countries for E-commerce business. In such advanced countries, it is
not necessary to have physical presence in the country. However cross bordered transactions can
serve the purpose as these countries are well advanced in E-transactions.
2. Almost Ready Countries: They are very much in line in terms of infrastructure, payment solutions
and legal framework.
ISBN: 978-93-5351-069-5 34
On the other hand there are few improvement areas in terms of trade logistics, E-commerce skills
and burden of custom procedure. With this improvement, MNCs can take advantage of these markets.
There are countries like China, Russia and South Africa which are good to target as population size
is large enough to set new business. In most of the Latin American countries like, Argentina, Brazil
and Colombia etc. development of legal framework is most critical for the growth of E-commerce.
3. Not Ready Countries: Not ready countries are really lagging behind in terms of required E-
commerce skills and legal framework. It is really challenging to set up business in the absence of
basic needs.
Though there are countries like India, Bangladesh, and Philippines which are having good potential
for E-business as population size is very large and transportation framework is too complex which
simply reflects in huge demand of the products.
REFERENCE
[1]. Kiang YJ (2016) An Empirical Study of Customer Value, Customer Trust and Customer Loyalty
Based on E-Commerce. Bus Eco J 7: 242. doi: 10.4172/2151-6219.1000242
[2]. Haron AJ (2016) E-Commerce Innovations Customer Perceptions in Qatar. Int J Econ Manag
Sci 5:310. doi:10.4172/2162-6359.1000310
[3]. http://wits.worldbank.org/analyticaldata/etrade-indicators.aspx (Raw data source)
[4]. https://www.weforum.org/ (World Economic Forum)
[5]. http://www.itu.int/net4/ITU-D/idi/2017/index.html (Information and Communication
Technologies Indicators)
[6]. http://unctad.org/en/pages/PublicationWebflyer.aspx?publicationid=1882 (United Nations
Conference on Trade and Development
[7]. Shivani, Grewal, H.,”E-Commerce: Security Challenges & Growth: An Indian Perspective,”
IJMRS’s International Journal of Management Sciences, Vol.01,Issue 02,june 2012,pp-44-51
[8]. Er. H. Kaur , Mrs.D. Kaur, “E-commerce in India – Challenges and Prospectes”, International
Journal of Engineering and Techniques – Volume 1 Issue 2, Mar-Apr 2015.
[9]. World Trade Organization. “E-commerce in developing countries: Opportunities and challenges
for small and medium-sized enterprises”.
[10]. UNCTAD (2015). Information economy report 2005: Unlocking the Potentials of e-commerce
for developing countries. United Nations Publication.
35 ISBN: 978-93-5351-069-5
PCM042
INTERNATIONAL COMPETITIVENESS OF HORTICULTURAL SEED
EXPORTS FROM INDIA
B. Swaminathan Pokiya Nikeeta, J.
Assistant Professor, PG Research Scholar,
Department of Agricultural Economics, Department of Agricultural Economics,
College of Agriculture, College of Agriculture,
Junagadh Agricultural University, Junagadh Agricultural University,
Junagadh, Gujarat Junagadh, Gujarat
bswaminathan@jau.in nikitapokiya95@gmail.com
Mobile: 9638673263 Mobile: 8883368543
Abstract
In terms of global seed business, cross-country seed trade has had led to significant improvements in
terms of seed quality, output and value. The exporting countries have also been benefitted by
employment generation and foreign exchange reserves. India is fast emerging as a force to reckon with
in global seed business of which horticultural seed exports, especially fruits and vegetables, enjoy the
twin advantage of low volume but high value seed ma rket. Keeping this in view, this study has
particularly focused upon understanding growth, instability and direction of trade concerning fruits
and vegetables seeds from India. Accordingly, growth rate, instability index and Markov chain have
been used to analyze India’s seed export data from 2007-08 to 2016-17. The findings revealed that
though the export growth of seed volume was insignificant at 3.74 %, the same was significant at 1 %
in terms of export real value (13.51 %) and export price (9.42 %). Similarly, instability was found to be
largest with export volume (24.15 %) when compared with export value (9.60 %) and export price
(20.97 %). In terms of the export markets of India, Bangladesh registered highest growth in terms of
both export volume (82.95 %) and export value (81.77 %) but its export price growth was insignificant
(-0.66 %). On the contrary, the export price growth for USA was found to be highest (37.13 %), followed
by Kenya (24.82 %) and Netherlands (15.55 %). In terms of loyal import partners, Thailand stood first
as it retained 62 % of its seed imports from India. Further, the market share projections were attempted
up to 2022-23 and the estimations predicted decreasing export volume share of India in Bangladesh
and Pakistan markets and a notable increase in India’s exports with high value markets like USA and
Japan.
Keywords: Seed exports, fruits and vegetables, growth, instability, direction of trade, India.
INTRODUCTION
Seed as an input is the precursor for agricultural development as it alone can contribute 20-30 per cent
of crop productivity (Koudinya and Kumar, 2014). Rigveda of India, the world’s most ancient scripture,
prescribes the importance of seeds as “Subeejam Sukshetre Jayate Sampadyate” which literally means,
“A good seed in a good field leads to prosperity and posterity of human race”. Apart from taking care
of a country’s food and nutritional security needs, encouraging seed export across countries is vital for
ensuring competitiveness in seed industry as well as for generating employment and foreign exchange
which in turn can be of use for scaling up the sector’s efficiency (Poonia, 2013). As a matter of fact,
seed trade is one of the reasons for huge advances made in the Indian seed industry through development
and exchange of genetic transformation, marker-assisted breeding and nanotechnology (Nandi et al.,
2013). As of 2014-15, the global seed industry has reached USD 45 billion in which international seed
export alone was worth USD 10 billion. Further, with the estimated growth rate of 9.2 per cent during
2015-2020, the world seed business is expected to cross USD 92 billion. Presently, USA, China, France,
Netherlands and Brazil are the top markets comprising more than 66 per cent of the global share. Corn,
soybean and vegetables account for more than 75 per cent of the total global seed market volume. As
of 2014-15, the value of the Asian vegetable seed market was USD 6.75 billion in which China had a
major share (41 per cent) and the Indian share was around 7 per cent. The world vegetable seed market
ISBN: 978-93-5351-069-5 36
is expected to grow at the rate of 7 - 8 per cent per annum and reach USD 8.8 billion by the year 2020
(Parashar and Kumar, 2016).
The Indian vegetable seed industry offers a very attractive market as there is improvement in agronomic
practices in the country since green revolution, rapid OP to F1 conversion since liberalization, and the
competition between Indian seed companies has enabled high rate of technology adoption in terms of
value added traits like resistance to ToLCV, CLCV, YVMV, and ELCV along with quality traits of
long shelf-life and long distance transportability and nutrition aspects (Paroda, 2013). Moreover, the
seed replacement rates (SRR) in F & V seeds have increased to the tune of almost 100 per cent in
cabbage and tomato followed by melons (99.00 per cent); papaya (96.00 per cent); gourds (93.40 per
cent); okra (92.40 per cent); peas (91.00 per cent); cauliflower (86.45 per cent) and chillies (83.70 per
cent) whereas, SRR was observed to be less than 50 per cent in most of the non-vegetable seeds except
cotton (Poonia, 2013). Thereby, though the non-vegetable seeds account for more than 82 per cent in
Indian seed market as of 2014-15 the expected growth by 2020 is to be estimated as14.6 per cent in
vegetable seeds which is more than that of non-vegetable seeds (11 per cent) (Parashar and Kumar,
2016). Seed production needs to be encouraged in India as it happens to be a viable proposition. For
instance, the seed production of sweet pepper can yield a net profit of 1.36 lakh per 0.75 acre, 0.41 lakh
per 0.25 acre for hot pepper and 2.16 lakh per 1 acre for tomato (Sathguru, 2016).
Status of seed industry in India
At present, India is the fifth largest seed market in the world accounting for 4.4 per cent of the global
seed market after US, China, France and Brazil. There has been nearly 200 per cent increase in Indian
vegetable hybrid seed market during 1998-2010 alone. The domestic market size of Indian seeds is Rs.
15000 crore (ISF, 2015). India’s grand success in the seed sector can be attributed to both public and
private sectors (including multinational firms) unequivocally in terms of research, quality assurance,
awareness and consensus building, product development and supply chain management. With a slew of
market oriented policies by the Central and State governments including the new seed development
policy (1988) and national seed policy (2002), the country’s seed industry has attained 33 per cent
growth rate in 2014-15 which is more than double that of the world seed industry (16 per cent). In 2020,
Indian field crop market is expected to breach USD 3 billion mark while the vegetable seeds market is
expected to reach USD 700 million (Parashar and Kumar, 2016). Moreover, for doubling farmers’
income in India by 2022-23 it is important to increase the country’s seed market share by10 per cent.
India’s untapped potential in fruits and vegetables (F & V) seeds export
Fruits and Vegetable Seeds are being viewed as high growth performers in the seed exports of any
country. As of 2016-17, India ranks 26th with seed export worth USD 138 million constituting 1.43 per
cent of the world’s seed export share. If F & V seeds exports alone are considered, the country is ranked
10th among the world nations with an export value of USD 71.4 million which happens to be 1.94 per
cent of the world’s F & V seeds export. In addition, though the F & V seeds export volume from India
is less than 1 per cent among total seed export, the export value is considerably high (11 per cent share).
Altogether F & V seeds export comprised 4 per cent of the total horticultural exports from India.
Particularly, the seeds of solanaceous vegetables, cucurbits, tomato, okra and melon are largely
exported from India (APEDA, 2017).
Despite being blessed with the second largest arable land, 15 major agro-climatic zones and 46 soil
types, India has still not tapped the potential to be a breeding center for many tropical and sub-tropical
vegetable crop seeds including peas, cauliflower, radish, onion, capsicum, okra, egg plant and fruit crop
seeds like papaya and melons. For instance, Indian plains and Deccan plateau offer the possibility for
the seed production of warm season vegetables and tropical fruits, whereas seed production of winter
vegetables like cabbage, cauliflower, broccoli, beetroot, European carrot and radish and other temperate
fruits is possible in the hill stations of Himalayan range. Besides, the seed production of winter
vegetables like onion, Asiatic carrot, radish, cauliflower and tropical fruits can be carried out in North
37 ISBN: 978-93-5351-069-5
Indian plains, whereas South Indian conditions can enable all round the year seed production of
solanaceous vegetables, cucurbits and legumes (Paroda, 2013).
With the seed markets already peaked or saturated in the European and North American countries, the
large scale adoption of high value seeds replacing farm saved seeds in Asian and African countries is
expected to spur future seed sector growth. There are bright prospects for India to emerge as a leader in
the export of F & V seeds. Thereby, it is pertinent to understand the country’s export market behaviour
as well to peruse its readiness in facing the competition from other exporting countries of F & V seeds.
In this context, the present study has conducted both temporal and destination-wise growth and
instability analyses in F & V seeds export from India over the last decade (i.e. 2007-08 to 2016-17). In
addition, the structural change pattern of F & V seeds export from India to different destinations has
also been attempted along with the prediction of future export volume till 2020-21.
MATERIALS AND METHODS
(i) Growth rate analysis
The compound growth rate analysis was carried out to ascertain the growth in terms of export quantity,
export value and export price of F & V seeds from India. Accordingly, the following specification was
fitted:
Yt = abt ut……………………………………………………………..(1)
Where,
Yt = Export of F & V seeds from India in year ‘t’ (volume, value and price);
t = Year which takes value of 1, 2, 3…, n;
ut = Disturbance term;
a = Constant term; and
b = Regression coefficient to be estimated.
This was followed by logarithmic transformation of the above equation (1):
ln Yt = ln a + t ln b + ln ut …………………………………………..(2)
The equation was estimated by ordinary least square technique (OLS) and the regression coefficients
(b’s) were obtained. Using that, compound growth rate (CGR) was obtained by,
CGR = (anti-log of ln b - 1) X 100………………………………… (3)
It is to be noted that the growth rate of export value was calculated after converting the nominal prices
into real prices by using the wholesale price index of all commodities at 2004-05 prices in order to
adjust inflation levels. The wholesale price index was obtained from the Reserve Bank of India database
and the export nominal values were made constant with the specification: Real value = Nominal value
/ Price index.
(ii) Instability analysis
Following growth rate, instability was also analyzed using both coefficient of variation (CV) and
Cuddy-Della Valle Index (CDV) for the all the export parameters of F & V seeds. Among the instability
measures, CDV is preferred over CV in this study as the former usually overestimates the level of
instability in any time series data (Valle, 1978). For working out CDV, the parameters were estimated
using log-linear OLS regression equation for all the ‘Y t ’ variables viz. export volume, export value and
export price. If the estimated coefficients turn out to be insignificant, then the CV itself is considered
as the index of instability (Ramasamy et al., 2005). In the present study, CDV is estimated using the
following specification:
ISBN: 978-93-5351-069-5 38
CDV = CV x [(1- |R|2 ) X 0.5]…………………………………….(4)

Where:
CV = Coefficient of variation obtained by Standard deviation (S) / Mean ( ) * 100;
|R|2 = Coefficient of determination from time trend regression adjusted by the number
of degrees of freedom.
(iii) Markov chain analysis
Markov chain analysis is usually employed to analyze the structural change as a random process in any
system whose progress through time can be measured in terms of a single outcome variable (Lee et al.,
1965). Accordingly, the Markov process is used in the study to analyze the shifts in the export pattern
of F & V seeds from India with top seven importing countries including Bangladesh, Pakistan, USA,
Netherlands, Japan, Thailand and Kenya. The assumption was that the average quantity of F & V seeds
export from India (in metric tonnes) amongst the importing countries in any period depends on the
export in the previous period and this dependence is same among all the periods. This is algebraically
expressed as:
…………………………………………………. (5)
Where:
Ejt = Exports from India to the jth country in the year t;
Eit-1 = Exports of ith country during the year t-1;
P ij = Probability of exports shifting from ith country to jth country;
ejt = Error term which is statistically independent of Eit-1; and
n = Number of importing countries.
Subsequently, Transitional probability matrix is estimated using linear programming
framework using Minimization of Mean Absolute Deviation (MAD) which is given as follows:
Min, OP* + I e ………..………………………………………………………………. (6)
Subject to:
X P* + V = Y
GP* = 1
P*  0
Where:
P * = Vector of the probabilities P ij;
O = Vector of zeros;
I = Dimensional vectors of areas;
e = Vector of absolute errors;
Y = Proportion of Indian exports to each country;
X = Block diagonal matrix of lagged values of Y;
Y = Vector of errors; and
G = Grouping matrix to add the row elements of P arranged in P* to unity.
The transitional probabilities ‘P ij’ , which can be arranged in a (c x n) matrix, have the following
properties:
…………………………………………….. (7)
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In a transitional probability matrix, the elements ‘P ij ’ indicated the probability of exports of India
switching from country ‘i’ to country ‘j’ over time. The diagonal element ‘P ij ’ where i=j, measured the
probability of India retaining its export market share. In other words, it indicates the loyalty of an
importing country to India’s export of F & V seeds.
(iv) Prediction of exports from India
As past performance is no guarantee for future exports, prediction is a matter of concern. Thereby,
export prediction was attempted and compared with the actual levels of exports for the study period i.e.
2007-08 to 2016-17 in order to understand the degree of estimated prediction matching with the actual
exports. Subsequently, the forecast of future export share of each importing country was also estimated
for the period between 2017-18 and 2020-21 using the following specification:
Bt = B0 * T…………………………………………………………….. (8)
Bt+i = Bt+i-1 * T ………………………………………………………… (9)
Where:
B0 = Quantity exported in Base years;
Bt = Quantity exported in next year (prediction); and
T = Transitional probability matrix.
RESULTS AND DISCUSSION

(i) Export performance
Export of F & V seeds from India has shown a steady increase in the recent decade. But, as shown in
figure 1(a), categorizing exports into export volume and export value presents altogether a different
picture as the steady growth is observed only with the latter. In general, export volume from India was
found to be highly instable in the study period. The maximum export of 17,817 metric tonnes (MT) of
F & V seeds was noticed in 2013-14 and it came down to 11,639 MT in 2016-17 which was a fall of
34.67 per cent. This proves that the country is not able to hold on to its export markets as the competition
from other exporting countries like China is becoming immense. Apart from that, Pakistan, Bangladesh
and African countries which happen to be the largest traditional importers of F & V seeds from India
also registered fall in import volume. Countries like China might have influenced India’s traditional
markets and on account of that their loyalty should have shifted away from India. On the other hand,
exporting countries like Netherland and France outsource their technologies and carry out seed
production in African countries including Chile, Sudan and Kenya. As a result, such countries offer F
& V seeds at competitive prices which eat in to India’s export market share.
Figure 1. Fluctuations in India’s export of F & V seeds during 2007-08 to 2016-17
(a) Export quantity (metric tonnes) (b) Export real value (Rs. lakh)
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Contrary to exports volume, as shown in figure 1(b), the export of F & V in terms of real value has
shown a tremendous rise from Rs. 12,189 lakh in 2007-08 to Rs. 28,821 lakh in 2016-17. In fact the
nominal values would still be higher (Rs. 52,741 lakh in 2016-17) but they cannot be used as such as
the inflation factor needs to be adjusted. The increase in export value despite the dip in export volume
only shows that the export price of F & V seeds from India have witnessed considerable improvement
over the years. The average export price of Bangladesh, India’s largest export volume market, happens
to be only Rs. 0.53 lakh per MT whereas the same was Rs. 19.06 lakh per MT for USA, Rs. 13.58 lakh
per MT for Netherlands and Rs. 11.04 lakh per MT for Thailand. Even the emerging market of Kenya
was offering an export market price of Rs. 6.22 lakh per MT of F & V seeds. Thereby, India seems to
have accessed high end markets in the export of F & V seeds. Besides, multinational companies would
have also involved in seed production in the country for the sole purpose of meting out the F & V seeds
demand of foreign markets as the climatic conditions in India favour temperate crops and the available
scientific pool and skilled manpower also turn out to be economical for such global firms.
(ii) Commodity-wise exports of F & V seeds
The export of F & V seeds of India is found to comprise sixteen major components (Table 1) and
categorized into four major components viz. vegetable seeds, fruit seeds, forage seeds and other seeds
or planting materials. The major vegetable seeds of export include the seeds of tomato, onion, cabbage,
cauliflower, radish, onion and pea. Among the fruit seeds, muskmelon and watermelon dominate export
trade from India.
Table 1. Commodity-wise export of F & V seeds from India
Source: APEDA (2017)

The export of seeds of chili, okra, eggplant and carrot are categorized in the table as ‘other vegetable
seeds’ under HS Code of 12099190 and their export volume share was observed to be largest, though
their export price was very low. Apart from that, the export seed price of cabbage, radish, pea and onion
seeds were also found low as the seeds were majorly exported to SAARC countries like Pakistan and
Bangladesh, the low export price markets. On the contrary, tomato seeds were found to have high value
(Rs. 131.44 lakh per MT) as they were mostly exported to high end markets like USA, Netherlands and
Thailand. In general, the fruit seeds fetched higher export prices when compared with that of planting
materials and forage seeds.
(iii) Destination-wise exports of F & V seeds
The export markets of India are dominated by Bangladesh, Pakistan, USA, Netherlands, Japan,
Kenya and Thailand. In terms of volume, the markets of Bangladesh and Pakistan traditionally
41 ISBN: 978-93-5351-069-5
determine the country’s exports. But, the market share of Pakistan was more than 45 per cent
in 2007-08 and it decreased to less than 10 per cent in 2016-17 whereas the export market share
of Bangladesh has increased from zero to 64 per cent in the same period. Contrary to this, the
export volume share of high end markets including USA, Netherland and Japan were found to
be insignificant.
Figure 2. Quantity-wise share of major exporting countries of India
Export volumes from India are huge for Bangladesh, Pakistan, Sri Lanka and Nepal since the
F & V seeds germplasm from Indian states like West Bengal and Punjab are readily adaptable
in these countries without much expansion in R & D (Kulkarni, 2010). It won’t be fair for India
to miss SAARC markets as the seed market size of Pakistan and Bangladesh alone are
estimated to be Rs. 500 crore in 2014-15 with an annual growth rate of 15 per cent (ISF, 2015).
Figure 3. Value-wise share of major exporting countries of India
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In terms of export value, the share of ‘other countries’ is dominant albeit it has declined from 88.12 per
cent in 2006-07 to 28.52 per cent in 2016-17. Though, the F & V seeds exports to Bangladesh occupied
more than 68 per cent in terms of volume they were worth only 20 per cent of total export value from
India. On the other hand, USA with less than 1 per cent share in export volume occupied 14 per cent
share in terms of value (Figure 3). In addition, the export value of Kenya and Japan were also found
higher than that of India’s major export partners of F & V seeds as the export prices work out to be in
India’s advantage. Understandably, the Indian seed companies have started expanding in African
markets to capitalize on the poor market infrastructure and the farmers’ appetite for economical hybrid
seeds in these countries. Some of the Indian companies like J.K Seeds, Namdhari Seeds, Nuziveedu
Seeds, Nath Seeds, Rasi seeds and Vibha Seeds have already entered the markets and conducting field
trials in SAARC and African countries (Kulkarni, 2010). But entry as well as consolidation in high
export price markets like USA and France appears to be difficult due to the competition from major F
& V seeds exporting countries like China, Netherlands and France.
(iv) Growth and Instability
The growth rate and instability of F & V seeds exports from India is furnished in Table 1. The compound
growth rate in terms of export volume was found to be at 3.94 per cent but insignificant, whereas the
same for export real value and export price was significantly high at 13.51 per cent and 9.42 per cent,
respectively. The corrected instability (i.e. CDV) is not applicable for export quantity as the trend
coefficient turned out to be insignificant. Accordingly, the value of CV itself was regarded as the
instability for export quantity (26.19 per cent). At the same time, instability of real export value and
export price got corrected from 37.67 per cent to 9.60 per cent and from 36.88 per cent to 20.97 per
cent, respectively.
Table 1. Export market instability and growth performance of F & V seeds from India during 2007-08
to 2016-17
Nominal Export Real Export Export Price
Export Quantity
Particulars Value Value (Rs. lakh /
(metric tonnes)
(Rs. lakhs) (Rs. lakhs) tonne)
Mean 12445.31 30861.34 18832.45 1.53
SD 3259.56 15412.66 7094.68 0.56
CV (%) 26.19 49.94 37.67 36.88
CDV (%) 24.15 10.01 9.60 20.97
Growth (%) 3.74 19.71*** 13.51*** 9.42***
Note: 1. Figures within parenthesis are t-values; ***indicate significance at 1 per cent level.
2. Nominal values were adjusted for inflation using WPI of all commodities of 2004-05.
3. Instability is corrected using Cuddy Della Valle Index (CDV)
The reason for low growth rate in export quantity from India shows that neither the country is able to
neither hold on to its traditional export markets nor venture in to new high end markets. At the same
time, the growth rate in export price proves that whatever loss in export value due to dip in quantity of
exports can be compensated by exporting to destinations with high market prices. The present findings
are in line with Kusuma and Basavaraja (2014) who revealed the same pattern for mango exports. But
high level of instability in export prices (20.97 per cent) does not seem to favour India’s future export
endeavours into its non-traditional markets.
(v) Destination-wise growth and Instability
The F & V hybrids or their improved cultivars are in demand in both developed and developing
countries alike. With the developed countries already reaching their seed production potential, they
either focus on expanding their market share by locating to Asian and African countries to either
produce seeds for export purpose or to import seeds from the middle or lower middle income countries
just to re-export to their own markets. With the countries like China and Thailand vigorously trying to
43 ISBN: 978-93-5351-069-5
expand their market share, the competition is too steep for India. The major importing countries of F &
V seeds from India viz. Bangladesh, Pakistan, USA, Netherlands, Japan, Kenya, Thailand and the other
remaining countries (pooled under ‘others’) are presented in Table 2. The findings revealed that in terms
of growth in export volume, apart from Bangladesh (82.95 per cent), Thailand (23.47 per cent) and
Japan (9.43 per cent) no other country recorded significant growth either positive or negative. Although
Pakistan and ‘other countries’ registered negative growth rate, it was found insignificant. Exports to
Bangladesh have registered tremendous growth in both export quantity (82.95 per cent) and export real
value (81.77 per cent) but not in terms of export price (-0.66 NS), whereas for Pakistan only export
price registered significant growth (16.48 per cent).
Table 2. Destination-wise growth rates and instability of F & V seed exports of India
Export Export Quantity Export Real Value Export Price
markets of Growth Instability Growth Instability Growth Instability
India (per cent) (per cent) (per cent) (per cent) (per cent) (per cent)
Bangladesh 82.95** 12.84 81.77** 26.61 -0.66 34.54
Pakistan -10.20 42.78 4.58 20.55 16.48** 62.62
USA 27.52 41.84 74.81** 16.30 37.13*** 37.69
Netherlands 1.74 53.76 17.59*** 16.66 15.55*** 36.77
Japan 9.43*** 20.87 11.03*** 12.62 1.48 27.58
Kenya 3.64 33.17 29.35*** 17.71 24.82*** 53.57
Thailand 23.47** 47.45 38.15*** 38.06 11.88 58.64
Others -3.72 32.75 8.58** 22.07 12.78*** 23.36
Note: 1. Figures within parenthesis are t-values; ***indicate significance at 1 per cent level.
2. Nominal values were adjusted for inflation using WPI of all commodities of 2004-05.
3. Instability is corrected using Cuddy Della Valle Index
Coming to instability, the values ranged from 12.84 per cent to 53.76 per cent for export quantity and
the same was ranging from 12.62 per cent to 38.06 per cent and 23.36 per cent to 62.62 in terms of
export real value and export price, respectively. Fluctuations in instability values reflect inherent
fragility of Indian exports which may be due to various economic and product safety/quality factors
(Kusuma and Basavaraja, 2014). For USA, both the export price growth (37 per cent) and instability
(37.69 per cent) were too high. In the same vein, the export price instability was too high for Pakistan
(62.62 per cent) followed by Thailand (58.64 per cent) and Kenya (53.57 per cent). This could only
mean that India is not possessed with any assured high price export markets which may become
unfavourable for its exports in the long-run. Moreover, the combination of insignificant growth (4.58
per cent NS) and relatively lower instability (20.55 per cent) of export markets like Pakistan in terms
of export value indicate secular decline of exports from India. Besides, as the export quantities to other
countries have registered insignificant negative growth (-3.72 per cent NS) along with higher instability
(32. 75 per cent) there seems to be abrupt fall of exports to these destinations.
(vi) Direction of trade
The structural change in the volume of exports of F & V seeds from India was examined using the
Markov chain approach. In the context of the current application, seven major export markets of India
viz. Bangladesh, Pakistan, USA, Netherlands, Japan, Kenya and Thailand were considered and the
remaining importing destinations were pooled under ‘others’ and the Markov analysis was run for the
period between 2007-08 and 2016-17. Central to Markov chain analysis is the estimation of the
transitional probability matrix, P ij . The elements ‘P ij ’ indicate the probability that Indian exports switch
from country ‘I’ to country ‘j’. The diagonal ‘P ij ’ measure the probability that the export share of a
country will be retained by India i.e. the degree of loyalty of an importing country to India’s exports.
ISBN: 978-93-5351-069-5 44
Table 3. Direction of trade of F & V seeds from India

Export
BANG PAK USA NETH JAP KEN THAI OTH
Market
BANG 0.245 0.413 0.093 0.000 0.000 0.000 0.000 0.249
PAK 0.545 0.222 0.000 0.000 0.000 0.000 0.000 0.233
USA 0.000 0.000 0.096 0.312 0.213 0.181 0.198 0.000
NETH 0.000 0.100 0.564 0.100 0.082 0.154 0.000 0.000
JAP 0.000 0.000 0.192 0.306 0.402 0.000 0.100 0.000
KEN 0.000 0.000 0.000 0.332 0.300 0.296 0.072 0.000
THAI 0.000 0.000 0.093 0.000 0.000 0.293 0.614 0.000
OTH 0.255 0.284 0.000 0.000 0.000 0.000 0.000 0.461
Note: BANG – Bangladesh; PAK – Pakistan; USA – United States of America; NETH –
Netherlands; JAP – Japan; KEN – Kenya; THAI – Thailand; and OTH - Others
Transitional probability matrix of export of F & V seeds from India is given in Table 3. Among all the
export markets of India, Thailand was found to be the most stable importing partner of India as it was
found to retain 61.40 per cent of its original share followed by ‘other countries’ (46.10 per cent) and
Japan (40.20 per cent). Despite Bangladesh and Pakistan being the largest export markets of India, they
exhibited very low loyalty to India’s exports as their retention of original shares amounted to only 24.50
per cent and 22.20, respectively. Simultaneously, India’s most loyal partner (i.e. Thailand) was found
losing a significant share to Kenya (29.30 per cent) and USA (9.30 per cent). Bangladesh, the largest
export market of India, was found to shed its original share to Pakistan (41.30 per cent) and other
countries (24.90 per cent). At the same time, the original share of Pakistan was found to have shifted to
Bangladesh to a major extent (54.50 per cent). Another interesting finding was that neither the low
export price markets (i.e. Bangladesh and Pakistan) were found losing their share to high end markets
(like USA or Netherlands) nor the export shares of high end markets have gone to low price markets.
In addition, the transition probabilities for the high export price destinations including USA (9.6 per
cent) and Netherlands (10.00 per cent) were found low indicating India’s limitations in exploring these
markets.
(vii) Export market projections
The market share projections of Indian F & V exports to the major importing destinations were
computed up to 2019-20 using the transitional probability matrix. Table 4 presents the actual and
predicted values of Indian F & V export volume to its major importers from 2007-08 to 2016-17 and
also the projections up to 2019-20. Except for Bangladesh and Pakistan, the predicted exports are in
line with the actual exports for the remaining importing countries. The actual share of Bangladesh was
found to have increased from 14.51 per cent (in 2008-09) to 64.08 per cent (in 2016-17). On the
contrary, predictions reveal declined export share of India to Bangladesh from 37.04 per cent (in 2008-
09) to 25.99 per cent (in 2016-17).
With regards to Pakistan, both actual and predicted exports were found diminishing but the degree of
decline was less pronounced in predictions (from 40.21 per cent to 26.30 per cent) when compared to
actual decline (from 45.22 per cent to 9.27 per cent). The actual export data revealed lesser fluctuations
in USA (from 0.66 per cent to 1.44 per cent) but the fluctuations in predicted export share of USA was
high as it ranged from 2.23 per cent to 7.22 per cent. The actual and predicted export shares matched
more or less perfectly in the case of ‘other markets’. Besides, there were less number of deviations in
the actual and predicted shares during the study period of 2007-08 to 2016-17 for Netherlands, Japan,
Kenya and Thailand.
The estimation of future exports proved favourable for India as the export shares of the high export
price countries (i.e. USA, Netherlands and Thailand) were found increasing and the export market share
of traditional markets (i.e. Bangladesh and Pakistan) revealed downward trend. Particularly, the export
volume share of Bangladesh was found decreasing from 68 per cent in 2016-17 to 28.77 per cent in
2019-20. Altogether, the future export shares of Pakistan, Bangladesh and other countries were around
25 per cent each. Further the predictions revealed that despite the estimation of improved export
45 ISBN: 978-93-5351-069-5
performance in the future, the increased shares of high-end markets (USA, Netherlands, Japan and
Thailand) would not be touching the double digit figures. In general, the forecasting of exports up to
2019-2020 looked promising as the increasing seed export from India is a possibility due to demand in
African countries especially Kenya, Ethiopia, South Africa, Zambia, Tanzania, Zimbabwe and
Mozambique for stress tolerant seeds which the Indian seed industry can capitalize (Sadguru, 2016).
For that, the Indian companies need to focus on strengthening the weak supply chain networking of
agricultural inputs in African countries. On the other hand, the production of hybrid seeds in developed
countries has reached a plateau which can further boost India’s export of F & V seeds.
Table 4. Actual and predicted exports (in metric tonnes) of F & V seeds from India
Note: A – Actual exports as reported in APEDA (2017); P – Exports predicted using TPM approach.
CONCLUSION AND WAY FORWARD
Of late, the Indian seed sector has been well established with tremendous potential to grow beyond the
boundaries of domestic market. But for that, the country has to be proactive in devising suitable policies
for harnessing its export potential. The present study has revealed that despite lesser growth in F & V
seeds export volume, there has been significant growth in terms of export value and export price. On
the contrary, instability was found to be more pronounced in both value and price factors than volume.
Further, the country’s exports were found traditionally skewed towards its neighbouring countries that
offer low export price. But, Markov chain analysis has revealed India’s losing share even in its
traditional markets. The transitional probability matrix reflected overall lesser stability of India’s
exports with Japan being the only loyal importing destination. Despite all that, India’s export shares can
be expected to increase in the future at least in value terms. The Good and Services Tax (GST) reform
may boost exports as the riddance of hidden costs can lead to the export prices becoming competitive.
Besides, India can also strengthen its market base by harmonizing plant quarantine laws across SAARC
nations. Simultaneously, high end Western countries can also be tapped by leveraging exclusive R & D
programs for export oriented seed production. Further, the knowledge sharing and capacity building
measures of Indian companies in African countries can also be expected to pay dividends to India’s
export shares in the near future.
ISBN: 978-93-5351-069-5 46
REFERENCES
[1] APEDA (2017). Agricultural Products and Export Development Authority. Accessed from
http://agriexchange.apeda.gov.in/ product_profile/ exp_f_india.aspx? categorycode=0102
on 15 June, 2017.
[2] Cuddy, J. D. A. and Della, V. P. A. (1978). Measuring instability in time series data. Oxford
Bulletin of Economics and Statistics, 40(1): 89-95.
[3] DGCIS. (2017). The Directorate General of Commercial Intelligence and Statistics, Kolkata,
Ministry of Commerce, Government of India.
[4] ISF. (2015). International Seed Federation. Accessed at http//:www.isf.in on 30 June 2017.
[5] Koundinya, A. V. and Kumar, P. P. (2014). Indian vegetable seeds industry: status and
challenges. Int. Journal of Plant, Animal and Environmental Sciences, 4(4): 62-69.
[6] Kulkarni, M. (2010). Indian seed companies eye SAARC, African countries for exports.
Business Standard, Bangalore edition, February 15, 2010 http://www.business-
standard.com/ article/companies/Indian-seed-companies-eye-saarc-african-countries-for-
exports-110021500091_1.html
[7] Lee, T.C, Judge G. G. and Takayama, T. (1965). On estimating the transition probabilities
of a Markov process. Journal of Farm Economics, 47(3): 742-762.
[8] Kusuma, D. K. and Basavaraja, H. (2014). Stability analysis of mango export markets of India:
Markov Chain approach. Karnataka J. Agric. Sci., 27 (1): 36-39.
[9] Nandi, A. K., Das, B. and Sable, M. (2013). Production and marketing strategies of seed export
for developing countries. Journal of Crop and Weed, 9(1): 32-35.
[10] Parashar S. S and Kumar, S. (2016). Boosting seed trade needs policy support and interventions,
Seed Times, National Seed Association of India, 18-22.
[11] Paroda, R. S. (2013). Indian Seed Sector : The Way Forward. Lecture delivered in the Indian
Seed Congress 2013, organized by National Seed Association of India, 8 February.
Accessed at www.taas.in/documents/pub31.pdf on 15 July 2017.
[12] Poonia, T. C. 2013.History of Seed Production and its Key Issues. Inter. J. Food, Agri. and Vet.
Sci., 3(1): 148-154.
[13] Ramasamy, C., Balasubramanian, R. and Sivakumar, S. D. (2005). Dyanmics of land-use
pattern with special reference to fallow lands- an empirical investigation in Tamil Nadu. Indian
Journal of Agricultural Economics, 60(4): 629-643.
[14] Sathguru. (2016). India: seed hub for asia and africa, A joint repot by Sathguru and National
Seed Assiciation of India. Joint report of Sathguru foundation and NSAI, India. Accessed
at http://www.sathguru.com/ Publication/download/ NSAI- Report.pdf on 22 July, 2017.
47 ISBN: 978-93-5351-069-5
PCM105
AN ANALYTICAL STUDY ON IMPACT OF BASEL II NORMS ON
PROFITABILITY OF BANKS IN INDIA
Dr. Hemali Tanna Dr. Kaushal Bhatt
hemali.hkt@gmail.com Assistant Professor,
9099063666 Graduate School of Management Studies,
kkabhatt@gmail.com
9879739171
Abstract:
Banks today have become a global enterprise which caters to broad geographical segments and hence
are exposed to a variety of risks. This necessitates having a standard framework for risk assessment
and management. Basel Norms are such set of regulatory guiding principles accepted by majority
countries of the world to have effectual system of measuring and managing risks related in banking
business. Basel II norms is a set of guidelines and comprehensive set of regulations, based on three
pillars of minimum capital adequacy requirement, supervisory review and market discipline. This
research paper aims to study the impact of Basel II Norms on the profitability dimension of Banks in
India in Pre and Post Basel II period. It also intends to examine the impact of Basel II norms on the
performance of Banks in India with reference to financial parameters of profitability dimension in Pre
and Post Basel II phase respectively. The present research is based on all the Banks operational in
India and for the entire period of ten years from the year 2005 to 2014 which is further categorised into
each phase of five years namely Pre-Basel II period (2005 to 2009) and Post Basel II period (2010 to
2014) respectively. For this study, Financial Ratio Analysis (FRA) method and statistical techniques
like Arithmetic Mean, Coefficient of Variance, Student’s paired T-test for two sample means and
Multiple Correlation have been used to understand the data and obtain significant results. After
comprehensive study, this paper highlights that Basel II framework has positive impact on the Banks in
India with reference to the dimension of profitability of Banks. Profitability parameters for all the four
categories of Banks have improved after complying with Basel II framework.
Keywords: Basel II Norms, Profitability, Bank Performance, Banks in India
INTRODUCTION AND BACKGROUND OF THE STUDY
Bank as an institution has become a global enterprise in the present scenario and provides services to
wide geographical areas. This requires having a standard framework wherein banks have a common
platform for performance. Further, banks are faced by different types of risks in the ever changing world
environment. Basel II Norms are such regulations that assist in measuring and managing risks
experienced by banks. Hence, the present study intends to study the impact of implementation of Basel
II norms on the performance of banks in India, with special reference to understand the profitability
dimension.
Introduction to Indian Banking Industry

The financial system of any country includes four main elements namely financial markets, financial
institutions comprising of banking and non-banking institutions, financial services and financial
instruments. All four components working together lead to a well-developed strong economy. Out of
this four elements, banking institution play a noteworthy role as other elements are actively dependent
on it.
Banking sector in India has offered significant contribution to the growth and development of various
industries of the Indian economy. Simultaneously millions of people utilize banking services in terms
ISBN: 978-93-5351-069-5 48
of loans and advances for their financial requirements. Hence the easy transfer of availability of funds
is performed by banking industry as a whole. In this background, the present study intends to
comprehend the impact of adoption of Basel II regulatory norms on the performance of banks operating
in India.
Introduction to Basel Norms

In the present scenario, banks have become internationally active banks i.e. banks have become a global
enterprise offering banking services across boundaries of nation. This compels banks to face extensive
changes and challenges in current situation. Further, this necessitates banks to take extreme care from
the diversity of risks experienced by them. Hence, it becomes mandatory for banks to formulate a strong
mechanism of measuring and managing risks. Basel Norms I and II were designed with the same
objective to make commercial banks stronger and to help them in times of crisis that might occur
because of ever-changing international banking system (Pasha 2013).
Bank for International Settlements (BIS)

The headquarter of the BIS organization is in the city called Basel, which is situated in Switzerland.
Hence, the regulatory structure of banking supervision as set by the BCBS committee started to
popularly known as Basel Norms/ Basel Accords throughout the world.
BASEL II NORMS
The Basel Committee on Banking Supervision (BCBS) publicized new framework for capital adequacy
requirements which would substitute the older Basel I Accord declared in 1988. As a result, the Revised
Capital Framework was made public in June 2004, which was widely known as Basel II Accord (BIS,
2015). This modified set of guidelines i.e. Basel II Norms is an all-inclusive set of detailed regulations
which largely intends to make sure that Banks across the world has effective supervision system.
Framework of Basel II Norms

Basel II Accord mainly considers calculating regulatory capital requirements i.e. Capital Adequacy
Ratio (CAR) and several guiding principles to review the process of supervision and market discipline
of Banks. The core of Basel II Norms rests on three pillars which are briefly portrayed as follows:
Pillar 1 – Minimum Capital Requirement

Basel II Norms focused on generating and increasing the standardized rules of minimum Capital
Adequacy Ratio (CAR) rules as suggested in Basel I accord. In Basel II framework, CAR needs to be
computed after considering risk weighted assets based on three categories of risks like credit risk,
operational risk and market risk respectively.
Pillar 2 – Supervisory Review

Basel II Accord aimed to supervise the necessity of CAR requirement and to ensure that internal and
in-house appraisal is done in appropriate manner. Further, this pillar empowers the Banks to review/
reconsider their risk management system by supporting banks to form and implement better strategies
and methods in identifying and managing risks. Supervisors are appointed to intervene in the whole
process, if they find the need to do so (Hashmi, 2012).
Pillar 3 – Market Discipline

Basel II Norms emphasizes to disclose significant information as a vital tool to promote market
discipline and encourage efficient banking practices (BIS, 2015). In other words, market discipline is
to share/ disclose important information with market participants wherein banks have to reveal
noteworthy information on risk exposure, methods of assessing risk and policies/plans to reduce risks
faced by banks (Sarma & Nikaido, 2007).
The framework of Basel II guidelines aimed to improve the mechanism of computing the need of
regulatory capital and the method to incorporate risks included in it. The objective of alterations in the
49 ISBN: 978-93-5351-069-5
regulation was to offer encouragement and assistance for continuous improvements in the practice of
examining and controlling risks faced in banking business.
Introduction of Basel II Norms in Indian Banking System

All the banks operating in India have implemented Basel II norms in their respective banks. RBI had
proposed March 2007 as the first deadline for adopting Basel II framework in India, although the target
date was then delayed by a year twice. Nevertheless, all the banks in India have abided by this agenda
sooner or later. As a result, March 2009 was the final cut-off date to practice Basel II norms and all the
banks in India have firmly followed the same. (Pasha 2013) (Mittal S, 2008) (Sarma & Nikaido 2007).
IMPACT OF BASEL II NORMS ON THE PROFITABILITY OF INDIAN BANKING

SECTOR
Theoretical framework of selected parameters

This section comprises of the conceptual explanation for understanding the theoretical framework of
parameters that are identified, selected and finalized for the present research. It begins with the concept
of Financial Ratio Analysis (FRA) method as parameters/ variables are actually ratios to measure
profitability of Banks, followed by brief understanding of selected parameter/ ratio, its formula and
implication, to relate in a more inclusive manner.
Financial Analysis/ Financial Ratio Analysis (FRA) Method

Financial Analysis is one of the most systematic and logical method to represent the general financial
performance of any financial institution. In the same process, Ratio Analysis is the primary and most
rational technique beneficial to all the stakeholders of banking business. (Islam 2014) Ratio analysis is
a method that focuses on particular aspects of business like profitability, liquidity, asset quality,
efficiency etc. It gives a general idea about business transactions and helps in decision making related
to a specific section, which needs management’s attention. It also helps in minimizing risks and
enhancing profits over a period of time.
Parameters to analyze Financial Performance of Banks with Profitability dimension

This describes the parameters that are selected to examine financial performance of banks under present
research study. Further it is categorized into the dimension of profitability. The same is explained in
following text.
Profitability Parameters
The performance of the bank can be examined in various ways and considering several parameters. Out
of all parameters, profitability is the most important and consistent indicator as it highlights the potential
of the bank to increase its earnings. (Pandi & Vellingiri, 2014) Profitability Ratios are computed to
determine the capability of the business to make profits after deducting all the expenses and costs for a
specific period of time. In majority cases, when the profitability ratios are higher than the previous year,
targets set, competitor (s) or industry average, it is regarded as an indication of improved performance
of the company. The various financial parameters which are identified to measure profitability of banks
in the present study are described as follows:
Operating Profit Ratio (OPR)

This ratio of Operating Profit to Total Assets portrays the percentage of total operating profits made out
of using the total assets of the bank.
Operating Profit Ratio = Total Operating Profits * 100
Total Assets
The higher this ratio specifies the capability of bank while performing routine operations. Higher the
operating profit ratio, higher is the operational efficiency of the firm. (Mohanty)
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Net Interest Margin (NIM)

The Net Interest Margin (NIM) is also acknowledged as ratio of Net Interest Income to Total Assets.
NIM is explained as the total interest earned minus total interest paid by the bank. NIM is calculated as
the net interest income which is divided by the average interest earning assets (RBI). The formula for
the same is mentioned as follows:
Net Interest Margin = Net Interest Income * 100

Total Assets
Higher NIM ratio signifies higher profitability for the bank. It also specifies that bank is competent
enough to earn returns on its advances and investments to cover its operational costs.
Return on Assets (ROA)

Return on Assets (ROA) of any bank displays the ability of the management to get deposits at a
reasonable cost and invest them in profitable investments (Ahmed, 2009). This ratio indicates the net
income earned per rupee of assets. ROA also emphasizes the profits earned on the assets of the bank
after covering all the expenses and taxes. It is calculated as follows:
Return on Assets = Net Profits * 100
Total Assets
Higher Return on Assets shows better managerial performance and expert utilization of the assets of
the firm and lower ROA indicates incompetent utilization of the assets. Moreover, banks that have
higher ROA are more expected to have higher profits.
Return on Equity (ROE)

Return on Equity (ROE) is one of the important parameters to recognize the profitability and future
growth potential of the bank. ROE is mainly the rate of return paid to equity shareholders. It is also
known as percentage return earned on each rupee of equity invested in the bank (Islam, 2014). It is
calculated as follows:
Return on Equity = Net Profits * 100
Total Equity
ROE is usually higher for high growth companies i.e. firms with considerable growth potential in future
and has sustainable business advantage. Higher ROE specifies better performance and high growth of
the bank in future.
LITERATURE REVIEW
Nathwani N. (2004) in his thesis titled “The Study of Financial Performance of Banking Sector of India”
has evaluated the financial performance of all the commercial banks of the country for the duration of
five years from the year 1997-1998 to 2001-2002. The aim of his doctoral research was to study the
Indian banking sector in detail and comprehend the financial performance of all commercial banks in
the areas of profitability, operational efficiency, credit efficiency and productivity. The findings
emphasize that Foreign banks have outperformed other bank categories in terms of operational
efficiency and profitability, whereas New Private Sector Banks and Foreign Banks have performed
better than other groups in case of productivity.
Vyas R., Singh M. & Yadav R. (2008), in their research paper title “The impact of Capital Adequacy
Requirements on the performance of Scheduled Commercial Banks” have examined the impact of
capital adequacy norms on the performance of Scheduled Commercial Banks (SCBs) operating in India
for the time period from 1996-97 to 2006-07. The primary objective was to compare the Return on
Assets (ROA) of Public and Private sector banks with Foreign banks because Foreign banks had highest
ROA. The results of panel data analysis reveal that Average ROA, CRAR, NII and NIM of Foreign
Banks operating in India are the highest as compared to other bank-categories. The results signify that
well-capitalized banks achieve higher profits because of lower cost of funding their operations.
Likewise, variables like NII and NIM also increases and results in higher profitability of the banks.
51 ISBN: 978-93-5351-069-5
Karim R. & Alam T. (2013), in their research paper titled “An Evaluation of Financial Performance of
Commercial Banks in Bangladesh: Ratio Analysis” have examined the performance of selected private
sector banks of Bangladesh for the time duration of 2008 to 2012. The authors have recognized three
main parameters and they were computed using suitable statistical methods like Internal-based
performance was evaluated using Return on Assets, Market-based performance was assessed using
Tobin’s Q model (i.e. Price to Book ratio) and Economic-based performance was interpreted using
Economic Value Added (EVA) method. The results of first model of evaluating internal performance
highlight that 90% of the variation in dependent variable ROA was due to the independent variables.
Out of all the independent variables under study, except operational efficiency, the other parameters
were observed to have impact on ROA. The second model of measuring economic performance
revealed that operational efficiency and credit risk did not have any impact on dependent variable ROA.
The third model of measuring market performance revealed that only bank size had some impact on
ROA, while other three variables were not significant.
Olalekan A. & Adeyinka S. (2013), in their research paper titled “Capital Adequacy and Bank’s
Profitability: An empirical evidence from Nigeria” aimed to establish the consequence of capital
adequacy on the profitability of foreign and domestic banks of Nigeria. The study is based on primary
data collected using questionnaires from a sample of 518 distributed to bank employees and secondary
data of banks was gathered from published financial statement of banks for the time duration of 2006
to 2010. Statistical techniques like Linear Regression were utilized to evaluate the primary data and
Panel Data analysis was used to measure the secondary data. The findings for the primary data analysis
revealed a non-significant relationship but the secondary data analysis highlighted a positive and
significant relationship between capital adequacy and profitability of bank.
Pandi T. & Vellingiri P. (2014), in his research paper titled “Factors determining profitability of Public
Sector Banks in India”, have investigated the profitability of public sector banks operational in India,
which consists of major segment of the Indian banking industry. They authors have examined 10 public
sector banks and the data has been gathered and evaluated for the period from 2003-04 to 2011-12. The
performance of these banks has been analyzed using 27 profitability ratios as per CRAMEL ratio
method. The paper concludes that majority banks have achieved higher Return on Assets, Equity paid-
up to Networth, Return on Capital Employed and Deposits to Total Assets and hence have performed
well as per the changing scenario in external financial system.
Saeed M. (2014) in his research paper titled “Bank-related, Industry-related & Macroeconomic Factors
affecting Bank Profitability: A Case of United Kingdom” had examined the impact of bank-specific,
industry-specific and macroeconomic factors on the profitability of the banks in UK in three phases -
before, during and after the 2008 financial crisis i.e. from 2006 to 2012. The author has collected
required bank’s data from the respondents of 73 Commercial Banks of UK. Statistical methods like
regression and correlation were utilized for analyzing and interpreting the data. The study intended at
investigating the impact of independent variables on the profitability of banks. The findings of the study
highlighted that internal factors like bank size, capital ratio, loan, deposits, liquidity and interest rate
have positive impact on ROA and ROE whereas GDP and inflation rate have negative impact. He
further concluded that internal factors are positively correlated with both ROA and ROE and external
factors like interest rate has positive impact on bank profitability whereas inflation and GDP had a
negative impact on performance of banks.
Gaps in the Literature Review
1. There are quite a lot of studies been performed on Basel II regulations and its effect on
Banks in India; but very few studies have considered regulatory aspects of Basel II
Norms and examined its impact on the performance of banks operating in India.
ISBN: 978-93-5351-069-5 52
2. Several studies have examined Basel II framework after it has been complied; though
there was a need to properly understand its impact – before and after the
implementation. Therefore the time period for the present study is divided into two
phases i.e. Pre Basel II phase (from the year 2005 to 2009) and Post Basel II phase
(from the year 2010 to 2014).
3. A small number of researchers have considered the consequence of Basel II framework
in public and private sector banks in India, thereby using few samples of banks. As a
result, the present study incorporates the universe of banks operating in India as on 31st
March 2014, which are further classified into four categories namely State Bank of
India & Its Associates, Nationalized Banks, Private Sector Banks and Foreign Banks.
4. There are many studies performed on measuring profitability of Banks in India; but
researcher could not find analysis of Basel II on profitability of Banks.
Consequently the present study comprises of understanding the Basel II framework and
examining the impact of adoption of Basel II Norms on the performance of Banks in India with
reference to the dimension of profitability of banks. In addition, the impact of Basel II norms
is examined using two different phase i.e. Pre-Basel II phase (before) and Post Basel II phase
(after implementation) respectively.
Research Design
The present study began with the understanding of various features of Basel II regulations which is
descriptive in nature. In addition, the study is performed on examining the impact of compliance of
Basel II framework on the profitability dimension of banks in India which is analytical.
Research Methodology
The present research aims to examine the profitability of banks in India after the implementation of
Basel II norms. The profitability is measured using four financial parameters that indicate efficiency
and effectiveness of banking operations. Further, the study is based on all the Banks operational in India
and for the entire period of ten years from the year 2005 to 2014 which is further divided into each
phase of five years namely Pre-Basel II period (2005 to 2009) and Post Basel II period (2010 to 2014)
respectively.
Data Source
The primary source of secondary data collection is Central Bank of India’s data warehouse namely
Reserve Bank of India (RBI) Database warehouse on Indian Economy. The data has been gathered for
ten years from 2005 to 2014 and it is then categorized into two periods i.e. 2005 to 2009 as Pre Basel
II period and 2010 to 2014 as Post Basel II period. The RBI Reports were compiled, selected, bifurcated
and then assessed as the need of the present study. Besides the other important data has been collected
from various volumes of reports published by Statistical Department of RBI, Mumbai, Report on
Currency and Finance, working papers submitted to Institutions of high repute and research papers
published in famous online and print journals.
Research Objectives
The study is divided into three parts to achieve the below mentioned objectives.
1. To understand the main features of Basel II framework
2. To analyze the impact of Basel II norms on the profitability of Banks in India
3. To examine the performance of Banks in India with reference to financial parameters of
profitability in Pre-Basel II and Post-Basel II phase
53 ISBN: 978-93-5351-069-5
Population & Sample Size for Secondary Data

The total universe of Banks in India namely all Banks in the group of SBI & Its Associate Banks,
Nationalized Banks, Private Sector Banks and Foreign Banks were considered which had existence
throughout all the ten years of study period (i.e. from the year 2005 to 2014).
As stated in the Table no. 4.1, the Total Number of Banks that were operational in India at the end of
March 2014 were 90 Banks which are further classified into 4 categories. Though, in the present study,
the researcher has calculated total banks as 70 because there were 20 banks that did not exist in all the
ten years of study period (i.e. from the year 2005 to 2014). In order to keep homogeneity of data, those
banks were eradicated, only those 70 banks were chosen who were operational in India in all the ten
years of the study period from 31st March 2005 to 31st March 2014. Therefore, 18 Foreign Banks, 1
Private Sector Bank and 1 Nationalized Bank were eliminated. The same has been exhibited in the
following table.
Table 4.1 Summary of Number of Banks shortlisted as Samples

Number of Banks in
Bank Category each category as on Number of Banks Total Banks under
31st March 2014 excluded from Study in each Category
Study
SBI & Its Associates 6 0 6
Nationalized Banks 21 1 20
Private Sector Banks 20 1 19
Foreign Banks 43 18 25
Total 90 20 70
Source: Compiled and summarized by the Author from several RBI Reports
Table 4.2 Final List of Banks as Samples for the study

State Bank of India &
Nationalized Banks Private Sector Banks Foreign Banks
Its Associate Banks
State Bank of Bikaner &
Allahabad Bank Axis Bank AB Bank Limited
Jaipur
Abu Dhabi Commercial
State Bank of Hyderabad Andhra Bank Catholic Syrian Bank Ltd
Bank
State Bank of India Bank of Baroda City Union Bank Ltd Antwerp Diamond Bank NV
State Bank of Mysore Bank of India DCB Bank Limited Bank of America N.A.
Bank of Bahrain & Kuwait
State Bank of Patiala Bank of Maharashtra Federal Bank
B.S.C.
State Bank of
Canara Bank HDFC Bank Bank of Ceylon
Travancore
Central Bank of India ICICI Bank Bank of Nova Scotia
Corporation Bank IndusInd Bank Barclays Bank Plc
Dena Bank ING Vysya Bank Citibank N.A.
Jammu & Kashmir Bank
IDBI Bank Limited Credit Agricole
Ltd
Indian Bank Karnataka Bank Ltd CTBC Bank
Indian Overseas Bank Karur Vysya Bank DBS Bank Ltd.
ISBN: 978-93-5351-069-5 54
Oriental Bank of Kotak Mahindra Bank

Deutsche Bank AG
Commerce Ltd
Hongkong & Shanghai
Punjab and Sind Bank Lakshmi Vilas Bank
Banking Corpn. Ltd.
HSBC Bank Oman
Punjab National Bank Nainital Bank
S.A.O.G.
JP Morgan Chase Bank
Syndicate Bank South Indian Bank
N.A.
Tamilnadu Mercantile Krung Thai Bank Public
UCO Bank
Bank Ltd Company Ltd
The Ratnakar Bank
Union Bank of India Mashreq bank PSC
Limited
United Bank of India Yes Bank Ltd Mizuho Bank Ltd
Royal Bank of Scotland
Vijaya Bank
N.V.
Shinhan Bank
SocieteGenerale
Sonali Bank
Standard Chartered Bank
State Bank of Mauritius Ltd
Source: Compiled and summarized from several RBI Reports
The above table 4.2 emphasizes the Final List of Banks as a part the present research. This is the list
that is prepared after excluding necessary banks from the population. So, this table presents the final
Samples selected for the topic under consideration.
Table 4.3 Summary Table for Ownership-wise List of Sample Banks

Bank Category Total Number of Banks
SBI & Its Associates 6
Nationalized Banks 20
Private Sector Banks 19
Foreign Banks 25
Total Banks in India (under study) 70
Source: Compiled and summarized from several RBI Reports and table 4.2
The above table 4.3 indicates the final summary of Sample Banks under study and the same is presented
as category-wise classification for all Banks operating in India.
Selection of Parameters
After considering the Population and Sample Size for the study, the following stage was identifying the
parameters that should be selected to scrutinize the data and achieve significant findings.
Selecting of Parameters for study

The earlier steps were identifying the Population and Sample Size for the study. The next step is to
recognize the parameters that should be selected to further interpret the data and gain findings and
conclusion that match the objectives of the study.
55 ISBN: 978-93-5351-069-5
Table 4.4 Selection of Parameters

Identification and Selection of Financial Parameters to study the Impact of Basel II Norms
on the Profitability of Banks in India
Objective Financial Parameters to measure the Performance of Banks in India
A PROFITABILITY
1 Ratio of Operating Profit to Total Assets/ Operating Profit Ratio (in %)
2 Ratio of Net Interest Income to Total Assets/ Net Interest Margin (NIM) (in %)
3 Return on Assets (ROA) (in %)
4 Return on Equity (ROE) (in %)
Source: Derived/ Selected from RBI Table labelled as "Indian Banking Sector at a Glance (for the year
2012-13, 2013-14 and 2014-15) and various Research Papers, Articles, Dissertations and Thesis of
eminent research scholars from India and Abroad
The above Table 4.4 represents the list of Parameters that are identified and selected to inspect the
Impact of Basel II Norms on the Performance of Banks in India with reference to profitability
dimension. The parameters are selected based on the following reasons: Firstly, most of the parameters
are used by RBI in their several progress reports. Secondly, the parameters are used by several authors
to evaluate the performance of banks. Thirdly, all the parameters have a specific importance and
application that helps to measure a specific outcome and at the same time, each parameter is beneficial
to one or more stakeholders of Banks when they figure out the Bank performance and its growth aspects.
Period of Study
The secondary data for the selected parameters for all the samples have been collected and analyzed for
the period of ten years from the year 2005 to 2014. Further, it is classified as 2005 to 2009 as Pre-Basel
II phase and 2010 to 2014 as Post Basel II phase (5 years each).
Research Hypothesis
To evaluate the impact of implementation of Basel II Norms on the Financial Performance Parameters
of Banks in India:
▪ There is no significant difference in the Financial Performance of Banks in India in the
dimension of Profitability in Pre-Basel II and Post Basel II phase
Relevance of Study
This research paper would be useful to Management of Banks and Regulators to comprehend the impact
of Basel II framework on Banks in India; this would further support them to check the compliance of
Basel III norms. Further, this would benefit Investors and Researchers/ Readers to analyze the Bank
performance of last ten years and understand the consequences on macro level parameters and financial
performance parameters of Banks in India.
Limitation of the Study

Every study has some restraints; the present study too has the following limitations:
▪ Though the present study refers to the impact of Basel II norms on banks at national level, its
experimental analysis is restricted to secondary data analysis.
▪ Basel III is the present regulatory framework which has not been studied/ considered in this
research
DATA ANAYSIS AND INTERPRETATION

The data analysis and interpretation segment is divided into following two parts for better understanding
of data, evaluating and obtaining meaningful findings that match the objectives of the present study.
Part I - Comparison of all Banks based on selected ratios and Hypothesis testing
Part II - Multiple Correlation Analysis to check the inter dependency of all selected ratios
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Part I - COMPARISON OF ALL BANKS BASED ON SELECTED RATIOS AND

HYPOTHESIS TESTING
Ratio of Operating Profit to Total Assets/ Operating Profit Ratio
Table 5.1: Overall Summary Table of Operating Profit Ratio
(in %)
SBI & Its Nationalized Private Sector Foreign
Particulars Year
Associates Banks Banks Banks
2005 2.83 2.26 1.87 3.01
2006 2.15 1.87 1.95 3.73
2007 2.03 1.95 2.02 3.69
Pre-Basel II
2008 1.78 1.77 2.22 3.91
2009 1.93 1.85 2.29 4.96
Average 2.14 1.94 2.07 3.86
2010 1.91 1.83 2.24 3.50

2011 2.17 1.94 2.21 3.87
2012 2.08 1.88 2.22 4.46
Post Basel II
2013 1.92 1.75 2.23 4.34
2014 1.67 1.60 2.18 3.55
Average 1.95 1.80 2.22 3.94
Source: Calculated from the published annual report of selected banks and RBI reports
Interpretation
The above table 5.1 emphasizes the Operating Profit Ratio as earned by different bank categories
throughout the present study period. Operating Profit Ratio is the highest earned by Foreign Banks in
Pre-Basel II and Post Basel II phase respectively. Further, significant rise in this ratio is noted in the
category of Private Sector Banks and Foreign Banks from Pre to Post Basel II phase. The high level of
this ratio signifies the capability of bank in performing regular operations. Higher the operating profit
ratio, higher is the operational efficiency of the firm. Hence, Foreign Banks are considered to be
efficient in terms of earning higher operating profits as compared to other bank categories. In addition,
it reveals that they utilize their assets in the best possible manner to earn profits for its banks.
Fig. 5.1: Overall Summary Chart for Operating Profit Ratio
Source: Chart based on Table No.5.1
57 ISBN: 978-93-5351-069-5
Interpretation:
The figure 5.1 clearly reflects that the Operating Profit Ratio is highest for the category of Foreign
Banks in Pre-Basel II and Post Basel II period. Further, this ratio has increased for Private Sector Banks
and Foreign Banks from Pre Basel II to Post Basel II phase. The above chart certainly shows that this
ratio is the highest maintained by Foreign Banks operating in India and least earned by Nationalized
Banks during the study period.
Hypothesis Statement:
H0: There is no significant difference in the Operating Profit Ratio during Pre and Post Basel II period
for selected banks. (µ1 = µ2)
H1: There is significant difference in the Operating Profit Ratio during Pre and Post Basel II period for
selected banks. (µ1 ≠ µ2)
Table 5.2: Hypothesis Result of Operating Profit Ratio

Particulars
t-critical Value 2.78 2.78 2.78 2.78
t-calculated Value 1.00 1.59 1.68 0.21
Hypothesis Result Accepted Accepted Accepted Accepted
Source: Calculated from the data available with the help of Excel
Interpretation of Hypothesis Result:

T value (1.00) is less than T-critical value (2.78) which signifies that null hypothesis is accepted at 5%
level of significance. This clearly signifies that there is no significant difference in Profitability
dimension of SBI & Its Associate Banks in Pre-Basel II period and Post Basel II period in the parameter
of Operating Profit Ratio. Likewise, T value (1.59), T value (1.68) and T value (0.21) are lesser than T-
critical value (2.78) which indicates that null hypothesis is accepted at 5% level of significance and
there is no significant difference for the parameter of Operating Profit Ratio for the category of
Nationalized Banks, Private Sector Banks and Foreign Banks respectively in Pre Basel II and Post Basel
II period in India respectively. Hence, all the four bank categories shows no significant difference for
the parameter of Operating Profit Ratio, which highlights that overall there is no significant difference
in this facet of profitability dimension of banks in India in Pre-Basel II and Post Basel II phase.
Ratio of Net Interest Income to Total Assets/ Ratio of Net Interest Margin (NIM)
Table 5.3: Overall Summary Table of Ratio of Net Interest Margin (NIM) (in %)
Particulars Year
2005 3.42 3.14 2.90 2.63
2006 3.23 3.01 3.11 2.94
2007 2.78 2.88 3.03 3.52
Pre-Basel II
2008 2.28 2.29 2.95 3.81
2009 2.32 2.31 3.04 3.99
Average 2.80 2.72 3.01 3.38
2010 2.43 2.25 2.87 3.38

2011 2.95 2.74 3.21 3.50
2012 2.91 2.57 3.12 3.93
Post Basel II
2013 2.82 2.40 3.09 4.02
2014 2.73 2.26 3.09 3.49
Average 2.77 2.44 3.08 3.66
ISBN: 978-93-5351-069-5 58
Interpretation
The table 5.3 highlights the ratio of Net Interest Margin as earned by all four bank categories
during the period of study. It is clearly noted from this table that the ratio is highest earned by
Foreign Banks category in Pre and Post Basel II era respectively. In addition, NIM has noticed
rise in Private Sector Banks and Foreign Banks from Pre Basel II to Post Basel II phase. Higher
this ratio indicates higher profitability for the bank. It also indicates that bank is competent to
earn returns on its advances and investments to cover its operational costs. Here, it is apparent
that Foreign Banks operating in India has higher profitability as compared to other bank
categories during the study period.
Fig. 5.2: Overall Summary Chart for the Ratio of Net Interest Margin (NIM)
Interpretation:
The table 5.3 signifies that the ratio of Net Interest Margin (NIM) is highest for the category of Foreign
Banks in the Pre-Basel II as well as Post Basel II phase. Further, the NIM has increased for Private
Sector Banks and Foreign Banks from Pre Basel II to Post Basel II period. The above chart clearly
shows that this ratio is least maintained by Private Sector Banks in India.
H0: There is no significant difference in the Ratio of Net Interest Margin (NIM) during Pre and Post
Basel II period for selected banks. (µ1 = µ2)
H1: There is significant difference in the Ratio of Net Interest Margin (NIM) during Pre and Post Basel
II period for selected banks. (µ1 ≠ µ2)
Table 5.4: Hypothesis Result of Ratio of Net Interest Margin (NIM)
Particulars
t-critical Value 2.78 2.78 2.78 2.78
Hypothesis Result Accepted Accepted Accepted Accepted
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T value (0.13) is lesser than T-critical value (2.78) which signifies that null hypothesis is accepted at
5% level of significance. In addition, it signifies that there is no significant difference in profitability
dimension of SBI & Its Associate Banks in Pre-Basel II and Post Basel II era in the parameter of Net
Interest Margin (NIM). Further, T value (1.66), T value (2.44) and T value (1.31) are lesser than T-
critical value (2.78) which clearly signifies that null hypothesis is accepted at 5% level of significance
and there is no significant difference for the parameter of NIM for the category of Nationalized Banks,
Private Sector Banks and Foreign Banks respectively in Pre Basel II and Post Basel II phase in India.
Consequently, out of four bank categories, all four categories shows no significant difference for the
parameter of Net Interest Margin, which indicates that overall there is no significant difference in the
profitability of banks in India in Pre-Basel II and Post Basel II period.
Ratio of Return on Assets (ROA)
Table 5.5: Overall Summary Table of Ratio of Return on Assets (ROA) (in %)
Particulars Year
2005 0.95 0.93 0.56 0.69
2006 0.90 0.85 0.84 1.78
2007 0.95 0.96 0.99 1.94

Pre-Basel II
2008 0.95 1.03 1.12 2.49
2009 0.99 0.98 1.09 2.65
Average 0.95 0.95 0.92 1.91
2010 0.99 0.97 1.08 1.42
2011 0.99 0.98 1.22 1.94
2012 0.88 0.84 1.35 2.54

Post Basel II
2013 0.82 0.71 1.36 2.44
2014 0.56 0.38 1.27 1.53
Average 0.85 0.78 1.26 1.97

Interpretation:
The table 5.5 outlines the ratio of Return on Assets earned by all four bank categories operating in India
during the ten years of study. ROA is highest in the category of Foreign Banks in Pre as well as Post
Basel II period. In addition, the ratio has increased in Private Sector Banks and Foreign Banks from Pre
Basel II to Post Basel II period respectively. This signifies that Foreign Banks have earned maximum
return on their assets which includes its investments and have attained noteworthy profits. Moreover, it
also reveals the superior managerial and financial performance of the Foreign Banks category
throughout the period of study.
ISBN: 978-93-5351-069-5 60
Fig. 5.3: Overall Summary Chart for the Ratio of Return on Assets (ROA)

Interpretation:
The figure 5.3 evidently shows that Return on Assets (ROA) is highest in Foreign Banks category in
Pre and Post Basel II period. Also, the ROA has increased for and Private Sector Banks and Foreign
Banks from Pre Basel II to Post Basel II phase
H0: There is no significant difference in the Ratio of Return on Assets (ROA) during Pre and Post Basel
II period for selected banks. (µ1 = µ2)
H1: There is significant difference in the Ratio of Return on Assets (ROA) during Pre and Post Basel II
period for selected banks. (µ1 ≠ µ2)
Table 5.6: Hypothesis Result of Ratio of Return on Assets (ROA)
Particulars
t-critical Value 2.78 2.78 2.78 2.78
Hypothesis Result Accepted Accepted Rejected Accepted

T value (1.08) and T value (1.30) are less than T-critical value (2.78) for SBI & Its Associate Banks
and Nationalized Banks category which signifies that null hypothesis is accepted at 5% level of
significance. It also indicates that there is no significant difference in profitability dimension of both
these bank categories in Pre-Basel II and Post Basel II period in the parameter of Return on Assets
(ROA). However, T value (5.56) is higher than T-critical value (2.78) which indicates that null
hypothesis is rejected at 5% level of significance and there is significant difference for the parameter of
ROA for the category of Private Sector Banks whereas T value (0.19) is less than T-critical value (2.78)
for the category of Foreign Banks which indicates that null hypothesis is accepted at 5% level of
significance and there is no significant difference in the parameter of ROA for Foreign Banks in Pre
Basel II and Post Basel II period in India. Hence, out of four bank categories, only one category shows
significant difference for the parameter of Return on Assets, which signifies that overall there is no
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significant difference in the profitability dimension of banks in India in Pre-Basel II and Post Basel II
period.
Ratio of Return on Equity (ROE)
Table 5.7: Overall Summary Table of Ratio of Return on Equity (ROE) (in %)
Particulars Year
2005 20.22 15.65 6.23 1.94
2006 18.43 13.92 9.30 7.69
2007 19.82 16.59 13.03 8.86
Pre-Basel II
2008 20.21 17.69 14.24 11.66
2009 21.11 17.19 13.20 11.96
Average 19.96 16.21 11.20 8.42
2010 19.69 18.03 12.67 5.81
2011 18.90 17.10 14.33 7.62
2012 16.30 14.46 15.75 9.93
Post Basel II
2013 14.60 11.97 16.00 9.30
2014 9.67 6.34 14.29 6.94
Average 15.83 13.58 14.61 7.92
Interpretation:
The table 5.7 portrays the percentage of Return on Equity earned by four bank categories operating in
India throughout the study period. This table undoubtedly showcases that SBI & Its Associate Banks
category has highest ROE as compared to other bank categories in both Basel II phases.
Simultaneously, ROE has increased in Private Sector Banks and Foreign Banks from Pre Basel II to
Post Basel II period respectively. SBI is one of the oldest banking groups in India and therefore enjoys
majority share of the banking industry and has accomplished sustainable business advantage. In
addition, highest ROE in SBI & Its Associate Banks emphasizes that they have substantial profits and
enormous potential for growth in future. Better performance of the same group has resulted in
contributing high rate of return to its equity shareholders as well.
Fig. 5.4: Overall Summary Chart for the Ratio of Return on Equity (ROE)
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Interpretation:
The figure 5.4 indicates that the ratio of Return on Equity (ROE) is highest for the category of SBI &
Its Associate Banks in the Pre-Basel II as well as Post Basel II period. Furthermore, the ROE has
increased for Private Sector Banks from Pre Basel II to Post Basel II period. This chart visibly describes
that this ratio is least maintained by Foreign Banks operating in India.
H0: There is no significant difference in the Ratio of Return on Equity (ROE) during Pre and Post Basel
II period for selected banks. (µ1 = µ2)
H1: There is significant difference in the Ratio of Return on Equity (ROE) during Pre and Post Basel II
period for selected banks. (µ1 ≠ µ2)
Table 5.8: Hypothesis Result of Ratio of Return on Equity (ROE)

Particulars
t-critical Value 2.78 2.78 2.78 2.78
Hypothesis Result Accepted Accepted Rejected Accepted
T value (1.94), T value (1.01) and T value (0.33) are lesser than T-critical value (2.78) which signifies
that null hypothesis is accepted at 5% level of significance and it also indicates that there is no
significant difference in the profitability dimension of SBI & Its Associate Banks, Nationalized Banks
and Foreign Banks respectively in Pre-Basel II period and Post Basel II phase in the parameter of Return
on Equity (ROE). However, T value (3.38) is higher than T-critical value (2.78) which signifies that
null hypothesis is rejected at 5% level of significance and there is a significant difference for the
parameter of ROE for the category of Private Sector Banks. Hence, out of four bank categories, three
categories shows no significant difference for the parameter of Return on Equity, which indicates that
overall there is a no significant difference in the profitability dimension of banks in India in Pre-Basel
II and Post Basel II period.
Part II - Multiple Correlation Analysis to check the inter dependency of all selected ratios
The researcher has identified correlation parameters and made interpretation of its results as under:
▪ Less than 0.20 – no correlation

▪ 0.20 to 0.50 – weak positive/ negative correlation
▪ 0.50 to 0.80 – moderate positive/ negative correlation
▪ More than 0.80 – strong positive/ negative correlation
MULTIPLE CORRELATION ANALYSIS
Table 5.9: Grand Average of Selected Parameters in the Pre-Basel II Period

OPR NIM ROA ROE
2005 2.49 3.02 0.78 11.01
2006 2.43 3.07 1.09 12.34
2007 2.42 3.05 1.21 14.58
2008 2.42 2.83 1.40 15.95
2009 2.76 2.92 1.43 15.87
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Table 5.10: Multiple Correlations of/ between Selected Parameters in the Pre-Basel II period
OPR NIM ROA ROE
OPR 1.00
NIM -0.27 1.00
ROA 0.36 -0.66 1.00
ROE 0.34 -0.71 0.97 1.00
Table 5.11: Grand Average of Selected Parameters in the Post Basel II Period
OPR NIM ROA ROE
2010 2.37 2.73 1.12 14.05
2011 2.55 3.10 1.28 14.49
2012 2.66 3.13 1.40 14.11
2013 2.56 3.08 1.33 12.97
2014 2.25 2.89 0.93 9.31
Table 5.12: Multiple Correlations of/ between Selected Parameters in the Post Basel II period
OPR NIM ROA ROE
OPR 1.00
NIM 0.81 1.00
ROA 0.99 0.75 1.00
ROE 0.74 0.28 0.78 1.00
Table 5.13: Grand Average of Selected Parameters in the Combined (Pre & Post Basel II) Period
OPR NIM ROA ROE
2005 2.49 3.02 0.78 11.01
2006 2.43 3.07 1.09 12.34
2007 2.42 3.05 1.21 14.58
2008 2.42 2.83 1.40 15.95
2009 2.76 2.92 1.43 15.87
2010 2.37 2.73 1.12 14.05
2011 2.55 3.10 1.28 14.49
2012 2.66 3.13 1.40 14.11
2013 2.56 3.08 1.33 12.97
2014 2.25 2.89 0.93 9.31
Table 5.14: Multiple Correlation of Selected Parameters in the Combined (Pre & Post Basel II) Period
OPR NIM ROA ROE
OPR 1.00
NIM 0.43 1.00
ROA 0.61 0.10 1.00
ROE 0.55 -0.10 0.84 1.00
STRONG POSITIVE CORRELATION
Interpretation
• Though the Tables 5.10, 5.12, 5.14 demonstrate that there exists weak negative correlation (-
0.27) between the parameters of Operating Profit Ratio (OPR) and Net Interest Margin (NIM)
in Pre-Basel II era, there prevails strong positive correlation (0.81) between the two parameters
in Post Basel II era. However, weak positive correlation (0.43) was noted in the combined phase
of the study period. This indicates that higher the operating profit ratio, higher is the net interest
margin earned by banks after the adoption of Basel II standards. In other words, higher the
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percentage of OPR and higher NIM, certainly indicates higher profitability for the banks under
study.
• The Tables 5.10, 5.12, 5.14 clearly shows that though there exists weak positive correlation
(0.36) between the parameters like Operating Profit Ratio (OPR) and Return on Assets (ROA)
in Pre-Basel II period, there exists very strong correlation (0.99) in Post Basel II period.
However, considering combined phase, moderate positive correlation (0.61) is observed
between both the parameters. This indicates that as the Operating Profit Ratio of Banks
increases, there is almost equal increase noted in Return on Assets in the Post Basel II period.
Besides, higher operating ratio highlights higher efficiency in routine operations of banks,
simultaneously higher return on assets also indicates higher turnover of assets.
• The Tables 5.10, 5.12, 5.14 visibly states that there prevails very strong positive correlation
(0.97) between the parameters Return on Assets (ROA) and Return on Equity (ROE) in Pre-
Basel II era. However, moderate positive correlation (0.78) was observed in Post Basel II era
whereas strong positive correlation (0.84) was noted between ROA and ROE in combined era
of study period. This evidently expresses that higher the return earned on assets, higher is the
return earned on equity. In other words, higher the return earned on assets by the banks, higher
the earnings/ profits earned by equity shareholders.
MODERATE CORRELATION
• The tables 5.10, 5.12, 5.14 emphasize that though there prevails weak positive correlation
(0.34) between the parameters of Operating Profit Ratio (OPR) and Return on Equity (ROE) in
Pre-Basel II era, there exists moderate positive correlation (0.74) among the same parameters
in the Post Basel II era. Likewise, in the combined phase too, moderate positive correlation
(0.55) was noted between the same two parameters of study. This indicates that as the operating
profit ratio increases, then there is reasonable increase noted in the parameter of return on equity
also, i.e. higher OPR results in higher earning/ return to equity shareholders.
• The tables 5.10, 5.12, 5.14 demonstrate that even though moderate negative correlation (-0.66)
is found between the parameters of Net Interest Margin (NIM) and Return on Assets (ROA) in
the Pre-Basel II period, there was moderate positive correlation (0.75) noticed in the Post Basel
II period. However, when the combined phase was observed, there was absolutely no
correlation (0.10) between the same two parameters of study. This certainly signifies that higher
the net interest margin earned, higher is the overall return earned on assets of the banks i.e.
higher profitability is gained by banks after the compliance of Basel II norms in terms of rise
in NIM and ROA parameter of banks under study.
• The tables 5.10, 5.12, 5.14 illustrate that although moderate negative correlation (-0.71) is
observed between the parameters of Net Interest Margin (NIM) and Return on Equity (ROE)
in the Pre-Basel II period, there was weak positive correlation (0.28) was noted in the Post
Basel II period. However, there was absolutely no correlation (-0.10) in the combined study
period of ten years. This indicates that there is no correlation between the parameters of NIM
and ROE after the implementation of Basel II regulations in India. In other words, higher NIM
has not reflected in higher ROE for the banks operating in India.
FINDINGS OF THE STUDY
• Operating Profit Ratio is found to be highest in Foreign Banks category in Pre and Post Basel
II period. Further, considerable increase in this ratio is noted in the category of Private Sector
Banks and Foreign Banks from Pre to Post Basel II era.
65 ISBN: 978-93-5351-069-5
• The ratio of Net Interest Margin (NIM) is found highest in the category of Foreign Banks in
Pre and Post Basel II period respectively. Also, an increase is noted in this parameter in Private
Sector Banks and Foreign Banks category from Pre Basel II to Post Basel II period.
• The parameter of Return on Assets (ROA) is observed highest in the Foreign Banks category
in Pre as well as Post Basel II phase. Further, the same ratio has noted increase in Private Sector
Banks and Foreign Banks from Pre Basel II to Post Basel II phase respectively.
• The ratio of Return on Equity (ROE) is noted the highest in SBI & Its Associate Banks category
as compared to other bank categories. Simultaneously, ROE has increased in Private Sector
Banks and Foreign Banks from Pre Basel II to Post Basel II period respectively.
▪ Out of the major correlations studied between the profitability parameters in Post Basel II phase,
there exists strong positive correlation between OPR and NIM, OPR and ROA. However,
moderate positive correlation was observed in parameters like OPR and ROE, NIM and ROA,
ROA and ROE whereas weak positive correlation was noted between parameters NIM and
ROE after the implementation of Basel II norms by banks operating in India.
▪ Strong positive correlation was observed between the parameters of ROA & ROE in Pre-Basel
II as well as Combined phase of the study period.
CONCLUSION
The primary objective of Basel II regulatory framework is to ensure efficiency in banking operations
with respect to measuring and managing various risks. The overall expected result was to strengthen
the banking industry as a whole; to withstand any crisis that might occur in due course of time.
Considering this, the present study aimed to understand the impact of implementation of Basel II Norms
on the performance of Banks operating in India with special reference to the profitability dimension.
The study confirms that after implementation of Basel II norms, the parameter of Operating Profit Ratio
and Net Interest Margin had no significant change and no/neutral impact on bank performance while at
the same time, the parameters like Return on Assets and Return on Equity have increased and has
positive impact on performance of Banks operating in India.
REFERENCES
[1]. Mohammed Arif Pasha (2013), “Basel Norms and Indian Banking Sector”, Dharana –
International Journal of Business from M.P. Birla Institute of Management, Bangalore, vol. 7
(2), pp. 78-86.
[2]. Bank for International Settlements (BIS) (2015), “A brief history of the Basel Committee”,
published by Basel Committee on Banking Supervision and BIS, pp. 1- 11.
[3]. Statistical Tables relating to Banks in India (STRBI), Table no. 11: “Bank-group wise selected
ratios of Scheduled Commercial Banks”, published by RBI
[4]. Hashmi S. (2012), “A study on the factors affecting the Internal Capital Adequacy Assessment
Process (ICAAP) of banks in India with respect to Basel Guidelines”, a research proposal
submitted to Shri JagdishprasadJhabarmalTibrewala University, Rajasthan, pp. 1-24.
[5]. Sarma M. &Nikaido Y. (2007), “Capital Adequacy Regime in India: An Overview”, working
paper no. 196, Indian Council for Research on International Economic Relations (ICRIER),
New Delhi, pp. 1-22
[6]. Mittal S, (2008), How will Basel II change banking in India?, dissertation submitted to Indian
Institute of Management, Lucknow
ISBN: 978-93-5351-069-5 66
[7]. Islam MD Aminul (2014), “An Analysis of the Financial Performance of National Bank
Limited Using Financial Ratio”, Journal of Behavioural Economics, Finance, Entrepreneurship,
Accounting and Transport 2.5, pp. 121-129
[8]. Pandi T. & Vellingiri P. (2014), “Factors determining profitability of Public Sector Banks in
India”, International Research Journal of Agriculture and Rural Development, Vol. 3 (1), pp.
79-90.
[9]. Mohanty R K, presentation titled “Ratio Analysis”, presented in Central Bank of India, Mumbai
extracted from www.iibf.org.in/uploads/caiibfmramodule_c.ppt
[10]. Glossary published by RBI, extracted from https://www.rbi.org.in/scripts/Glossary.aspx
[11]. Ahmed M., B. (2009), “Measuring the performance of Islamic Banks by adapting conventional
ratios” German University in Cairo Faculty of Management Technology, working paper no. 16,
pp 1-26.
[12]. Nathwani N. (2004), “The Study of Financial Performance of Banking Sector in India”,
submitted to Saurashtra University, Rajkot, Gujarat
[13]. Vyas R., Singh M. & Yadav R. (2008), “The impact of Capital Adequacy Requirements on the
performance of Scheduled Commercial Banks”, Asia Pacific Business Review, Vol. 4 (2), pp.
1 – 11.
[14]. Karim R. &Alam T. (2013), “An Evaluation of Financial Performance of Commercial Banks
in Bangladesh: Ratio Analysis”, Journal of Business Studies Quarterly, Vol. 5 (2), pp. 65 – 77.
[15]. Olalekan A. & Adeyinka S. (2013), “Capital Adequacy and Bank’s Profitability: An empirical
evidence from Nigeria”, American International Journal of Contemporary Research, Vol. 3
(10), pp. 87 – 93.
[16]. Saeed M. (2014), “Bank-related, Industry-related & Macroeconomic Factors affecting Bank
Profitability: A Case of United Kingdom”, Research Journal of Finance and Accounting, Vol.
5 (2), pp. 42 – 50.
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PCM023
ENTREPRENEURSHIP FROM FEMINIST PERSPECTIVE: SPECIAL
REFERENCE TO MSME’s IN THE STATE OF PUNJAB
Dr.Medah Gupta Harinder Kaur Deo

Assistant Professor, Department of Management Research Scholar
Poornima University, Jaipur, Rajasthan Chandigarh University, Chandigarh
medha.gupta@poornima.edu.in harinder.randhawa@gmail.com
Abstract
यत्र नाययस् तु पूज् यन्ते रमन्ते तत्र दे व तााः ।
यत्रैत ास्तु न पूज् यन्ते सवायस् तत्राफलााः क्रियााः ॥
The meaning of this ‘shloka’ says that divine are extremely happy where women are respected; where
they are not, all actions (projects) are fruitless. In Indian Mythology women are symbol as ‘Shakti’,
which means power. Entrepreneurship is the spine of the economy of any country. Women are not
holding the flag of entrepreneurship nicely, but they are also creating stepping stone in this area. In
India, though women are playing vital role in the society, but still their few loop holes and societal
constraints, which are working as barriers. These barriers are holding back women’s to open their
wings in this area. The core aim of this paper is to find out status of women entrepreneurs in India,
especially in Punjab. This paper also includes rationale grounds behind women entrepreneurship. An
additional purpose of this paper is to analyse barriers and challenges of entrepreneurs, those who are
holding Micro, Small & Medium Enterprises (MSME) organization in state of Punjab. Policies of
Indian government for women are also the part of study. On the basis of this study some suggestions
are given to encourage spirit of women entrepreneurship to become a successful entrepreneur.
Keywords: Women Entrepreneurship, MSME
INTRODUCTION
Entrepreneurship
Entrepreneurship, the spine of the economy of any country, is critical for the economic growth.
Entrepreneurship means the combination of the scarcely available resources of production in such an
innovative manner that the production results in maximum satisfaction of the consumers and the
producer too, i.e. the entrepreneur. As a result of Globalization and developments in technology, there
is an explosion in growth of international business. Being an element of the global economy every
industry worldwide faces tough challenges and thrives on sustainable development. To survive in such
a competitive environment every country has to in rhythm these advancements. By the Inception of
'Make in India', an excellent initiative of the Prime Minister of India, the incorporation process of any
new business is now easy and simple. Since the MSME is the backbone in making this thought into a
reality, the government has instructed the financial institutions to lend credit on priority to ventures in
MSME sector. Various start-up's and budding entrepreneurs are an outcome of the Make in India
campaign. This kind of initiative taken by the government not only creating space for entrepreneurship
but also establishing new skies for upcoming entrepreneurs
Entrepreneur
According to Richard Cantillon, “An agent who buys factors of production at certain prices in order to
combine them into a product with a view to selling it at an uncertain price in future”. In other words,
Entrepreneurs are those heads whose eyes see possibilities and solutions to what an ordinary person
ISBN: 978-93-5351-069-5 68
sees annoyances and problems. As per estimated calculation among 7.5 billion people on this planet,
only 6% are entrepreneurs.
Women Entrepreneurship
The image of women in our Indian mythology and history is that of Shakti. Shakti means power. There
are numerous real-life examples, which show the glorious side of this gender other than love and care.
Millions of books based on mythology and Indian history depict the power, position, and esteem of
Indian women. But the real picture of society is completely different from the portrayed picture. The
society has confined the woman’s character in the boundaries of household chores. The woman, whose
eminence and duty was long established and well defined in the male-dominated society, nowadays is
confronting changes. Change, means setting new areas and stamping new benchmarks for growth and
opportunities for women. Women are not only actively participating in social, economic, and political
activities, but society is watching them as the risk takers; the entrepreneurs.
Not once the definition of entrepreneurship had been characterized or divided on the basis of gender
thus it also expands to women entrepreneurs too without restrictions. The Government of India defines
women entrepreneurs in terms of women's participation in equity and employment of an enterprise.
Concept of MSMEs
As per the allocations of the Micro, Small & Medium Enterprises Development (MSMED) Act, 2006
the Micro, Small and Medium Enterprises (MSME) are divided into two Classes:
1. Manufacturing Enterprises and

2. Service Enterprises
The Division is on the basis of the limits for the investment in plant and machinery/equipment for
manufacturing enterprises/service enterprises.
According to the MSME Annual Report 2016-17 The Micro, Small and Medium Enterprises (MSME)
sector of India is emerging as anexceptionally sparkling, vital and powerful sector. MSMEs play a very
decisive part catering to the need of people of the country for employment opportunities at a relatively
lesser cost than the large industries. MSME besides absorbing labour from the market, also open up
new gates for entrepreneurship.
Women's entrepreneurship can mark a predominantly strong benefaction in society in many forms like-
up-liftmen of the family, poverty alleviation and women's empowerment.
Participation of women in management/owne rship in MSME sector, state-wise

No. of Enterprises No. of Women
S. No. Name of State/ UT
Managed By Women Enterprises
1. Jammu & Kashmir 5640 5742
2. Himachal Pradesh 3515 3722
3. Punjab 30190 29068
4. Chandigarh 2059 2243
5. Uttaranchal 8706 8804
6. Haryana 10087 9620
7. Delhi 13368 14383
8. Rajasthan 29785 36371
9. Uttar Pradesh 54491 72667
10. Bihar 38170 49443
11. Sikkim 30 98
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12. Arunachal Pradesh 131 150

13. Nagaland 207 179
14. Manipur 9168 10745
15. Mizoram 3076 3700
16. Tripura 631 863
17. Meghalaya 3658 3580
18. Assam 11189 11757
19. West Bengal 71847 69625
20. Jharkhand 7271 7865
21. Orissa 33274 38233
22. Chhattisgarh 11766 10034
23. Madhya Pradesh 62351 68823
24. Gujarat 55361 53703
25. & 26 Daman & Diu & Dadra & Nagar Haveli 167 213
27. Maharashtra 80662 100670
28. Andhra Pradesh 77347 77166
29. Karnataka 101264 103169
30. Goa 677 810
31. Lakshadweep 61 67
32. Kerala 137561 139225
33. Tamil Nadu 130289 129808
34. Pondicherry 1089 1065
35. Andaman & Nicobar Islands 53 110
All India 995141 1063721
Source: (Sixth Economic census)
Estimated Number of MSMEs (Activity Wise)

Activity Estimated Number of Enterprises (in lakh)
Share (%)
Category Rural Urban Total
Manufacturing 114.14 82.50 196.65 31
Trade 108.71 121.64 230.35 36
Other Services 102.00 104.85 206.85 33
Electricity* 0.03 0.01 0.03 0
All 324.88 309.00 633.88 100
*Non-captive electricity generation and transmission and distribution by units not registered with the Central Electricity Authori ty (CEA)
Source: MSME Annual Report 2017-18
These establishments provided employment to 13.45 million persons (10.24%).
REVIEW OF LITERATURE
It is very crucial to summarize the areas already investigated through earlier researches on women
entrepreneurship and the problems faced by them.
Krishnamoorthy, V. & Balasubramani, R. (2014). Described in their study that important and various
motivation factors and their collision on the entrepreneurial success of the women entrepreneurs. The
study also concluded that these factors of entrepreneurial motivation have a significantly high impact
on entrepreneurial success also. Shyla,J. et al.(2014). Identified the main issued come across by women
entrepreneurs and their effect on the working efficiency of. The researcher found that major reasons for
financial difficulties encountered by women entrepreneurs were lack of investment, high interest ratio,
lack of working capital and credit facility, the constant need for finance. Limbu, S.et al. (2015)
acknowledge in their study various reasons accountable for the slow growth of women entrepreneurial
ventures in rural areas. Authors categorized them as Individual problems, Social problems and
Structural problems. Sharda. Parul, (2017) through secondary data analysed the present status of Indian
ISBN: 978-93-5351-069-5 70
Women Entrepreneurs and the problems faced by them. The researcher found that Women
entrepreneurs face many problems in the spheres of finance, marketing, health, and family. The major
issues were Lack of education, Problem of finance, Tough competition Low risk-bearingcapacity,
Limited mobility, and Limited managerial ability, Legal formalities Exploitation by middle men Lack
of self-confidence not being taken seriously Lack of knowledge regarding the resources, High cost of
production and the male dominance in the society
Research Gap
The major reason for which Women's entrepreneurship is crucial to be studied separately in context of
Punjab is that According to Industrial and Business Development Policy 2017- Punjab, the state of
Punjab is a domain of approximately 1.6 lakh MSME units, (Industrial and Business Development
Policy 2017- Punjab) and those owned by women are only 29068, i.e. 18.16% which is quite low despite
so much support by the government.
Table 6: MSMEs in India and Punjab

Total Total The %age share of Number of MSMEs %age of MSMEs
number of number of MSMEs in Punjab owned by women owned by women
MSMEs in MSMEs in to that of the total entrepreneurs in entrepreneurs in
India Punjab in India Punjab Punjab
633.88 lakh 1.6 lakh 25% 29068 18.16
In the state of Punjab women's entrepreneurship has been acknowledged during the last two-three
decades as a vital undeveloped and strong source of economic growth. But they still represent a minority
of all the entrepreneurs. There exist some reasons for such failure of the economy of Punjab for
discrimination against women's possibility to become entrepreneurs.
The limited knowledge on MSMEs women Entrepreneurs in the state of Punjab has focused the
attention of the researcher on this vital topic. With a hope that this study will contribute topolicy making
and help the policy makers to address the situation as reported through the recommendations.
The objective of the study:
On the basis of extensive reading author has identified objectives of study as under:-
1. To study whether the demographic of women has any effect on the problems they face in the
various activities related to business
2. To study whether the socio-economic background of women has any effect on the problems they
face in the various activities related to business
Hypotheses:
H1- Demographic factors have no effect on the problems faced by women entrepreneurs.
H2: Socio-economic constraints do not confine the periphery of women.
RESEARCH METHODOLOG
Any nation can grow only if the women of the nation grow. Punjab being male-dominated and agrarian
land can witness a change through women entrepreneurship. Punjab is home to approximately 1.6 lakh
MSME units (Industrial and Business Development Policy 2017- Punjab) and those owned by women
are only 29068, i.e. 18.16% which is quite low despite so much support by the government.
Both the primary as well as the secondary data has been used to to achieve the desired objectives of the
71 ISBN: 978-93-5351-069-5
study. The women entrepreneurs were represented on the basis of their demographic profile- gender,
income, age etc.
The researcher went through the questionnaire process that would be filled by the women entrepreneurs
of the selected sector using simple random sampling. Both the primary as well as the secondary data
has been used to achieve the desired objectives of the study. The study has been conducted on the state
of Punjab. There are 22 Districts in the state which are geographically classified into Majha, Malwa and
Doaba regions.
Majha Doaba Malwa

1. Barnala
2. Fazilka
3. Bathinda
4. Ferozepur
5. Ludhiana
1. Kapurthala 6. Faridkot
1. Amritsar 2. Hoshiarpur 7. SAS Nagar (Mohali)
2. Pathankot 3. Shaheed Bhagat Singh 8. Moga
3. Tarn Taran Nagar(Nawanshahr) 9. Rupnagar
4. Gurdaspur 4. Jalandhar 10. Mansa
11. Patiala
12. Muktsar
13. Sangrur
14. Fatehgarh
Sahib (Sirhind-
Fategarh)
Sample size is calculated through the formula:

N= z 2 p(1-p)/d2
Where N is the sample size,
Z is the critical value calculated by the level of confidence,
p is probability of picking of the element
d is the margin of error,
The significance level is 0.05% for analysis, the margin of error is +_ 5.
The sample size was determined to be 384. For the study a total of 400 sample women entrepreneurs
were interviewed so as to get higher accuracy in results. But only 384 were used for the study. The data
is collected through interview schedule and questionnaire from the above mentioned three regions, 20
from each district so as to reach a fair conclusion. The data analysis is done using IBM SPSS Statistics.
Secondary data has been collected from a number of institutions and internet-based various government
reports.
Data Analysis
Age of Women Entrepreneurs and Problems faced by them
Problem Description Chi Square- χ2 P-value S/NS
Personal Problems 2.227 .328 NS
Social Problems .619 .734 NS
Financial Problems 14.003 .001 S
Problems related to Raw Material 3.717 .156 NS
Marketing Problems 1.547 .461 NS
Human Resources Problems .969 .616 NS
Managerial Problems .252 .882 NS
Government Support Problems 3.260 .196 NS
ISBN: 978-93-5351-069-5 72
Abbreviations
S= Significant at 95% level of confidence
NS =Not Significant at 95% level of confidence.
P .005
From the above table it is evident that the problems related to personal, social, Human resources,
Managerial, Support from the government, raw Material and Marketing are affected by the age of
women entrepreneur. Women entrepreneur of any age faces these problems while venturing their
business. But the financial problems faced by women entrepreneurs are not affected by their age.
Marital status of Women Entrepreneurs and Problems faced by them.

Problem Description Chi Square- χ2 P-value S/N.S
Personal Problems .273 .872 NS
Social Problems 1.099 .577 NS
Financial Problems 3.021 .221 NS
Human Resources Problems 3.726 .155 NS
From the above table it is evident that the problems related to personal, Finance social, Human
resources, Managerial, Support from the government, Raw Material and Marketing are affected by the
marital of women entrepreneur. Both married and unmarried Women entrepreneur faces these problems
while venturing their business.
Education of Women Entrepreneurs and Problems faced by them

Financial Problems 17.343 .004 S
Managerial Problems 8.068 .153 NS
Managerial, Support from the government, raw Material and Marketing are affected by the level of
education of women entrepreneur. Women entrepreneur of any Educational qualification faces these
problems while venturing their business. But the financial problems faced by women entrepreneurs are
not affected by their educational qualification.
Nature of family of Women Entrepreneurs and Problems faced by them

Social Problems .606 .806 NS
Marketing Problems .146 .702 NS
Government Support Problems .130 .718 NS
73 ISBN: 978-93-5351-069-5
Managerial, financial, Support from the government, raw Material and Marketing are affected by the
nature of family of women entrepreneur. Women entrepreneur of any of the nuclear or joint family
faces these problems while venturing their business.
Education of spouse of Women Entrepreneurs and Problems faced by them

Problem Description Chi Square- χ2 P-value S/NS
Managerial Problems 14.887 .002 S
financial, Support from the government, raw Material and Marketing are affected by the education of
spouse of women entrepreneur. However the education of the spouse of the women entrepreneur has
no effect on the managerial problems faced by her.
Number of children of Women Entrepreneurs and Problems faced by them

Marketing Problems .754 .686 NS
Managerial, Support from the government, raw Material and Marketing are affected by the number of
children of women entrepreneur. Women entrepreneur either having 1 or 2 or 3 or 4 or 5 or no child
faces these problems while venturing their business.
Location of enterprise of Women Entrepreneurs and Problems faced by them

Personal Problems .171 .918 NS
Marketing Problems 11.765 .003 S
Government Support Problems .594 .743 NS
Managerial, Support from the government, raw Material and finance are affected by the location of the
enterprise of women entrepreneur. Women entrepreneur operating either in rural or urban areas faces
these problems while venturing their business. But the marketing problems faced by women
entrepreneurs are not affected by the location of their enterprise.
ISBN: 978-93-5351-069-5 74
BIBLIOGRAPHY
[1] Banerjee, N. (1991).Indian women in a changing industrial scenario. New Delhi: Sage
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[2] Bitla, S. R & Shah, K. R.(2015). A study on problems faced by Women Entrepreneurs with
special reference to Bhiwandi City. SK International Journal of Multidisciplinary Research
Hub, 2 (12), 8-12.
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[4] Gandhi, D. and Sharma, V.,(2014).Women Entrepreneurship: The Emerging Economic
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[5] J. Shyla, S. Natrajan , P,Hari., Jeethu James , Ancy Varghese , Shiny Vijayan and A. marshel.,
(2014). A Study on Problems of Women Entrepreneurs in Urban Area with Special Reference
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Management , 2 ( 5).05-16. Retrieved from http://www.questjournals.org/jrbm/papers/vol2-
issue5/B250516.pdf
[6] Jayakumar, P & Kannan, J. (2014). Challenges and Opportunities for Rural Women
Entrepreneurs, Journal of Economic and Business Review, 2 (1) .35-39.Retrieved from
http://epratrust.com/articles/upload/6%20JEYAKUMAR%20V2,%20I-1.pdf
[7] Kaur, R., (2014).A Study of Leadership Styles of Women Entrepreneurs in
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Entrepreneurs-in-India-394565278
[8] Kaur, P & Kaur. G., (2014). Problems and prospects of women entrepreneurship in Punjab,
Agriculture Update, 9 , (2) , 174-177. Retrieved from
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[9] Kumar, Bulsara, Chandwani & Gandhi. (2014). Women entrepreneurship and innovations in
India: An Exploratory study. International journal of Innovation, 2(1), 32-44. Retrieved from
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[10] Limbu. S, Bordoloi. N., (2015). Women Entrepreneurship: Problems and Prospects in Rural
Assam, International Journal of Interdisciplinary Research in Science Societyand
Culture(IJIRSSC), 1(1). Retrieved from http://ijirssc.in/pdf/1428083737.pdf
[11] Mahajan, S. (2013). Women Entrepreneurship in India, Global Journal of Management and
Business Studies, 3, (10).1143-1148, Retrieved from
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[12] Malhan, A. and Malhan, I.,(2015), Difficulties and challenges faced by women entrepreneurs
in Gurgaon,International Journal of Management and Commerce Innovations, 2,(2), 637-640,
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[13] Padhi, P. & A,P. Anshuman.(2014). Women Entrepreneurship in India: Present status,
Problems and Prospects, International Journal of Scientific Research and Management Studies
(IJSRMS), 1( 3).72-79. Retrieved from http://www.ijsrms.com/media/1n3-
IJSRMS0103301_v1_is3_72-79.pdf.
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[15] Randhawa, V. & Gupta, P. (2014), Problems Faced by Rural Women Entrepreneurs in Kandi
Area of Punjab, Prabandhan: Indian Journal Of Management, 7 (5), Retrieved from
DOI: 10.17010/pijom/2014/v7i5/59320
[16] S,A & Sriramappa, K.E. (2014).Women Entrepreneurship in India: Issues and Challenges,
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[17] Sharda, P. (2017). Need of Women Entrepreneurs in India: A Meta Study, International
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[18] Singh. R., (2012). Women Entrepreneurship Issues, Challenges and Empowerment through Self
Help Groups: An Overview of Himachal Pradesh. , International journal of democratic and
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and DOI: RCMSS/IJDDS/12004
[19] Tyagi, P. (2017). Review Article Women Entrepreneurship in India: Standing and Tribulations,
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WEBLIOGRAPHY:
[1] msme.gov.in/
[2] msme.gov.in/sites/default/.../MEME%20ANNUAL%20REPORT%202015-
16%20ENG.p..
[3] www.msmedildh.gov.in/
[4] http://msme.gov.in/sites/default/files/MEME%20ANNUAL%20REPORT%202015-
16%20ENG.pdf
ISBN: 978-93-5351-069-5 76
PCM102
A STUDY OF INDIAN PUBLIC SECTOR, PRIVATE SECTOR &
FOREIGN BANKS: NON-PERFORMING ASSETS V/S RECOVERY
MECHANISM
Mr. Nilesh P. Movalia Prof. (Dr) Viralkumar M. Shilu
Research Scholar Director
Gujarat Technological University- Shri Swaminarayan Institute of Management and
Ahmedabad Information Technology
Email - nilesh.movalia@gmail.com Email -prof.viralshilu@gmail.com
Contact No: 09979309574 Contact No: 09824286825
Abstract:
Non-performing assets and Recovery mechanism are two sides of the advances for the banks. Looking
to the current scenario of banking sector as a whole quality of the assets is deteriorating day by day
means raising non-performing assets. It’s significantly reflecting in the performance of the bank. For
monitoring and control of assets to not become bad is necessary for all banks otherwise it lead into
serious problem. There is some area where banks have to look for, credit standard, appraisal system,
recovery mechanism etc. which also helps to maintain quality of the assets.
This study would like to analyze non-performing assets and recovery mechanism adopted by Public
sector (including SBI Group and IDBI), private sector and foreign banks operating in India for the
period of 2012-13 to 2016-17.Here researcher would like to study various classes of Non-performing
assets like standard, sub-standard, doubtful and loss assets. Researcher also need to analyzed Recovery
mechanism through which banks used to recovered advances from the borrowers. Study will be based
on descriptive research design to analyzed and interpret data and Secondary source of data will
collected from published report of Reserve Bank of India statistics, Banks reports and other publication.
Various ratios and financial like, Assets classifications, NPA Ratio, loan assets, profitability and
recovery channels like Lok adalats, DRTs and SARFAESI Act would be determined and tested by using
SPSS.
Key Words: Non-Performing Assets, Profitability, Recovery Mechanism, Lok Adalats, DRTs,
SARFAESI Act, Public, Sector, Private Sector & Foreign Banks.
INTRODUCTION
India is in the list of emerging economies. Population is a major driver for this; increase in demand has
put pressure on government to take corrective steps to cope-up with the demand. Industrialization is a
one way to go ahead with and government did that and got quit successes. When focus on
industrialization at same time we need to think about the major factors for that. One of the major factors
is finance, which is known as blood for business so it must be available on time to smooth flow of
economic activity among the business. Banks and financial intuitions has issue funds to needy peoples
and corporate, But due to unfavorable and down side of market some borrowers failed to pay their dues
on time to banks and financial institutions which has negatively affected banking and financial sector.
As Indian banking sector is one of the most growing sector of the Indian economy. Still there will be
scope for more industrialization and development in banking and finance sector in years to come to
cope-up with the demand. Banks and financial institutions are pro-active to adopt new technology and
services to their customers, But majority of banks and financial institutions of India facing problem of
distress assets seating in their balance sheet. No one knows when it will become recovered so that they
can issue fresh loan and invest in advance technology to provide better services. Now situations of
banks are also like a customer who want fund to run their business so now regulators has to take urgent
action to save banks from bad loans.
77 ISBN: 978-93-5351-069-5
As of now in India 21 public sector banks(including SBI and IDBI), 41 private sector banks(Including
LABs, SFBs, PBs), 45Foreign bank, 56 RRBs in addition to cooperative banks.
Basically there are two categories of banks permitted by Reserve bank of India(RBI) to operate in India,
which classified as a; a) Scheduled banks and b) Non - scheduled banks. Scheduled banks are comes
under second scheduled of RBI Act, it includes Nationalized Banks, State Bank of India and Group
banks, IDBI Bank, Private Sector Banks, Regional Rural Banks and Foreign Banks, and other scheduled
banks, While Non- scheduled banks are not comes under the second scheduled of the RBI Act-1934.
Non-Performing Assets:
A Non- Performing assets are the assets which unable to generate income for the bank. Earlier it was
known on the bases of the past due. A sum of amount was treated as past due, once it remains
outstanding for more than 30 days after due date. However, with effect from March 31, 2001 the ‘past
due’ concept has been dispensed with and the period is reckoned from the due date of payment. For
moving towards international standard 90 days overdue norms for Non-performing assets has been
made applicable from the 31st March 2004 to ensure greater transparency.
Asset Classification (Categories of NPAs)

RBI has classified non-performing assets into three broad categories on the bases of time for which
the assets were unable to generate the income for banks:
1.2.1 Sub-standard Asset: An assets or loan, which has remained non- performing for a period less
than or equal to 12 months are called sub-standard assets (W.e.f. 2005 March 31).
1.2.2 Doubtful Asset: An asset, which remained in the sub-standard category for a period of 12
months are called doubtful assets (With effect from March 31, 2005).
1.2.3 Loss Asset: An asset called loss asset, which passed from substandard and doubtful categories
and after inspected by all the authority and found that there is no amount will be recovered on
such a loan.
Gross Advances:
Gross advances are amount of all loans and advances (inclusive of refinance had received) excluding
written off advances and rediscounted bills.
Gross NPA:
Gross NPAs are the amount available in the borrower account in record of bank exclusive of interest,
which already recorded and not debited, to the borrower’s bank account.
Net NPA:
Net NPA mean sum of interest suspense account, claims received and held by DICGC and ECGC,
partial payment received (Suspense Account) and provision made deducted from the Gross NPAs.
Recovery Mechanism:
Rapid industrialization and financial sector reforms leads to increasing scope for business untimely
resulted into high demand of finance from Banks and financial institutions. Due to some unfavorable
market environment borrowers were not able to pay back the loan as well as interest on loan which
creates stress assets in the banking sector and it harm to the banking sector and economy as a whole.
ISBN: 978-93-5351-069-5 78
For preventions of assets to become bad government of India have constituted various institutions for
recovery of debt. Following are three wings for recovery of Debt.
Lok Adalat:
Lok Adalat is a first mode of the debt recovery for financial institutions and banks from borrowers. Lok
adalats has been given a legal status under the legal services authorities Act-1987. As per this Act, the
decision made by the Lok Adalats are deemed to be a decree of a civil court and is final and binding on
all parties and no appeal against such an award lies before any court of law. Lok adalats entertain cases
for amount less than 20 Lakh rupees from banks and financial institutions within their jurisdiction.
DRTs:
The Debt recovery Tribunals (DRTs) have been enacted under the provisions of The Recovery of Debts
Due to Banks and Financial Institutions Act, 1993 by the government of India. The Debt Recovery
Tribunals are entertains application from banks and financial institutions where dues amounts more
than 10 lakh rupees.
SAFARSI Act:
The Securitisation and Reconstruction of Financial Assets and Enforcement of Securities Interest Act,
2002. This Act allows all the banks and financial institutions to an auction of a securities or properties
(of Defaulter) to recover loans. The act was amended by "Enforcement of Security Interest and
Recovery of Debts Laws and Miscellaneous Provisions (Amendment) Bill, 2016.
OBJECTIVES
1. To know the non - performing assets among public, private and Foreign Banks.
2. To know the effectiveness of channel of the recovery.
3. To know which categories of banks is efficient in recovery.
4. To know the write-off of NPAs.
5. Impact of NPA on Profitability.
This section mentioned procedure for describing, analyzing, interpreting and solving a research problem
for further action and implementation. For this study on Non-performing assets and Recovery, all the
scheduled commercial banks like, Public Sector Banks (Including SBI and Its Associates and IDBI),
Private Sector Banks and Foreign Banks operating in India have been taken into account. Here
researchers have used descriptive research for the analysis data for the research conclusion by using
secondary sources of data; those were collected from reserve bank of India database and other banks
publications during 2012-13 to 2016-17. Various other components of methods are given below.
1. Sampling Unit: Banks

2. Sample Size: All Public Sector, Private Sector a and Foreign Banks Operating in India
3. Sources of Data: Secondary Sources of Data.
4. Statistical Tool- ANOVA, Regression by using SPSS and Excel.
Measures:
Study focus on on-performing assets v/s recovery mechanism of Public Sector, Private Sector and
Foreign Banks. Here public sector banks are inclusive of SBI and its Associates and IDBI. For reaching
out to the conclusion various financial indicators needed to study which are non-performing assets and
Recovery has been used to determine the trends of recovery and non-performing assets, Advances, Non-
79 ISBN: 978-93-5351-069-5
performing assets toAdvances Ratio, Recovery Percentage, Write-off Percentage for the period of 2012-
13 to 2016-17. On an average NPA to Advances ratio is 5.61 % (2012-13 to 2016-17) of all Scheduled
commercial banks, which dangerous for the banks. Overall recovery and Write-off percentage of all
scheduled commercial banks are 14.6% and 15.3% during the study period. ANOVA and Regression
methods have been applied to test the hypothesis by using SPSS and MS Excel.
LITERATURE REVIEW
Chandan Chatterjee, Jeet Mukherjee and Dr.Ratan Das (2012) have studied non-performing assets and
recovery of NPAs by scheduled commercial banks of India. The study found that Net NPAs of SCBs
are increasing continuously besides various steps taken for the recovery during the study period. DRTs
and SARFAESI Act found to be a more efficient channel for Recovery of non-performing assets.
Onyeka Osuji (Jan-2012) has study effectiveness of an asset management company as a mechanism for
NPLs in a developing country. Author compares AMCON and KAMCO. After 2009 banking crises
Nigeria and Koriashowing that reforms and programs in use of AMCs cannot out-of-the-way from the
socio-political environment, mainly in developing countries.
C. Mangala Gowri, Venkata Ramanaiah. Malepati, B. Bhagavan Reddy (2013), the study focus on the
management of NPAs in public sector commercial banks in India by using norms of classification of
and asset, non-performing assets, recovery and Provisions made against non-performing assets in public
sector commercial banks during the period 2006-2011. It was found that there was a decline in NPAs
to total advance ratio till 2009 in priority sector in nationalized as well as SBI and its associate banks.
Suresh Kumar (2014) studied trends in NPAs and recovery of NPAs via various channels for scheduled
commercial banks in India and also studied key reasons accountable for the high NPAs. During 2000-
2001 NPA to advances ratio rising till 2008-09 and then after it has been moving upward still 2012-13.
SARFAESI Act was found to be an efficient channel for recovery.
Aman Grover (2015) has did study on comparative analysis of non-performing assets among five public
sector banks which are, State bank of India, Punjab National bank, UCO Bank, Dena Bank and Indian
Bank for the period of 2009-10 to 2013-14. It was found that Gross NPAs ratio decreased in the year of
2013-14, this might be because of lower slippage of standard advances in to sub standard advances and
a seasonal pattern of high recovery, write-off of loans and securitization means Sale of Non-performing
assets to asset reconstruction companies (ARCs).
Robin Thomas and Dr. RK Vyas (2016) have carried out this study on framework of loan recovery
mechanism adopted by Indian Banks. Authors has explain two strategy that banks often used to recover
advances from the borrowers which are preemptive strategy to prevent the accretion in non-performing
loans and corrective strategy to recover the defaulted loans through legal, regulatory and non-legal
measures.
Mrs. Chandra Shraddha& Dr. Ajay Jain (2016) studied the process and impact of SARFASEI Act 2002
on recovery of the non- performing asset of five major public sector banks in India namely State bank
of India, Canara bank, Central bank of India, Bank of Baroda and Punjab National Bank for this study.
The method of study is concerned, this study combined of qualitative and quantitative approach. All
data collected from ‘Reserve Bank of India’ publication. Recovery through SARFASEI Act has been
found to me more than Lok adalats and DRTs.
U.Padmavathi, N.Srivani, B.Madhavi (2017) this focused on identifying reasons behind rising Non-
Performing Assets over the years whether environmental, or systematic, banks are using various
mechanism to recovered stressed bank assets. Based on this study on an average 15% of the stressed
assets banks could be to recover by way of various recovery channels during 2013-2016.
ISBN: 978-93-5351-069-5 80
Surojit Dey (2018), The Paper analysed three important wings for recovery of Non-performing assets
i.e. recovery through Lok Adalat, DRTs and SARFASEI Act and its impact on NPA during 2003-04 to
2016-17 by using secondary data which were collected from RBI database. Finally it was found that
recovery channels have scope for improvement and DRTs is better than other two.
ANALYSIS AND INTERPRETATION
Here data of all the Scheduled commercial Banks has been collected from secondary sources of RBI
statistics and banks published report for the period 2012-13 to 2016-17. Data analysis includes statistics
for Advances, non-performing Assets, Recovery of NPAs, Write-off of NPAs and profitability.
ANOVA and were calculated for predictors and outcomes
Assets Classification
Assets classification based on the performance of the assets which generate income for banks which are
A) Performing Assets: 1. standard assets and B) Non-performing Assets: 1. Sub-standard assets, 2.
doubtful assets and 3. Loss assets
Graph: 1 Assets Classification
Graph-1 Show that various assets as classified by RBI from the year 2012-13 to 2016-17. The above
graph-1 of assets classification of performing and non - performing assets for the period of 2012-13 to
2016-17. It clearly shown from the graph that portion of standard assets is decreasing to 90% from 97%
during the year 2012-13 to 2016-17. Sub-standard assets are increase from year 2014-15 and 2015-16
onwards which is not good for the banks because it leads to move towards non-performing assets. Sub-
standard, Doubtful and loss assets are also in increasing from the year 2014-15 to 2016-17, which
indicate the potential default.
Non-performing assets are depends on the Sub-standard, Doubtful and loss assets so increase in those
assets leads to increase in NPAs from the year 2014-15 to 2016-17.
Non-Performing Assets:
Gross NPA to Gross Advances Ratio represents that how much of the advances were converted in to
bad advances and ultimately same converted into loss if bank doesn’t take corrective action on
81 ISBN: 978-93-5351-069-5
borrower. More Precisely Gross NPAs to Gross Advances ratio where gross NPAs are the amount
available in the borrower account in record of bank exclusive of interest, which already recorded and
not debited, to the borrower’s bank account and gross advances are amount of all loans and advances
(inclusive of refinance had received)excluding written off advances and rediscounted bills. These gave
the clear picture about the loss face bay the banks.
Table: 1 Gross NPA to Gross Advances Ratio

Banks 2012-13 2013-14 2014-15 2015-16 2016-17
Foreign Banks 3.06% 3.86% 3.20% 4.20% 3.97%
Private Sector Banks 1.48% 1.80% 2.12% 2.85% 4.11%
Public Sector Banks 3.61% 4.36% 4.96% 9.27% 11.67%
All Scheduled Commercial Banks 3.10% 3.83% 4.28% 7.49% 9.34%
Source: https://dbie.rbi.org.in
Graph: 2 Gross NPA to Gross Advances Ratio
Looking to the above Table-1 and Graph-2 shows ratio of Gross NPAs to Gross advances is showing
upward moving trends during the study period which is indicate that this loan might be default and it
inversely affected to banks. Among the all scheduled banks Public sector banks have an high ratio so
it indicate for further action to managed quality of advances. While Private sector and Foreign banks
have a lower ration than the all scheduled commercial banks. But trend line of private sector banks is
going in upward direction so still have scope for further action and monitoring to monitor NPAs.
H01: There is no significance difference in Ratio of Non-performing Assets to Advances among the
Public Sector, Private Sector and Foreign banks.
Table: 2 ANOVA Ratio of NPA to Advances

Source of Variation SS df MS F P-value F crit
Between Groups 0.00494 2.00000 0.00247 5.40309 0.02122 3.88529
Within Groups 0.00548 12.00000 0.00046
Total 0.01042 14.00000
Above ANOVA Table-2 Show that Here calculated value of F=5.40, which is more than critical value
of F=3.88, so here null hypothesis is failed to accept (Significant value is 0.021 which is less than 0.05)
so there was significant difference in NPAs among the all scheduled commercial banks.
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Gross NPAs v/s Net NPA Ratio
Table: 3 Gross NPAs v/s Net NPA Ratio

All Scheduled Commercial Banks 2012-13 2013-14 2014-15 2015-16 2016-17
Gross NPA Ratio 3.10% 3.83% 4.28% 7.49% 9.34%
Net NPA Ratio 1.60% 2.11% 2.38% 4.43% 5.34%
Graph: 3 Gross NPAs v/s Net NPA Ratio
Looking to the above Table-3 with graph-3 it showing that Gross NPAs ratio is significantly going in
upward trends at higher rate than the Net NPAs ratio of all scheduled commercial banks during 2012-
13 to 2016-17. Net NPA ratio is also moving upward but lower rate than the gross NPA because various
amount have been received by the banks from DICGC/ECGC, Part payment received and kept in
suspense account, total provisions held etc.
Recovery
In common term recovery is the process of collecting funds from the borrower after they stop paying
their dues to bank. Due to huge amount of loans and interest on it becoming unpaid by the borrowers
it makes compulsion for banks to go for recovery mechanism. Loans and interest which are not paid
during the particulars time periods which are definitely go for recovery. As per structured mechanism
banks are using for the recovery of loans and interest on loan. There are three recovery channels for
recovery.
Following are the recovery channels through which banks collect their dues from the borrower who
have stop paying their dues.
Table 4 NPA Recovered through Various Channels of Scheduled Commercial Banks.
Recovery Channels Lok Adalats DRTs SARFAESI Act

2012-13
A. No. of cases referred 840691.00 13408.00 190537.00
B. Amount involved 66.00 310.00 681.00
C. Amount recovered 4.00 44.00 185.00
D. Recovered percentage 6.10 % 14.20% 27.20%
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2013-14
D. Recovered percentage 6.00% 9.60% 26.60%
2014-15
2015-16
2016-17
Source: https://dbie.rbi.org.in (Amount in Rs Billion)
Graph: 4 Recovery Percentage of NPAs by Recovery channels
From the Table-4 show that number of cases referred, amount involved, amount recovered and
percentage of recovery of non-performing assets for the period 2012-13 to 2016-17. Lok Adalat referred
on average 90% of cases of total cases, which are continuously increasing year on year basis while the
percentage of recovery is fallen during the year, compare to overall recovery. DRTs are concerned; it
has referred on an average 1.1% of the total cases and recovered around 12.9% involved amount.
SARFAESI Act referred around 8.3% of cases of total and recovered around 18.68% amount involved
which indicated significantly better performance among the recovery channels but looking to the year
on year bases recovery percent was decreasing though it was more than the overall recovery percentage
of total amount involved. Looking to the overall recovery percentage of all the non-performing assets
is still lower. Efficient the recovery channel higher the rate of recovery of loan from the borrowers, and
it leads to the healthy banking system.
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H02: There is no significance difference in percentage recovery of Non-performing Assets among

the recovery Channels.
Table: 5 ANOVA Recovery Percentages

Between Groups 0.049511 2 0.024755 6.117337 0.014739 3.885294
Within Groups 0.048561 12 0.004047
Total 0.098072 14
Above Table-5 shows that F=6.11 is more than critical value of F=3.88, hence here null hypothesis is
failed to accept (Significant value is 0.014, less than 0.05) so there was significant difference in NPAs
collection from borrower among the all three channels of recovery.
H03: There is no significance relation between percentage recovery and percentage of NPA among
the Public Sector, Private Sector and Foreign banks.
Table: 6 Model Summary Regression

Model R R Square Adjusted R Square Std. Error of the Estimate
1 .841a .708 .610 .0337066
a. Predictors: (Constant), NPAs
Table: 7 Coefficients Regression

Standardized
Unstandardized Coefficients
Model Coefficients t Sig.
B Std. Error Beta
(Constant) .241 .038 6.279 .008
1
NPAs -1.695 .629 -.841 -2.694 .074
a. Dependent Variable: Recovery
Predictors in the Model Recovery
Ŷ(Recovery) = 0.241 + (-1.695) NPAs
Above regression model explain that Constant is 0.241 and one percent increase in NPAs leads to 1.695
percent decrease in recovery based on this regression model. Here R equal to 0.841 and R-Square is
0.708 between recovery and non-performing assets so we can say that there is high relation between the
variables. It also logical that when non-performing assets is increase same way banks has to speed up
recovery of the loan by using different tools as per their requirement so its support that there must be a
strong relationship between recovery and Non-performing assets.
Write-off percentage of Gross NPAs (%)
Write-off of loans is a regular activities bank dose to clean the balance sheet for achieving taxation
efficiency and it is technical in nature. Those loans can be write-off which cannot be recovered or low
possibility of recovery from the borrower after strong recovery efforts so bank generally write-off such
types of loan from their balance sheet to cleansing their balance sheet. When write-off happen it’s
reduce size of balance sheet so it’s good for banks and management to manage and keep watch on
quality of assets.
Looking to the 2012-13 onwards Non-performing assets of banks are moving up which pressurize the
banks to either make it generate regular income or remove it from the balance sheet to show the balance
sheet small and clean.
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Table: 8 Write-off percentage of Gross NPAs (%)

Banks 2012-13 2013-14 2014-15 2015-16 2016-17
Foreign Banks 10.85% 11.58% 18.48% 7.14% 37.74%
Private Sector Banks 23.44% 26.65% 21.20% 21.23% 22.17%
Public Sector Banks 16.34% 14.44% 18.31% 11.01% 11.97%
All Scheduled Commercial Banks 16.89% 15.46% 18.62% 11.85% 13.62%
Source: https://dbie.rbi.org.in
Graph: 5 Write-off percentages of Gross NPAs (%)
H04 : There is no significance difference in trends of write-off and recovery of NPAs among the
Public Sector, Private Sector and Foreign banks.
Table: 9 ANOVA Write-off percentage of Gross NPAs

Between Groups 0.018933 2 0.009466 1.737907 0.217353 3.885294
Within Groups 0.065364 12 0.005447
Total 0.084297 14
Table-9 shows that value of F=1.73 is less than critical value of F=3.88, hence here null hypothesis is
failed to reject (Significant value is 0.21, more than 0.05) so there was no significant difference write-
off of loans by Public sector, Private sector and foreign banks during the study period.
Table-8 Provides details information about the write-off percentage as per categories of banks. Private
sector banks are consistent in write-off on an average 22.9% of non-performing assets during this five
years, while Public sector banks are writing-off average 14.41% and Foreign banks are 17.16%. This
write-off helps bank to look there balance sheet small and clean which helps to get better market price
for their shares and eligible for more lending.
Profitability of Scheduled Commercial Banks

Profit is an income remaining after deducting all the expenses for operating a business. For a bank major
part of the Profit is net interest margin, but in a situation of high level of non-performing assets it very
difficult for a bank to generate profits.
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H05: There is no significance difference in Profitability among the Public Sector, Private Sector
and Foreign banks.
Table: 10 ANOVA Profitability

Sum of Squares df Mean Square F Sig.
Between Groups .067 2 .033 37.279 .000
Within Groups .011 12 .001
Total .077 14
ANOVA table-10 also shows that the value of Significant value is 0.00 which is less than 0.05, hence
null hypothesis is failed accept so there is significance difference in profitability among the Public
sector, Private sector and foreign banks during the study period.
Profitability of all the scheduled banks is gown down during the year on year basis from the year 2012-
13 to 2016-17 except the foreign bank in the year 2014-15. It indicates that there are some problems
with the whole banking sector behind this downward trends of profitability. Profitability ratio of the
Public sector banks is fallen in to negative in year 2015-16 and onwards which is not god for public
sector banks. Private sector banks and foreign banks are better in generating profit as above the level of
all scheduled commercial banks.
FINDINGS
As per above analysis and data shows that ratio of Non-performing assets to Advances of public sector,
Private Sector and Foreign Banks were upward moving. NPA Ratio of Public sector banks were increase
from 3.61% to 11.67% from year 2012-13 to 2016-17(Table-1) which is quite higher than other
categories of banks and overall scheduled commercial banks. While looking to the average NPA ratio
of Private sector and foreign banks is 2.47% & 3.66% which are lower than the overall ratio of scheduled
commercial banks but still need for monitoring the NPA is essential. There is significance difference of
NPA to Advances among the all the three categories of scheduled commercial banks (Table-2).
Table-3 with graph-3 it show that Net NPA ratio are significantly going in upward but at lower rate
than the Gross NPAs ratio of all scheduled commercial banks during study period. Net NPA ratio is
lower because various amount might be received by the banks from DICGC/ECGC, Part payment
received and kept in suspense account, total provisions held etc.
It was found that standard assets also fallen to 90% from 97% during year 2012-13 to 2016-17. This
leads to create more of non-performing assets. Non-performing assets are depends on the Sub-standard,
Doubtful and loss assets so increase in those assets leads to increase in NPAs from the year 2014-15 to
2016-17.(Graph-1)
Recovery of non-performing assets has been necessary for banks to undertake for collection of money
from the borrowers. Three channels of recovery bank generally used to recover past due from the
borrowers. Table-4 mentioned that number of cases referred, amount involved, amount recovered and
percentage of recovery of non-performing assets for the period 2012-13 to 2016-17.
Looking to the on an average number of cases referred by the channels are concerned Lok Adalat, DRTs
and SARFAESI Act are 90%, 1.1% and 8.3% respectively. Look to the amount involved in cases are
concerned Lok Adalat, DRTs and SARFAESI Act are 20%, 28% and 51.63% respectively As per
average recovery percentage are concerned Lok Adalat, DRTs and SARFAESI Act are 4.67%, 12.88%
and 18.68% respectively. SARFAESI Act shown better performance compare to overall rate of
recovery. ANOVA table-5 shows that significant value is 0.014, less than 0.05, hence here null
hypothesis is failed to accept so there would be significant difference in NPAs collection from borrower
among the all three channels of recovery.
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It was also found that there was highly positive correlation between the recovery percentage and non-
performing assets of public sector, private Sector and Foreign banks during the period 2012-13 to 2016-
17(Table-6).
It is found that on an average 15.29% of non-performing assets has been write-off during these five
years by Public Sector (14.41%), Private Sector (22.94%) and foreign banks (17.16%). Table-9 shows
that value of Significant value is 0.21, more than 0.05, hence here null hypothesis is failed to reject
(Significant value is 0.21, more than 0.05) so there was no significant difference write-off of loans by
Public sector, Private sector and foreign banks during the study period.
Profitability of all the scheduled banks were gown down during the year on year basis from the year
2012-13 to 2016-17 except the foreign bank in the year 2014-15. Table-11 of ANOVA also shows that
the Significant value is 0.00 which is less than 0.05, hence null hypothesis is failed accept so there is
significance difference in profitability among the Public sector, Private sector and foreign banks during
the study period.
SUGGESTIONS
Study has shown many critical outcomes which are helpful for the improvement in the problems of non-
performing assets, recovery and write-off of non-performing assets. Researcher would like to gives few
suggestions which are as under.
• Reduce write-off percentage so it may save extra money for banks to grant more loans and
advances. More the write-off of loans might create more NPAs because borrower may feel
that one day bank will write of their amount so they don’t pay. So need have lower write-off
of loans
• Recovery channels have scope for improve their efficiency so that more amount could be
recovered which helps banks to grant more loans.
• Effective credit appraisal system.
• Develop a mechanism for monitoring and controlling non-performing assets.
• More regulation on bank and on potential defaulter.
CONCLUSION
The study measured Non-performing assets and recovery mechanism by using various indicators.
Trends of Ration of Non-performing assets of public sector, Private Sector and Foreign Banks were
upward moving. There is significance difference in ratio of NPA to Advances among the all the three
categories of scheduled commercial banks (Table-2). Public sector banks have average NPA ratio of
6.77% which is more than the Private Sector banks (2.47%) and Foreign Banks (3.66%) during 2012-
13 to 2016-17. Standard advances decrease 97% to 90% during year 2012-13 to 2016-17. This creates
more sub-standard assets untimely it leads to non-performing assets.
Average Recovery percentage of non-performing assets of Lok Adalat, DRTs and SARFAESI Act are
4.67%, 12.88% and 18.68% respectively. SARFAESI Act shown better performance compare to overall
rate of recovery.
Write-off of non-performing assets was found that on an average 15.29% of non-performing assets has
been write-off during these five years by Public Sector (14.41%), Private Sector (22.94%) and foreign
banks (17.16%) (Table-8). Private sector banks is write-off more compare to other two categories of
banks to looks their balance sheet better.
Profitability of all the scheduled banks were gown down during the year on year basis from the year
2012-13 to 2016-17 except the foreign bank in the year 2014-15 Reduce in profitability of the bank’s
may face other problems as well, like lack of funds for advances, trust of customers, losing of customers
ISBN: 978-93-5351-069-5 88
money etc. overall non-performing assets affect banking system and it leads to disturb the economy as
well.
It is advisable to regulators and Management that proper implement and improvement in Recovery
mechanism, write-off and monitoring system for non-performing assets, which leads to control the
losses and increase the profitability for the banks.
REFERENCES
[1]. C. Mangala Gowri, V. R. (2013). Non-performing Assets in Public Sector Commercial Banks- A
Retrospect. International Journal of Financial Management, 3 (2), 46-53.
[2]. DAS, C. C. (2012). MANAGEMENT OF NON PERFORMING ASSETS - A CURRENT SCENARIO.
International Journal of Social Science & Interdisciplinary Research, 1 (11), 204-214.
[3]. Dey, S. (2018). Recovery Mechanisms of Non-Performing Assets in Indian Commercial Banks: An
Empirical Study. A multidisciplinary Online Journal of Netaji Subhas Open University, INDIA, 1 (2).
[4]. GROVER, A. (2015). COMPARATIVE STUDY OF NON-PERFORMING ASSETS AMONG
PUBLIC SECTOR BANKS. INTERNATIONAL JOURNAL OF RESEARCH IN COMMERCE &
MANAGEMENT, 6 (5), 97-106.
[5]. Kumar, S. (2014). Non Performing Assets: An Indian Perspective. International Journal of Academic
Research in Economics and Management Sciences, 3 (2), 175-187.
[6]. Mrs. Chandra Shaardha, D. A. (2016). The Impact of SARFAESI Act 2002 in recovering the Non
Performance Assets in Public Sector Banks: A study on Recovery in SBI, CBI, CB, BOB and PNB
(2008 to 2014). International Journal of Applied Engineering Research, 11 (7), 5218-5224.
[7]. Osuji, O. (2012). Asset management companies, non-performing loans and systemic crisis: A developing
country perspective. Journal of Banking Regulation, 13 (2), 147-170.
[8]. Robin Thomas, 2. D. (2016). Loan recovery strategy in Indian banks. International Journal of Commerce
and Management Research, 2 (12), 158-164.
[9]. Singh, V. R. (2016). A Study of Non-Performing Assets of Commercial Banks and it’s recovery in India.
Annual Research Journal of SCMS, Pune, 4, 110-125.
[10]. U.Padmavathi, N. B. (435-445). A STUDY ON PERFORMANCE OF DEBT RECOVERY
CHANNELS IN MANAGEMENT OF NPAS OF SCHEDULED COMMERCIAL BANKS IN INDIA.
In 10th International Conference on Recent Trends in Engineering and Management.
WEBSITES
[1]. https://www.rbi.org.in/scripts/NotificationUser.aspx?Id=3702&Mode=0#rec
[2]. https://m.rbi.org.in/scripts/BS_ViewMasCirculardetails.aspx?id=7357
[3]. https://www.drt.gov.in/FrmFaqPage.aspx
[4]. https://nalsa.gov.in/lok-adalat
[5]. https://rbi.org.in/commonman/English/Scripts/BanksInIndia.aspx
[6]. https://www.rbi.org.in/scripts/NotificationUser.aspx?Id=6415&Mode=0
[7]. https://dbie.rbi.org.in
ABBREVIATION
[1]. DRT : Debts Recovery Tribunals

[2]. IDBI : Industrial Development of Bank of India
[3]. NPA : Non-Performing Assets
[4]. NPA : Non-Performing Assets
[5]. PSBs : Public Sector Banks
[6]. RBI : Reserve Bank of India
[7]. RBI : Reserve Bank of India
[8]. SARFAESI Act : Securitisation and Reconstruction of Financial Assets and Enforcement of
Security Interest Act
[9]. SBI : State Bank of India
89 ISBN: 978-93-5351-069-5
PCM014
SOCIAL ENTREPRENEURSHIP: A DYNAMIC PROCESS TOWARDS
SOCIAL PROSPERITY
Gayatri Dwivedi
General Manager /Asst Prof-. Finance
Prin. L. N. Welingkar Institute of Management Development and Research
gd5gayatri@gmail.com
Abstract:
India is not as organized a market as seemingly, many of its developed western counterparts are. So
what appears so simply applicable there can be a tough game here. The answer to the dilemma lies in
the rising number of social enterprises. Sadly, the fact remains tha t many of these ventures fizzle out in
the absence of the much-needed support, strategy and willpower to stay the course. But then we are
here to discuss how to make things work rather than ring the death knell of our designs to make a
difference and put together a solution.
The paper puts forth the dynamic, discipline- diverse and expansive nature of the plans that unfold as
social entrepreneurs try to fix some of the gaping gaps in the community’s socio -economic fabric. At
the very outset, we need to accept the fact that there is no single silver- bullet remedy that may fit every
setup. Each ecosystem has its own specifics. The plans need to be fluid and agile enough to
accommodate the unseen and inevitable turn of events. As you may roll out your action plan on the
ground zero you will see it taking you to unthought-of and unchartered territories. And as a social
entrepreneur, you should be ready to traverse/trudge these surprises. It will test your mettle in the most
unbelievable ways. And that’s why entrepreneurs are unarguably the best of species to walk the planet.
The pursuit is discipline diverse, effort, time and resources consumptive. But undeniably the end results
if you succeed are going to be every inch worth of all the pains taken. It will b e multi-disciplinary and
bring in players never thought of. But still remains the fact- business and goodness are never
antithetical; rather goodness of intentions in social context climaxes into social entrepreneurship. In a
way, social entrepreneurship is the apotheosis of social concern coupled with legitimate action to see
things through.
The paper brings out the unpredictable and dynamic nature of social entrepreneurship along with the
soul gratifying purpose and meaning it has. Unmatchable that fee ling is.
Key words: Social entrepreneurship, discipline- diverse, multiple stakeholders, social concern,
dynamic nature.
INTRODUCTION
Talking in the context of a country like India which has its young population as its biggest strength but
still has not yet made it to the advanced clutch of the developed countries, social entrepreneurship holds
a very special role and that too a very pivotal one. India’s working population is set to cross over
the 1.1 billion mark by 2050, as per the projections of the United Nations Development Programme
(UNDP) in its Regional Human Development Report-2016. Going by a twice a year report by World
Bank, India needs to generate 8.1 million jobs a year to maintain its employment rate, said a World
Bank report which projected the country's growth to accelerate to 7.3 per cent in the current financial
year. It predicts a growth of 7.5 per cent in 2019-20 and 2020-21.We as a nation need to tap every
opportunity to make it happen and perhaps exceed the figures. SAEF1
1
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ISBN: 978-93-5351-069-5 90
The leadership of the country has come up with dynamic policies in the direction; these include
announcements like Make in India, Skill India, Start up India, Mudra Bank and more. But alone, even
the government cannot do much. All the stake holders need to come together and see what can be done
to grow the economy and generate jobs and wealth. Idle hands and minds have serious social
consequences. The country has a hug youth-segment.
The current study brings forth the decisive role of social entrepreneurs in the context to improve upon
the current state of affairs. Social entrepreneurs, rooted in the specifics and realities of their respective
domains create setups that generates new jobs, income, and trigger up demands and hence accelerate
production and manufacturing. And the economy grows. It is all so interrelated yet so simple.
Social entrepreneurs come up with solutions that bridge the gaps in context of products or services.
They create productive engagement, enhance living standards and ensure livelihoods to all in a given
community. Social entrepreneurship is most of the times not as rigid as the organised sectors wherein
there are prerequisites that have to be met to gain meaningful engagement. Once decent footing is
attained, it attracts industry, businesses and like- minded individuals to the region contributing to its
progress and gentrification.
We can’t have strong national policies and strategy without having a people’s person helping drive
these through the communities towards intended effects. And this is the role the social entrepreneurs
take up. They establish a culture of understanding wherein each one understands the impact of their
contribution or the role they play. They build that sense of engagement, emotional connection, empathy
and integrity. Thus it aims to encourage the individuals who are willing to treat working for social
causes as their raison d’etre. At the same time it offers a granular picture about what social
entrepreneurship is all about its nature and the challenges its entails.
Objective of the Study:
The present study details the following objectives

1. An overview social Entrepreneurship all about
2. It’s cruciality to the national economy.
3. The nature of social entrepreneurship
4. Essential elements of social entrepreneurship
5. Expected challenges in the path of entrepreneurship
6. Ways to navigate through these challenges towards the desired goals.
The Hypotheses
Social entrepreneurship is a dynamic process towards social prosperity. Hence it should be given all the
possible support and infrastructure that accords it congeniality and a favourable ecosystem to grow.
State policies should be geared up to incentivize social entrepreneurship and remove the hurdles that
come their way. It is far more expansive phenomenon and the domino effects are immense.
Research Methodology used in the paper is descriptive in nature. Data collection has been through a
mix of primary and significantly, secondary sources to study the progress and impact of social
entrepreneurship in India. The concept has been in practice for quite some time, but has caught
momentum recently, in the current decade or little before. Reports by various industry bodies national
and international have been referred to, for acquiring the latest status and emerging trends. Also news
articles, media reports and particularly government websites have been studied to see the progress and
impact of the same.
91 ISBN: 978-93-5351-069-5
Background
Social entrepreneurship is not for the frivolous or faint-hearts. It stirs and challenges every fibre of one’s
entity. Almost all the entrepreneurs have gone through their share of unnerving moments. The journey
is definitely not easy but is worth every molecule of sacrifice made, every effort invested. No doubt
these heroes- social entrepreneurs, need a robust support system.
Fortunately, as the governments, private players, interested entities and individuals are getting aware of
their role towards the same, we see a growing number of support systems, India and abroad. Home,
government has been doing its best to support and incentivize entrepreneurship along with honouring
their impact and showcasing the efforts of the ones's who really make a difference.
LITERATURE REVIEW
October 2018, Prema Gopalan of Swayam Shikshan Prayog was honoured with the Social Entrepreneur
of the Year India 2018 Award. The honour comes from the Schwab Foundation for Social
Entrepreneurship - Jubilant Bhartia Foundation. The award comes for her efforts to revitalize rural
economies by empowering women by enabling them run small ventures. Her efforts have benefitted
more than 145,000 women. Signature elements of her model include an expansive network of about
5000 SHGs; a resilience fund for their businesses, a rural school of entrepreneurship and leadership for
them and a market aggregator that provides a well- lubricated and supported supply chain and catering
to the entire supporting infrastructure like warehousing, marketing, branding and distribution. Also it
has brought together diverse stakeholders like the government, investors, financiers, and corporates to
support their progress.
The Social Entrepreneur of the Year Award, SEOY India honours and recognises the efforts of the
organisations and social entrepreneurs in India which try to bring in social changes through their
entrepreneurial vision. The key parameters for judging the contribution by the awardees include –
“innovation, sustainability, scalability, reach and direct social impact. Efforts of Ms Prema Gopalan,
SSP, her work over two decades covers over 2000 climate-threatened villages across 6 states of India
and benefits about one lakh women have been helped to set up their own ventures.
The Women Entrepreneurship Platform Recently by Niti (National Institution for Transforming India)
Ayog supports women entrepreneurs and gives visibility to their entrepreneurial efforts. The Ayog
recently held there third edition of the Women Transforming India Awards 2018. It endeavours to
enhance the entrepreneurial ecosystem in the country by being one window platform to support women
entrepreneurs. It aims it bringing all the relevant entrepreneurs together and gives an enabling
entrepreneurial infrastructure. This includes in its ambit integrated services, of incubation, mentoring,
funding and many more.
As a career choice, entrepreneurship is gaining currency among the present generation, across the globe.
As survey by Millennial Branding and Internships.com revealed 72 percent of the 172 high school
students surveyed opting for entrepreneurship as their career choice. Obviously, “entrepreneur" has
become the new norm for the world's global youth and the hope for the future of many burgeoning
market-based economies around the world.
Ideas are the basis of entrepreneurship which in turn may unfold domino effect. We have already
discussed the possible impact it can unfold. Talking of the United States out of the 5,000 publicly traded
businesses, nearly 30.2 million private businesses have built upon the ideas coming from committed
entrepreneurs.
There have been models of working where International organisations like Ernst And Young
Foundation have penetrated regions where they can make an impact irrespective of the distance, in
collaboration with their local partners like the Srinivasan Services Trust (SST). It is the social services
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arm of TVS Motors. Together they have been empowering women by setting up self-help groups in
over 100 villages in Pune district.
Traversing the boundaries of nations the social entrepreneurs have been working relentlessly giving
shape to their designs leading to a lot of transformational work no short of revolution. But given the
expanse of the domain and magnitude of the population a lot more needs to be done.
Importance of Social Entrepreneurship and the entrepreneurs
Social Entrepreneurship not only fills in the gaps in the existent products and services space but also
come out with entrepreneurial yet progressive patterns which answer many of the daunting challenges
that a society faces. Genuinely acted upon, the results are transformational. It generates employment,
wealth, boosts the purchasing power of the community; that in turn leads to the industrial and economic
growth and thus the national growth. As per a report by, India Brand Equity Foundation, Dabur
generates over 40-45 per cent of its domestic revenue from rural sales and HUL rural revenue accounts
for 45 per cent of its overall sales while other companies earn 30- 35 per cent of their revenues from
rural areas.[1]
Also this leads to a more balanced growth[2].This in turn curbs problems like migration and other dire
consequences. Also most of the time the focus is on the segments that are underserved or under
privileged. It is the transformational impact that social entrepreneurship delivers that makes it the
wonder that it is.
Social entrepreneurs with their endeavours strengthen the social fabric, setting up relevant social
structures that are pivotal in the progress of the communities. It naturally boosts community and
institutional capacity, thus enhancing the economic capacity. Giving productive engagement to the
working hands makes rest of the things fall in places desirably, to a fair extent if not completely. In
most of the cases it has been empowering the women, financially, socially and vocationally.
They are the role models of the modern times, conjuring powerful ecosystems of opportunities for
all. They are social warriors. They fight rather work for the causes they believe in. They are the social
architects who build enabling superstructures in terms of products and services needed by the
community.
They create transformational social change along with inclusive growth. Propelled by their zeal to fill
the gaps in the ecosystems, social entrepreneurs are driven by their mission. It won’t be an exaggeration
– if we call them the new heroes. They are the real brand ambassdors-the trail- blazers; also the real
agents of change.
Social entrepreneurs are known for their contribution towards community development and a deeper
impact on society. They know how to balance profits with social and environmental impact of their
business behaviours. Adding further to the same is the remarkable trend of growing social and
environmental concern among the businesses. Possibly due to government policies and awareness about
the repercussions their business behaviour might have.
Nature of Social Entrepreneurship
Business goes much beyond the conceptualization of an idea solely centered on financial opportunities
and profit maximization. It is turbo-charged with a purpose, targeting broader societal or environmental
goals. Entrepreneurship is not just a means to make money, but a catalyst to drive the transformation
that is needed to meet some of the daunting challenges we face today. It can help us mitigate some of
the challenges faced by the modern world. It is an apotheosis of social concern and business interests
coupled with required action towards execution to attain the envisaged solutions in terms of products
or services. Also contrastingly and ironically, there exists no duality between business interests, ethics
and social concerns.
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Even today, almost 69 percent of India lives in the hinterland. Fortunately, we have a good number of
social entrepreneurs working in the rural areas. And admittedly rural India needs more help on a large
number of fronts to bring up their standards of living and productivity. It seems despite the huge quality
of resources they produce they are still lagging behind on number of social parameters when compared
to their urban brethren. Is it the resource curse or the paradox of plenty? In India, agro sector contributes
about 17% to the national economy and engages over 60% of the population.
The essentials of Social Entrepreneurship
Passion and Purpose
Social Entrepreneurship is transcendental. It doesn’t adhere to regular filters. But essentially one has to
have the passion and the purpose. If you can offer a product or solution /service in a more feasible,
efficient and sustainable manner and you are ready to make into a business proposition, you are in. It
demands a disciplined commitment to one's purpose, a steely conviction grounded in reality, facts and
commitment to a social cause with an unwavering passion to pursue one’s aspirations. Ideas are the
basis of entrepreneurship. The entire exercise can be very fulfilling- the profits, the name and the impact.
Though, it all comes at a huge cost.
The Intangibles
Configuring, setting up and running a successful business is no easy a job, demanding sagely wisdom,
persistence, control over oneself, poise and composure, discipline, commitment, perseverance and
resilience; above all hard work. It demands powers to understand, to empathize, envision, plan and
execute. Along with maintaining objectivity, you have to get close to people to understand them. It
needs a finger on the pulse of changing times. Mark the words – there is difference between knowledge
and understanding.
The Right Temperament
Traversing the rough and tumble of social entrepreneurship asks for adeptness not only in the core
concepts of businesses but also in the intangibles of the personality and thus compelling personae-
equipped in every sense. Equally important is an emotional and psychological structure that is needed
to build deep relationships with other people from diverse backgrounds. No less crucial are the skills of
leadership, effective communication, critical thinking, imagination, perseverance, team spirit
and analytical skills.
Clarity on what the entrepreneurship needs to be about
It is very crucial that before setting off on the path that would put one through some of the toughest
moments and challenges one has absolute clarity on what the entrepreneurship ought to be about.
Demands on the Community
Value them
The society, state, and others in relevant roles need to provide an enabling ecosystem around social
startups; well aligned with the requisites which may vary from ecosystem to ecosystem. Never before
was the need to set up a congenial culture, enabling businesses with an ecosystem that supports the
rapid deployment and development of new technologies to assist them was so loud and clear.
Support them
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States across the globe with all their governance machinery are working towards promoting and
strengthening a culture that goes all out to support entrepreneurship. So, are the nonprofits worldwide.
Some of the reputed ones include Azim Premji Foundation, Nader Foundation, Bill and Melinda Gates
Foundation, Obama Foundation and the list runs long. There have been philanthropic individuals that
have been working to create a favourable atmosphere to help right spirited people help the communities.
Give them the needed platforms
We as a society need to facilitate their coming together to address specific business-social problems or
real issues of the times. It may ask for incubation facilities, venture capital funding, accelerator and
mentoring and a lot more. Education has to move the digital revolution into all levels of economy,
rendering the revolution really inclusive. Governments have been streamlining their efforts in the
direction.
The Challenges
Bridging the Trust gap
Another challenging fact is the trust deficit between the masses and the establishments and the
entrepreneurs. The masses just don't believe in the claims or ideas offered to them by establishment
figures or even people claiming to work on socio-economic development. This needs to be addressed.
Integrity is an abstract element but the results it generates are far more substantial. Far bigger. It is
propulsive in its impact. It has to be hardwired in behaviours of social entrepreneurs at all levels. The
author have been actively working in the villages of Almora district. Initially it was difficult for her to
make them believe in the progressive measures or efforts to help them. But gradually this apprehension
thawed, giving way to warmth and cordiality. Also was difficult to initiate them into something
new....the best way was to set models for them to follow and to win their trust.
Our perception of social entrepreneurs and their ventures
Social Entrepreneurs are the change makers, trend setters, enablers, and the one who keep the economy
running. And they have to be careful about the trust quotient they generate in the heart of their
stakeholders. And we as a society should also change our perspective towards them.
If a business is thriving and generating profits- then it means there is someone working behind the
scenes to make it happen. Respect that toil, the vision, the risk and the uncertainties that come with it
and the heads and hearts that have invested themselves in it. Unfortunately because of obliquities on
part of few the general perception about social ventures has taken a hit.
Building community capacity
Social entrepreneurs have to understand the obstacles that inhibit the people, government organisations
from realising government goals and then working on the remedial measures to strengthen the same is
also very crucial. This in fact turns out to be the biggest and the top most agenda of all the entrepreneurs.
Social entrepreneurs focus on the most pertinent needs of marginalized communities along
with developing germane competencies in the community. Social entrepreneurship is always tied to
local specifics.
Engaging the women
Also it is easy to take things forward if you engage and win the trust of the women of the
community. Under the Swayam Shikshan Prayog, over 97 k women had started ventures in clean
energy, sanitation, basic health services, nutrition and safe agriculture. And the best part of the same
was they kept the virtuous circle on by further mentoring hundreds of women to be entrepreneurs. As a
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result around 900 women have been groomed as climate resilience leaders and 500 are actively involved
in local governance. It all has contributed towards curbing poverty, hunger, gender inequality, and
boosting women empowerment and education..
In the above case, the workers have made their business success and community growth
synonymous. Also, it has partnered with the government to further expand itself. It is a clear reflection
of the potential rural women entrepreneurs and how pragmatic it can be to invest in them.
Building Institutional Capacity
Social entrepreneurs have a strong quintessential social dimension to their actions. They help others
help themselves and in turn help others. As their plans take off, they enhance the institutional capacity
of the community as they prompt setting up of structures, organizational mechanisms and processes,
and reservoir of trained human resources. Also they help in training and technology transfer. When
social entrepreneurs work in the remote or cut off regions they have to play conduits to lot of
arrangements, information and technology taking these to the targeted community and begetting their
involvement, support and cooperation. Deep local engagement is a must for the success of the social
ventures.
The duo of EY-SST helped the women of the village desilted a lake in May last year at a cost of ₹4
lakh. Sixty percent of the expenses were crowdfunded while EY-SST provided the rest. The village
now has water, and the fertile soil from the desilting work resulted in a better crop for farmers. Self-
help Groups are a huge tool in the box.
Bringing the multi-stakeholders to the table
Their efforts include bringing diverse stakeholders to the table and let the conversation progress on the
desired lines towards the envisaged ends. These stakeholders include government authorities,
industries, academics, nonprofits, influential individuals and of course the members of the community
you are working for.
The success of Swayam Shikshan Prayog (SSP) highlights the expansiveness and the diversity of the
required by the social entrepreneurs to make the desired change. Social entrepreneurs need to bring
multi stakeholders to the table, convince them of the utility and the relevance of their endeavours and
actions.
Revisiting the norms
Perception Management is also another critical part of the game. Some of the norms and popular
perception need to be revisited and practices to be questioned. And this in turn comes with your
integration with your publics, how well you connect and make them believe in what you have to offer
them. And here comes in the role of trust and integrity that strengthens with our actions.
Looking at the complete picture
Another very crucial aspect of social entrepreneurship is that you have to plan things around the families
as the unit and not the individual alone. Social entrepreneurs that carve their solutions and approach
around the entire family particularly the women of the set up are most likely to succeed. They look at
the macro picture, offering solutions considering the overall ecosystem, against one isolated element
picked up randomly.
Pith of social entrepreneurship- the moral compass
Social entrepreneurship does not consign itself to a profit making venture alone. Other essential
elements at the heart of the same are ethics, your inner moral compass, your ethical yardstick and the
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answer to the question – does it mean progress for the society/community? It tests your ethics at every
turn. Right from the moment an idea is borne to its execution and growth. The growth will be a slippery
road marked with temptations. Deciding the business to get into and ways to grow it should come with
an ethical perspective. Every innovation is not directed towards progress.
Entrepreneurs have brought us better medicines and medical treatments and amazing prosthetics. They
have made education more accessible to those without it. They have made us safer in our cars. And
entrepreneurs have offered food that’s good and good for us. But these are not the entrepreneurs we
read about because they didn’t become wealthy quickly.
The four C’s of Social Entrepreneurship
Collaboration, cooperation, communication and coordination are very essential to the entire journey of
any venture it is to sustain the rough and tumble of business. Effective communication would be the
life blood of all business -moves. This has to spread across all the conceivable boundaries of sectors,
departments, and socio-economic stratas and very often acquires supranational nature.
Taking Challenges head on
Academe has to change or revamp what they train and how they train with realigning their efforts to
make social entrepreneurship a significant part of their syllabus, offering programs in the same.
Government policies have to support them with the supportive infrastructure along with appropriate
funding arrangements, incubation facilities, and forums for cross pollination of ideas and efforts and
other relevant facilities. B Schools have been working in the context have been taking the lead. Most of
the reckoning ones have been providing all the support to their constituents. But there is still scope for
a lot more on the front.
CONCLUSION AND FINDINGS
It is challenging. It is not what glossies and pinterest posts make it appear. It needs round the clock
efforts without any surety of what the future would look like. You have to sweat it out, tame your temper
when otherwise you would have given into your momentarily impulses. You have to take people with
differing - perspectives along. But then you become real hero with the impact you create in the lives
you better and the faces you lit up with smiles that are real.
Capturing the essence of social entrepreneurship, it can be defined as a simpler, more effective,
ingenious way to fill in a gap in services or products enhancing the socio-economic quotient. It being
ingeniously a better version of what has been so far available gets a foothold. But here lies the challenge.
Getting that foothold itself is a challenge. Faith of the communities has to be won...that needs lot of
real genuine, hard and well –deliberated efforts. Models of services and products have to be introduced
with all the paraphernalia of efforts to support the percolation and acceptance of the same among the
desired segments. Many a time these are new trends, social and economic behaviours that mark the
beginning of new progressive practices. These can be precursor of a new progressive era or enhanced
standards, but ushering them in and getting them acceptance is the point wherein lies the rub. But with
a huge youth segment we can do it. Government has already, declared, loud and clear it’s no- holds-
barred policy when it comes to supporting social-entrepreneurship.
Social entrepreneurship holds the potential for transformational change along with inclusive social
economic growth. It spurs economic growth, empowers and emancipates women, particularly at the
grassroots and curbs migration and the subsequent challenges.
It rides on the support from the state authorities, academes, policy makers, industries, private and non-
profit entities working on the mission. These should ensure that they do their best to hand- hold
individuals who wish to contribute to the cause. This is something that argues for massive efforts to
make the difference and the impact felt.
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As of the social entrepreneurs, they need to have clarity of purpose, about the plans they wish to execute,
with enough agility in their working. Also they should have encyclopedic knowledge of their caucus/
publics/ customers. A reality check on money matters and the break-even is must. If in a full time job,
it won’t be foolish to grow your side hustle to sustainable limits before you take the plunge. It is good
to be bold but why not be practice logic driven boldness. That would be a more yielding-proposition.
REFERENCES
[1] UNDP- Regional Human Development Report-2016. Retrieved from

http://hdr.undp.org/sites/default/files/2016_human_development_report.pdf
[2] Economic Survey 2017-18. Retrieved from http://mofapp.nic.in:8080/economicsurvey/pdf/082-
Chapter_06_ENGLISH_Vol_01_2017-18.pdf
[3] World Bank. 2018. South Asia Economic Focus, Spring 2018: Jobless Growth?. Washington, DC:
World Bank. Retrieved from tps://openknowledge.worldbank.org/handle/10986/29650 License:
CC BY 3.0 IGO.
[4] Indian Rural Market, March 2017, Retrieved from https://www.ibef.org/industry/indian-rural-
market.aspx
[5] Rawal, T (2018, January,01) A study of Social Entrepreneurship in India, Retrieved from:
https://www.irjet.net/archives/V5/i1/IRJET-V5I1179.pdf
[6] NewIndianXpress. (n.d.). NITI Aayog to organise third edition of Women Transforming Indi
Awards. Retrieved from http://www.newindianexpress.com/business/2018/dec/15/niti-aayog-to-
organise-third-edition-of-women-transforming-india-awards-1911948.html
https://www.entrepreneur.com/article/323418
[7] Husain, Z. (2018, December 23). Financial freedom helps women in Pune villages turn
entrepreneurs. Retrieved from https://www.thehindu.com/news/cities/mumbai/financial-freedom-
helps-women-in-pune-villages-turn-entrepreneurs/article25815270.ece
[8] Frontmatter. (n.d.). Expert Political Judgment.
doi:10.1515/9781400830312.fm https://www.entrepreneur.com/article/309319
[9] The Most Important Thing does . . . know What You Don’t Know. (2012). the Most Important
Thing Illuminated. doi:10.7312/mark16284-015
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PCM117
PREDICTING FACTORS OF E-PAYMENT ADOPTION IN INDIA:
THE CUSTOMERS’ PERSPECTIVE
Dr. Kiran J. Patel Mr. Parth M. Modi Dr. Rajesh D. Kiri
Assistant Professor, Guest Faculty, Assistant Professor,
V. M. Patel College of S. K. School of Business V. M. Patel Institute of
Management Studies, Management, Management,
Ganpat University, HNGU, Ganpat University,
Kherva, Gujarat, India; Patan, Gujarat, India; Kherva, Gujarat, India;
kjp01@ganpatuniversity.ac.in parthmodi2402@gmail.com rajesh.kiri@ganpatuniversity.ac.in
Abstract:
Purpose: Taking into account the promising growth of electronic payment and clearing system in India,
this study aims to predict the key factors influencing the adoption of electronic payment from the point
of view of Indian customers. This study has extended TAM with two additional variables viz. perceived
risk and perceived security.
Design/Methodology/Approach: The sample of this study consists of 208 respondents with a valid
response rate of 75.64 (208/275*100) percent. For testing proposed research model, data were analyzed
using multiple regression technique.
Research Findings: The results of this study provide overall support for an extended TAM and also
confirm its robustness in predicting Indian customers’ adoption of electronic payment system. More
specifically, results underlined significant positive impact of perceived security, perceived usefulness
and perceived ease of use on customers’ intention to adopt electronic payment system. On the contrary,
perceived risk seemed to have significant negative impact on e-payment adoption.
Practical implications: This study provides valuable insights to policy makers, banking institutions,
online transaction facility providers as well as software developers in formulating appropriate
strategies that will appeal more customers for the adoption and use of electronic payment system.
Research limitations: The generalizability of the findings of this study is limited: 1) As this study focuses
only on India; 2) Other potential variables are not incorporated in the model.
Originality/value: Besides traditional constructs of TAM (Technology Acceptance Model), two new
constructs viz. perceived risk and perceived security, have been successfully added to extend the TAM
in the context of electronic payment system. The extended TAM provides better understanding of Indian
customers’ adoption of electronic payment system.
Keywords: E-Payment, Information System, Perceived Ease of Use, Perceived Risk, Perceived
Security, Perceived Usefulness
INTRODUCTION
Sustainable competitiveness, a strategic notion for both developed and developing countries, is assumed
to be perquisite for any country’s economic development (Schwab et al., 2014). The country’s emphasis
on national competitiveness is boosted by becoming a competitor globally. This global competitiveness
outline the image of the country’s capacity to attract investment, increase GDP per capita, generate
employment opportunities, improve prosperity and finally, raise living standards (Ayala, 2012). In
terms of country’s competitiveness, greater financial inclusion is an important component. The more
financial inclusion through easier access and participation in the financial system can create
employment opportunities, increase human capital investments, reduce income inequality, increase
income, reduce poverty and help the poor directly by managing risks and absorbing the financial crisis
(World Bank 2014a).
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Undoubtedly, the advancement in electronic payment systems will significantly improve the country’s
competitiveness in different ways (Kamulegeya, 2010). The development in payment system has led to
greater financial inclusion, whereby providers of electronic payment services facilitate financial
transactions in legal financial systems, even without bank accounts. As per World Bank, electronic
payment is fundamental for financial growth. In addition, World Bank report also showed that the rapid
development and expansion of online platforms containing electronic system, offer many ways to
strengthen financial inclusion to the anticipated level. Therefore, electronic payment offers greater
speed, security, transparency and cost-effectiveness (World Bank, 2014b).
To promote efficiency in the global economy, the global market has expanded the demand for effective
payment systems (Chou et al., 2004, Tsiakis & Sthephanides, 2005, Humphrey et al., 2006 Linck et al.,
2006, Cotteleer et al. al., 2007; Lorenz, 2009; Kim et al., 2010). An effective payment system should
be used to redistribute the resources in order to handle manual or semi-automatic payments, thus,
reducing the cash related expenses and manage the use of more electronic payments (BNM 2011b).
The electronic payment system has been widely accepted over a certain period and has been
implemented by the companies around the world (Kim et al., 2010). In today’s competitive
environment, electronic payment systems are effectively considered as the backbone of the nation. To
increase productivity and participate in national competitiveness, each country should prioritize its
efforts towards electronic payments as a national program (BNM 2011b). Developed nations like US,
UK and France, etc. have completely established e-payment system. The growing nations in the Asia-
Pacific region provide encouraging business growth (Kim et al., 2010). Therefore, to achieve high
economic growth with competitiveness, India must move from the paper payment system to electronic
payments, provide opportunities for productivity growth and reduce business expenses (BNM 2011b).
Given the importance of electronic payments, India, which has a clear vision of moving from a
developing nation to a developed nation by 2020, calls for the promotion and migration of all the
stakeholders (mainly companies and customers) to accept the system of electronic payment. Although
from various stakeholders in India, in particular customers are not yet willing to make full use of the
electronic payment system. Therefore, understanding the key determinants and the impact of these
determinants on customer acceptance in the field of electronic payments will be important for India,
which wants to switch to electronic payment technology. Therefore, the purpose of this study is to fill
the gap in existing research by proposing a research model that can predict the key factors influencing
customers’ adoption of electronic payments in India.
The study is organized into seven sections. The first section begins with the overview of this study,
which covers the idea of electronic payment with its scenario in India. The second section presents a
review of the literature, theoretical background, conceptual framework and research model with
hypotheses development. The third section depicts a survey methodology that explores samples, data
collection, and research measures. The fourth section includes data analysis covering participants’
profile, reliability statistics of the scale and hypotheses testing results, followed by discussing the
outcomes of this study in the fifth consecutive section. The implication of this study is described in the
sixth section. Finally, section seven ends with limitations and scope for future research.
Electronic Payment (E-Payment)
An electronic payment, a collection of e-commerce technologies, is linked to electronic banking or
internet banking. “The electronic payment system can basically be defined as a collection of
components and processes that allows two or more parties to make transactions and exchange money
through electronic means.”
The traditional payment system has its limits and problems like:
1) Creation of a number of physical bank branches for cash payment
2) High cost of printing currency notes
3) Issues of soiled and mutilated notes due to mishandling
4) Risk of robbery at the time of money transfer in physical form
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Apparently, e-payment mechanism removes all the drawbacks associated with traditional payment
system. The key advantages allied with electronic payment are anonymity, cost effectiveness, increased
speed, reduce risk of loss and theft, reliability, security, time savings, transparency, user-friendly,
scalability (Cotteleer et al. 2007; Linck et al., 2006; Stroborn et al., 2004; Tsiakis and Sthephanides,
2005; World Bank, 2014b).
Scenario of Electronic Payment in India
Recent researches evidenced that the use of e-payment transaction has become popular among youths
due to their techno-savvy nature. However, large number of people in the society still feels comfortable
with traditional payment systems. That’s why the government of India has applied JAM (JanDhan,
Aadhar and Mobile) strategies in advance to reach-out to the area with non-availability of banking
services. More infrastructures are required especially in semi-urban and rural areas.
Under the head of financial inclusion, the Prime Minister announced the opening of Jan-Dhan account
at a reasonable price for the poor and unbanked regions in order to make Cashless India on August 15,
2014. Similarly, on November 9, 2016, P.M. Narendrabhai Modi announced demonetization in India.
Due to the demonization effect, online money transactions increased by 250% compared to what was
seen previously. This step of demonetization ultimately compels the society to move toward cashless
transactions i.e. use of debit card, credit card, IMPS, PAYTM and mobile wallets.
“Digital India” is a key program of Indian government which aims to encourage people to move towards
digital empowerment with a knowledge based society. The different methods of electronic payment
options, as mentioned below, are open for cashless payment in India:
1) Aadhar enabled payment system (AEPS)
2) ATM card
3) Debit, credit and travel card
4) Electronic banking (viz. ECS, EFT, IMPS, NEFT, RTGS)
5) Banking on mobile phone
6) Mobile wallets
7) Payments bank
8) Point of sale (POS)
9) QR code
10) Tele-banking
11) Unified payment interface (UPI - BHIM UPI; VPA - Virtual Payment Address)
12) Unstructured supplementary service data (USSD)
13) Virtual card
Theoretical Background
Several empirical researches related to the acceptance of various technologies were carried out in order
to understand different factors affecting individuals’ acceptance of such technologies by using various
theoretical models and frameworks. Basic theories or models and their extensions, as categorized by
Hanafizadeh et al. (2014), in the area of technology adoption is mentioned below:
1) Innovation Diffusion Theory (IDT) (Rogers & Shoemaker, 1983)

2) Theory of Reasoned Action (TRA) (Fishbein & Ajzen, 1975)
3) Technology Acceptance Model (TAM) (Davis, 1989; Venkatesh & Davis, 2000)
4) Theory of Planned Behavior (TPB) (Ajzen, 1985)
5) Decomposed Theory of Planned Behavior (DTPB) (Taylor & Todd, 1995a)
Each of the models or theories given above has its own strengths and weaknesses. However, among
these all, TAM is mostly used models in the field of IS (Svendsen et al., 2011) and has been used for
various technologies viz. word processors, e-mail, the Internet, hospital IS under several conditions with
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diverse control factors and subjects (UG & PG students, knowledge workers). Thus, this all has proved
its robustness (Lee et al., 2003). Subsequently, different studies have also applied TAM in other settings
which can be shown as under:
Conceptual Framework of the Study

Introduction
The present study aims to predict the key factors affecting customers’ adoption of e-payment in Indian
context, by applying TAM as conceptual framework for this study (Cheng et al., 2006). In the context
of this study, TAM works incredibly well by examining user’s perception, a notion that seems to be
really very important (Pikkarainen et al., 2004; Chong et al., 2010; Abbasi et al., 2011). Proposed
research model of this study (i.e. extended technology acceptance model) analyzes hypothesized
relationship among the following constructs:
1) Perceived usefulness (PU)

2) Perceived ease of use (PEOU)
3) Perceived risk (PR)
4) Perceived security (PS)
5) Behavioural intention to use (e-payment system) (BI)
Research Model with Hypotheses Development

Perceived Usefulness (PU)
As per TAM, user’s adoption of information system (IS) is mainly influenced by PU (Davis, 1989;
Davis et al., 1989). Many past studies highlighted noteworthy influence of perceived usefulness on the
adoption and use of IS (Davis, 1989; Pikkarainen et al., 2004; Wang et al., 2003; Chan and Lu, 2004).
Thus, as per Davis (1989), PU refers to the extent to which one feels that the use of specific will enhance
his/her efficiency on the job (Davis, 1989). Similarly, if potential users believe that e-payment system
is beneficial, it is likely to be adopted and used by them. According to technology acceptance model,
it’s an assumption that PU will positively influence the user’s adoption of electronic payment system.
Subsequently, it is assumed that:
H1: Perceived usefulness (PU) has a positive influence on behavioural intentions to use e-payment
system in India.
Perceived Ease of Use (PEOU)
Many empirical studies evidenced that PEOU is significant determinant of users’ adoption of intended
system (Davis, 1989; Igbaria et al., 1997; Venkatesh and Davis, 2000; Gefen et al., 2003; Pikkarainen
et al., 2004; Wang et al., 2003; Chan and Lu, 2004). It refers to the extent to which one thinks that the
use of specific IS would be effortless (Davis, 1989). That is, difficulty of information system is a barrier
that may discourage the acceptance of an invention (Rogers, 1995).
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As per technology acceptance model, PEOU has direct or indirect influence via PU on the adoption of
IS (Davis et al., 1989; Mathieson, 1991). Moreover, PEOU had a positive direct influence on the
adoption of IS (Venkatesh and Davis, 2000). Likewise, if electronic payment system is easy to use, such
a system is more likely to be adopted by potential users. Hence, in line with technology acceptance
model, it is assumed that PEOU has noteworthy impact on potential user’s adoption of e-payment
system. Given the strong empirical support for PEOU, it is posited that:
H2: Perceived ease of use (PEOU) has a positive influence on behavioural intentions to use e-payment
system in India.
Perceived Risk (PR)
Perceived risk means the assessment of uncertainty or lack of knowledge on the distribution of potential
results (March, 1978) and uncontrolled achievement (Vlek and Stallen, 1980). Customers can know
their credit card information at risk and have no control over it (Salisbury et al., 2001). In the case of
use of electronic payment services, customers may consider the disclosure of information related to
their credit cards as risky and have no control over it (Salisbury et al., 2001). As per Chellappa and
Pavlou (2002), security of information is a subjective matter because a client believes that personal
information will not be displayed, stored or processed during transit or storage by inappropriate parties.
In addition, Kuisma et al. (2007), in their studies, highlighted that majority clients of a bank have had
negative attitudes toward the use of electronic banking because they are afraid of about monetary losses
and other economies. Security risk plays an important role in electronic banking acceptance (Milind,
1999, Bestavros, 2000). In fact, uncertainty about how customers’ financial information is managed by
the service providers increases the risks associated with electronic transactions. Thus, higher the risk
associated with e-payment system, less likely the customers’ behavioural intention to use it.
Considering this, it is postulated that:
H3: Perceived risk (PR) has a positive influence on behavioural intentions to use e-payment system in
India.
Perceived Security (PS)
Previous research has shown that fear of inadequate security is an important determinant that is
identified as an obstacle to adopting new technologies (Daniel, 1999; O’ Connel, 1996; Chen & Barnes,
2007). As per Salisbury et al. (2001), “Perceived security refers to the extent to which one feels that
payment via electronic systems is safe.” The importance of security for electronic banking acceptance
was validated in several past researches (Sathye, 1999; Hamlet & Strube, 2000; Tan & Teo, 2000;
Polatoglu & Ekin, 2001; Howcroft et al., 2002; Giglio, 2002). Moreover, (Wang et al., 2003) reported
that perceived credulity (security and privacy) has a positive impact on customers’ behavior using
electronic banking. Using TAM to understand the adoption of electronic banking by consumers in
Finland, Pikkkarainen et al. (2004) revealed that security influences the adoption of electronic banking.
Therefore, the need for secure operations is critical to the success not only for electronic banking, but
also of e-commerce websites (Liu and Arnett, 1999). Accordingly, it is hypothesized that:
H4: Perceived security (PS) has a positive influence on behavioural intentions to use e-payment system
in India.
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Figure I summarize all the hypotheses outlined above and thus, shows the proposed model of this
study.
Sampling and Data Collection
The present study aims to predict the key factors affecting customers’ adoption of e-payment in the
context of India. For this, survey method is applied. Through convenient sampling, primary data for
this study are gathered from internet users (since they are more likely to accept electronic payment
system in the future) using structured non-disguised questionnaire. The usage of internet is the only
criterion to participate in the survey. Moreover, research committee also remarked that the internet use
itself to gather primary data would be an appropriate technique (Celik, 2008).
To decide the size of sample, researcher has considered 95 percent confidence level assuming 4 percent
tolerance error due to unknown population. Considering this, sample size necessary for this study is
around 98, while the actual no. of respondents are greater i.e. 208. The questionnaire is circulated among
275 internet users. Pre-testing is conducted among 25 respondents and done required modifications
based on the comments or remarks received. The respondents were given sufficient time to fill up the
questionnaire. Of 275 questionnaires, 67 were removed due to incomplete responses and / or data loss,
resulting in a 75.64 percent response rate. The period of research lasted three months (August – October,
2018).
Survey Measures
The constructs or variables considered in this study are borrowed or taken from past researches as
outlined in Table I. The survey questionnaire is segregated in three parts: Part I include respondents’
demographics; Parts II covers the scale of different determinants affecting customers’ e-payment
acceptance and Part III contains the scale of customers’ intention to use e-payment system. The
respondents’ responses are recorded in 5 points - 1 for ‘strong agreement’ and ‘5 for ‘strong
disagreement’.
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DATA ANALYSIS AND RESULTS

Profile of the Participants
The samples’ demographics (n = 208) is presented in Table II. The sample is dominated by male (n =
163, 78.37%). This study showed majority respondents are from 20-35 years age group, are having an
education of master degree (n = 106, 50.96%). Furthermore, majority of them were working as an
employee either in private or public sector (n = 116, 55.77%), while 30.29 percent of them were doing
105 ISBN: 978-93-5351-069-5

their own business (n = 63). However, approximately 4 percent were students (n = 9). With regard to
annual income, most of them had annual income between Rs. Rs. 5,00,000 to Rs. 10,00,000 (n = 89,
42.79%); with internet usage experience of more than 4 years (n = 134, 64.42%).
Reliability Statistics of the Scale
Prior to examining the association between customers’ behavioural intention to adopt and use electronic
payment system and the factors affecting it, the strength of variables incorporated in research model are
checked by computing its Cronbach’s alpha (α) i.e. reliability statistics (Cronbach, 1951). The alpha (α)
coefficient is calculated to decide the degree to which items relating to each construct are internally
consistent and whether they are used to measure the same construct or not. The value of Cronbach’s
alpha needs should be 0.700 or above (Nunnaly, 1967). Table III shows that the reliability result of all
the constructs (i.e. IVs and DV) confirms that all the constructs / scales have good internal reliability
(α > 0.700).
Hypotheses Testing Results
In order to predict the key factors affecting customers’ adoption of e-payment in India, simultaneous
multiple regression analysis is applied. The research model of the present study contains four predictors:
a) PU (Perceived Usefulness); b) PEOU (Perceived Ease of Use); c) PR (Perceived Risk); d) PR
(Perceived Security).
As depicted in Table IV, it is found that research model of this study is significant (F = 69.911, p <
0.001). The predictive power of proposed research model is 57.90 percent (R2 = 0.579), indicating that
customers’ intention to use e-payment system is explained by given independent variables upto 57.90
percent (refer Table IV).
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Table IV portrays the result of multiple regressions tested for customers’ intention to use e-payment
system in India. Among these four factors, PU (p<0.001), PEOU (p<0.001) and PS (p<0.001) have
noteworthy positive impact on customers’ behavioural intention to accept and use electronic payment
system; while PR is negatively associated with their intent to use electronic payment system. The
predictability of these four predictors is given here in descending manner sequence: PS (β = 0.286; t =
5.282), PU (β = 0.268; t = 4.864), PEOU (β = 0.249; t = 4.556) and PR (β = -0.197; t = -3.156). Thus,
there is enough statistical indication to accept H1, H2, H3 and H4. Moreover, all the VIF (variance
inflation factor) values are well below than 10 indicating the absence of multi-collinearity (refer table
IV). This is being a serious concern as it affects the estimation of coefficients (Hair et al. 1998).
DISCUSSION OF RESEARCH FINDINGS
The prime objective of this study is to predict the key factors affecting customers’ adoption of e-
payment in the context of India. As presented in Figure II, the outcomes of the study supported all the
four hypotheses, thus, confirming good empirical support for proposed research model. More clearly,
it is also observed that all the four determinants: a) PU (Perceived Usefulness); b) PEOU (Perceived
Ease of Use); c) PR (Perceived Risk); d) PR (Perceived Security) have statistically noteworthy influence
on customers’ intentions to accept and use e-payment system in India.
One of the key findings of this research is that perceived security has significant positive impact on
customers’ intent to accept and use electronic payment system in India. This result is found to be
consistent with some past studies (Liu and Arnett, 1999; Daniel, 1999; O’ Connel, 1996; Wang et al.,
2003; Pikkkarainen et al., 2004; Chen & Barnes, 2007), signifying that Indian customers accept e-
payment system, when they find such system to be safe and secure. Therefore, to enhance e-payment
acceptance in India, the govt., the RBI and all financial institutions (FIs) should focus on implementing
appropriate security and privacy measures so that the loss in e-payment transaction is zero or minimal.
The next important determinant of e-payment acceptance in India is perceived usefulness, which is line
with some of the existing studies related to technology acceptance by Davis et al. (1989), Wang et al.
(2003) and Chan & Lu (2004). As per the result of this study, potential users may likely to use e-
payment system when they find it beneficial. Potential users may probably accept electronic payment
system, when they are aware with the benefits associated with it over traditional payment system.
Therefore, to motivate more people towards the acceptance of e-payment system, the government of
107 ISBN: 978-93-5351-069-5

India and the RBI should take into account different features that the existing users think beneficial in
their advertising and promotional campaign of such services.
Moreover, perceived ease of use is another important factor influencing the adoption of electronic
payment system in India. This result is supported by the results reported in earlier studies (Chan & Lu,
2004; Davis, 1989; Venkatesh & Davis, 2000; Pikkarainen et al., 2004). Thus, if potential users find e-
payment system easy to use and easy to navigate; such system is more likely to be accepted and used
by them.
Finally, this study also found that perceived risk seems to affect e-payment usage intention of Indian
customers, indicating that customers in India will accept and use electronic payment system, when they
find less risk allied with it than that of traditional payment system. Similar strong influence has been
found in the studies of Milind (1999), Bestavros (2000), Salisbury et al. (2001) and Kuisma et al. (2007).
Thus, perceived risk is one of the obstacles in e-payment acceptance.
IMPLICATION AND CONCLUSION OF THE STUDY
This study has attempted to extend TAM in order to predict the key factors affecting Indian customers’
adoption of e-payment. The prime objective of the study is to examine the influence of typical constructs
of technology acceptance model on customers’ acceptance of e-payment in Indian context by integrating
two variables 1) Perceived risk and 2) Perceived security to the TAM. The research model in this study
enables the govt., the RBI and various financial institutions (FIs) and e-payment service providers to
have better understanding of important determinants contributing to the success of e-payment
acceptance in India. The outcomes of this study have both implications, theoretical and practical.
Besides theoretical contribution, the outcomes obtained from this study will be beneficial to the RBI,
financial institutions (FIs), electronic payments providers and researchers. For further research in the
area of e-payment, this study can be utilized to support the finding. To accomplish this purpose, the
attention should be paid to: a) PU (Perceived Usefulness); b) PEOU (Perceived Ease of Use); c) PR
(Perceived Risk); d) PR (Perceived Security).
First, the study confirmed that perceived security is one of the major determinants affecting customers’
acceptance of e-payment system in India. This highlights the point that concerns about fraud and
identity theft is most important in the minds of potential users. Therefore, Indian banks should undertake
certain measures like build the secure firewalls to avoid intrusion, develop the techniques to strengthen
the encryption, authenticate the bank websites. Moreover, privacy policies and conditions should be
clearly defined for the use of electronic payment systems to stop fraud. Banks need to implement a
unique password and provide clear transaction logs. Besides, banks can make their users’ aware about
their website’s security mechanisms and announce publicly the effort to maintain this security. The
study also offers valuable insights for the RBI and other financial institutions (FIs) to implement new
cyber laws and regulations or amend existing laws to protect the interests of users of electronic payment
systems.
In addition to the security of e-payment system, this research replicates the significance of perceived
usefulness to accept e-payment. So, to improve e-payment acceptance, providers should create content
and applications that the user will find useful and valuable in their busy lives. Furthermore, banks should
demonstrate the characteristics, benefits allied with e-payment usage over traditional payment system
in their marketing activities.
As for perceived ease of use (PEOU), the designers of electronic payment websites should design such
a web-page, which should be easy to access and navigate in order to respond more effectively to the
diverse requirements of its potential users. Moreover, banks need to improve the facilities in their e-
payment services to assist their potential customers to complete their e-transactions successfully. In
addition, banks must obtain periodical reviews of their clients to update the functionality of the banks’
websites to better meet their clients’ needs.
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LIMITATION AND SCOPE FOR FUTURE STUDIES
As with most case studies, this study has few limitations. Firstly, this study is confined to India only.
Hence, its findings may not be generalized to other countries. Hence, research scholars, in future studies,
can pursue advanced research multi-nationally by covering new regions to have better simplifications.
Secondly, future researches should apply longitudinal technique to examine the behaviour of e-payment
users over a period of time, because the empirical model of this study has considered only cross-
sectional technique to analyze their behaviour at one point of time. Thirdly, as with prior acceptance
studies, the determinants included in this study has not covered all the determinants that might affect
their e-payment acceptance in India. As a result, research models in upcoming studies should consider
more determinants viz. perceived enjoyment, trust on e-payment system, self-efficacy and government
supports that have proven to play an important role in e-payment acceptance.
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PCM065
“CONSUMER BRAND PREFERENCE TOWARDS SMARTPHONE:
CRAFTING THE ROLE OF HEDONIC AND UTILITARIAN
ATTRIBUTES”
Rinky Trivedi
Research Scholar, C.U. Shah University,
Assistant Professor,
Marwadi Education Foundation’s Group of Institutions, Rajkot, Gujarat, India
rinky.trivedi26@gmail.com
Abstract
This study aims to explore Hedonic and Utilitarian attributes of Smartphone and its impact on brand
selection. Utilitarian attribute is related to functionality and usage aspect of Smartphone where as
hedonic attributes depicts pleasurable and enjoyable aspects of Smartphone. Structure Equation
Modeling is used for data Analysis. A convenient sampling method is used to collect data through
structured questionnaire consisting 5 point Likert scale questions covering hedonic and utilitarian
dimensions and its overall impact on brand selection. Sample size used for the study is 342 pertaining
to Rajkot city. The results through SEM analysis reveals that hedonic and utilitarian attributes have
positive impact on consumer choices for Smartphone brands.
Key Words: Brand Preference, Hedonic Attributes, Utilitarian Attributes, SEM, Smartphone
INTRODUCTION
Flagship phones from well known Smartphone brands exhibits the premium featured Smartphone in
Indian Market today. Smart phones today flaunt its aesthetics appearance, chipsets price, incorporating
a high quality display with perfect contrast and brilliant imaging sensors in it. This Smartphone are
premium phones and are considered to be the most refined versions from various brands.
However in the minds of consumers there is lot of confusion prevailing with regard to which smart
phone suits to their needs and wants as there are wide varieties of Smart phone available in the market
having numerous attributes into it. On the other hand there is tough competition between different
brands of Smartphone in the marketplace as frequently new Smart phone is being launched in Indian
market with advanced features and updated technology. Which factors drive consumers in purchasing
decision? Winning and losing phase of Smartphone is depends upon how marketer is identifying
consumer sensitivity and expectations about their favorite products.
LITERATURE REVIEW
While purchasing certain products, Consumers tend to behave under a more hedonic or more utilitarian
manner while preferring a product brand, and various research studies in this field have identified
different dimensions as preferences as is described below.
Hedonic attributes are the attributes which deal with the experiences of sensory appeals, which comprise
of emotion and gratification (Batra & Ahtola, 1991). Consumer perceives fun and playfulness of
shopping from hedonic value (Sarkar, 2011). (Dastan & Gecti, 2014) stated that Smartphone industry
has experienced tremendous growth; research finding states that there is the emotional attachment
between Smartphone users and their phones and it is becoming stronger. Lam and Shankar (2014) found
that customers have emotional attachment with mobile device because customers tremendously relying
on their Smartphone to remain in touch with outer world by exploring various browser. Moreover
consumers have extreme handy usage of Smartphone when they are traveling and relaxing at home.
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Hanzaee & Andervazh (2012) conducted research work to find out the relationships between utilitarian
and hedonic values and brand trust, and between brand trust and attitudinal and behavioral brand loyalty.
The research finding states that positive effect has been found on brand trust from that utilitarian and
hedonic value. Strahilevitz and Myers (1998) stated that a goods which are cognitive driven,
instrumental, tend to be goal oriented and enables easy completion of various task known as Utilitarian
goods. When product generates instrumental, functional and practical usefulness or benefits can be
names as Utilitarian value refers to instrumental, functional and practical usefulness or benefits derived
from a product (Voss, Spangenberg & Grohmanm, 2003).Lam and Shankar (2014) emotional
attachment of consumers with mobile device brand can be noticed, as in routine life consumer
frequently make use of mobile devices for significant and personal usage. Thorsteinsson et.al.(2014)
states that while buying new phone consumer would like to repurchase an existing brand rather than
going for unfamiliar brands, Wu et al. (2015), states that consumers who are very much attached to a
brand will be end up selecting from that brand while purchasing Smartphone.
Marumbwa and Thakur(2013) identified Consumer brand preferences are being affected by brand
image, it also generates delighted consumer satisfaction of using product.Rijal(2013) studied the
dimensions that student preferred on brand while purchasing a mobile phone, study suggested that
technical criteria and economic criteria is performing vital role for consumer brand preferences.
Consumer’s source of information for branded mobile phones were found to be internet browsers and
friend recommendation while studying effect of brand experience on brand attachment and knowledge
Kang et al. (2017) concluded that consumers personifies a brand and subsequently affiliating themselves
with the brand.
Matzler et al. (2006a) conducted a research studies to analyse of some variables within the value-brand
trust-brand loyalty chain. Customer involvement, price and brand consciousness are the factors
affecting Relationship strength of hedonic value and brand trust with brand trust and brand
loyalty.Research findings states that when price consciousness observed as low, hedonic value has been
found as an integral in creating brand trust; nevertheless when price consciousness observed as high,
the influence of brand trust on attitudinal loyalty found stronger. Matzler et al. (2006b) undertook a
research work to find out the relationships between personality characteristics, hedonic value, brand
affect, and brand loyalty. The research finding states that extroversion and openness of personality
characteristics significantly influence to the hedonic value. Whereas Openness positively influenced
brand affect, extroversion characteristic has an indirectly influence on brand affect by way of hedonic
value. It was concluded that extroverted customers finds the hedonic value of a product much stronger.
This research strives to evaluate the impact of hedonic and utilitarian attributes on consumer brand
preferences and purchase behaviour for Smartphone. The research study tried to identify the extent to
which these hedonic and utilitarian attributes influence brand preferences of Smart phone. Bearing in
mind the goals of the study, the objective of this research is:
“Do Hedonic and Utilitarian attributes of Smartphone influence users brand preferences?
The following hypotheses have been developed on the basis of literature review studied.
H1: Hedonic attributes has a significant effect on Consumer brand preferences.

H2: Utilitarian attributes has a significant effect on Consumer brand preferences.
The current research work carried out using structured Questionnaire consisted of demographic aspects
like gender, age, education qualification, annual family income and statements with regard to variable
such as hedonic attributes, utilitarian attributes and brand preference have been incorporated. A 5 point
Likert scale was applied which was ranging between strongly agreed to strongly disagree. Data was
collected from 342 respondents using non probability convenience sampling method from people who
are using Smartphone in Rajkot city, out of which 311 questionnaires were usable and statistical tools
were applied to analyze the data. Descriptive statistics was used to present the demographic profile of
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the respondents and structural equation modelling (SEM) approach was used to analyze the
hypothesized relationships among the constructs in this present study.
The Constructs within the Research Model and Research Hypotheses
Figure-1
(Source: Developed for research)

DATA ANALYSIS
The Table 1 displays summary of demographic profile of the respondents. In total 59.8 % were male
respondents and 40.2% were female respondents. Large number of respondents was falling under the
age category of 20-30 years which was 62.4% and rest of the respondent belongs to other categories.
Nearby half of respondents were having graduation degree with 49.8 %, followed by respondents
holding post graduation 27.3%. Furthermore 25.7% of respondents were falling under category of
150000Rs – 300000Rs income group, 22.5% of respondents were having Less than 150000 Rs income,
20.6% were falling under 300000 Rs – 450000 Rs income category and rest of the respondents were
part of other income category.
Table -1:Demographic profile of respondents
Frequency Percent (%)
Gender Male 186 59.8
Female 125 40.2
Age Below 20 years 48 15.4
20 - 30 years 194 62.4
30 - 40 years 38 12.2
40 - 50 years 14 4.5
Above 50 17 5.5
Annual Family Income Less than 150000 Rs 70 22.5
150000 Rs – 300000 Rs 80 25.7
300000 Rs – 450000 Rs 64 20.6
More than 450000 Rs 97 31.2
Educational qualification SSC 13 4.2
HSC 38 12.2
Graduate 155 49.8
Post Graduate 85 27.3
Doctorate 6 1.9
Other 14 4.5
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The Measurement Model:
Before examining the structural relationship between construct, acceptable level of reliability and
validity of measurement model was examined. Internal consistency of the collected primary data was
checked by using Cronbach’s alpha analysis. All the Values depicted in table (Shown in Table- 2) are
above the recommended level of 0.7. The important parameter of measurement model was estimated
by using reliability, convergent validity and discriminant validity of the construct measures. CR values
of all latent variables and it is above the recommended value i.e. 0.7 which shows high reliability of
latent variables.
Average variance extracted of standardized loading variable shows above acceptable level of 0.5(Hair
et al., 2010), which means variances extracted by each latent variable have adequate convergent validity
for hypothesized constructs. Moreover Discriminant validity which shows to what an extent each
construct is differing from other. Discriminant validity have been calculated, the value of square root
of AVE (average variance extracted) was greater in comparison with values of correlation among the
latent variables which depicts that latent variables were not related to each other. Subsequently
measurement variables and latent variables were found to be reliable and valid for the model and the
result of correlation between each of the latent variables were below 0.7. Moreover there was no
multicollinearity shown by the test values hence no multicollinearity has been confirmed.
Table-2: Reliability & Confirmatory Factor Loading

Cronbach’s
Estimate AVE CR
α
SI_8 0.806 0.702408 0.851755 0.886
SI_7 0.828
SI_6 0.641
SI_4 0.758
SI_1 0.835
DEP_8 0.602 0.603674 0.887433 0.847
DEP_7 0.766
DEP_6 0.864
DEP_5 0.857
DEP_3 0.813
DEP_2 0.712
B_2 0.714 0.710927 0.862047 0.819
B_3 0.888
B_4 0.731
B_6 0.893
PR_3 0.886
Table-3: Correlations Analysis between Variables

Mean Std. Deviation N
HD 3.0778 .83673 311
UT 4.3158 .81247 311
BP 3.2238 .62057 311
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Table-3: Divergent validity

Correlations
HD UT BP
HD Pearson Correlation 1 .474** .507**
Sig. (2-tailed) .000 .000
N 311 311 311
UT Pearson Correlation .474** 1 .511**
Sig. (2-tailed) .000 .000
N 311 311 311
BP Pearson Correlation .507** .511** 1
Sig. (2-tailed) .000 .000
N 311 311 311
**. Correlation is significant at the 0.01 level (2-tailed).
Table-4: Result of Goodness of Fit Indices for Structural model
Fit Indices Recommended Values Model values
Absolute Fit Measures
Chi-square/df (x2/df) <3 2.138
GFI (Goodness of Fit Index) >0.9 0.929
RMSEA (Root Mean Square Error of Approximation) <0.08 0.069
Incremental Fit Measures
AGFI (Adjusted Goodness of Fit Index) >0.80 0.921
NFI (Normed Fit Index) >0.90 0.967
CFI (Comparative Fit Index) >0.90 0.959
Parsimony Fit Measures
PCFI (Parsimony Comparative of Fit Index) >0.50 0.749
PNFI (Parsimony Normed Fit Index) >0.50 0.689
The structural equation model was analysed to find out the relationship between the constructs of the
model. Evaluation of available data set has been done in order to identify whether the data is usable for
the suggested model or not and model fitness assessment has been done for the confirmation and
modification of the model. Values obtained from model fit indices indicates that model has adequate
and acceptable level of fit indices such as Chi-square /df = 2.138, (GFI) Goodness of Fitness Index =
0.929, (RMESA) Root Mean Square Error of Approximation obtained value = 0.069.
Furthermore Incremental Fit Measures such as Adjusted Goodness of Fit Index (AGFI) = 0.921,
Normed Fit Index (NFI) = 0.967, Comparative Fit Index (CFI) = 0.959 Parsimony Fit Measures such
as Parsimony Comparative Fit Index (PCFI)= 0.749, Parsimony Normed Fit Index (PNFI)= 0.689.
Figure-2
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This empirical study aims to identify the role of hedonic and utilitarian attributes on consumer brand
preferences and purchase behaviour for Smartphone. There is significant impact of hedonic attributes
on brand preferences of Smartphone (β =0.421, P =0.000<0.05), thus H1 is supported. Moreover path
between Utilitarian attributes on brand preferences of Smartphone was also found to be significant (β
=0.392, P =00.047<0.05), thus H2 is also supported which indicated that utilitarian attributes also
affects brand preferences while purchasing a Smartphone. Research finding from of the hypotheses
testing indicates that hedonic and utilitarian attributes significantly enhance consumer’s brand
preference while purchasing Smartphone.
The findings of the structural analysis, it is possible to state that the suggested model is able to
significantly explain the brand trust of Smartphone users (R2 = 0.74).
Goodness of Fit Indices for Structural model

PATH Estimates S.E. C.R. P Results
Hedonic→ Brand Preferences for
0.421 0.051 3.342 0.000 Supported
Smartphone
Utilitarian → Brand Preferences for
0.392 0.093 2.312 0.047 Supported
Smartphone
Note: *p<0.05
CONCLUSION
The aim of this study was to examine the role of Hedonic and Utilitarian attributes of Smartphone and
its impact on consumer’s brand selection. A research model was developed to test the role of these
attributes and proposed hypotheses were tested by using the structural equation modeling. The
utilitarian value and hedonic value were predictor variables for brand preferences. The structural
analysis exhibited that, R2 for both were significantly high and hedonic attributes (R2 = 0.91) were more
powerful predictor for smart phones as compared to utilitarian variables (R2 = 0.64).
Respondents prefer Smartphone brand by considering hedonic purpose like social networking, lifestyle
and entertainment like music, games, photos and internet applications, moreover research findings
states that Smartphone keeps users updated with outside world information, facilitates easy
accomplishment of routine task and using for business, job and other purpose like shopping online
which shows utilitarian aspects of Smartphone , furthermore finding shows that brands shows social
status of respondents and it reflects their personality. Hence it can be concluded that utilitarian and
hedonic values were found to be significant influencing attributes in brand preference for Smartphone
and it matches with the research findings of Matzler et al. (2006b) in which the result stated that there
is positive and significant association between hedonic value and brand affect. Hedonic and Utilitarian
attributes also affects Smartphone brand usage experience and this helps in developing long term user
brand relation. Current research finding also coincide with Hanzaee & Andervazh (2012) who
concluded that the brand trust has a positive impact on the utilitarian value and hedonic value which
significantly influence the behavioral and attitudinal loyalty.
LIMITATIONS
Like any other research present research study is also having certain limitations like acquisition of the
data through online survey, responses taken from sample group of volunteers that agreed to participate
in the online survey therefore to make a generalization about all Smartphone users does not seem
possible. For the current research work Sample size of 311 respondents was taken, nevertheless the
given sample is appropriate for the research study still more number of sample size could give better
results. Because of time, budget constraint a non probability convenience sampling was applied to
gather data for the research; data may or may not entirely represent the considered population which
affects generalization of the result.
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REFERENCES
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PCM054
A STUDY ON PERCEPTION OF DEGREE ENGINEERING STUDENTS
OF NAVSARI DISTRICT REGARDING THEIR EMPLOYABILITY
Harshal G. Vashi Dr. Trupti S. Almoula

Research Scholar, Director,
Gujarat Technological University Narmada College of Management
hgv.ash@gdec.in ncmbharuch@rediffmail.com
9725146684 9099063337
Abstract
Assets like knowledge and skills can be created through education and training. Education can be
considered as a process of skill formation. Although we have the world’s largest numbers of engineers,
we are unable to get optimum economic benefit from available technical talent due to the wide gap
between industry need and engineering institutes’ output. At present unemployment is not a matter of
discussion; rather we need to think about employability. The paper expresses methods of assessing the
employability status / rating of engineering students to help them identify their skill gaps. The paper
also explains how to develop the skills they lack which is the collective role of educational institutions
and industry houses. We can thus minimize the gap between industry and academia so as to derive
maximum economic benefit through the intellectual capital of the promising engineering graduates so
developed.
Keywords: Employability, Engineering Students.
INTRODUCTION
Our country is facing the problem of shortage of skills and that is the main obstacle for the economic
development of any nation. Many engineering based manufacturing and service organizations are
complaining that, they are not getting industry ready engineering graduates and they cannot afford long
duration training or internship programs for newly recruited engineers, in terms of both- the direct and
indirect cost. On the other hand, engineering colleges are not able to maintain the quality/ standards of
engineering education and due to this even after availability of more numbers of engineering Institutes,
industries are not getting engineering graduates as per their requirement.
As we know, before 2005 many students of Gujarat State had to go outside Gujarat for acquiring
engineering education on account of limited seats at the engineering institutes available in Gujarat.
After 2005, State Government had decided to open more engineering colleges in Gujarat. However,
only the number of engineering colleges increased, the quality of education herein did not necessarily
improve. Enhancing technical knowledge and skills through a better class room experience and through
very good practical exposure, be it in the laboratories within the college or in industry, and also the
development of soft skills, is the need of the hour, if these graduate have to be found employable. For
this, a three pronged approach is very crucial – the institutes must provide the required teaching –
learning experience, the industry must mentor the engineering students from the business and market
perspective, and the students have to work hard and smart with a growth vision in mind. The first step
in this direction is that all three stakeholders empathies with this need and express their desire to work
together towards the said cause.
Through this paper, the researchers have tried to know the perception of engineering students regarding
their employability and have suggested measures to be taken for enhancing employability skills.
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OBJECTIVES
 To know the perception of engineering students regarding their employability.

 To identify the skill set that will enhance their employability.
 To suggest some critical initiatives that can contribute to equipping engineering graduates with
the required employability skills.
Data Collection
Various journals, books and articles as well as websites of authorities like UGC, AICTE; GTU etc. have
been reviewed for secondary data.
Primary data has been collected through a structured questionnaire with responses taken from the final
year Engineering Students studying in Navsari District.
Sampling Method
For the purpose Primary Data two talukas of Navsari District viz., Jalalpore and Navsari were taken as
the Sample Frame.
One engineering college from each Taluka of Navsari District has been selected as sampling frame and
50% of students have been contacted from both colleges as a sample. Basically we can say it is a
convenience sampling, as data has been collected as per the researcher’s convenience.
LITERATURE REVIEW:
Engineering curriculum should be prepared by institutions and industries together so needs of industries
can be satisfied. Experienced people from industry should be there in institutions as a teacher so students
will get the actual exposure and accordingly we can mould them in a proper manner. “Current scenario
of students studying in technical institutes and their employability”; Dr. C. M. Jadhao (2016).
Responsiveness, problem solving ability, strategic vision, farsightedness, coordinating ability and being
able to attend/address large group of society are the attributes that make individual competent and
socially capable. Education and employability: linkages and leakages”; Dr. Kruti Chhava (2016).
Domain knowledge is an important aspect for employability and graduates strongly believe that
interaction between industry and academia is helping in enhancing their employability. “A study on the
industries demand from students graduating in engineering courses in India- Banglore”; Murali S. and
Dr. Y. Rajaram (2015).
Importance has shifted from acquiring knowledge and learning to passing the examinations and score
good marks. “A research on availability of industry ready technical graduates of Mumbai and Pune
region”; Keerthi Menon (2014).
Converting young citizens of India into engineering graduates is not only the responsibility of
engineering institutions but to make them employable is also the foremost requirement of the society
and responsibility of engineering institutions. “Testing and exploring graduate employability skills and
competence”; A. Somalingami and R. Shanthakumari (2013).
From the study of Indian market, it is noted that critical thinking, leadership skills, positive attitude,
communication skills, dedication, time management, commitment, honesty, flexibility and adaptability
ISBN: 978-93-5351-069-5 120

are required for employability. “Skills for employability: South Asia”; Dr. Arti Srivastava and Mona
Khare (2012).
As per Key to employability model, career oriented learning, emotional intelligence, knowledge of
engineering subjects, skills required in day-to-day use and experience are required to enhance
employability. “The success mantra for employability: constructing a robust system for graduates
employability”; Lorraine Dacre Poll and Peter Sewell (2007).
Emotional self-efficacy (ESE) is majorly related to employability. Engineering graduates with higher
emotional self-efficacy perceive themselves more employable. “Emotional self-efficacy (ESE),
graduates’ ability to become employable and to satisfy one’s career development path: measuring the
connections”; Lorraine D. Pool and Pamela Q. (2013).
Through above literatures, researcher has identified five main categories of employability skills i.e.
1) Personal Attributes: e.g. leadership skills, positive attitude, communication skills, dedication,
time management, commitment, honesty, flexibility and adaptability, self-discipline, being
organized, taking initiative and responsibility, etc.
2) Interpersonal Skills: e.g. Responsiveness, coordinating ability, emotional intelligence,
interaction skills, active listening and overall behavior within group, etc.
3) Technical Know how: e.g. Domain knowledge
4) Higher Order Thinking Skills: e.g. Strategic vision, farsightedness, critical thinking, analytical
ability, insightfulness, metacognitive and creative thinking ability, etc.
5) Problem Solving Skills: e.g. analytical and creative skills which comprise of using generic or
transient methods, in an arranged manner, for finding results to problems and decision-making.
DATA TABULATION AND ANALYSIS
Taluka
Table: 1 Taluka wise distribution :

Taluka No. of Respondent Percentage Cumulative Percentage
Jalalpore 143 56.1 56.1
Navsari 112 43.9 100.0
Total 255 100.0
Source: Based on researcher’s own analyzed data
Study of Variables:
The following is the Rating pattern used while collecting and tabulating data:
 Strongly Disagree= 1
 Disagree= 2
 Neither agree nor disagree= 3
 Agree= 4
 Strongly Agree= 5
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Personal Attributes:
Table: 2 Perception of students regarding contribution made by Institutes in building their personal
attributes:
Strongly Disagree Neither Agree Strongly
Question Disagree agree nor Agree
Question details
No. disagree
(1) (2) (3) (4) (5)
Engineering Course
assists me in developing
1 self discipline and orderly 35 42 58 81 39
skills
Engineering Course
2 the quality of being 12 23 38 90 92
flexible with plans
Engineering Course
the ability of taking
3 5 12 67 111 60
initiative and
responsibility
Engineering Course
4 planning and organizing 4 18 26 91 116
skills
Table: 3 Descriptive Statistics of Personal Attributes

Std.
N Minimum Maximum Mean
Deviation
Personal
Attributes
255 20.00 100.00 75.2941 15.69304
Score
 Respondents of score till 59.60 are categorized as ‘Low Level’.

 Respondents of scores between 59.60 and 90.98 are categorized as ‘Moderate level’.
 Respondents of score above 90.98 are categorized as ‘High level’.
Table of Categorized information is presented as given below:
Table: 4 Categorized Information of Personal Attributes

No. of Respondent Percentage
High 22 8.6
Moderate 201 78.8
Low 32 12.5
Total 255 100.0
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Interpersonal Skills:
Table: 5 Perception of students regarding contribution made by Institutes in building there

interpersonal skills:
Question Question details Strongly Disagree Neither Agree Strongly

No. Disagree agree nor Agree
disagree
Engineering Course
1 confidence in 5 17 48 83 102
communicating one to
one as well as one to
many
Engineering Course
2 the ability of working 7 16 57 76 99
effectively in the
capacity of a leader or
manager
Engineering Course
3 the ability of working 8 43 56 82 66
with multidisciplinary
teams
Engineering Course
4 assists me in developing 41 9 55 97 53
the ability to resolve
conflicts within team
Table: 6 Descriptive Statistics of Interpersonal Skills

N Minimum Maximum Mean Std.
Deviation
Interpersonal 255 20.00 100.00 75.1176 18.41093
Skills
Above table indicate that mean score for Interpersonal skills is 75.11 and standard deviation is 18.41.
All 255 respondents are categorized into three different clusters according to level of possessing
Interpersonal Skills.
 Respondents with score below 56.70 are categorized as ‘Low Level’.

 Respondents with scores between 56.70 and 93.52 are categorized as ‘Moderate level’.
 Respondents of score above 93.52 are categorized as ‘High level’

Table: 7: Categorized Information of Interpersonal Skills
High 45 17.6
Moderate 162 63.5
Low 48 18.8
Total 255 100.0
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Technical Skills:
Table: 8 Perception of students regarding contribution made by Institutes in building their Technical
skills:
Neither
Question Strongly agree Strongly
Question details Disagree Agree
No. Disagree nor Agree
disagree
Engineering Course assists
me in developing the ability
to construct a technique,
module, or route to achieve
1 15 14 53 86 87
the target.
to know, prepare and
2 mitigate technical queries. 21 20 45 71 98
to apply arithmetic, art and
trade related skills
3 31 25 50 47 102
practically

me in developing deep
methodological competency 12 29 60 97 57
in a specific engineering
4
discipline.
Table: 9 Descriptive Statistics of Technical Skills

Deviation
Technical 255 20.00 100.00 74.5686 19.86693
Skills
Above table indicate that mean score for Technical Skills is 74.56 and standard deviation is 19.86. All
255 respondents are categorized into three different clusters according to level of possessing
 Respondents of score below 54.70 are categorized as ‘Low Level’.


Table: 10 Categorized Information of Technical Skills
High 68 26.7
Moderate 149 58.4
Low 38 14.9
Total 255 100.0
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Higher Order Thinking Skills:
Table: 11 Perception of students regarding contribution made by Institutes in building their higher order
thinking skills:
Neither
Question Strongly Strongly
Question details Disagree agree nor Agree
No. Disagree Agree
disagree
Engineering Course
1 assists me in developing
4 29 46 69 105
creative and innovation
capabilities
Engineering Course
2 assists me in developing 2 12 56 60 125
Strategic Thinking skills
Engineering Course
3 the ability to be 7 33 47 73 95
responsible towards my
commitments
Engineering Course
the ability to understand
4 14 11 61 65 104
social, cultural, global
and environmental
responsibilities.
Table: 12 Descriptive Statistics of Higher Order Thinking Skills

Deviation
Higher 255 20.00 100.00 79.2549 17.50798
Order
Thinking
Skills
Above table indicate that mean score for higher order thinking Skills is 79.25 and standard deviation is
17.50. All 255 respondents are categorized into three different clusters according to level of possessing

Table: 13 Categorized Information of Higher Order Thinking Skills

High 55 21.6
Moderate 158 62.0
Low 42 16.5
Total 255 100.0
125 ISBN: 978-93-5351-069-5

Problem Solving Skills: Perception of students regarding contribution made by Institutes in building
their problem solving skills:
Table: 14 Problem Solving Skills Questions’ Data

Question Question details Strongly Disagree Neither Agree Strongly
No. Disagree agree nor Agree
disagree
Engineering Course
assists me in
1 developing my ability
13 7 39 80 116
to manage
information and
documentation
Engineering Course
assists me in
developing the ability
2 4 6 36 142 67
to appreciate problem
empathy, construction
and resolution
Engineering Course
3 assist me to develop 3 18 24 107 103
risk taking ability
Engineering Course
assist me to develop
4 the strength to grasp 3 12 50 95 95
new skills and adapt to
new situations.
Table: 15 Descriptive Statistics of Problem Solving Skills

Deviation
Problem 255 20.00 100.00 81.3098 13.41255
Solving Skills
Above table indicate that mean score for problem solving skills is 81.50 and standard deviation is 13.41.
All 255 respondents are categorized into three different clusters according to level of possessing

Table of categorized values is presented as given below:

Table: 16 Categorized Information of Problem Solving Skills
High 38 14.9
Moderate 179 70.2
Low 38 14.9
Total 255 100.0
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FINDINGS
The following table gives a combined view of the perception of engineering students regarding their
employability skills:
Table: 17 Taluka wise data on students’ perception regarding how far the engineering course helps
them build their employability skills: ( based on mean scores)
Taluka Personal Interpersonal Technical High Order Problem
Attribute Skills Know How Thinking Solving Skills
Score Score Score Skills Score Score
Jalalpore 75.8392 78.7762 74.5804 81.3287 82.1678
Navsari 74.5982 70.4464 74.5536 76.6071 80.6696
Total 75.2941 75.1176 74.5686 79.2549 81.3098
Table: 18 Summarized data on the availability of Employability Skills among the Engineering
graduates.
Categorized Information for Various Employability Skills
Employability Skills High % High Moderate % Moderate Low % Low
Personal Attributes 22 8.6 201 78.8 32 12.5
Interpersonal Skills 45 17.6 162 63.5 48 18.8
Technical Skills 68 26.7 149 58.4 38 14.9
Higher Order Thinking Skills 55 21.6 158 62 42 16.5
Problem Solving Skills 38 14.9 179 70.2 38 14.9
Through graphical representation, comparison of employability skills of engineering students of

Jalalpore and Navsari Taluka is shown as below:
Graph 1: Observed Employability Skills
CONCLUSION
From the table 18 above, it is evident that there is an urgent need to work on development of
employability skills among the engineering graduates. Even from amongst these skills, building of
personal attributes needs immense and immediate attention followed by problem solving skills and
127 ISBN: 978-93-5351-069-5

interpersonal skills. This is over and above the technical skills and higher order thinking skills, which
also needs to be worked on, though.
This means that technical / engineering Institutes shall have to expand beyond just imparting technical
knowledge. They shall have to conduct interventions aimed at developing self-discipline, planning,
orderliness, initiation, and responsible behaviors at work. It is these attitudes that shall make them more
eligible to fetch a job for themselves.
Engineering Institutes shall also have to pay attention to developing abilities on self-reliance,
information search, adaptation and learning abilities to empathies with and address problems with a
readiness towards taking calculated risks.
Engineering Institutes shall have to focus on development of teams skills and leadership skills
accompanied by confidence in communication abilities.
REFERENCES
[1] Andreas Bloom, H. S. (2011). “Employability and Skill Set of recently pass out technical
students in India”. World Bank
[2] Atif Anis Rao, (August 2011). Ability to become employable in Multinational Companies:
Undefeatable Wall for Graduates. IJCRB, Vol 3, No. 4.
[3] Charner, I., (Jan. 1998) “Employability Identifications: A Vitalthing to Prosperous Young
ManpowerConversion to Work.” Journal of Career Development 30-40.
[4] Chithra. R. (2013). A research on Perception of the Engineering Students and their Prospective
Employers, GJMBS, Vol 3, No. 5.
[5] Dr R Gopal. (2012). “Towards an educated India: Academic-Industry Partnership”, Free Press
Journal, Vol. May.
[6] Padmini. (2012). Education Vs Employability. IJMBS Vpl. 2, Issue 3. ISSN: 2230-9519
[7] PurpleLeap, (July 26, 2012). Ability of engineering graduates to become employable alarming
IBNS, Banglore.
[8] Yorke and Knight 2003, “Learning and Employability”, The Extremeer Education Academy.
ISBN: 978-93-5351-069-5 128

PCM080
A STUDY ON COMMONALITIES AND DIFFERENCES AMONG CSR
APPROACHES OF SELECTED TWO WHEELER MANUFACTURING
COMPANIES IN INDIA
Dr. Kedar Shukla
ROFEL GRIMS MBA
kedars1111@gmail.com
Abstract
Concept of Corporate social responsibility (hereafter, CSR) emerged ever since beginning 19th Century
, However picked up momentum from mid eighties and have travelled through the stages like ,
Charitable Activities to Philanthropic moves to National contribution to the stake holder approach of
strategic CSR. India the concept of supporting society by the business houses prevailed even since Vedic
era and it really picked up during independence movement. Post economic liberalization in 1992
concept of CSR completed took over as Strategic CSR concept in India Businesses.
It has been recorded that the costs associated with CSR programmes are clear but the positive
correlation with better financial performance is often hard to prove. Companies in India too are
changing from it’s philanthropic approach to strategic CSR models. However their approaches , areas
of concerns , way of discharging CSR etc. are quite different and it also has a reason to follow that
particular methods in all of the above factors. In the present paper author has attempted to understand
the CSR practices, approaches , differentiators and commonalities among four leading automobile
manufacturers in India, i.e. Hero Motocorp , TVS , Bajaj Auto, and Royal Enfield . Rational for
selecting them are , they are all four leading players of Indian Origin operative in India against
multinational organizations.
Key Words : CSR , CSR Approaches , Two wheeler Sector , Automobile Sector
INTRODUCTION
Corporate Social Responsibility (CSR ) has been consistently emerging and involving concept. It is one
of the main issues of modern business which is developing fast and is widely discussed. Due to the
historical past of our country CSR is just a concept a rather than a completely new phenomenon for
Indian business, most companies had already started to run social programs way before independence
and business supported the freedom movements. Leading business enterprises like Birla, Tata have
always supported society by all the way before the concept was migrated from the western world. Still
Indian business has a long way to go to become really socially responsible and the economic situation
in the world can now ruin all previous attempts. Post companies act 2013 and a mandatory CSR many
opportunities and challenges have been posted. That’s why, in my opinion, we should pay great
attention to CSR, its problems and future prospective. In the present paper author has attempted to
understand the CSR practices, approaches , differentiators and commonalities among four leading
automobile manufacturers in India, i.e. Hero Motocorp , TVS , Bajaj Auto, and Royal Enfield . Rational
for selecting them are , they are all four leading players of Indian Origin operative in India against
multinational organizations.
In the developed countries CSR is already an essential part of modern business. Many companies have
admitted this way not only because of their own position in this matter, but because of social pressure.
CSR literature review indicates that there are arguments For and against CSR , There are two main
points of view, whether business should be socially responsible or not.
129 ISBN: 978-93-5351-069-5

First ,Adam Smith Reported long back , “Business has an only task to maximize profits; it shouldn’t do
anything that doesn’t suit this principle. It shouldn’t interfere in social problems as it is a field of
government regulation. The only way for business to help the society is to pay taxes and to provide
people with work places.” Second , Business is more than just economic unit, it is a part of complex
surrounding consisting of various intermediaries like consumers, suppliers, mass-media, unions,
employees and shareholders and it should definitely help the society.
Arguments for CSR are , Support to society helps ultimately business in long run , it helps business in
terms of less hurdles and good human resources in the operational run, It’s indeed need to support
society and save plant etc. Argument against CSR are “Business of a business is just to do a business
and not charity – thus CSR is violation of Fundamental laws of business. , It’s difficult for the
organization to manage social programmes – even if they are it will be at a cost of business etc. For the
present research paper , exhaustive research on literature review has been done to under stand CSR
concept , practices , approaches etc. Literature review was also required to be carried out to under stand
the mandatory clause on CSR post 2013.
OBJECTIVES OF RESEARCH AND RESEARCH METHODOLOGY
CSR has been in continuously evolving stage in India. Gradually concept is gaining importance and it
is moving from conventional philanthropic model to strategic CSR approach. In the present paper
researcher has selected four leading two wheeler manufacturing companies for the study of their CSR
investment , approach , areas for discharging CSR fund , The rationale for selecting them is they are
top four largest private sector two wheeler manufacturing companies of India . All of them has CSR
policy , Structured CSR departments and CSR reporting in practices since quite a long time.
Objectives of Research
This study and the research have been trying to attend the following dimensions of the four leading two
wheeler manufacturing companies.
1.0 To understand the scope, concept and practices of CSR in leading automobile business unit
companies selected for the study .
2.0 To understand commonalities and differences among CSR practices adopted by all the four leading
two wheeler manufacturing companies.
Research Design & Analysis
Exhaustive literature survey regarding the topic and related concepts has been done. Secondary data
inclusive of quantitative and qualitative data were being collected from the secondary sources like
Website , CSR report , Karmyag CSR index report and two wheeler manufacturing companies CSR
reports. Data were also collected from various sources including books, research papers, newspapers,
magazines, and websites is used for the purpose of study. To examine the sustainability reports, to study
the CSR approaches adopted by the companies , to understand about the philosophy and approaches
of social responsibility of business etc concern executives of the organization were also contacted and
qualitative information was obtained.
INTRODUCTION TO THE FOUR LEADING TWO WHEELER MANUFACTURING

COMPANIES.
As per report of SIAM (Society of Indian Automobile Manufacturers) India is the worlds’ largest two
wheeler market with almost close to 20 lacs bikes and scooters addition every year. It is also reported
that the sector grows at CAGR of 9 to 10 % since last three years. Trends and patterns of bikes vs.
scooter keeps on rotating , however trends remained favorable for the gearless two wheelers called
‘Scooty’ over bikes. Bikes growth dropped for the year 2016- 2017 and it has reported marginal growth
for the year 2017-18
ISBN: 978-93-5351-069-5 130

(a) Hero Motocorp Ltd.
Hero MotoCorp Ltd. (Formerly Hero Honda Motors Ltd.) with sales turn over of close to Rs. 28000 cr
and profitability Rs. 3500 Cr.(approximate figures YTD 2017) and close and sold over 75 million two
wheelers by now is not only of India but it is the world's largest manufacturer of two - wheelers, based
in India. In 2001.
(b) Bajaj Auto Ltd.
The Bajaj Group is amongst the top 10 business houses in India. Its footprint stretches over a wide range
of industries, s Bajaj Auto Ltd. has sold close to 29.4 lacs two wheelers and they are also in to large
commercial vehicle manufacturing with a turn over mark of INR 120 Billion plus. One of the oldest
group is actively involved in the CSR activities and known for the promotion of Higher and Vocational
Education in India.
(c) TVS Motor Company Ltd.
With a monthly sales of almost 2 to 2.5 lacs scooters and bikes during the year 2017-18 TVS Motor
Company is fast becoming one of the strongest forces in the Indian two-wheeler market. Company is
registering minor (under 10%) growth year by year with continuious new product and innovation
introduction. TVS have also challenged dominant foreign brand Honda Activa with their similar new
product and has been registering a growth.
(d) Royal Enfield
A niche brand Royal Enfield which was a product and brand of the indigenous Indian Madras Motors,
it is now a subsidiary of Eicher Motors Limited, an Indian automaker , mini bus and medium sized truck
manufacturer . Royal Enfield popularly known for it’s brand ‘Bullet’ too have continued their strong
growth trend, securing 5th place despite having no sales in terms of scooters and all their motorcycles
retailing well above the Rs 1 lakh mark. They sold over 72 thousands vehicles average during the year
2017.
FRAMEWORK OF THE STUDY FOR PRESENT PAPER.
In present paper a comparative study on CSR of the selected four two wheeler manufacturing companies
have been made on the following factors as shown in Diagram 1.
Diagram 1 : Factors on which comparative study of CSR has been framed.
131 ISBN: 978-93-5351-069-5

COMPARATIVE STUDY OF CSR OF VARIOUS TWO WHEELER MANUFACTURING

COMPANIES .
Study has been made on five factors mentioned in diagrammatic presentation made.
(a) Fund allocation
In the present research paper authors have compared the commonalities and differentiation of CSR
efforts of various leading two wheeler manufacturing companies of India on all of the above mention
parameters in Diagram -1. The core heart of the CSR programme is to dedicate the CSR fund and
utilizing them effectively. Fund allocation has also been one among the key criteria for the CSR
indexing being carried out by various indexing agencies and research rating firms. Table 1 below
explains the comparative status of fund allocation with analysis.
Table -1 Comparative study on Fund Allocation and CSR Spent

Two wheeler
manufacturin CSR Spend (In Crs.) CSR Spend (In Crs.) CSR Spend (In Crs.)
g companies
Prescribe Actual
Prescribed Actual CSR Prescribed Actual CSR
d CSR CSR
CSR Spent Disburseme CSR Spent Disbursemen
Spent 16- Disbursem
14-15 nt 14-15 15-16 t 15-16
17 ent 16-17
Avg. spent
Hero Avg. spent Avg. spent 3
66.5 88 93.26 3 years
Motocop 3 years 84.0 years 84.0
84.0
Bajaj Auto 86.33 42.91 86.46 86.72 94.0 94.98
TVS Motors 6.3 6.4 7.15 7.16 9.06 9.19
Royal Enfiled - - 8.36 8.99 18.33 18.33
(Sources : Companies CSR Reports)
(b) Modes of Discharging CSR Fund
Companies have multiple option of investing CSR funds (1) Direct investments through companies
CSR department or HR department (2) Investing through NGOs and (3) To government nodal agency
(3) Investing through Trust or body created by the company by itself. Brief about the mode of discharge
of CSR fund has been presented in Table -2 below for the selected companies for the present research
paper with analysis.
Table -2 Modes of Discharging CSR

Hero Motocorp Bajaj Auto TVS Motors Royal Enfield (Eicher
Motors )
Hero Motocorp, Company has an TVS motors has Royal Enfield is now
has full fledged organized CSR been consistently and Eicher Motors and
CSR department department and it discharging CSR company has an
and it has handles all the CSR funds through organized CSR
professional way spent through the CSR partner NGOs , department and it
of discharging department and CSR is a HR department in handles all the CSR
CSR funds. They strategic and responsible and spent through the CSR
have strategically Accountability function they are adhering department and CSR
opted the in the organization. All all the mandatory is a strategic function
concerned areas CSR activities are linked norms of in the organization.
for the CSR with the Strategic Companies Act All CSR activities are
discharge. thinking of the business and keeping linked with the
ISBN: 978-93-5351-069-5 132

Statured CSR too. Funds are also provisions. They Strategic thinking of
report is available allocated and discharged have preferred the business too.
on the company through the partner NGO NGO routs. Funds are also
website. (Non profit allocated and
organizations) firms. discharged through the
Professional CSR partner NGO (Non
reporting is in practice. profit organizations)
firms.
(c) Identified Social Causes for CSR Investment
There are more than 15 plus identified areas of the social concerns , under the companies bill where
companies are likely to invest their CSR fund as specified. Table 3 indicates the broad areas of concerns
for the selected companies where CSR fund has been invested.
Table -3 Social Causes and Areas of Concerns Selected For CSR

Hero Motocorp Bajaj Auto TVS Motors Royal Enfield
(Eicher Motors )
Key Projects : Key Projects Key Projects Key Projects
“We Care Drive” (1) Health Care (1)Education, Employability (1)Road Safety :
These projects are and Lively Hood Projects :
Ride Safe India : taken up near about Basic education , Disaster management
Health and Safety plant locations employability drives near and Road safety
Drive about plants . drives.
(2) Education
“Hamari Pari” : Education Drive and (2) Health Care (2)Community
Girl Child and support to schools and These projects are taken up Development and
Women colleges. near about plant locations Children Education :
Empower -ment Near the plant
Drive (3)Women’s’ (3) Yugantar Rural location they take up
empowerment and Development Project to these projects
Educate to Self Reliance : support under developed
Empower peopel. (3)Environmental
Education Drive Education and Key areas near about awareness drives :
empowerment drives. manufacturing plants and
“Digi Aware”: surroundings These projects are
Training Drive (4) Supporting Armed taken up within and
Forces and Veterans. (4) Vocational Skill around the plants.
“Happy Earth” development: Train the youth
Environment Special drive for with additional skills. (4) Health Care
Drive armed forces These projects are
taken up near about
“Enable” (5) Rural plant locations
Divyang Support Development.
Drive Key areas near about
manufacturing plants (5) Vocational
Community and surroundings Trainings
Development :
Rural (6) Health Projects . Rural Development
Development Rural belt drive based initiatives.
133 ISBN: 978-93-5351-069-5

Table -4 Partner NGOs or Society Body Supporting CSR of the Organization
Hero Motocorp Bajaj Auto TVS Motors Royal Enfield

(Eicher Motors )
Hero has organized 
Bajaj Auto Ltd has their TVS Motors Fund discharged
CSR function and they own foundation and trust discharge CSR through companies
invest strategically to , They have a trusteeship responsibilities CSR department and
their own 7 model of CSR discharge. through following Eicher Group
programmes covered Their CSR department Trusts Foundation.
under “We care” CSR also spent and discharge
platforms instead going CSR fund on direct Leading NGO
for NGO based projects. Besides they SupportAim for
investment , However have a unique website SevaSrinivasan
they have supported portal where NGOs Services
and funded through requiring fund can apply TrustNIMHNS (Metal
NGOs for community online with a stated disabilities and
development at local purpose. care)Voluntary Health
levels. ServicesSri Satya Sai
Central Trust
Diagram 2 below represent the Commonalities among CSR spending among all four firms
Environmental
Concerns and
Rural Saftey Drives
and Health
Development
Programmes
Areas
Education and
Vocational
Training
Common Areas of Concerns for CSR Discharge for Two Wheeler companies
(d) CSR Rating Performance :
The Indian popular CSR research and indexing NGO firm , Karmayog presents CSR ratings based on
CSR performance of the firms, They have rated both the organizations above 3 ratings in their CSR
performance on a scale of 5. Karmayog rating has major criteria of rating are as , fund allocation,
consistency, area of CSR fund discharge, CSR reporting and CSR efforts impact measurement . Table
4 below summaries the performance all four two wheeler manufacturing companies on their CSR
ratings
ISBN: 978-93-5351-069-5 134

Table -4 CSR Index Ratings and Spent
Company CSR Spent (Cr.), Avg.CSR Spent is greater CSR Index

2016-17 or Equal to 2% or not?
Hero MotoCorp 84.0 Yes 4/5
Bajaj Auto Ltd. 94.98 Yes 4/5
TVS Motors 9.19 Yes 3/5
Eicher Motors 18.33 Yes 3/5
The analysis of above tables indicates that , two wheeler manufacturing companies has been doing
wonderful work on discharging CSR obligations to the out side world. Both Hero Motocorp and Bajaj
Auto Ltd have scored excellent with their professional approach of CSR fund allocation and discharge
mechanism have scored high in ratings among all two wheeler manufacturing companies. However it
is important to note that one of the key criteria of rating on the five points scale by M/s Karmayog is
the fund allocation as per the prescribed manners in companies bills act 2013, which can qualify
company to score minimum 3 ratings. It is important to note that all the organizations in the two wheeler
segment have scored over 3 ratings and they have ensure the allocation of the fund. Three out of selected
four companies have discharged funds also in the same or next financial year , One company had a
provision of fund for three years and utilized in third year.
CONCLUSION
The paper analyzes CSR activities of four leading two wheeler manufacturing companies through
strategic lens. It has also identified commonalities and differences of the CSR and it’s impact on two
wheeler manufacturing companies customer relation perceptions.
Corporate Social Responsibility has always been taken care of by the various two wheeler
manufacturing companies in India. However modes of discharging CSR are different. Few
commonalities in Two Wheeler Manufacturing companies CSR discharge are, all the leaders believes
the ‘Need of CSR’ and the most importantly ‘Road Safety Drive and Education and fatal accidents are
causing them a lot , therefore education of safety drives and education on driving science are found
prime CSR need in the country according to them. They also see that as Strategic CSR which will help
them ultimately in market opportunity growth. Other important task they wish to invest in to
“Environmental Responsibilities ” as their industry has a fuel requirements and all the companies
believes in ‘accountability approach’ of giving back to the society. Among major differences it has
been noted that Bajaj Auto Ltd has uniqueness in inviting proposal from the NGO s and
various bodies for CSR requirements. “Hamari Pari” a girl child education project of Hero motocorp
has gained lots of visibility and it has helped company in elevating it’s strategic ethical brand value.
However it is noteworthy that all the two wheeler manufacturing companies have not restricted
themselves in discharging funds towards strategic moves and business profits but they have also been
concerns for the other social issues and concerns. Comparative to other industries and segments two
wheeler manufacturing companies have behaved quite responsibly in discharging their moral
obligations through CSR.
REFERENCES
[1] Ackerman, R. W., & Bauer, R. A. ,Corporate social responsiveness. (Reston ,VA: Reston.
1976)
[2] Andrews, Kenneth R, The Concept of Corporate Strategy (Homewood, IL: Dow Jones-Irwin,
1971)
[3] Archie B. (1991) “The pyramid of Corporate Social Responsibility: Toward the moral
management of organizational stakeholders, from Business Horizons, July-August 1991,The
Faundation for the School of Business at Indiana University
.http://www.cba.ua.edu/~aturner/MGT341/MGT341%20Readings/Pyramid.pdf
135 ISBN: 978-93-5351-069-5

[4] Bajpai, G.N. , Corporate Social Responsibility in India and Europe: Cross Cultural
Perspective, 2001, http://www.ficci.com
[5] B o w en , H . R , S o c i a l r e s p o n s i b i l i t i e s o f t h e b u s i n es s m a n ( Ne w Y o
r k : H a r p er & R o w , 1 9 5 3 )
[6] Burke Lee and Jeanne M. Logsdon ,Corporate Social Responsibility Pays Off [Long Range
Planning , Volume 29, Issue 4, (August), 1996] pp. 437-596
[7] Carroll , July-August, 1991, The Pyramid of Corporate Social Responsibility: Toward the
Moral Management of Organizational Stakeholders, Business Horizons
[8] Davis, Keith, Can Business Afford to Ignore Social Responsibilities? (California Management
Review, Spring, 1960)
[9] Druker P and Harper, (1974), Management task, Responsibility, Practice
[10] Freeman, R.E. Strategic Management: A Stakeholder Approach ( Pitman Publishing:
Marshfield, MA ,1984)
[11] Frederick, W.C., The growing concern over business responsibility (California Management
Review, Vol.2, 1960) pp. 54-61
[12] Forerunners in corporate social responsibility , March 16, 2005 | The Indian Express,
www.tata.com
[13] Goyder M, “Redefining CSR: From the Rhetoric of Accountability to the Reality of
Earning Trust” (Tomorrow's Company, (2003)
[14] Halal ,W. E, Corporate community theory of the firm uniting profitability &responsibility,
strategy &leadership .(vol 28. No 2. , 2000), pp10-16
[15] http://www.karmayog.org/
[16] http://www.itcportal.com/
[17] http://www.mallenbaker.net/
[18] Innovation is a Journey with a Compass, may21,2012 www.financialexpress.com
[19] Luck, D.J. and Rubin, R.S. (1987). ‘Marketing Research’ , Seventh Edition, Prentice - Hall.
[20] Wather W. and Chandler D 2010, Strategic corporate social responsibility, Sage publications
[21] www.IndianNGOs.com
[22] www.tatachemicals.com , 22 Jan 2008
[23] www.tata.com/0_our_commitment/community_initiatives/tcci.html
[24] Wood, D.J. , Towards improving corporate social performance (Business Horizons, Vol. 34
No. 4, World Business Council for Sustainable Development 1991) pp. 66-73
[25] Carroll , July-August, 1991, The Pyramid of Corporate Social Responsibility: Toward the
Moral Management of Organizational Stakeholders, Business Horizons
[26] http://www.eicher.in/csr
[27] https://www.bajajauto.com/corporate-social-responsibility
[28] http://www.eicher.in/csr
[29] https://www.heromotocorp.com/en-in/csr.php
ISBN: 978-93-5351-069-5 136

PCM093
COMPARISON OF INDIAN GAAP AND IFRS IN INDIA: AN
EMPIRICAL ANALYSIS OF SELECTED COMPANIES
Dr. Hrudanand N. Mishra
Director- Technical Campus
The Mandvi Education Society Institute of Business Management & Computer Studies, Mandvi
hrudanandmishra@gmail.com
Dr. Mahammadrafique Meman
Associate Professor & Head of the Department
rafique_mba_finance@yahoo.co.in
Purnima M. Chouhan
Assistant Professor
pmchouhan30@gmail.com
Abstract
The empirical research of financial statements with the help of International Financial
Reporting Standards (IFRS) examines the relevance, reliability and quality of corporate
reporting of companies making dual reporting in India. The main purpose of this study is to
identify the statistically significant differences between the Indian GAAP-based and IFRS-
based financial statements of companies in terms of financial statement items through the
calculated financial ratios.
The present study is secondary in nature and the data will be collected from company’s annual
report. The analysis is based on the sample of 3 Indian companies that have voluntarily
adopted IFRS reporting. The names of selected companies are Infosys, Wipro, Dr reddy's
laboratories. Financial statements prepared as per Indian GAAP and IFRS were obtained for
a period of 3 years. Financial ratios under the categories, stability, liquidity, profitability and
investment valuation will be analysing. It will be very helpful to the investors at the time of
decision making. Identifying significant differences between Indian GAAP-based and IFRS-
based financial ratios, the study showed that IFRS adoption has led to a statistically significant
increase in liquidity, profitability and valuation ratios. The limitation of present research is
that it is based on only 3 companies.
Keywords: International Financial Reporting Standards (IFRS), Indian GAAP, Comparison
between IFRS and GAAP.
INTRODUCTION
Concept of IFRS:
International Financial Reporting Standards (IFRS) is a single set of accounting standards that the
corporate sector should adopt to prepare and communicate financial information to the stakeholders
across the world. IFRS are designed as a common global language of business affairs so that the
financial statements are comparable and understandable across international boundaries.
Financial statements that are based on common universal accounting principles will enable the world
to exchange and analyse financial information in a meaningful manner. IFRS comprises of:
• International Financial Reporting Standards issued after 2001
• International Accounting Standards issued before 2001
• Interpretations originated from the International Financial Reporting Interpretations Committee
(IFRIC)- issued after 2001
• Standing Interpretation Committee (SIC)- issued after 2001
137 ISBN: 978-93-5351-069-5

Indian Accounting Standards

GAAP (generally accepted accounting principles) is a collection of commonly-followed accounting
rules and standards for financial reporting. The acronym is pronounced "gap."
GAAP specifications include definitions of concepts and principles, as well as industry-specific rules.
The purpose of GAAP is to ensure that financial reporting is transparent and consistent from one
organization to another.
There is no universal GAAP standard and the specifics vary from one geographic location or industry
to another. In the United States, the Securities and Exchange Commission (SEC) mandates that financial
reports adhere to GAAP requirements. The Financial Accounting Standards Board (FASB) stipulates
GAAP overall and the Governmental Accounting Standards Board (GASB) stipulates GAAP for state
and local government. Publicly traded companies must comply with both SEC and GAAP requirements.
Difference between GAAP and IFRS:
A major difference between GAAP and IFRS is that GAAP is rule-based, whereas IFRS is principle-
based.
With a principle based framework there is the potential for different interpretations of similar
transactions, which could lead to extensive disclosures in the financial statements. Although, the
standards setting board in a principle-based system can clarify areas that are unclear. This could lead to
fewer exceptions than a rules-based system.
Another difference between IFRS and GAAP is the methodology used to assess an accounting
treatment. Under GAAP, the research is more focused on the literature whereas under IFRS, the review
of the facts pattern is more thorough.
Some Examples of Differences between IFRS and U.S. GAAP
• Consolidation — IFRS favours a control model whereas GAAP prefers a risks-and-rewards model.
Some entities consolidated in accordance with FIN 46(R) may have to be shown separately under
IFRS.
• Statement of Income — Under IFRS, extraordinary items are not segregated in the income
statement. With GAAP, they are shown below the net income.
• Inventory — Under IFRS, LIFO cannot be used, but GAAP, companies have the choice between
LIFO and FIFO.
• Earning-per-Share — Under IFRS, the earning-per-share calculation does not average the
individual interim period calculations, whereas under GAAP the computation averages the
individual interim period incremental shares.
• Development costs — These costs can be capitalized under IFRS if certain criteria are met, while
it is considered as “expenses” under U.S. GAAP
LITERATURE REVIEW
Prof. K.V. Achalapathi, Dr. P. BhanuSireesha (2015) Impact of IFRS Adoption on Financial Statements
of Select Indian Companies. The results of the study showed that IFRS adoption has led to a statistically
significant increase in liquidity, profitability and valuation ratios. It could thus be concluded that
transition to IFRS provides an opportunity for capital maintenance and protection against failure risk.
Dr. Prabhu M, Harshitha R (2016) studied on Comparison of Indian Gaap and If Rs in India: An
Empirical Analysis of Selected Companies. The study found that the total assets value is increased as
per IFRS when compared to Indian Accounting standards. The results of the study evidenced that there
is no significant difference in financial reporting based on Indian GAAP and IFRS. It leads to easy
adoption of IFRS.
Da- Hsien Bao, Jooh Lee and George Romeo (2016) studied on Comparisons on Selected ratios between
IFRS and US GAAP companies. This paper provides some preliminary evidence of the difference
ISBN: 978-93-5351-069-5 138

between IFRS and US GAAP companies based on selected financial ratio. These dissimilarities may be
due to the differences between IFRS and US GAAP in applying the accounting treatments for the
selected ratios.
Hasanain Salim Rasheed (2016) studied on Impact of IFRS Adoption on the Financial Statements of
Companies in India. This research examines the financial statement effects on convergence to IFRS
from Indian GAAP. The result concluded that the IFRS is fair valuation approach and are more
transparent disclosures and Indian GAAP is conservative approach.
Surjit Das, Tapash Ranjan Saha (2017) studied on IFRS And Its Impact On Indian Companies: An
Empirical Study. From that study it is revealed that, although there is absolute difference in the
quantitative indicators, calculated as per financial statement which is prepared as per IFRS and IGAAP
rules simultaneously, there is no statistical evidence (except liquidity position) to prove this difference.
On the other hand the regression analysis shows some indicative result that adoption IFRs can increase
market value by way of foreign investors, foreign acquisition etc. This research would help the policy
makers in formulating more appropriate rules and regulations towards IFRS harmonization in India.
Pallavi Gupta, Dr. Javaid Akhter & Dr. Barnali Chaklader (2017) studied on the Impact of IFRS
Adoption on Key Financial Ratios- an Analysis of Wipro. The empirical results of the study indicate
that there are significant differences between the ratios calculated as per Indian GAAP and IFRS. More
specifically, significant differences were found in all profitability ratios, though the impact was not
found to be significant for debt equity ratio and current ratio.
Problem Statement:
India was supposed to implement IFRS from 1st April 2012 previously but the implementation was
postponed and as per the Government decision now it will be applicable from 1st April 2016. Some
Indian companies started preparing dual set of financial statements prior to financial year ending 2012
in anticipation of IFRS implementation. So the present study focus on to check the possible impact of
IFRS transition on solvency, liquidity and profitability of the company.
Objective:
1. To compare the Indian GAAP and IFRS.
2. To analyse the impact of IFRS adoption through key financial ratios on the stability, liquidity,
profitability and valuation of the select Indian companies.
Research Design:
This study is descriptive in nature. The study is executed on the basis of secondary data. The main
sources of secondary data are company’s manual, annual reports, journals, newspapers and concerned
websites. The annual report data were collected from the websites of Wipro, Dr, Reddy’s Laboratories
and Infosys Company. The 3 years annual report data were collected from 2016 to 2018. The limitation
of present study is that it is based on selected companies.
Data Analysis:
To analyse the data collected various statistical tools and techniques have been applied in this study.
The annual report data were processed and analysed with statistical tools such as tables, charts and
descriptive statistics.
DATA ANALYSIS AND INTERPRETATION:
Comparative statement of IFRS and GAAP statement:
139 ISBN: 978-93-5351-069-5

Table 4.1: Comparative Consolidate Balance Sheet of Wipro Under GAAP and IFRS
Rs. in millions
2016 2017 2018
Particulars
GAAP IFRS DIFF % Change GAAP IFRS DIFF % Change GAAP IFRS DIFF % Change
ASSETS
Goodwill 98,394 1,01,991 -3,597 -3.66 1,22,276 1,25,796 -3,520 -2.88 1,14,046 1,17,584 -3,538 -3.10
Intangible assets 15,841 15,841 0 0.00 15,922 15,922 0 0.00 18,113 18113 0 0.00
Property, plant and equipment 58,556 64,952 -6,396 -10.92 60,667 69,794 -9,127 -15.04 49,108 64,443 -15,335 -31.23
Derivative assets 260 260 0 0.00 106 106 0 0.00 41 41 0 0.00
Investments 4,907 4,907 0 0.00 7,103 7,103 0 0.00 7,668 7,668 0 0.00
Trade receivables 1,362 1,362 0 0.00 3,998 3,998 0 0.00 4,446 4,446 0 0.00
ISBN: 978-93-5351-069-5
Deferred tax assets 4,288 4,286 2 0.05 3,098 3,098 0 0.00 6,908 6,908 0 0.00
Non-current tax assets 11,751 11,751 0 0.00 12,008 12,008 0 0.00 18,349 18,349 0 0.00
Other non-current assets 13,014 15,828 -2,814 -21.62 13,582 16,793 -3,211 -23.64 12,929 15,726 -2,797 -21.63
Total non-current assets 2,17,367 2,21,178 -3,811 -1.75 2,50,922 2,54,618 -3,696 -1.47 2,50,777 2,54,484 -3,707 -1.48
Inventories 5,390 5,390 0 0.00 3,915 3,915 0 0.00 3,370 3,370 0 0.00
Trade receivables 99,614 99,614 0 0.00 94,846 94,846 0 0.00 1,00,990 1,00,990 0 0.00
Other current assets 23,020 32,894 -9,874 -42.89 22,122 30,751 -8,629 -39.01 23,167 30,596 -7,429 -32.07
Unbilled revenues 48,273 48,273 0 0.00 45,095 45,095 0 0.00 42,486 42,486 0 0.00
Investments 2,04,244 2,04,244 0 0.00 2,92,030 2,92,030 0 0.00 2,49,094 2,49,094 0 0.00
Current tax assets 7,812 7,812 0 0.00 9,804 9,804 0 0.00 6,262 6,262 0 0.00
Derivative assets 5,549 5,549 0 0.00 9,747 9,747 0 0.00 1,232 1,232 0 0.00
Cash and cash equivalents 99,049 99,049 0 0.00 52,710 52,710 0 0.00 44,925 44,925 0 0.00
Total current assets 5,02,825 5,02,825 0 0.00 5,38,898 5,38,898 0 0.00 5,06,156 4,78,955 27,201 5.37
140
TOTAL ASSETS 7,20,192 7,24,003 -3,811 -0.53 7,89,820 7,93,516 -3,696 -0.47 7,56,933 7,60,640 -3,707 -0.49
EQUITY 0
Total equity 4,63,660 4,67,384 -3,724 -0.80 5,19,093 5,22,695 -3,602 -0.69 4,81,673 4,85,346 -3,673 -0.76
LIABILITIES
Long-term loans and borrowings 17,361 17,361 0 0.00 19,611 19,611 0 0.00 45,268 45,268 0 0.00
Derivative liabilities 119 119 0 0.00 2 2 0 0.00 7 7 0 0.00
Deferred tax liabilities 5,071 5,108 -37 -0.73 6,578 6,614 -36 -0.55 3,025 3,059 -34 -1.12
Non-current tax liabilities 8,231 8,231 0 0.00 9,547 9,547 0 0.00 9,220 9,220 0 0.00
Other non-current liabilities 291 7,225 -6,934 -2382.82 410 5,500 -5,090 -1241.46 2,432 4,230 -1,798 -73.93
Total non-current liabilities 38,021 38,058 -37 -0.10 41,242 41,278 -36 -0.09 61,753 61,787 -34 -0.06
Total current liabilities 2,18,511 2,18,561 -50 -0.02 2,29,485 2,29,543 -58 -0.03 2,13,507 2,13,507 0 0.00
TOTAL LIABILITIES 2,56,532 2,56,619 -87 -0.03 2,70,727 2,70,821 -94 -0.03 2,75,260 2,75,294 -34 -0.01
TOTAL EQUITY AND LIABILITIES 7,20,192 7,24,003 -3,811 -0.53 7,89,820 7,93,516 -3,696 -0.47 7,56,933 7,60,640 -3,707 -0.49
From analysing the above financial statement of WIPRO for the financial year 2016, 2017 and 2018 it is observed in 2015-16 there is decrease in total assets
and total liabilities value as per IFRS when compared with value as per GAAP. Same in financial year 2016-17 there is decrease in total assets and total liabilities
value as per IFRS when compared with value as per GAAP. And in 2017 -18 there is decrease in 0.49% in total assets and 0.49% decrease in total liabilities
and equity as per IFRS when compared with value as per GAAP.
Table 4.2: Comparative Consolidate Balance Sheet of Infosys Under GAAP and IFRS
Rs. In Crore
2016 2017 2018

Particulars
Cash and Cash Equivalents 32697 32697 - - 22,625 22,625 - 0.00 19,818 19,818 - 0.00
Current Investment 75 75 - - 9,970 9,970 - 0.00 6,407 6,407 - 0.00
Assets held for sale - - - - 2,060 2,060 - 0.00
Net current assets 51753 38456 13,297 25.69 53,705 39,692 14,013 26.09 50,017 34,176 15,841 31.67
Property, plant and equipment 8637 10530 -1,893 -21.92 9,751 11,716 -1,965 -20.15 10,116 11,722 -1,606 -15.88
Goodwill 3764 3764 - - 3,652 3,652 - 0.00 2,211 2,211 - 0.00
Intangible Assets 985 985 - - 776 776 - 0.00 247 247 - 0.00
Other non-current assets 1357 8415 -7,058 -520.12 1,059 13,506 -12,447 -1175.35 2,265 15,693 -13,428 -592.85
Total assets 75350 75389 -39 -0.05 83,355 83,355 - 0.00 79,890 79,890 - 0.00
141
Liabilities directly associated with assets held for sale - - - - 324 -324
Non- current Liabilities 367 371 -4 -1.09 360 360 - 861 -861
Total equity 75350 61779 13,571 18.01 68,982 68,982 - 0.00 64,923 64,924 -1 0.00
TOTAL EQUITY AND LIABILITIES 75350 61779 13,571 18.01 68,982 68,982 - 0.00 64,924 79,890 -14,966 -23.05
From analysing the above financial statement of Infosys for the financial year 2016, 2017 and 2018 it is observed in 2015-16 there is decrease in total assets
and 18.01% increase in total liabilities value as per IFRS when compared with value as per GAAP. In financial year 2016-17 there is no change in total assets
and total liabilities value as per IFRS when compared with value as per GAAP. And in 2017 -18 there is no change in total assets and 23.05% decrease in total
liabilities and equity as per IFRS when compared with value as per GAAP.
ISBN: 978-93-5351-069-5
Table 4.3: Comparative Consolidate Balance Sheet of Dr Reddy's laboratories Under GAAP and IFRS
Rs. in millions
2016 2017 2018
Particulars
Current assets
Cash and cash equivalents 4,921 4,921 0 0 3,865 3,866 -1 -0.03 2,638 2,638 0 0
ISBN: 978-93-5351-069-5
Other investments 35,034 35,034 0 0 14,271 14,270 1 0.01 18,330 18,330 0 0
Trade and other receivables 41,250 41,306 -56 -0.14 37,986 38,065 -79 -0.21 40,527 40,617 -90 -0.22
Inventories 25,579 25,578 1 0.00 28,528 28,529 -1 0.00 29,089 29,089 0 0
Derivative financial instruments 176 175 1 0.57 264 262 2 0.76 105 103 2 1.90
Current tax assets 1,664 -1,664 3,388 3,413 -25 -0.74 4,567 4,567 0 0
Other current assets 9,648 11,010 -1,362 -14.12 10,491 11,970 -1,479 -14.10 12,762 14,301 -1,539 -12.06
Total current assets 1,17,940 1,19,688 -1,748 -1.48 96,837 1,00,375 -3,538 -3.65 1,04,984 1,09,645 -4,661 -4.44
Non-current assets 0
Property, plant and equipment 46,130 53,961 -7,831 -16.98 50,281 57,160 -6,879 -13.68 49,733 57,869 -8,136 -16.36
Goodwill 4,650 3,848 802 17.25 4,763 3,752 1,011 21.23 5,331 3,945 1,386 26.00
Other intangible assets 14,850 20,796 -5,946 -40.04 14,263 44,925 -30,662 -214.98 14,616 44,665 -30,049 -205.59
Trade and other receivables 41,250 41,250 100 210 206 4 1.90 169 169 0 0.00
Investment in equity accounted investees 1,311 1,309 2 0.15 1,603 1,603 0 0.00 2,104 2,104 0 0.00
142
Other investments 1,986 1,988 -2 -0.10 5,223 5,237 -14 -0.27 2,549 2,549 0 0.00
Deferred tax assets 5,905 4,997 908 15.38 6,784 5,580 1,204 17.75 5,405 3,628 1,777 32.88
Other non-current assets 2,559 1,063 1,496 58.46 739 983 -244 -33.02 524 1,030 -506 -96.56
Total non-current assets 85,901 87,962 -2,061 -2.40 1,21,328 1,19,446 1,882 1.55 1,20,459 1,15,959 4,500 3.74
Total assets 2,03,841 2,07,650 -3,809 -1.87 2,18,165 2,19,821 -1,656 -0.76 2,25,443 2,25,604 -161 -0.07
LIABILITIES AND EQUITY
Total current liabilities 63,471 64,646 -1,175 -1.85 84,199 85,000 -801 -0.95 68,938 69,692 -754 -1.09
Total non-current liabilities 14,672 14,668 4 0.03 11,345 10,777 568 5.01 30,789 29,452 1,337 4.34
Total liabilities 78,143 79,314 -1,171 -1.50 95,544 95,777 -233 -0.24 99,727 99,144 583 0.58
Total equity 1,25,698 1,28,336 -2,638 -2.10 1,22,621 1,24,044 -1,423 -1.16 1,25,716 1,26,460 -744 -0.59
Total liabilities and equity 2,03,841 2,07,650 -3,809 -1.87 2,18,165 2,19,821 -1,656 -0.76 2,25,443 2,25,604 -161 -0.07
From analysing the above financial statement of Dr. Reddy's laboratories for the financial year 2016, 2017 and 2018 it is observed in 2015-16 there is decrease
in total assets and total liabilities value as per IFRS when compared with value as per GAAP. Same in financial year 2016-17 there is decrease in total assets
and total liabilities value as per IFRS when compared with value as per GAAP. And in 2017 -18 there is 0.07% decrease in total assets and 0.07 % decrease in
total liabilities and equity as per IFRS when compared with value as per GAAP.
Graph 4.1: Change in value of ratios of WIPRO as per GAAP and IFRS
From the above ratio analysis it can be said that in liquidity ratio, current ratio in financial year 2015-
16 and 2017-18 it is higher in case of IFRS and in 2017-18 it is diluted by 0.025%. Quick ratio is high
in all three financial year. At the time of calculation profitability ratio it was found that return of asset
and return on equity was high in all three years in comparisons with IFRS. And there is no difference
in return of capital employed and it was similarity between IFRS and GAAP. At the time of calculation
Leverage & Net worth ratio, Proprietary ratio and debt to equity ratio was negative in all three financial
year in comparisons with IFRS. In total liabilities to net worth ratio and current liabilities to net worth
shows positive difference between IFRS and GAAP. And to identify the assets position Goodwill to
assets ratio is calculated which shows that in compare with IFRS, GAAP values are less.
Graph 4.2: Change in value of ratios of Infosys as per GAAP and IFRS
From the above ratio analysis it can be said that in liquidity ratio, current ratio was high in all three
financial year in comparisons with IFRS. Quick ratio is high in all three financial year. At the time of
calculation profitability ratio it was found that return of asset, return on equity and return of capital
employed was negative in 2015-16 and after that there was similarity between IFRS and GAAP. At the
time of calculation Leverage & Net worth ratio, Proprietary ratio and debt to equity ratio was negative
in first financial year in comparisons with IFRS. In total liabilities to net worth ratio and current
liabilities to net worth shows positive difference between IFRS and GAAP. And to identify the assets
position Goodwill to assets ratio is calculated which shows that in compare with IFRS, GAAP values
are less.
143 ISBN: 978-93-5351-069-5

Graph 4.3: Change in value of ratios of Dr. Reddy’s Laboratories as per GAAP and IFRS
From the above ratio analysis it can be said that in liquidity ratio, current ratio was high in 2015-16 and
after that in 2016-17 and 2017-18 it was less than IFRS value. Quick ratio is low in all three financial
year. At the time of calculation profitability ratio it was found that return of asset, return on equity and
return of capital employed was high as compare to IFRS in the year 2015-16 and 2016-17. And after
that both ratio were less than the IFRS. At the time of calculation Leverage & Net worth ratio,
Proprietary ratio was in all financial year it was less that the IFRS values and debt to equity ratio was
high in all financial year in comparisons with IFRS. In total liabilities to net worth ratio values are high
as compare to IFRS in all 3 financial year and current liabilities to net worth shows positive difference
between IFRS and GAAP in first two year and it 2017-18 GAAP values are less than the IFRS values.
And to identify the assets position Goodwill to assets ratio is calculated which shows that in all three
year GAAP values are greater than the IFRS values.
CONCLUSION
The present research contributes to the literature by investigating the basic differences between
IFRS and Indian GAAP. Then it further analyses the impact of these differences on Indian
Companies who have adopted it by analysing annual reports of the Indian companies. The
empirical results of the present study indicate that there are significant differences between the
ratios calculated as per Indian GAAP and IFRS. The above analysis shows that, although there
is absolute difference in the quantitative indicators, calculated as per financial statement which
is prepared as per IFRS and IGAAP rules simultaneously, there is no statistical evidence
(except liquidity position) to prove this difference. The present study is limited to a single
company that is Wipro, Infosys and Dr. Reddy’s Laboratories though there are other companies
which are voluntarily disclosing the IFRS financial statements. This research would help the
policy makers in formulating more appropriate rules and regulations towards IFRS
harmonization in India.
REFERENCES
[1]. Da-Hasin Bao, J. L. (2010). Comparisons on selected ratios between IFRS and US GAAP
Companies. Journal of financial reporting and accounting .
[2]. Dr. Prabhu M, H. R. (2016). COMPARISON OF INDIAN GAAP AND IFRS IN INDIA: AN
EMPIRICAL ANALYSIS OF SELECTED COMPANIES. National Seminar on “IND-AS : A
Road Map for IFRS in India” .
ISBN: 978-93-5351-069-5 144

[3]. Pallavi Gupta, J. A. (2017). The Impact of IFRS Adoption on Key Financial Ratios- An Analysis
of Wipro. Imperial Journal of Interdisciplinary Research .
[4]. Prof. K.V. Achalapathi, D. P. (2015). IMPACT OF IFRS ADOPTION ON FINANCIAL
STATEMENTS OF SELECT INDIAN COMPANIES. Osmania Journal of International
Business Studies .
[5]. RASHEED, H. S. (2016). The Impact of IFRS Adoption on the Financial Statements of
Companies in India.
[6]. Revanayya Kantayya, P. (2017). A Comparative Study of Balance Sheets Prepared under Indian
GAAP and IFRS with Special Reference to Select IT Companies. An International Journal of
Management Studies .
[7]. SURAJIT DAS, T. R. (2107). IFRS AND ITS IMPACT ON INDIAN COMPANIES:AN
EMPIRICAL STUDY. Parikalpana - KIIT Journal of Management .
[8]. Amihud, Y., &Mendelson, H. (1986), “Asset pricing and the bid-ask spread”, Journal of
Financial Economics Vol 17(2), pp- 223-249
[9]. International Accounting Standards Board (IASB) (2002),”International Accounting Standards
Committee Foundation”, Annual Report 2002, London.
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PCM121
EFFECTIVENESS OF OPTIONS STRATEGY OF INFORMATION
TECHNOLOGICAL SECTOR INTRODUCED BY NATIONAL STOCK
EXCHANGE FOR HIGHEST MARKET CAPITALIZATION OF INDIA
Shaikh Mohammadimran Abdulsaeed Dr. Munira Habibullah

Assistant Professor (Co Author ) Professor, Ph.d Guide (Main Author )
S.R.Luthra Institute of Management G. H Bhakta - Department of business &
Contact no: 9879068469 Industrial management. DBIM
Email: imran15381@yahoo.co.in V. N. S. G. U. SURAT
Abstract
National stock exchange has introduce 22 stock and index option strategies for investor. In which
investors can trade and book profit or loss. These 22 strategies are divided in bull and bearish
strategies. 12 strategies are bull and 10 are bearish strategies. But these strategies are not define how
to enter in bull or bear strategies. This study will help how to define bull and bear strategies, and
checking the strategies return , whether the return in the strategies are according to said result in
strategy or not. The strategies define by national stock exchange are in predefine environment. If bear
market then invest in bear strategies and bull market then invest in bull strategies. Investing in option
strategies required technical and investment experience. For testing the effectiveness information
technology sector has been preferred. And from that highest 7 market capitalization stock has been
selected. There are approximately 250 stock and 5 index in which investors can invest. But how to invest
and when to invest in stock option is not define. These stock has been selected HCL Technologies Ltd.,
Infosys, TCS, WIPRO, NIITTECH, OFSS, and TECHMAHINDRA
Key words: Market capitalization, derivative, options, effectiveness
INTRODUCTION
NSE has declared so many instruments for investor to invest and to hedge also. But all the instrument
now not trading with that perspectives. More than 85% of the volume on NSE and BSE comes from
derivatives segments. It is implied that these all instrument are now converting to speculate. As investors
speculate it may give return either positive or negative. Which is very risky. So options introduced, with
the unique features like safety option. Maximum profit and maximum loss features were added too.
They some strategy was also intruded in options. There are 11 strategies for bull and 11 for bear. Just
need to understand bull or bear market and take the position. In this research the study focuses on which
option strategy of more fruitful for which company.
Derivatives defined:- In the Indian context the Securities Contracts Regulation Act, 1956 [SCRA
defines “derivative’ to include”-
1. A security derived from a debt instrument, share, and loan whether secured or unsecured, risk
instrument or contract for differences or any other form of security.
2. A contract, which derives its value from the prices, or index of prices, of underlying securities.
Derivatives are securities under the SCRA and hence the regulatory framework under the SCRA
governs the trading of derivatives.
OPTIONS: - Options are of two types call and puts. Calls give the buyer the right but not the obligation
to buy a given quantity of the underlying asset, at a given price on or before a given future date. Puts
give the buyer the right, but not the obligation to sell a given quantity of the underlying asset at a given
price on or before a given date.
ISBN: 978-93-5351-069-5 146

Strategies introduce by National Stock Exchange for investors

Strategies Bullish Strategies Bearish Strategies
Strategy 1: Long Call Strategy 1: Long Call Strategy 1: Short Call
Strategy 2: Synthetic Long Strategy 2: Long Put
Strategy 2: Short Call
Call
Strategy 3: Synthetic Long Call Strategy 3: Short Put Strategy 3: Protective Call
Strategy 4: Long Put Strategy 4: Covered Call Strategy 4: Covered Put
Strategy 5: Short Put Strategy 5: Long Combo Strategy 5: Short Straddle
Strategy 6: Covered Call Strategy 6: Long Straddle Strategy 6: Short Strangle
Strategy 7: Long Strangle Strategy 7: Bull Put Spread
Strategy 7: Long Combo
Strategy
Strategy 8: Collar Strategy 8: Bear Call Spread
Strategy 8: Protective Call
Strategy
Strategy 9: Bull Call Spread Strategy 9: Bear Put Spread
Strategy 9: Covered Put
Strategy Strategy
Strategy 10: Bull Put Spread Strategy 10: Long Call
Strategy 10: Long Straddle
Strategy Butterfly
Strategy11: Short Call Strategy 11: Long Call Condor
Strategy 11: Short Straddle
Butterfly
Strategy 12: Long Strangle Strategy 12: Short Call Condor
Strategy 13: Short Strangle
Strategy 14: Collar
Strategy 15: Bull Call Spread
Strategy
Strategy 16: Bull Put Spread
Strategy
Strategy 17: Bear Call Spread
Strategy
Strategy 18: Bear Put Spread
Strategy
Strategy 19: Long Call
Butterfly
Strategy 20: Short Call
Butterfly
Strategy 21: Long Call Condor
Strategy 22: Short Call Condor
PROBLEM STATEMENT
The main research question to be studied here is “Effectiveness of options strategy introduced by
National Stock Exchange for highest market capitalization of India” There are 22 different strategy with
the combination of bull and bear period of the market. But strategy hadn't define which strategy will be
effective for which company. This study will help those investors who trade in option but don't know
in which company which strategy should implement.
LITERATURE REVIEW
Adam and Maurer (1999) suggest that the non-linear pay off characteristics of options requires the use
of dynamic portfolio rebalancing. However, from practical point of view, dynamic portfolio rebalancing
is often neither feasible nor desirable, instead, investors prefers to implement a buy-and- hold strategy
over specific period of time.
Therefore, the present study has used buy-and-hold strategies involving future & options and a
combination their-off, like Naked Future, Covered Call, Straddle and Strangle
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In an attempt to make appropriate investment decisions in particular under risk the portfolio manager
must be able to compare the hedging effectiveness of the strategies involving the use of options under
covered call and the pure option strategies like straddle and strangle. The study also examines the risk
and return associated to taking of future position as buy-and-hold strategy vis-à-vis cash position.
Shafiqur Rahman (2001) examined the impact of trading in the Dow Jones Industrial Average (DJIA)
index futures on the conditional volatility of component stocks. He investigated the contention that the
introduction of futures on the DJIA could increase volatility in the 30 stocks comprising the DJIA.
Using data from April through June 1997 (pre-futures period) and April through June 1998 (for post-
futures period), the conditional volatility of intraday returns for each stock was estimated with the
Generalized Autoregressive Conditional Heteroscedasticity (GARCH) model and then compared to
determine if the estimated parameters have changed significantly after the introduction of the various
derivatives. The results suggested that the introduction of index futures on the DJIA has produced no
structural changes in the conditional volatility of component stocks.
Thiripalraju. M & Prabhakar R. Patil (2002) investigated non-linear volatility with the help of ARCH
model to find out volatility changes due to introduction of index futures in S&P CNX NIFTY and its
underlying stocks. Using data from June 22, 1999 to May 31, 2001, he concluded that the volatility is
non-linear and there is a reduction in volatility both in the cash index and in its underlying stocks after
the introduction of trading on index futures in the Indian stock market.
Premalatha Shenbagaraman (2003) examined the impact of introduction of NSE NIFTY index futures
on NIFTY index. Using an event study over the period from October 1995 to December 2002, she tested
for changes in the volatility before and after the introduction. Using GARCH techniques to model the
time series, she concluded that futures trading have not led to a change in the volatility of the underlying
stock index but the structure of volatility seemed to have changed in post-futures period.
Nagaraj KS and Kotha Kiran Kumar (2004) studied the impact of Index futures trading on spot market
volatility using the data from June 12, 2000 to Feb. 27, 2003 of S&P CNX NIFTY. Using ARMA-
GARCH Model, the study also examined the effect of the Sept. 11 terrorist attack on the NIFTY spot-
futures relation. The study found that the post Sept. 11 attack, the relation between futures trading
activity and spot volatility has strengthened, implying that the market has become more efficient in
assimilating the information into its prices.
RESEARCH DESIGN
Type of research: - explorative: This study is basically an explorative study as it will take a good
amount of time to explore the effectiveness of the strategy. In this research we will check whether the
strategy practically applicable or not. So after completion of the research an investor will come to know
what ever is there in the book is practically true or not.
Data collection methods: - Data collection is the most important factor and a heart of the project as
without it no study can be done. In this paper data has been collected from NSEINDIA.COM web site.
The most authenticated source.
Secondary data: -
Secondary data comes from the national stock exchange website. And from their NCFM departments
option module and some data from the study magazines and different websites also. All the option
strategy has been given in for the purpose of guidelines by national stock exchange. And for the same
there are so many books available for this strategy also. Some data has been collected from research
article of national stock exchange and Indian institute of management.
Period of Study: - The study has been done for the period (October, November and December 2018)
ISBN: 978-93-5351-069-5 148

The main objectives of the study are:-

1) Effectiveness of strategy for highest market capitalization stock of Indian Information
technology companies listed on national stock exchange.
2) To identify various strategies that is formed using options. Checking which strategy is best for
different stocks.
3) Practically examine the option strategies introduce by “National Stock Exchange”
Advantages:
1) This study will help those investors who invest or want to invest in options segment
2) This study will focus on the part where investor can take strategy according to market condition.
3) This study will also focus on liquidity part of the option segment
4) This study will also help investors to hedging strategy.
5) Stock specific option can be also taken by this study
Stocks consider for data collections and strategy implementations

Company Name Market Cap (Rs. cr)
TCS 7,03,000
Infosys 2,88,700
Wipro 1,46,430
HCL tech 1,30,000
Tech Mahindra 67,000
Oracle finance 31,000
NIIT TECH 6,915
The combined market capitalisation all these 7 companies are 13, 73,045 crore
• Bases of stock for option strategies. ( Bull and Bear terminology)
Symbol price on 04/09/2018 Daily Moving Average bull/bear result
5o day moving average =1950 Bull
TCS 2065 150 day moving average = 1863 Bull Bull
200 day moving average = 1813 Bull
5o day moving average = 662 Bull
Infosys 707 150 day moving average = 673 Bull Bull
Wipro 326 150 day moving average = 301 Bull Bull
HCL TECH 1077 150 day moving average = 991 Bull Bull
TECH MAHINDRA 720 150 day moving average = 699 Bull Bull
OFSS 3968 150 day moving average = 3843 Bull Bull
NIIT TECH 1200 150 day moving average =1177 Bull Bull
149 ISBN: 978-93-5351-069-5

Taking strategies:
Name Of The Stock Bull Or Bear
TCS Bull
Infosys Bull
Wipro Bull
HCL tech Bull
Tech Mahindra Bull
Oracle finance Bull
NIIT TECH Bull
Implementation of bullish strategies
Bullish strategy 1.Long call: - buy a call
Scrip Strike price Buy price Lot size Costing
TCS 2100 62 250 15500
Infosys 720 39 1200 46800
Wipro 340 4 2400 9600
HCL tech 1100 32 700 22400
Tech Mahindra 760 50 1200 60000
Oracle finance 4000 211 150 31650
NIIT TECH 1250 144 750 108000
Bullish strategy 2.Synthetic long call: - buy stock + buy put.
Lot
Scrip stock buy price Put strike price Put buy rate Costing of buying put
size
TCS 2065 2050 250 37 9250
Infosys 707 680 1200 8 9600
Wipro 326 300 2400 3 7200
HCL tech 1077 1020 700 17 11900
Tech Mahindra 720 700 1200 15 18000
Oracle finance 3968 3900 150 87 13050
NIIT TECH 1200 1100 750 6.5 4875
Bullish strategy 3.Short put:-
Scrip Strike price Short price Lot size Costing
TCS 2100 59 250 14750
Infosys 720 21 1200 25200
Wipro 340 22 2400 52800
HCL tech 1100 50 700 35000
Tech Mahindra 760 37 1200 44400
Oracle finance 4000 126 150 18900
NIIT TECH 1250 34.5 750 25875
Bullish strategy 4.Covered calls: - buy stock + sell call option
Call strike Lot Call sell Receives amount
Scrip Instrument buy price
price size rate of premium
TCS 2065 2100 250 62 15500
Infosys 707 720 1200 39 46800
Wipro 326 340 2400 4 9600
HCL tech 1077 1100 700 32 22400
Tech Mahindra 720 760 1200 50 60000
Oracle finance 3968 4000 150 211 31650
NIIT TECH 1200 1250 750 144 108000
ISBN: 978-93-5351-069-5 150

Bullish strategy 5:-Long combo: - sell a put and buy a call

Put short Put sell Buy call Call buy Net
Scrip Lot size
strike rate rate strike rate rate payment
TCS 2050 37 2100 62 250 25
Infosys 680 8 720 39 1200 31
Wipro 300 3 340 4 2400 1
HCL tech 1020 17 1100 32 700 15
Tech Mahindra 700 15 760 50 1200 35
Oracle finance 3900 87 4000 211 150 124
NIIT TECH 1100 6.5 1250 144 750 137.5
Bullish strategy 6:-Long straddle: - buy put + buy call

Put buy strike Put buy Buy call Call buy Net
Scrip Lot size
rate rate strike rate rate payment
TCS 2050 37 2100 62 250 99
Infosys 680 8 720 39 1200 47
Wipro 300 3 340 4 2400 7
HCL tech 1020 17 1100 32 700 49
Tech Mahindra 700 15 760 50 1200 65
Oracle finance 3900 87 4000 211 150 298
NIIT TECH 1100 6.5 1250 144 750 150.5
Bullish strategy 7:-Long strangle: - buy OTM put + buy OTM call
Put buy Put buy Buy call Call buy
Scrip Lot size Net payment
strike rate rate strike rate rate
TCS 2100 59 2050 87 250 146
Infosys 720 21 680 65 1200 86
Wipro 340 22 300 25 2400 47
HCL tech 1100 12 1020 86 700 98
Tech Mahindra 760 50 700 88 1200 138
Oracle finance 4000 126 3900 271 150 397
NIIT TECH 1250 34.5 1100 6.5 750 41
Bullish strategy 8:-Collars: - buy stock + buy put + sell call

Stock Put
Sell call Sell Net
Scrip buy at Put buy strike Lot size
rate price Receipt
cash rate
TCS 2065 37 2050 2100 62 250 25
Infosys 707 8 680 720 39 1200 31
Wipro 326 3 300 340 4 2400 1
HCL tech 1077 17 1020 1100 86 700 69
Tech Mahindra 720 21 700 760 50 1200 29
Oracle finance 3968 87 3900 4000 211 150 124
NIIT TECH 1200 21 1100 1250 144 750 123
151 ISBN: 978-93-5351-069-5

Bullish strategy 9:- Bull call spread strategy: - buy ITM call + sell OTM call:-
Call buy strike Call buy Sell call Call Lot Net receipt of
Scrip
rate rate strike rate sell rate size premium
TCS 2100 62 2050 87 250 25

Infosys 720 39 680 65 1200 26
Wipro 340 4 300 25 2400 21
HCL tech 1100 32 1020 86 700 54
Tech Mahindra 760 50 700 88 1200 38
Oracle finance 4000 211 3900 271 150 60
NIIT TECH 1250 144 1100 264 750 120
Bullish strategy 10:- Bull put spread strategy: - sell put + buy put
Put sell Put sell Buy put Put buy Net receives
Scrip Lot size
strike rate rate strike rate rate of premium
TCS 2100 59 2050 37 250 22
Infosys 720 21 680 8 1200 13
Wipro 340 22 300 3 2400 19
HCL tech 1100 50 1020 17 700 33
Tech Mahindra 760 37 700 15 1200 22
Oracle finance 4000 126 3900 87 150 39
NIIT TECH 1250 35 1100 6.5 750 28.5
Bullish strategy 11:-Long call condor: - LONG CALL CONDOR: BUY 1 ITM CALL OPTION
(LOWER STRIKE), SELL 1 ITM CALL OPTION (LOWER MIDDLE), SELL 1 OTM CALL
OPTION (HIGHER MIDDLE), BUY 1 OTM CALL OPTION (HIGHER STRIKE)
Sell Sell Buy
ITM Net
Call ITM Sell OTM OTM Buy
call receives
Scrip buy call call call Call call call
strike of
rate strike rate strike strike rate
rate premium
rate rate rate
TCS 1950 160 2000 120 2050 87 2100 62 15
Infosys 700 51 720 39 740 29 760 20 3
Wipro 310 20 320 12 330 7 340 4 5
HCL tech 1000 101 1060 60 1100 32 1160 20 29
Tech Mahindra 700 88 720 74 740 62 760 50 2
Oracle finance 3800 340 3900 271 4000 211 4100 160 18
NIIT TECH 1100 264 1150 220 1200 180 1250 144 8
Bullish strategy 12:-Short call condor: - sell ITM call + buy ITM call + sell OTM call + buy OTM call
Sell Sell Buy
ITM Net
Call ITM Sell OTM OTM Buy
call payment
Scrip buy call call call Call call call
strike of
rate strike rate strike strike rate
rate premium
rate rate rate
TCS 1950 160 2000 120 2050 87 2100 62 15
Infosys 700 51 720 39 740 29 760 20 3
Wipro 310 20 320 12 330 7 340 4 5
HCL tech 1000 101 1060 60 1100 32 1160 20 29
Tech Mahindra 700 88 720 74 740 62 760 50 2
Oracle finance 3800 340 3900 271 4000 211 4100 160 18
ISBN: 978-93-5351-069-5 152

NIIT TECH 1100 264 1150 220 1200 180 1250 144 8
Result of option strategy on expiry:
Long call: - buy a call
Rate on Profit or loss
Scrip Strike price Buy price Lot size Costing
expiry
TCS 2100 62 250 15500 0.05 -15500
Infosys 720 39 1200 46800 0.05 -46800
Wipro 340 4 2400 9600 0.05 -9600
HCL tech 1100 32 700 22400 0.05 -22400
Tech Mahindra 760 50 1200 60000 0.05 -6000
Oracle finance 4000 211 150 31650 .01 -31600
NIIT TECH 1250 144 750 108000 3.35 -106000
Bullish strategy 2.Synthetic long call: - buy stock + buy put.

stock buy Stock on Profit of Put buy Profit on net P or
Scrip Lot size Sale rate
price expiry loss rate loss on put L
TCS 2065 1853 250 -53000 37 193 39000 -14000
Infosys 707 649 1200 -69600 8 37 34800 -34800
Wipro 326 319 2400 -16800 3 3.5 1200 -15600
HCL tech 1077 1005 700 -50400 17 38 14700 -35700
Tech Mahindra 720 651 1200 -82800 15 32 20400 -62400
Oracle finance 3968 3613 150 -53250 87 166 11850 -41400
NIIT TECH 1200 1181 750 -14250 6.5 0.7 -4350 -18600
Bullish strategy 3.Short put:-
Short rate on
Scrip Strike price P or L Lot size net P or L
price expiry
TCS 2100 59 250 -59 250 -14750
Infosys 720 21 76 -21 1200 -25200
Wipro 340 22 31 -22 2400 -52800
HCL tech 1100 50 116 -50 700 -35000
Tech Mahindra 760 37 98 -37 1200 -44400
Oracle finance 4000 126 266 -126 150 -18900
NIIT TECH 1250 34.5 25 9.5 750 7125
Bullish strategy 4.Covered calls: - buy stock + sell call option
stock
stock sell Lot Call sell rate of P or l on P or L on net P
Scrip buy
rate size rate expiry stock call or L
rate
TCS 2065 1853 250 62 0.05 -53000 15500 -37500
Infosys 707 649 1200 39 0.05 -69600 46800 -22800
Wipro 326 319 2400 4 0.05 -16800 9600 -7200
HCL tech 1077 1005 700 32 0.05 -50400 22400 -28000
Tech
720 651 1200 50 0.05 -82800 60000 -22800
Mahindra
Oracle
3968 3613 150 211 0.01 -53250 31650 -21600
finance
NIIT TECH 1200 1181 750 144 3.35 -14250 105500 91250
153 ISBN: 978-93-5351-069-5

Bullish strategy 5:-Long combo: - sell a put and buy a call
Put Call
rate of rate on Lot Net
Scrip sell buy loss on
expiry expiry size payment
rate rate put loss on call loss in RS
TCS 37 193 62 0.05 250 25 156 61.95 -54487.5
Infosys 8 31 39 0.05 1200 31 23 38.95 -74340
Wipro 3 3.5 4 0.05 2400 1 0.5 3.95 -10680
HCL
17 37.65 32 0.05 700 15
tech 20.65 31.95 -36820
Tech
15 32.15 50 0.05 1200 35
Mahindra 17.15 49.95 -80520
Oracle
87 166 211 0.01 150 124
finance 79 210.99 -43498.5
NIIT -
6.5 0.7 144 3.35 750 137.5
TECH -5.8 140.65 101137.5
Bullish strategy 6:-Long straddle: - buy put + buy call
Put rate on Call rate on Lot loss on profit net P P or L in

Scrip
buy expiry buy expiry size call on put or L rs
rate rate
TCS 37 193 62 0.05 250 -61.95 156 94.05 23512.5
Infosys 8 31 39 0.05 1200 -38.95 23 -15.95 -19140
Wipro 3 3.5 4 0.05 2400 -3.95 0.5 -3.45 -8280

HCL
17 37.65 32 0.05 700 -31.95 20.65 -11.3 -7910
tech
Tech
15 32.15 50 0.05 1200 -49.95 17.15 -32.8 -39360
Mahindra
Oracle
87 166 211 0.01 150 -210.99 79 -131.99 -19798.5
finance
NIIT
6.5 0.7 144 3.35 750 -140.65 -5.8 -146.45 -109837.5
TECH
Bullish strategy 7:-Long strangle: - buy OTM put + buy OTM call
Scrip Put rate on Call rate on Lot P or P or L Net P or P or L in
buy expiry buy expiry size L on on Call L Rs
rate rate Put
TCS 59 252 87 0.35 250 193 -86.65 106.35 26587.5
Infosys 21 76 65 0.35 1200 55 -64.65 -9.65 -11580
Wipro 22 31 25 12.15 2400 9 -12.85 -3.85 -9240
HCL tech 12 116 86 0.4 700 104 -85.6 18.4 12880
Tech 50 98 88 0.35 1200 48 -87.65 -39.65 -47580
Mahindra
Oracle 126 266 271 0.3 150 140 -270.7 -130.7 -19605
finance
NIIT 34.5 25 6.5 125 750 -9.5 118.5 109 81750
TECH
ISBN: 978-93-5351-069-5 154

Collars: - buy stock + buy put + sell call

Stock put call Profit In
Put Sell Lot loss in
Scrip buy at rate on rate on call &
buy price size stock
cash expiry expiry put net profit
TCS 2065 37 62 250 -53000 193 0.05 54487.5 1487.5
Infosys 707 8 39 1200 -69600 31 0.05 74340 4740
Wipro 326 3 4 2400 -16800 3.5 0.05 10680 -6120
HCL tech 1077 17 86 700 -50400 37.65 0.05 74620 24220
Tech
720 21 50 1200 -82800 32.15 0.05
Mahindra 73320 -9480
Oracle
3968 87 211 150 -53250 166 0.01
finance 43498.5 -9751.5
NIIT
1200 21 144 750 -14250 0.7 3.35
TECH 90262.5 76012.5
Bullish strategy 9:- Bull call spread strategy: - buy ITM call + sell OTM call:-
profit
Call Call Net call call loss on in
buy sell Lot receipt of buy sell buying selling Net P P or L
Scrip rate rate size premium rate rate call call or L in Rs
TCS 62 87 250 25 0.05 0.35 -61.95 86.65 24.7 6175
Infosys 39 65 1200 26 0.05 0.35 -38.95 64.65 25.7 30840
Wipro 4 25 2400 21 0.05 12.15 -3.95 12.85 8.9 21360
HCL tech 32 86 700 54 0.05 0.4 -31.95 85.6 53.65 37555
Tech
Mahindra 50 88 1200 38 0.05 0.45 -49.95 87.55 37.6 45120
Oracle
finance 211 271 150 60 0.01 0.3 -210.99 270.7 59.71 8956.5
NIIT
TECH 144 264 750 120 3.35 125 -140.65 139 -1.65 -1237.5
Bullish strategy 10:- Bull put spread strategy: - sell put + buy put
Net rate rate
Put Put P or P or
Lot receives of of P or L
Scrip sell buy L on L on Net P or L
size of short buy in Rs
rate rate short buy
premium put put
TCS 59 37 250 22 252 193 -193 156 -37 -9250
Infosys 21 8 1200 13 76 31 -55 23 -32 -38400
Wipro 22 3 2400 19 31 3.5 -9 0.5 -8.5 -20400
HCL tech 50 17 700 33 116 37.65 -66 20.65 -45.35 -31745
Tech 98
37 15 1200 22 32.15
Mahindra -61 17.15 -43.85 -52620
Oracle 266
126 87 150 39 166
finance -140 79 -61 -9150
NIIT 25
35 6.5 750 28.5 0.7
TECH 10 -5.8 4.2 3150
155 ISBN: 978-93-5351-069-5

Bullish strategy 11:-Long call condor: - LONG CALL CONDOR: BUY 1 ITM CALL OPTION (LOWER STRIKE), SELL 1 ITM CALL OPTION (LOWER
MIDDLE), SELL 1 OTM CALL OPTION (HIGHER MIDDLE), BUY 1 OTM CALL OPTION (HIGHER STRIKE)
Call Sell Buy OTM OTM

Rate on Rate on Rate on Rate on ITM call P ITM call P or L in
Scrip buy call Call call call P call P or
expiry expiry expiry expiry or L P or L Rs
rate rate rate or L L
ISBN: 978-93-5351-069-5
TCS 160 0.55 120 0.45 87 0.35 62 0.25 -159.45 119.55 86.65 -61.75 -3750
Infosys 51 0.25 39 0.15 29 0.15 20 0.15 -50.75 38.85 28.85 -19.85 -3480
Wipro 20 6 12 2.3 7 0.8 4 0.3 -14 9.7 6.2 -3.7 -4320
HCL tech 101 2 60 0.25 32 0.15 20 0.05 -99 59.75 31.85 -19.95 -19145
Tech
88 0.45 74 0.35 62 0.25 50 0.25 73.65
Mahindra -87.55 61.75 -49.75 -2280
Oracle
340 7 271 0.3 211 0 160 0 270.7
finance -333 211 -160 -1695
NIIT TECH 264 125 220 50 180 28 144 3 -139 170 152 -141 31500
156
Bullish strategy 12:-Short call condor: - sell ITM call + buy ITM call + sell OTM call + buy OTM call
Call Sell Buy OTM OTM

Rate on Rate on Rate on Rate on ITM call ITM call P or L in
Scrip buy call Call call call P or call P
expiry expiry expiry expiry P or L P or L Rs
rate rate rate L or L
TCS 160 0.55 120 0.45 87 0.35 62 0.25 159.45 -119.55 -86.65 61.75 3750
Infosys 51 0.25 39 0.15 29 0.15 20 0.15 50.75 -38.85 -28.85 19.85 3480
Wipro 20 6 12 2.3 7 0.8 4 0.3 14 -9.7 -6.2 3.7 4320
HCL tech 101 2 60 0.25 32 0.15 20 0.05 99 -59.75 -31.85 19.95 19145
Tech
88 0.45 74 0.35 62 0.25 50 0.25 -73.65
Mahindra 87.55 -61.75 49.75 2280
Oracle
340 7 271 0.3 211 0 160 0 -270.7
finance 333 -211 160 1695
NIIT TECH 264 125 220 50 180 28 144 3 139 -170 -152 141 -31500
Data analysis and tabulation of bullish strategies
Company Long Synthetic Short Covered Long Long Long Collar Bull Call Bull Put Long Short
Call Long Call Put Call Combo Straddle Strangle Spread Spread Call Call
Strategy Strategy Condor Condor
-15500 -14000 - 26587.5
TCS
14750 -37500 -54487.5 23512.5 1487.5 6175 -9250 -3750 3750
-46800 - -11580
INFOSYS
-34800 25200 -22800 -74340 -19140 4740 30840 -38400 -3480 3480
-9600 - -9240
WIPRO
-15600 52800 -7200 -10680 -8280 -6120 21360 -20400 -4320 4320
-22400 - 12880
HCL
-35700 35000 -28000 -36820 -7910 24220 37555 -31745 -19145 19145
-6000 - -47580
TECHM
-62400 44400 -22800 -80520 -39360 -9480 45120 -52620 -2280 2280
-31600 - -19605
157
OFSS
-41400 18900 -21600 -43498.5 -19798.5 -9751.5 8956.5 -9150 -1695 1695
- - - 81750
NIIT 7125
106000 -18600 91250 101137.5 109837.5 76012.5 -1237.5 3150 31500 -31500
ISBN: 978-93-5351-069-5
DATA ANALYSIS AND FINDING
[1]. It was found from the study that applying 12 bullish strategy in TCS 7 strategies gives negative
return and 5 gives positive return. Long strangle being the best bullish strategy and long combo
being the worst strategy for TCS
[2]. It was found from the study that applying 12 bullish strategy in Infosys 9 strategies gives negative
return and 3 gives positive return. Bull call Spread being the best bullish strategy and long combo
being the worst strategy for INFOSYS
[3]. It was found from the study that applying 12 bullish strategy in WIPRO 10 strategies gives
negative return and 2 gives positive return. Bull call spread being the best bullish strategy and
short put being the worst strategy for WIPRO
[4]. It was found from the study that applying 12 bullish strategy in HCL TECH 8 strategies gives
negative return and 4 gives positive return. Bull call spread being the best bullish strategy and
long combo being the worst strategy for HCL TECH
[5]. It was found from the study that applying 12 bullish strategy in TECH MAHINDRA 10 strategies
gives negative return and 2 gives positive return. Bull call spread being the best bullish strategy
and long combo being the worst strategy for TECH MAHINDRA
[6]. It was found from the study that applying 12 bullish strategy in OFSS 10 strategies gives negative
return and 2 gives positive return. Bull call spread strategy being the best bullish strategy and
long combo being the worst strategy for OFSS
[7]. It was found from the study that applying 12 bullish strategy in NIIT TECH 6 strategies gives
negative return and 6 gives positive return. Long strangle being the best bullish strategy and long
straddle being the worst strategy for NIIT TECH
[8]. Out of 12 bullish strategies, the most profitable is bull call spread strategy
[9]. Out of 12 bullish strategies, the most avoidable is long combo strategy.
BIBLIOGRAPHY
1. Beckers, S., 1983. “Variances of Security Price Returns Based on High, Low, and Closing
Prices.” Journal of Business 56, 97-112.
2. Garman, M and M.Klass, 1980. “On the Estimation of Security Price Volatilities from
Historical Data.” Journal of Business, 53, 67-78.
3. Kunitomo, N., 1992.”Improving the Parkinson Method of Estimating Security Price
violations.” Journal of Business 65, 295-302.
4. https://papers.ssrn.com/sol3/papers.cfm?abstract_id=986558
5. https://www.nseindia.com/content/research/comppaper195.pdf
6. http://www.indianjournals.com/ijor.aspx?target=ijor:sjbms&volume=4&issue=1&article=002
7. https://onlinelibrary.wiley.com/doi/abs/10.1002/fut.1702
8. https://www.nseindia.com/content/research/comppaper195.pdf
WEBSITES REFERRED
1. www.nseindia.com/f&o/historicaldata/securitywisedata
2. www.bseindia.com
BOOKS
1. Futures and options by John Hull

2. Futures and options by Vohra & Baghri
3. Derivatives Core Module by National Stock Exchange of India Limited
ISBN: 978-93-5351-069-5 158

PCM083
'MARKETING STRATEGIES FOR CONVENIENT STORES TO
SUSTAIN AGAINST E. COMMERCE WITH RESPECT TO
CONSUMER DURABLES SECTOR IN INDIA
Dr. Kedar Shukla
Director , ROFEL GRIMS MBA
kedars1111@gmail.com
Abstract
Indian drug retailers shut up shop for the day on October 14 ,2015 Wednesday, all over the nation in
India to protest against the country’s growing online pharmacy industry, and threatened to close
indefinitely if the federal government did not shut down e-pharmacies. The nationwide protest was
widely supported, with as many as 850,000 chemists closing their doors, leaving patients waiting in
long queues at any pharmacies that were open. Online pharmacies was a relatively new phenomenon in
India, but online retailers pose a threat to their bricks-and-mortar peers in a market IMS Health estimates
is worth about $13 billion. Drug retailers were literally worried.
Almost a decade back consumer durable retailers in their sector encounter the similar stress and worries
against online platform and with the growth of the E commerce business in India they have been under
consistent pressures even during this era. Many retailers post entry of E commerce platform were and
are survived , while few could not. In spite of E commerce growth , there is a growth in few specific
offline retail chains too. In the present research paper author have tried to study what all can work for
the offline retailers or traders against E commerce platform ? How can they assure their sustainability
and growth ? An attempt has been made to submit a 2 x 2 strategic matrix solution model for surviving
and growth of business against E commerce and online business.
Key Words : Business Strategy , Consumer Durable , Marketing Strategy.
INTRODUCTION
Business research and market trends are certainly indicative of the fact that E commerce is gaining lots
of momentum in the Indian retailing. Present trends and all the future forecast are favoring Ecommerce
growth and traders in retail sector are certainly worried about their business growth and survival. Many
reports projects closure of small traders due to online platform purchases in India specifically in the
urban areas. Indian drug retailers shut up shop for the day on October 14 ,2015 Wednesday, all over the
nation in India to protest against the country’s growing online pharmacy industry, and threatened to
close indefinitely if the federal government did not shut down e-pharmacies. The nationwide protest
was widely supported, with as many as 850,000 chemists closing their doors, leaving patients waiting
in long queues at any pharmacies that were open. Online pharmacies was a relatively new phenomenon
in India, but online retailers pose a threat to their bricks-and-mortar peers in a market IMS Health
estimates is worth about $13 billion. Drug retailers were literally worried.
Almost a decade back consumer durable retailers in their sector encounter the similar stress and worries
against online platform and with the growth of the E commerce business in India they have been under
consistent pressures even during this era. Many retailers post entry of E commerce platform were and
are survived , while few could not. In spite of E commerce growth , there is a growth in few specific
offline retail chains too. In the present research paper author have tried to study what all can work for
the offline retailers or traders against E commerce platform ? How can they assure their sustainability
and growth ? An attempt has been made to submit a strategic solution model for surviving and growth
of business against E commerce and online business.
159 ISBN: 978-93-5351-069-5

While on the one way , it all sounds dark and on the other way the fact is new show rooms are opening
up in the developing India and the retail space at key locations are a concerns for the show rooms.
Location of store has been a consistently important factor in retail business. Still we could see many
“Sale” boards during the festive seasons. It essentially means that there is a space of traders even with
the existence of E commerce platform. In the present research paper researcher has attempted to
understand that which are the key factors on factors on which a trader or a retailer can capitalize
specifically in the niche segment of Consumer durable ? and what are the key strategies they need to
adopt to fight back with the growing e-commerce business in the consumer durable sector ? An attempt
has been made to develop a solution model for the conventional traders.
RESEARCH OBJECTIVES AND METHODOLOGY
As described , Business strategies needs competitive thinking , while building strategies. Present paper
has a very clear objective that , How consumer durable conventional traders should react against
competitive E commerce forces. For the study researcher has personally met and interviewed various
existing trading players who have been either facing challenges of the business due to E commerce or
have successfully defended them. Traders or entrepreneurs detailed interviews have been conducted to
understand the key growth drivers of the business. Broad key growth drivers were determined through
literature review of related to sector too. Questions were framed to understand relative pros and cons
of Ecommerce business , and trading business. Attempt has been made to decide what can work or what
will work in future to sustain after deriving key growth drivers of the consumer durable business.
Researcher has attempted to understand the various kind of competitive reactions from the leading
business heads of businesses around Vapi and Valsad districts of Gujarat , Daman and Dadra Nagar
Haveli (Union Territories of India) and noted their views during the personal interviews. The same has
been analyzed and various alternatives are attempted to reports on the 2 X 2 matrix structure. The
conclusive guidelines model have been developed to find out possible alternatives and to develop
selection of strategy model as a concluding remark to the research paper.
LITERATURE REVIEW
It is estimated that Indian Retail and Consumer durable sector is expected to grow from US $ 800 billion
recorded in 2017 to US $ 1200 billion by the year 2021. Balsara H & et all (2015) in their research
work related to “Present and Future trends of E commerce business in India” reports that , “E commerce
business in India has exponentially grown in last few years and trend is likely to be continued in coming
decade and it may be offering consistent threat to the conventional traders in near future.” Consumer
durable “conventional traders” is word has been defined and amended in management strategies
literature and means that they are the business groups which has retail space and offer the solution to
the consumers with “Physical evidences” and “real display” of the products. “Consumer durable
conventional traders competitive strategies” have been found continuously evolving , various
researchers and authors have different findings and views on the same. However most of them have
worked with respect to “Marketing Function” or are being concentrated around ‘marketing strategies’.
Not much work has been done for the ‘Consumer durable conventional traders’ strategies function in
India. During the literature review it has been found that , Joe Garecht (1979) in his work done with
almost 45 companies selected of different industry , and understanding the challenges draws a road map
in his research work “ How to Beat an incumbent draws a guidelines and gives four pillars model for
winning marketing war for consumer durable conventional traders , they are (a) Start Early (b) Define
Your Opponent (c) Draw a Contrast (d) Define the Agenda. He states further, ‘Beating an consumer
durable conventional traders is possible with hard work and preparation. Get out there early, and set
the tone’. Harvard Business review has published several research work and articles on carried out for
the American and European markets mainly on consumer durable conventional traders strategies , on
marketing research and have clearly indicated the threats of E commerce business to conventional
trading model and few of them have also suggested thoughtful matrix based path guiding for the
strategic choices and best preferred selection and same has been instrumental to draw a strategic
mapping solution in the present research paper too.
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ANALYSIS AND DECISION MAKING
Strategic analysis business models suggested by Michel Porter on sector analysis has been used here
in this research paper to understand sector properly and to derive an effective strategic solution model.
SWOT analysis , Identification of Key Growth Driver for the business and relative competitive
advantages and opportunity matrix have been used to reach a proper solution model.
From the information received from the literature review and personal interaction with small traders
and selected customers relative SWOT analysis has been done of both “Conventional Trading Model”
Vs. Ecommerce trading model for consumer durable products. Table 1 below presents explains the
SWOT analysis of E commerce business and Table 2 present the SWOT analysis of ‘Conventional
Traders’ model , which are used to derive key growth drivers of the business and there by a strategic
solution model later.
Table 1 : SWOT Analysis of E Commerce model for consumer durable model

Strengths: Weakness :
- Saves cost on Show room rentals /lease - Missing element ‘Physical Evidences’
/ownership and other operational cost - Missing element negotiation and bargaining fun
- Bulk buying helps specific with Indian customer
- Multi branding options possible - Installation and Services Network issues
- Comparative price and product check list can be - Cash on Delivery (COD) customer returning
offered on PC / mobile phones heavy goods after dispatch
- Reduced manpower (Sales) cost - Logistic partner concerns
- Over all price advantages with higher reach - Requirement of Internet facility with moderate
to high speed
Opportunities : Threats :
- Growing reach with the reach and availability - Cyber security is needed , hacking and frauds
of internet of digital payment options and data licking issues
- Growing needs / aspiration and increasing net - Competitive revelry among the online
disposable income levels in India. shopping sites.
- Technological innovation in products will - Education , literacy levels and comfort in using
provide marketing opportunities. internet among people of villages in India.
- Growing E payment gate way options and - Delivery issues in some parts of the country
increasing awareness towards digi payment - Fear of using e payment modes due to threats of
modes cheats and frauds.
- collaborating options with local traders for sales
Table 1 : SWOT Analysis of Conventional Trading Model for consumer durable model
Strengths : Weakness :
- Giving pleasure of ‘Physical Evidences’ and - Adds cost of retail space , man power and other
product operations in working conditions operational cost to the product cost
- Provides negotiation and bargaining fun - Limited buying or Brand exclusivity limitations
specific with Indian customer - Price pressures
- Installation and Services Networks helps in - Limited reach , Needs marketing promotions
guarantee warranty conditions - Competitive revelry from E commerce as well
- Credit purchase as other reputed traders.
- Immediate or assured delivery guarantee
- Point of contact and personalized services
- Not much of technology awareness is essential
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Opportunities : Threats :
- Untapped rural growth at many places - Profit margins are under constant threats with
- Growing needs / aspiration and increasing net completion from E commerce and Traders
disposable income levels in India. community
- Service and Installation business - Increasing E commerce platform and internet
- collaborating options with e commerce portals usage
for sales and services business - Increase in all sorts of operations costs
Through the literature of management research in consumer durable as well through the consumer and
traders experiences it is derived that , there are specific key growth drivers which influences the
consumer durable business in India.
Identified Key Growth Drivers For Consumer Durable Products :
(a) Product features and Price Equation :

Large part of consumer durable sector customers in India falls in to the class of lower , middle or middle
higher class. Normally they utilize the product to full of it’s life. Therefore , comparison of products on
features, services, brands etc. with relative prices is one among the key growth driver in selection of
the product.
(b) Installation and Post sales Services Involvement :

There are a products , needs pre sales and post sales services , post installation services during warranty
and guarantee periods like , Window or Split Air conditioners, Large TV panels , Home theater etc.
Besides all the products needs post installation services during warranty and guarantee periods , many
consumers prefer the one point of contact for these services. Therefore this feature is certainly a key
growth driver in purchase decisions.
(c) Personal Experience and Evidences :

Still for many Indian families buying is a fun and festival specifically when they buy a high ended
products or vehicles in India. They like to get personal experience and care while buying. They like to
see ,check , feel and associate with product and services they procure. Negotiation and promotional
schemes are psychological fun and fair from them.
(d) Price , Promotional Schemes and Paying Options :

India is price sensitive market , During festive seasons or end of seasons discount sales schemes it is
observed that sales goes up. Trend is reported even with this consumer durable sector. Off season sales
, Moderate or discounted price etc. works. Middle and middle lower demographic customers also like
to have paying options through installments and they look forward for low interest rate finance schemes
or hassle free sanctions.
In present research work researcher has tried to understand how consumer durable traders or small
trading companies make use of these information and analysis and how they build or can built there
strategies evolving around these key growth drivers and their own strengths, and can capitalize them
in their favor in against the completive war with E commerce ? The observations and inputs provided
by traders on their competitive advantages have been categorized in three leading responses and
interestingly it is also found that , in most of the organizations ,the respondents agreed that they can
handle competitive force of E commerce and have been wining business over them and not only they
can survive but even growth is evident. However they emphasized a need of strategic planning. Major
defense of conventional traders or their aggressive attacks which have assured business for them have
been recorded here to understand and draw the solution matrix.
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RESEARCH FINDINGS AND FACTS

Consumer durable conventional traders reaction to aggressive Market forces of E commerce in India is
different than that of their attack on substitute traders. While it comes to Marketing function consumer
durable conventional traders strategies around 50% companies drop and match the price as their
counter strategy and attack immediately to win over consumer sentiments – fail in achieving their goals
later on account of managing operation profitability and margin and later date realize that it was bad
decision to counter attack so early.
Around 15-25% companies defends or react too …late , and dies against E commerce platform due to
delay and at times in over confidence.
In 30 to 40% cases consumer durable conventional traders reaction to aggressive pricing attack of E
commerce used to be highly strategic after a very good homework and research on the subject , it used
to be on time and a very good winning counter strategy that , prove to be strong to wining strategies
which wins over people’s sentiments – but fail in achieving their goals and later date realize that it was
bad decision to counter attack so early.
Around 25% companies react too late , and dies against attack due to delay or around 15% companies
does not respond at all. The same is explained in the diagram 1.
In 25-30%
In 40 to 50%
casesTraders cases Trader
defend does a good
aggressively home work
and drop price and defend
and loose with proper
value
strategy
In 15 to 20 % cases
Traders do not react
or loose hopes and
business on consumer
expectations
Consumer durable conventional traders’ reactions to the strategic challenges thrown by

the E commerce companies
CONCLUDING MATRIX SOLUTION
Most of the consumer durable traders have expressed that buyer , when they decided to buy – they first
go on the online portal and check the various product , price , brand and feature options. Instead earlier
– these days they come up to us with predefined mind of buying. They also agreed to the fact that
superficially for consumer durable products, they visit nearer trader to check the product , product
features and prices. There are a chances of salesmanship, when consumer visit them. The strategic
model suggested here is with an assumption that the consumer durable trader is able to attract the
consumer to visit the store. Consumer durable conventional traders used to have lots of strategic
advantages, but often they are not capitalizing on them or on time and loose hopes or business only
on the pricing comparisons . Either reaction is too early to defend or it used to be too delayed to survive.
Three step strategic guide lining model is, first and foremost is understand consumers’ behavior on
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‘Price and Service’ sensitivity. Table 2 below express the 2 x 2 matrix of Price Vs. Preference solution
matrix.
Table 3: Price Vs. Services Sensitivity

High Price Vs Services and Customer Experience Sensitivity
( 1) Cash Cowl : 100 % show room ( 2)Matching price and winning
customer if could win over his emotions customer could be good option if
and mind -Should be preferred situation permits , or go for
customer by trader will be prepared to collaborative model..they will be more
Services and pay the premium – Focus More a service customer
Good Cust. ( 3) He will be prepared to buy and pay ( 4) Only a low price offers will work,
Exp.Sensitivity a marginal premium if prices are He is installment customer – invest
offered in line with ecommerce plat today and earn from financing and
forms. Try to match and catch. services.
Low High
Low Price Sensitivity
Price Vs. Services Sensitivity Matrix

2 x 2 Price vs. Services Matrix solution model represented in Table 3 has been with the assumption that
customers are visiting the near most or the reputed consumer durable store to evaluate the product
features committed , for correlating and verification of product being shown in the pictures of
Ecommerce platform with reality and also to equate and check it’s price with the show room prices.
There are four quadrant of this matrix, when he is visiting show room regarding his consumer behavior.
Cell 1 : Low Price Sensitivity Vs. High Services and Experience Sensitivity (Cash Cowls)
Customer who are not focused only for the price and not highly price sensitive will be willing to pay
little more for the better services and over all customer experience. They are the strategic cash cowl for
show room or consumer durable trading show rooms. If their basic requirements like meeting on time ,
superior services experiences etc. are taken care of they won’t mind paying premium. Conventional
traders should identify them and capitalize on them.
Cell 2 : High Price Sensitivity Vs. High Services and Experience Sensitivity (Collaborative
Approach)
Customers who are duly focused both on Price and Over all experience will be ‘Demanders’ would love
to get at equal or less prices than on line platforms and will also be looking forward for the best services.
Such customer will be prepared to pay more for the customer services, if the over all purchase
experience with the trader or show room is fantastic . They can be retained by excellent services ,
Margins must be adjusted between sales and service. Sales can be done at marginally reduced
profitability by matching the price with ecommerce and services can be provided later with additional
margins. Product trader can also register themselves as ‘Seller’ on E commerce platform for such
customer and can serve them later. Collaborative model can be a useful strategy for such customers.
Cell 3 : Low Price Sensitivity Vs. Low Services and Experience Sensitivity (Salesmanship)
‘Physical Evidence’ and ‘Personal Experience’ and ‘Relationship marketing’ will work for show room
retailer ,technical explanation and excellent customer experience will drive to buy this customer who
are low on price sensitivity or services. Good salesmanship and almost matching price could be the best
strategy for such customer. They may turn a repeat buyer. Promotional schemes often work for them.
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Cell 4 : High Price Sensitivity Vs. Low Services and Experience Sensitivity (Loan Customer)
Many customer used to be only price sensitive , not much worried about services or experience and they
just don’t get ready to pay premium and insist for the price less than the online platform prices. Due to
natural competitive advantage of E commerce platform - prices many a times be low there and at times
it may be unable to match with high operating cost for the conventional traders. These customers many
a times from the low income group class too. A good strategy is to evaluate them on ‘Paying ability’.
Small monthly investment based finance or promotional schemes like ‘Zero % finance’ could turn a
good option which E commerce platform does not encourage once product is being delivered could be
a good selling option.
CONCLUSION
While challenging opponents it is the utmost important task to understand the opponent and define
them. Defining opponent essentially means here is, what E commerce plat form offers ? Most of the
time they take competitive advantage on ‘Pricing’ on select model. Here it is suggested that ,
understanding customers paying ability and willingness through open neutral questions, that is must.
Knowing their paying resources well and exploring their capabilities will help to craft the strategy.
Some exploratory research work is suggested before selling. Every opponents’ attack does not end up
damage for consumer durable conventional traders. However , in most of the decision making process
, consumer durable conventional traders fail to understand this basic input and they react the attack
without and consideration or risk analysis and jumps in to the price war and end up loosing margins . It
is advised to analysis the damage being done by the opponents with their move to the consumer durable
conventional traders with time period. Sometimes it may happen that the opponent attack could not
generate damage at all and may not need any reaction with the help of consumer behavior. Present
research paper guide with 2 x 2 concluding matrix to know your consumer well on his paying ability or
willingness vs. his expectations for overall customer experience and services offered during the sales
and post sales period. Based on the analysis consumer durable trader can form his strategy as cash cowls
, collobrative strategy , salesmanship or loan customer. This solution will certainly help the trading
companies to defend themselves against competitive attack of e commerce platform.
REFERENCES
[1] Cantor, J.E. (1974). “The effect of incumbency in congressional elections”: A bibliographic
essay of articles since 1973. Congressional Quarterly 13, July
[2] Erickson, R.S. (1971). “The advantage of incumbency in presidential elections”. Polity 3, pp.
395-401
[3] Fox, A. (1978). Shelby launches campaign calling for senate reform. Birmingham News 12, May,
3:1
[4] Joe Garecht (2008) , “How to Beat an Consumer durable conventional traders”
http://www.localvictory.com/strategy/how-to-beat-an-consumer durable conventional
traders.html
[5] Nimmo & Savage, Kitchens, J.T. & Powell, L. (1977). Richard Shelby: Tuscaloosa survey results.
Unpublished Pre-Campaign Poll, June, 1977.
[6] Powell, L. & Shelby, A. (1981). “A strategy of assumed incumbency: A case study.” Southern
Speech Communication Journal, 46(2) pp.105-123
[7] http://joshbersin.com/2008/08/your-consumer durable conventional traders-hr-systems-vendor-
what-to-do/
[8] https://hbr.org/2008/10/the-consumer durable conventional traderss-advantage
[9] https://strategicthinker.wordpress.com/consumer durable conventional traders/
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PCM032
4PS OF GREEN MARKETING:
WAYS OF INFLUENCING POTENTIAL & LATENT GREENS
Dr. Anupama Chirag Dave
Assistant professor
Navrachana University – Vadodara
anupama.c.dave30@gmail.com
Abstract
Acceptance of green products has been a matter of serious concern for green manufacturers. The
concept of 'Green Marketing' which has witnessed three phases like 'Ecological', 'Environmental' and
lately 'Sustainable' phase since 1975 has not made any noteworthy mark in terms of its penetration and
sales. Research points out greenwash as a major factor influencing the acceptability of the green
product followed by premium prices charged by them. Empirical evidence of the past suggests plenty
strategies that need to be considered by the manufacturers while formulating strategies for green
product with reference to marketing mix. This research is a serious effort to draw stands from the
literature to understand the probable strategies that should be implemen ted to attract potential and
latent greens (two potential segments of green consumers) towards green products. The study thereby
seeks to address the questions such as - Which strategy can attract ‘Potential and Latent Greens’
towards purchase of green products? Can modification of marketing mix lead to change in attitude of
‘Potential/Latent greens’ towards green product? And lastly the research aims at identifying the
differences in preferences among ‘Potential and Latent Greens’ with reference to marketing mix. To
obtain answers of above mentioned questions primary data shall be collected from youngsters to find
possible solutions for the gap that exist in the literature.
Keywords: Green Marketing, Latent green, Place, Potential green, Price, Product & Promotion
INTRODUCTION
A holistic approach which emphasizes that production, consumption as well as marketing should not
be detrimental to environment is “Green Marketing”. This concept incorporates a broad range of
activities such as product modification, change in packaging, and transformation of promotional
methods owing to which such products are priced higher than the traditional variant available in the
market. Marketers are seen adopting the philosophy of 3P (Profit, People & Planet) while marketing
green products so as to minimize the environmental impact associated with the consumption of a
product/service (Villano, 2011). The efforts of marketer shall reap benefits of sustainable environmental
only when such products are accepted by the masses. The fact being that adoption, purchase and
consumption of green products have been very stumpy over the period of time. Various factors that has
lead to low consumption of green products are less awareness/understanding about benefits of
environment sustainability, higher price of green product, false claims made by manufacturers while
promoting the green products and failure of green products in delivering the promised value.
Environmentally green products are perceived as having inferior quality by the consumers because they
think that the company must have diverted the resources away from product quality (The study,
published in the Journal of Consumer Research). Lot of misperception is going around green product,
which is influencing the adoption rate of green products. This is an alarming situation for the marketers
as well as big challenge for them who want to work towards sustainable development of environment.
Thus, it is a need of an hour to identify strategies so as to increase the penetration and adoption of green
products among Indian’s. Awful impact on environment can be negated by making necessary changes
in the products manufactured by the companies (Kotler, 2011). These changes can be implemented by
the organizations by adopting appropriate marketing strategy i.e. 4Ps. The traditional 4Ps should be
necessarily modified by the marketers, but what modifications can attract customers to buy green
products? This research seeks to enlighten information about this gap that exists in the literature.
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LITERATURE EVIDENCES FOR GREEN MARKETING M IX; GREEN

CONSUMERS & RESEARCH HYPOTHESIS:
Green Consumers: People who purchase those products that protect the natural environment and are
environment friendly are labeled as ‘green consumers’. Green consumers have been segmented into
four categories based on ‘Environmental Values’ & ‘Environmental Self Efficacy’ (Oliver and Rosen
(2010)) as represented in Table: 1. The less researched segments, Latent Greens and Potential Greens,
are the segments that have the highest potential as they are still untapped (Tracy Tuten (2013).
Considering this gap that prevails in the literature the study focus on the less researched segment – The
potential greens and the Latent greens. The research focused on measuring the view of youngsters by
classifying them into relevant segment of green consumers.
Table: 1
Segmentation of Green Consumers
Source: Oliver and Rosen (2010)
This study has categorized youngsters into two groups: Potential & Latent Greens and thereby aimed at
understanding the differences in preferences that these categories have with reference to marketing mix
elements.
Green Product: Products that aim at conserving the environment for future generation by reducing the
negative impact of production process on environment is termed as Green products. In reality no
products can be 100 percent green, but efforts can be made by manufacturers to reduce the negative
impact of production process by using appropriate raw material, reducing the carbon footprint, altering
the packaging methods and lastly providing recycling or appropriate disposal option (Kotler, 2011).
The very first step that can be taken by any manufacturer towards creation of a green product is adopting
a ‘Green design’ (First Carbon Solution (2016)); the product should be idealized as being an
environment friendly product from the inception. Customers have a perception that green products have
substandard quality, so to tackle this issue companies should begin by address the quality concerns.
Besides quality concern customers have perception that green products cannot deliver promised
performance as what can be done by traditional counterparts which leads to obstruction in acceptance
of green products (Tracy Tuten (2013)). Hence, the major challenge that has to be encountered by the
manufacturer is to differentiate their offerings and achieve competitive advantage, so as to prove that
their products are ‘Green’, ‘Qualitative’ and ‘perform better than tradition goods’. These objectives can
be achieved by using environmentally friendly technologies, packing the products in environment
friendly way and having credible green certification and labeling (Ketchen and Slater (2011)). Along
with such initiatives the companies can try for co-creation where the manufacturers are taking
information from suppliers of raw material, customers and other stakeholders while creating green
products (Kotler et al., 2010; Liu et al., 2012; Malhotra et al., 2012)). Online media that have potential
to create dialogues can be utilized to generate responses from the stakeholders (Gupta & Kim, 2010;
Rahbar & Wahid, 2011; Liu et al., 2012). Thus, the literature suggested various strategies that can be
incorporated by manufacturers to attract customers to buy green product, buy are the perceptions of
potential greens and latent greens similar for the product strategy incorporated by the company? To
address this issue the following hypothesis has been created:
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H1: There is a statistical difference in preference of product strategy between potential and latent
greens
Green Price: Green products usually lack economies of scale as a result it becomes difficult for them
to absorb the cost associated with fulfilling environment friendly constraints (Vaibhav Ramesh
Bhalerao et.al. (2015). As a resultant, the prices of green products are higher compared to the traditional
products which makes customer perceive that they are paying more for less with respect to green
products and services (Peattie, 2001). The manufacturers should try to make a point that prices of green
products should not demotivate the customers from buying them (Vaibhav Ramesh Bhalerao et.al.
(2015). It has been pointed in the literature that if price and quality of green product is considered as
equal by the customer then they will prefer choosing a green product over traditional product (Kinnear,
Taylor & Ahmed, 1974). In order to emphases customers that they are not paying more for green
products companies can offer information about total life-cycle cost of their products to non-adopters,
which compares overall utility associated with the product with cost to purchase, use, and dispose of
the product as well as the product’s price. Contrary to the above findings there are researchers who have
mentioned that ecologically conscious consumers are significantly proven to be willing to pay premium
prices for environmental-friendly, i.e. green products. Furthermore, consumers are more willing to pay
premium prices to companies which are known for engaging in more sustainable business processes
(Park & Kim, 2014). This study aims at identifying the potential tactics that can be adopted by
manufacturers to attract potential & latent greens. Strategies that can be adopted by the company would
be generic in nature but are they perceived in a similar manner by two different categories of green
consumers? This research question leads to development of our hypothesis as:
H2 : There is a statistical difference in preference of price strategy between potential and latent greens
Green place: Managing logistics in an efficient way to reduce transportation emissions, thereby
reducing the carbon footprint is a sustainable tactic that can be undertaken by companies. Few
companies are even seen having tie-ups with brick and mortar store retailers for showing that they are
contributing to sustainable environment practices. Using local production and sustainable distribution
channels are various ways of proving that the company is engaged in Green Place (Kotler, 2011).
Various other initiatives include transportation with fuel-efficient loads, using alternative energy
sources, and optimizing distribution routes and making the products available online can be adopted by
green manufacturers. Among various strategies suggested in literature this study aims at finding whether
the perception about green place remains same for these two different groups of green consumers?
Leading to creation of the third hypothesis as:
H3 : There is a statistical difference in preference of place strategy between potential and latent greens
Green Promotion: Many companies with an objective of leveraging ecological consciousness of

customers get engaging in ‘Greenwashing’ – falsely claim made by marketers about product as being
environment friendly (de Vries et al., 2015). This contributes to misperceptions that people have
towards green products thereby making people doubt any promotion that says that the product is green.
In order to prove that the products are green products companies can utilizing less print materials
(Kotler, 2011), give product trial (hands-on trials) and independent merchandising display (Ashley,
Oliver & Zemanek, 2012) these initiatives can help company promote them self positively and lead to
positive word of mouth about the product. The companies can even explore the potential that lies in
social media communication as now a day’s consumers are more informed that earlier. A horizontal
form of communication can be used by companies where consumers engage in the creation of
promotional activities, since consumers trust towards professional promotional activities is
continuously decreasing (Kotler et al., 2010; Achrol & Kotler, 2012; Liu et al., 2012; Kimmel, 2015;
Susilo et al., 2015). The objective of promotional message should be to educate the mass about the
product thereby encouraging them to adopt green products rather than just selling them (Iles, 2008;
Luchs et al., 2010: Rahbar & Wahid, 2011; Ansar, 2013; McDonagh & Prothero, 2014).The research
here based on literature has identified various promotional tactics that can be adopted by green
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manufacturers and tried to measure the if their lies any difference in the preferences of potential and
latent greens, thus the fourth research hypothesis was:
H4: There is a statistical difference in preference of promotion strategy between potential and latent
greens
RESEARCH QUESTIONS AND OBJECTIVES
The literature above highlights the fact that strategic changes from manufacturers perspective can lead
to change in perception of consumers and thereby purchase intentions for Green Products. Thus, this
study seeks to address the questions such as - Which strategy can attract ‘Potential and Latent Greens’
towards purchase of green products? Can modification of marketing mix lead to change in attitude of
‘Potential/Latent greens’ towards green product? And lastly the research aims at identifying the
differences in preferences among ‘Potential and Latent Greens’ with reference to marketing mix. Based
on these research questions the following objective has been made: To identify if differences exist in
preferences of marketing mix elements among potential and latent greens.
METHODOLOGY OF RESEARCH
A research report by ‘Green Purchasing Network of India’ having a sample size of 2051 Indian
consumers identified that 90% of the respondents were aware of the term ‘green’ or ‘ecofriendly’
product. Considering this as a base for calculation of sample size, the formulae of sample size based on
proportion was administered. Statistical formula used to determine the quantitative sample size is given
below:
n = Z2 P (1-P)
d2
Where,
n = Sample size
Z2 = Confidence Interval
P = Estimated proportion
d = Desired precision
In the research, confidence interval was taken as 95% and hence z = 1.96, P (Estimated proportion) has
been assumed as 0.90, which means that (1- P) = (1-0.90) = 0.10. Desired precision has been taken as
0.50. Hence, the desired sample size as per the formulae was 139 respondents. Online questionnaire
was created for the survey which was sent to youngsters in the age group of 18-30. A non-probability
convenience sampling method was adopted to collect the data. The online survey forms were sent to
nearly 250 youngsters of them 190 responses were received. After removing the questionnaires which
had missing data, for the purpose of this study 171 responses were considered for final analysis.
DATA ANALYSIS
Reliability Analysis:
Reliability test can be used as a measure that signals the consistency and stability of the instruments
used in the survey when repeated measurements are made Cavana et al. (2001), one of the popular
approach to measure reliability test is to use Cronbach alpha. The value of Cronbach alpha with the
range of greater than 0.70 is considered acceptable and good (Cavana et al., 2001). Cronbach alpha for
the variables under study were calculated in SPSS 21, all are above 0.70. Cronbach alpha for the
construct ranged from lowest of 0.775 (Price Strategy), 0.840 (Place strategy), 0.901 (Promotion
Strategy) and highest being 0.935 (Product Strategy). Thus, the outcomes conclude that the
measurement scales of the constructs were stable and consistent in measuring the constructs.
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Demographics:
The survey had respondents in the age group of 18-30, of them 53.6 % were male while 46.4% were
female. 57.5% respondents of 171 were post graduates followed by 41.4% being graduates. 63.5%
respondents were studying while only 29.3% were engaged in some job.
Hypothesis Testing Results:
To serve the objective of measuring if differences exist in preferences of marketing mix among potential
and latent greens, Independent sample t- test was administered. Before doing the analysis all the
assumptions of Independent sample t- test were checked. The detailed results of Independent sample t-
test for elements of marketing mix for the two groups of green customers are elaborated in results
session along with the test results in Table 2 & 3 respectively.
Table: 2
Descriptive Statistics Associated with marketing mix elements
Type of Green
N M SD Skew Kurtosis
Customers
Product Strategy
Potential Greens 96 1.78 0.602 0.123 0.141
Latent Greens 75 1.93 0.475 -0.114 0.530
Price Strategy
Potential Greens 96 1.90 0.607 0.339 0.931
Latent Greens 75 2.03 0.677 0.236 0.029
Place Strategy
Potential Greens 96 1.83 0.643 0.166 -0.604
Latent Greens 75 1.79 0.576 0.034 -0.268
Promotion Strategy
Potential Greens 96 1.89 0.647 0.111 -0.589
Latent Greens 75 1.84 0.546 -0.093 0.143
Source: SPSS 21.0
Table: 3
Results of Independent Sample Test Associated with marketing mix elements
Levene's Test for
Equality of t-test for Equality of Means
Independent Samples Test Variances
F Sig. t df Sig. (2-tailed)
Product Equal variances assumed 8.620 .051 -1.795 169 .074
Strategy Equal variances not assumed -1.848 168.980 .066
Price Equal variances assumed 0.184 .669 -1.330 169 .185
Strategy Equal variances not assumed -1.312 149.942 .192
Place Equal variances assumed 0.531 .467 .492 169 .623
Strategy Equal variances not assumed .499 165.809 .618
Promotion Equal variances assumed 1.508 .221 .487 169 .627
Strategy Equal variances not assumed .497 167.941 .620
Source: SPSS 21.0
Results: 1
Product Strategy
The Potential Greens (N=96) was associated with a product strategy having M = 1.78 (SD = 0.602) and
the Latent Green was associated with a numerically larger product strategy of M = 1.93 (SD =0.475).
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As mentioned above to test the hypothesis that the potential greens and latent greens were associated
with statistically significantly different mean for product strategy preferences, an independent sample
t-test was performed. As can be seen in Table 2, the potential green and latent green distributions were
sufficiently normal for the purpose of conducting a t-test (i.e. Skew < 2.0 and Kurtosis < 9.0; Schmider
Ziegler Danay Beyer & Buhner (2010). Additionally, the assumption of homogeneity of variance was
tested and satisfied via Levene’s F test, F (169) = 8.620, p=0.51. The independent sample t-test was
associated with value of, t (169) = -1.795, p = 0.74. Thus the latent greens were associated with a
statistically significantly larger means for product strategy than potential greens.
Results: 2
Price Strategy
The Potential Greens (N = 96) was associated with a price strategy, M = 1.90 (SD = 0.607) and the
Latent Green was associated with a numerically larger price strategy M = 2.03 (SD = 0.677). So as to
test the hypothesis that the potential greens and latent greens were associated with statistically
significantly different mean for price strategy preferences, an independent sample t-test was performed.
As can be seen in Table 2, the potential green and latent green distribution was sufficiently normal for
the purpose of conducting a t-test. The assumption of homogeneity of variance was tested and satisfied
via Levene’s F test, F (169) = 0.184, p = 0.669. The independent sample t-test showed a value of t
(169) = -1.330, p = 0.185. Thus the latent greens were associated with a statistically significantly
larger means for price strategy than potential greens.
Results: 3
Place Strategy
The Potential Greens (N = 96) was associated with a place strategy M = 1.83 (SD = 0.643) and the
Latent Green was associated with a numerically smaller place strategy M = 1.79 (SD = 0.576). An
independent sample t-test was performed to test the hypothesis that the potential greens and latent greens
were associated with statistically significantly different mean for place strategy preferences. Descriptive
statistics result can be seen in Table 2, which shows that the potential green and latent green distribution
was sufficiently normal for the purpose of conducting a t-test. Additionally, the assumption of
homogeneity of variance was tested and satisfied via Levene’s F test, F (169) = 0.531, p = 0.467. The
independent sample t-test was not associated with a statistically significant effect, t (169) = 0.492, p =
0.623. Thus the potential greens were associated with a statistically significantly larger means for
place strategy than latent greens.
Results: 4
Promotion Strategy
The Potential Greens (N=96) was associated with a promotional strategy M = 1.89 (SD =0.647) and the
Latent Green was associated with a numerically smaller promotional strategy with M = 1.84 (SD =
0.546). To test the hypothesis that the potential greens and latent greens were associated with
statistically significantly different mean for promotional strategy preferences, an independent sample t-
test was performed. Table 2 highlights the descriptive statistics which proves that the potential green
and latent green distributions were sufficiently normal for the purpose of conducting a t-test.
Additionally, the assumption of homogeneity of variance was tested and satisfied via Levene’s F test,
F (169) = 1.508, p=0.221. The independent sample t-test results were, t (169) = 0.487, p = 0.627. Thus
the potential greens were associated with a statistically slightly larger means for promotion strategy
than latent greens.
MANAGERIAL IMPLICATION
Green manufacturers are facing difficulties is making their products acceptable to masses owing to
various reasons stated in the literature above. This research aimed at identifying the basic that a
manufacturer has to implement while selling the product to customers i.e. the marketing mix elements
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(4Ps). After doing the careful analysis of the data that has been collected from the youngsters it was
observed that their opinions for different elements of marketing mix were different. The analysis
revealed that perceptions of potential greens are different from that of perceptions that are there in the
mind of latent greens which means that while drafting the marketing mix strategies the companies
should actually do proper segmentation of customers and necessary strategies should be devised, failing
to which the acceptance of green products would be very low.
LIMITATION AND FUTURE RESEARCH
This research has taken its base from the model created by Oliver and Rosen (2010), which classifies
green consumer into four categories and the researcher, has focused the study only on potential and
latent greens, a further research focusing on the other two types can be considered for future. The
research here focuses on the marketing mix elements (4Ps) only which can be further elaborated to
service marketing mix for green services. The study here has focused on youngsters only people in other
age brackets and other occupational background can be considered for future study. A further study
considering each element in detail with reference to purchase behavior can be considered so as to give
an elaborated idea about strategies that can be devised by green manufacturers.
REFERENCES
[1] 5 Effective Green Marketing Strategies - Adec Group - Web Development Team -
https://www.firstcarbonsolutions.com/resources/newsletters/july-2016-effective-green-
marketing-strategies/5-effective-green-marketing-strategies/
[2] Communicating Green Products to Consumers in India to promote Sustainable Consumption and
Production. (n.d.). Retrieved from http://switch-greenretail.in/publication/article-on-green-
products/wppa_open/ Research Project conducted by: Green Purchasing Network of India
[3] https://2012books.lardbucket.org/books/sustainable-business-cases/s10-01-green-marketing-
strategy-and-t.html
[4] Oliver, J. (2013). Promoting Sustainability by Marketing Green Products to Non-
Adopters. Gestion 2000, volume 30,(3), 77-86. doi:10.3917/g2000.303.0077.
[5] Tuten, T. (2013). Promoting Sustainability by Marketing Green Products to Non-
Adopters. Gestion 2000, volume 30,(2), 93-102. doi:10.3917/g2000.302.0093.
[6] Vaibhav, Ramesh & Bhalerao, Vaibhav & Deshmukh, Anand. (2015). Green Marketing:
Greening the 4 Ps of Marketing. International Journal of Knowledge and Research in
Management and E-Commerce. 5. 5-8.
[7] Warrink D. The Marketing Mix in a Marketing 3.0 Context accessed from
https://essay.utwente.nl/67347/1/Warrink_BA_MB.pdf
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PCM136
WHY ENTREPRENEURS DO WHAT THEY DO?
Parshotam Makhija
Research Scholar
GD Goenka University, Gurugram, India
Parshotam.makhija@gdgoenka.ac.in
Abstract
Action speaks. So do entrepreneur’s actions or premeditated inactions. What makes entrepreneur chase
only few out of several entrepreneurial activities on daily basis? Again why does he change his track and
chase different activities at different points of time as his enterprise evolves? Case studies of some
successful and not so successful entrepreneurs bring out the strategic intents behind such actions and
inactions of the entrepreneur.
Key words: strategic intent, time and effort devotion, organization performance
INTRODUCTION
There has been little research in Entrepreneurship when compared to other topics in Management. Again,
most of such research has looked at the enterprise rather than entrepreneur. Any attempt to understand
enterprise while ignoring the key force behind its creation and evolution, namely the entrepreneur, would
be incomplete as all his actions and inactions generally leave a lasting impact on the shape, health and very
existence of his enterprise.
OBJECTIVES
Key objective of the present research is to find out why entrepreneurs decide to spend their time and efforts
to certain activities at certain point of time.
LITERATURE REVIEW
Paul Westhead et al. (1998) identified entrepreneur to be a subject of study independent of his enterprise.
He however, didn’t examine an entrepreneur’s individual behaviour as separate from his enterprise. Factors
like ambitions and career aspirations impact an entrepreneur’s priorities and it is not uncommon to see these
priorities change with time. So how does an entrepreneur translate his ambitions into entrepreneurial goals
and how does he script these goals in the form of time specific task lists? In other words, why does an
entrepreneur spend his time and effort on certain activities at certain time?
Priorities of an Enterprise
Choosing a correct marketing strategy is not easy. While a focused marketing strategy was recommended
by certain scholars (Hosmer 1957, Cohn and Lindberg 1972, Broom and Longenecker, 1979), Porter (1980)
suggested three alternate marketing strategies of differentiation, focus and low cost. Summarizing the
contradicting recommendations of the researchers, Tom Wesson et al. (2001) found contingency approach
to be most appropriate as it would be incorrect to adopt same strategy in all cases without having regard to
the context which varied by the case. Apart from examining the alternate strategies, work of all these
researchers nevertheless highlights the importance of market approach and the customer acquisition.
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Life cycle of an Enterprise

Five stages of a firm’s evolution, namely Creativity, Direction, Delegation, Coordination and Collaboration
were suggested by Greiner (1972). Ian Hunter (2005) opined that the management research had not
sufficiently assessed the role of an entrepreneur in shaping up his organization. He looked at life cycle of
an entrepreneur and suggested various stages of his entrepreneurial career. While Greiner’s (1972) work
establishes stages of an enterprise evolution, these are commonly found in large and mostly listed
organizations. Many of these stages are not distinctly identifiable in most small yet successful and growing
enterprises. Therefore, we need to consider such time points denoting growth milestones that could be easily
identified and recollected by small entrepreneurs during their behavioural study.
Patterns of time devotion by an Entrepreneur

Eileen Fischer et al. (1997) categorized time devoted by entrepreneurs to multi-tasking, attention to
selective customers or employees and systems and processes. Arnold Cooper et al. (1997) concluded that
the entrepreneur devoted more or less time on certain activities depending on their technical or
administrative background. Susan Mueller et al. (2012) studied time devotion of start up and growth
entrepreneurs and highlighted the importance of communication as an activity the entrepreneurs spend
considerable time on. These studies however, did not bring out the strategic intents behind time devotion.
These studies also did not look at the effort or intensity of entrepreneurial action while focusing on any
particular activity.
Research Gaps
Although some studies have quantified the time devoted by an entrepreneur to various activities, these have
either related the time devotion to entrepreneur’s background or the stage of enterprise evolution. No
research has gone into the objectives behind choosing or ignoring certain activity or dynamic pattern of the
time and effort devotion of an entrepreneur.
Research Questions
Following questions emerge from the review of related literature:
(a) How do entrepreneurs devote their time and efforts?
(b) Why do entrepreneurs devote their time and efforts the way they do?
(c) Do patterns of time and effort devotion by entrepreneurs remain constant over a period of time?
Proposition:
Everything an entrepreneur does has an objective. Therefore finding what he does is not enough. We need
to understand the intent behind these actions. Since an organization survives and grows on a customer, the
most important task for a new entrepreneur is to acquire a customer and then to retain him. The core activity
of every enterprise is therefore to acquire a customer, satisfy him and then acquire another one. Acquisition
of another customer would include getting repeat order from an existing customer, retention of a customer
being cheaper and easier than acquiring one. As entrepreneur acquires and satisfies one customer after
another, he repeats the cycle of delivering value to the customer. With each iteration, he improves his cost
and operational efficiency enhancing the value for the customer or improving his margins. He continues to
accelerate this cycle of acquisition and retention, debottlenecking and growing capacity in the process.
Once he reaches optimum utilization of his resources, he looks outside for new opportunities, new
landscape, creative collaborations and thinks out of box. Researcher’s 30 years of industry experience and
interaction with thousands of entrepreneurs worldwide showed that the entrepreneurs spent their time and
efforts on different activities at different time points of their enterprise evolution. While 3 key time points
of first year, stability phase and growth phase were clearly visible, some strategic intents driving these
ISBN: 978-93-5351-069-5 174

activities were also obvious. These were customer acquisition, customer retention, capacity growth and
lateral growth. Whatever an entrepreneur did could be grouped into one of these strategic intents. The
proposition emerging from this observation and experience is:
(a) Entrepreneurs have strategic intents of customer acquisition, customer retention, capacity growth
and lateral growth;
(b) Entrepreneurs spend their time and effort on different activities at different time points depending
on the stage of evolution their enterprise is in; and
(c) The patterns of time and effort devotion by the entrepreneurs are dynamic.
Entrepreneurial activities were grouped as ‘internal’ and ‘external’ by Van de Ven et al. (1984). While their
research did not lead to clear findings due to various reasons, they did attempt to logically group the
scattered activities. Present study aims to group the entrepreneurial activities in four strategic intents behind
such activities namely, customer acquisition, customer retention, volume growth and lateral growth.
Case study method of qualitative research was used since the key question sought to be answered was ‘how’
the entrepreneurs spent their time and efforts and ‘why’ (Yin, 2014). Multiple cases, some of successful
and others of not so successful entrepreneurs were selected in order to make study more robust (Herriott
and Firestone, 1983). Following a predefined protocol including the field procedure, indepth interviews
with the entrepreneurs were set up to obtain the required information and analyze the same in the light of
context existing at relevant time points.
Selection of Time Series

Growth takes time. Enterprises take varying length of time to grow but the growth process is more or less
same. It is necessary to take some time points on the growth continuum to understand how entrepreneur’s
behaviour changed in the process. While Greiner (1972) proposed five stages of growth, these were more
relevant for studying the corporate behaviour of large organizations than an entrepreneur of micro, small
or medium enterprises. Cooper (1979) observed three stages of early period namely start-up, early growth
and later growth. Similarly, Quinn and Cameron (1983) divided firm’s life cycle in four stages. Ian Hunter
(1995) came up with five stages of new venture creation. The present study doesn’t aim to study entire life
cycle of an enterprise from its conception to extinction but certain operational time points of low activity
(named as first year of operation), stable activity (named stability phase) and high activity (named growth
phase).
DISCUSSIONS AND FINDINGS

A total of 8 cases, selected on specific characteristics as detailed below, were studied following a rigorous
protocol:
Table 1: Attributes of selected cases
Sector Success level Number of cases
Manufacturing High 2
Trading High 1
Services High 1
Manufacturing Low 1
Trading Low 1
Services Low 1
Trading Negative 1
Source: Prepared by the author
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The logic behind selecting multiple cases was not that of sampling where several units having identical
characteristics are studied. The activities an entrepreneur indulges in vary by the sector. For example an
entrepreneur in manufacturing business spends time on the shop floor, observing machine working,
studying quality reports and discussing these with his team, evaluating alternate raw materials and inputs
in order to achieve cost efficient and high performing product etc. A trader on the other hand spends his
time and efforts on arranging and refreshing product display, attending to walk-in customers, scouting
market for high margin and high demand products and managing his inventory. Similarly, a service
provider engages in activities of negotiating an assignment or job with the customer, executing the task,
traveling on and off site etc. Thus, it was necessary to study cases from manufacturing, trading and service
enterprises to understand myriad activities the entrepreneurs of these sectors engage in and then group these
appropriately into the strategic intents behind such activities. 4 cases of entrepreneurs known to be highly
successful, 3 of low success and one of failure were studied to find literal replications of the proposed
patterns if any and understand the reasons behind divergent patterns.
Using a template, the entrepreneurs were asked about the year they started operations, the year or years in
which they felt confident of settling down in the business or broke even and the year or years they grew the
most. Having identified these time points, they were asked to state the key activities they indulged in during
first year of their enterprise, the stability phase and growth phase. Each answer was followed by enquiry as
to the reason behind each activity, the intensity of time or effort and the outcome of these activities. The
total daily time devoted by the entrepreneurs to their business at each of these time points was also captured
and attempt was made to reconcile the time devotion to various activities with total time devoted to the
enterprise. While the cases were selected based on prior knowledge of the researcher about perceived
success of the entrepreneur, the same was double checked by enquiring about several non-financial
performance parameters (Makhija 2019) existing at each time point. The enterprise performance was further
validated by taking a tour of the organization and looking at the level of business activities and resources
like people, machines and materials at work.
Activities on which the entrepreneurs reported devoting time and effort were grouped into strategic intents
of customer acquisition, customer retention, volume growth and lateral growth. Combined study of patterns
emerging from all cases led to the following conclusions:
(a) Irrespective of the sector they operate in, the entrepreneurs devote their time and effort on several
activities with the strategic intent of customer acquisition, customer retention, capacity growth or
lateral growth.
(b) Extent of time and effort devotion to different strategic intents varies by the time point and by the
organization performance.
CONCLUSION
Entrepreneurial orientation is known to be important but understanding how it actually works and makes a
difference is all the more important. The study brings out baby steps entrepreneurs actually take in
pursuance of their entrepreneurial goals using their skills and orientation to create, stabilize and grow their
enterprise. Further research is underway to lay down a theory of time and effort devotion that would guide
young entrepreneurs where to focus, when and why.
REFERENCES
[1]. Arnold Cooper, Mohan Ramachandran & David Schoorman (1997), Time allocation patterns of
craftsmen and administrative entrepreneurs: implications for financial performance.
Entrepreneurship- Theory & Practice. 22, 123(1).
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[2]. Broom, H.N., & Longenecker, J.G. (1979), Small Business Management. Cincinnati, OH:
Southwestern.
[3]. Cohn, T. & Lindberg, R.A. (1972), How Management is Different in Small Companies. NewYork:
American Management Association.
[4]. Eileen Fischer, A. Rebecca Reuber, Moez Hababou, William Johnson and Steven, (1997), Special
issue on time and Entrepreneurship, Entrepreneurship Theory and Practice. 22, No.2.
[5]. Greiner (1972), Evolution and revolution as organizations grow. Harvard Business Review, July-
Aug.
[6]. Herriott R.E. & Firestone W.A. (1983). Multisite qualitative policy research: Optimizing
description and generalizability. Educational Researcher , 14-19.
[7]. Hosmer, A. (1957), Small manufacturing enterprises. Harvard Business Review. 35(6), 111–122.
[8]. Ian Hunter (2005), Risk Persistence and Focus: A life cycle of th entrepreneur, Australian
Economic History Review. 45(3), 244-272.
[9]. Makhija, Parshotam (2019), Measuring Organization Performance sans Financial Data, Accepted
for presentation at Biennial Conference on Entrepreneurship, Ahmedabad, February 2019
[10]. Paul Westhead & Mike Wright, (1998), Novice, portfolio, and serial founders: are they different?
Journal of Business Venturing. 13, 173-204.
[11]. Porter, M.E. (1980), Competitive Strategy. New York, NY: The Free Press.
[12]. Quinn R.E. & Kim Cameron (1983). Organizational life cycles and shifting criteria of effectiveness:
Some preliminary evidence. Management Science , 29, 33-51.
[13]. Susan Mueller, Thierry Volery & Björn von Siemens (2012), What Do Entrepreneurs Actually Do?
An Observational Study of Entrepreneurs' Everyday Behavior in the Start-Up and Growth Stages.
Entrepreneurship- Theory & Practice. 36, 5, 995-1017.
[14]. Tom Wesson, Joao Neiva De Figueiredo (2001), The importance of focus to market entrants: A
study of microbrewery performance. Journal of Business Venturing. 16, 377-403.
[15]. Van de Ven, A.H., Hudson, R., & Schroeder, D., (1984), Designing new business startups:
Entrepreneurial, organizational and ecological considerations. Journal of Management. 10, 87-107
[16]. Yin, R. K. (2014). Case Study Research - Design and Methods. Thousand Oaks, California: Sage
Publications, Inc.
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PCM019
AN ASSESSMENT OF 360 DEGREE PERFORMANCE APPRAISAL
SYSTEM- A STUDY WITH SPECIAL REFERENCE TO PRIVATE
BANK
Prof. (Dr) JagrutKumar K. Vasavada
Associate Professor,
NRVIBMS, Junagadh.
jagrut43@gmail.com
8866151063
Abstract
The 360 Degree performance appraisal is most commonly used to evaluate performance level of the
employees. This method is very reliable because the evaluation is done by different members
working in an organization. This analysis helps to find a solution to the problem that arises. An
appraisal can be made by top management people, superior, subordinate, peers, and customers. It
is a full circle system of obtaining information from internal as well as ex ternal sources of an
organization. This feedback will focus on developmental efforts of an individual and group. The
satisfaction level of employees and retention level of employees who undergo this feedback
assessment process is the determinant factor of outcome.
Keywords: 360 Degree Feedback, Internal and External Sources, Satisfaction, Retention
INTRODUCTION
A performance appraisal is a process of evaluating employee performance based on work done by

them. A performance appraisal is a formal and structured way of getting interaction between both
subordinate and supervisor. The periodic interview helps to assess the employee’s performance on
annual or semi-annual basis based on the organization. In order to achieve organizational goals and
sustaining its growth is a difficult task in present situation. The performance of each and every
employee is mandatory to achieve organizational goal. The performance evaluation should be a
continuous process to great extent. It is one the critical areas of HRM. It is helps to find a solution
to the problem that arises in an organizational context.
STUDY VARIABLES
The study includes demographic variables such as Age, Gender, Qualification, Designation,
Experience, Income and the independent factors such as Self-Management, Learning, Action,
Performance, Quality, Customer Focus and Decision Making. To measure the 360-degree performance
Appraisal, the variables were used which lead to the Outcome variables viz., Satisfaction Level and
Retention.
PROBLEM STATEM ENT
The problem that arises in performance appraisal system is what method has to be implemented and
when to evaluate the performance of the employees and whose performance had to be measured within
the organization. This performance appraisal system had difficulty in identifying the problem and how
to solve that problem to achieve results.
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CONCEPTUAL FRAMEWORK
Variables
Independent Factors
Satisfaction
Action
Performance
Appraisal
Quality of work
Customer Focus
Problem Solving
RESEARCH OBJECTIVES
 It is study that the relationship between demographical factors with performance appraisal
 To identify the independent factors and performance appraisal among the private banking
sector.
 To study performance appraisal with independent factor.
 To identify the effect of performance appraisal system on the upshot result.
METHODOLOGY
This study is mainly based on the analysis made from the data collected. The data will be primary in
nature with a sample of 80 collected from private banks in Trichy. The tools used for the analysis are
ANOVA, Chi-Square, Regression, and Correlation. The outcome of this study is intended to be
Satisfaction Level and Retention.
RESEARCH SCOPE & LIMITATIONS
Scope of 360-degree performance appraisal will help to take a strategic decision with
organizational goals to with stand-in competitive environment. The performance appraisal helps
HR to build a better understanding of competitive advantage as well as disadvantage of available
resources. The Study is depended on 80 sample collected for select selected private at Trichy.
SETTING HYPOTHESIS
 There are no such relation between demographical factor & performance appraisal.
 Character feature does not differ with the demographic distinctiveness of the respondents.
 There is no significant effect of individual factors on performance appraisal.
 No association between performance appraisal & upshot variables.
Manuel London, Edward M. Mane, John C. Scott (2004). This paper deals with performance
appraisal systems in organizations and evaluate how it follows the principle of management support
by wide research in organizational psychology & HRM. This paper mainly focus on 2 key elements
of pms such as time accuracy and goal set.
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Michael E. Gordon, Lea P. Stewart (2009). In this paper author describes clearly about
dissatisfaction level with performance appraisal methods and it is widespread with no consensus
about an outcome of the problem. The AI is a communicative act with situated outcomes, this
communication theory will offer to a reassessment of the AI process.
G Meenakshi (2012). This paper focus on internal and external customers which emphasis on
different dimensions of performance (leadership, innovation, teamwork, initiative, emotional
intelligence, entrepreneurship, etc.). This paper will evaluate the performance of any individual
based on their skills and often they include examples and evidence to support this information
system.
Silva Karkoulian (2010). This paper discuss deploying effective strategies and analyse how it
support knowledge sharing activities. This effective appraisal system acts as the primary concept
for the measurement of management change. Appraisal system occupies a major role in human
resource management in the organization.
Sara Rynes, Arthur Brief, and James Walsh (2008)In this project, Friedman describes how American
companies are hiring Indian to various job sectors like x-rays, in a financial company, a computer
experts in many other sectors of their domestic services into international services.
Nystrom, David C. (2001). This paper evaluate leadership development and performance appraisal.
360-degree feedback is a powerful multi-dimensional leadership development tool which will
provide better output. Research in 360-degree feedback reveals effective conditions, design and
implementation considerations, and four categories of potential benefits.
Deanna Geddes, Alison M Konrad (2003). The author reveals the effectiveness of similarity and
dissimilarity on perceptions of performance appraisal reactions to negative feedback. When
organizational members accept task-relevant feedback, then they must follow or modify their
behaviour in the way of organization’s future growth.
Kuttner A, Achenbach S, Becker C (2005). This paper presents a performance evaluation of

employees who recently introduced dual-source computed tomography system, which will be
equipped with two X-ray tubes and two corresponding detectors, mounted onto the rotating gantry
with an angular offset.
Ms. Daphne T. Fernandes, Dr. Vijay Pithadia (2012). The author deals with performance appraisal,
it is the process of obtaining, analysing and recording information about the relative factor of an
employee. A performance appraisal takes into account the past performance of the employees and
focuses on how to improve the future performance of the employees.
Harvie Ramsay, Dora Scholarios and Bill Harley (2000). This paper focus on high- performance
work systems that have a direct relationship between management practices and performance
outcomes. This paper utilizes data from the survey conducted to construct indicators of
employment outcomes and of organizational performance.
G. A. Bhosale, Dr. R. V. Kulkarni (2013). This researcher considers all over the world and they
are continuously working on finding out an efficient way to measure the performance of the
employee. Various employment decisions like promotions, terminations, transfer depend upon the
performance evaluation method. All these factors are commonly used to evaluate a teacher’s
performance.
Stefanie K. Halverson, Scott Tonidandel, Cassie Barlow, Robert L. Dipboye (2002) This study
investigates the relationship between promotion rate and self-supervisor, self-peer, and self-
subordinate agreement on a leadership scale. We found that agreement between self and
subordinate was more important in predicting promotion rates.
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Nelson U. Alino, Gary P. Schneider (2012) This project proposes that budgets and control systems
that are implemented as a part of the management accounting structure of an organization which
can reduce conflict in the decision-making process by small groups. Existing research on group
decision-making behaviour which defines conflict as disagreement about decisions or differences
in viewpoints, ideas, and opinions.
Davis James h. & Mayer Roger C. {1999} this project deals with the importance of trust within the
organization. It is significant for equally academic and sensible reasons to know how to construct
belief amongst human resources. The authors believe the connection between performance
appraisal & trust.
Douglas Cederblom (1982). This paper organized and examines accumulate findings of the
research concerning the process. Building this model is very difficult and a review made of several
aspects of the appraisal interview as they are affected by the employee and employee’s job.
Anthony Anderson, Shawn M. Carraher (2011). This paper talks about Customer satisfaction and
service. It also Analyses Industries and Competitors. Porter’s thesis was that there were only two
ways to compete successfully that is Cost Leadership and Differentiation. He called these “generic
competitive strategies.” Porter also offered a matrix of these strategies.
Mir & Watson, Priem & Butler (2001). This paper deals with a resource-based view which stressed
the importance of barriers in resource imitation and in particular scenario of causal ambiguity.
Causal ambiguity is not used in any form because it is not an effective one. This may arise because
a competence is complex when working in the system.
DISCUSSION WITH ANALYSIS
NO:1: Respondent’s demographical profile

S.
Demographic Factors
No
Age ( in 20-30 30-40 40-50 Above 50
1. years) 22 39 17 2
% 27.5 48.8 21.2 2.5
Male Female
Gender
2. 37 43
% 46.2 53.8
Diploma UG PG Others
Qualification
3. 0 38 42 0
% 0 47.5 52.5 0
Financial Loan
Cashier Clerk Financial Analyst PO SO
Designation manager office
4. 11 17 8 1 16 18 9
% 13.8 21.2 10.0 1.2 20.0 22.5 11.2
1 to 10 year 11to 20 year 21 to 30 year Above 30 year
Expe.
5. 47 30 0 3
% 58.8 37.5 0 3.8
Below 20000 21000-30000 Rs 31000- 40000 Rs Above 40000 Rs
Income
6. 16 29 23 12
% 20.0 36.2 28.8 15.0
Above chart depict it 48.8% of respondents are in the between 15 to 30year. It also shows that
53.8% of respondents are female & remaining of respondents is male. 52.5% of the respondent's
qualification is PG & remaining of respondents is UG.
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No. 1 table also depicts 13.8% of the respondents were a cashier, 21.2% were a clerk, 10% was a
financial analyst, 1.2% was a financial manager, 20% was a loan officer and the rest 22.5% were
PO, 11.2 % SO were a designation. it show that 58.8% of the respondents are 1-10 years, 37.7%
of 11-20 years,0% of 21-30 years, 3% of above 30 years of experience. 36.2% of respondents are
representation an income group of rs.21000 to Rs. 30000.
NO:2: Chi-Square Test between Demographic factors and Performance Appraisal

S.No Factors x 2 Value Sig. Decision
1. Age 34.900 0.000 Accept
2. Gender 0.450 0.502 Reject
3. Qualification 0.200 0.655 Reject
4. Experience 36.925 0.000 Accept
5. Income 8.500 0.037 Accept
(Ho accepted at 5% significance level)
Hypothesis (H 0 ): There is no connection among demographic factors of respondents & the

performance appraisal.
Above slab, it was set up that null hypothesis is rejected (p<0.05) and it was finished that there is a
connection between the demographical factor, femininity and requirement of the respondents with
the performance appraisal. The researcher also finished that there is no association between age,
experience, and revenue of the respondents with that of performance appraisal, since the null
hypothesis is accepted (p>0.05).
NO:3: Independent Factors and the Position of the respondents – One way ANOVA
Independent factor F Significance Value Result

Self-Management 4.22025 0.15975* Accepted
Passion to learn and succeed 4.903 0.045* Rejected
Action 3.5248 0.231* Accepted
Performance 2.95775 0.19625* Accepted
Quality 2.9243 0.135* Accepted
Customer Focus 1.5374 0.3222* Accepted
Problem Solving And Decision 4.555 0.0474* Rejected
Making
Result Orientation 2.64625 0.13425* Accepted
(H0 accepted at 5% significance level)
Hypothesis (H0 ): present is important difference between experience and independent factors of
performance appraisal.
From the above table, it was found that null hypothesis is rejected (p<0.05) and it was concluded
that there is significant between the experience viz., problem-solving and decision making, passion
to learn and succeed of the respondents with the performance appraisal. From the table, the
researcher found that there is a significant difference between the experience of the respondents
and independent factors of performance appraisal such as self-management, action, performance,
quality, customer focus and result orientation 5% significance level (p>0.05).
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NO: 4 : Unstandardized Coefficients of Regression Model – Independent factors and Performance

Appraisal
S. no. Predictors Unstandardized Coefficients

Sig.
B Std. Error
(Constant) -5.67 .794 .479
1 Self-Management .01725 .14275 .535
2 Passion to learn and succeed .0488 0.15025 1.38855
3 Action -0.0288 0.153 0.2618
4 Performance -0.00075 0.13475 0.7335
5 Quality 0.063 0.1053 0.517
6 Customer Focus 0.0144 0.1548 0.3866
7 Problem Solving And Decision Making 0.0154 0.1666 0.6588
8 Result Orientation -0.20525 0.145 0.4757
R=0.769 R Square= 0.591
* = significance at 5%level
Hypothesis (H 0 ): There is no significant effect of independent factors on performance appraisal.
Above results of regression show that the independent factors , self- management, passion to learn
and succeed, action, performance, quality, customer focus, problem-solving and decision making
and result orientation(p<0.05) is not statistically significant toward performance appraisal since
the p-value is greater than 0.05. The R value represents the simple correlation and is 0.769which
indicated a high degree of correlation between the independent factors and performance appraisal.
The R2 value indicated that 59.1% (.591) the variance in the dependent variable “Performance
appraisal”, is explain by the free factor.
NO: 6 : Chi-Square Test between Performance Appraisal and Outcomes
2
S. no Factor Value Sig Decision
1. Retention 19.94 .024 REJECT
2. Satisfaction level 36.667 0.0003 REJECT
(* = Ho accepted at 5% significance level)
Hypothesis (H 0 ): There is a significant relationship between the performance appraisal and

outcome factors.
The table 5 shows that significance of the chi-square values are less than 0.05, hence the null
hypothesis is rejected and it is inferred that there is no significant relationship between performance
appraisal and outcomes – Retention and Satisfaction level.
NO:6 : Unstandardized Coefficients of Regression Model – Performance Appraisal & outcome

(Retention & Satisfaction level)
S. No Predictors Unstandardized Coefficients Sig.

B Std. Error
(Constant) -0.176 .565 .757*
1 Retention .003 .104 .325*
2 Satisfaction level -.0535 .121 .251*
R= 0.498 R Square= 0.248
Hypothesis (H 0 ): Hypothesis (H 0 ): There is no significant effect of performance appraisal on
the outcome factors.
The above table shows that the R-value which represents the simple correlation and is 0.498 which
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indicated a high degree of correlation between the outcome factors and performance appraisal.
The R2 value indicate that 24.8 % (.248) of the variance independent variables “Retention
and Satisfaction level” is explained by the independent variable viz., performance appraisal. From
the table, it can be inferred that there is (p<0.05) statistical significant effect of performance
appraisal on the outcome factors viz., Retention and Satisfaction level.
MAJOR FINDINGS
Researchers found that 48.8% of respondents are in the age group of 15-30years.
The table also shows that 53.8% of respondents are female and the rest of respondents are male.
52.5% of the respondent's qualification is PG and the rest of respondents were UG. The analysis
also reveals that 13.8% of the respondents are a cashier, 21.2% were a clerk, 10% was a financial
analyst, 1.2% was a financial manager, 20% was a loan officer and the rest 22.5% were PO, 11.2 %
were a designation. The above table also shows that 58.8% of respondents are 1-10 years, 37.7%
of 11 to 20 years,0% of 21 to 30 year, 3% of above 30 years of experience of the respondents.
36.2% of respondents are drawing an income amount of rs.21000 to Rs. 30000.
From the analysis made by the researchers, the null hypothesis is rejected (p<0.05) and it was
concluded that there is an association between the demographic factors viz., Gender and
qualification of the respondents with reference to performance appraisal. The researcher also tries
to conclude that there is no association between age, experience, and income of the respondents with
that of the performance appraisal, since the null hypothesis is accepted (p>0.05).
Analysis by the researcher found that null hypothesis is rejected (p<0.05) and it was concluded that
there is significant between the experience viz., problem-solving and decision making, passion to
learn and succeed of the respondents with the performance appraisal. From the table, the researcher
found that there is a significant difference between the experience of the respondents and
independent factors of performance appraisals such as self-management, action, performance,
quality, customer focus and result orientation at 5% significance level (p>0.05).
The outcome of regression shows that the independent factors viz., self-management, passion to
learn and succeed, action, performance, quality, customer focus, problem-solving and decision
making and result orientation(p<0.05) are not statistically significant towards performance
appraisal since the p-value is greater than 0.05. The R value represents the simple correlation and
is 0.769 which indicated a high degree of correlation between the independent factors and
performance appraisal. The R2 value indicated that 59.1 % (0.591) of the variance in the dependent
variable “Performance appraisal”, is explained by the independent factors.
The significance of the chi-square values inferred that there is no significant relationship between
performance appraisal and outcomes – Retention and Satisfaction level. The R value which
represents the simple correlation and is 0.498 which indicated a high degree of correlation
between the outcome factors and consumer behaviour. The R2 value indicated that 24.8 % (0.248)
of the variance independent variables “Retention and Satisfaction level” is explained by the
independent variable viz., performance appraisal.
From the table, it can be inferred that there is (p<0.05) statistical significant effect of performance
appraisal on the outcome factors viz. Retention and Satisfaction level.
RECOMMENDATIONS
In this study, the researcher has found the importance of performance appraisal system. The
managers can more easily communicate with their employees that will support o company
objectives of the banking sectors. The data can be maintained to decide salary packages, increment,
pay structure etc. It helps to know the strengths and weaknesses of the resources. To understand
ISBN: 978-93-5351-069-5 184

the interests of the employees for future development. To give feedback to the manpower about
their performance. It will analyse and provide training programs for the promotion of the
employees. In order to collect more feedback so as to ensure justice to the job performed by the
employees.
CONCLUSION
In the present situation, organization will perform some exclusive idea to hit the competitors in the
marketplace in order to sustain their customers. Performance Appraisal is a significant factor that
contributes to increasing the output of an association. 360-degree performance appraisal is also
known as multi-rate appraisals, multi-source feedback. It is an essential process which helps to
receive much feedback from people around them. The success of the performance appraisal
depends on its transparency and clear objectives.
REFERENCES
[1] Manuel London, Edward M. Mone, John C. Scott (2004), “ Performance Management and
Assessment” Vol 43, No.4, Pp. 319-336
[2] Michael E. Gordon, Lea P. Stewart (2009), “Conversing about Performance” Vol 22, No. 3,
Pp 473-501
[3] G Meenakshi (2012), “ Performance Appraisal System using Fuzzy Logic” Vol 3, No.1,
10.5121
[4] Silva Karkoulian (2010), “Effective Appraisal Systems” Vol 5, No 1.
[5] Sara Rynes, Arthur Brief, and James Walsh (2008), “ International Performance
Management and Appraisal” No 13, ISBN 978-0-8058-4948-6
[6] Nystrom, David C. (2001), “360-Degree Feedback – A Powerful Tool for Leadership
Development and Performance Appraisal”
[7] Deanna Geddes, Alison M Konrad (2003), “Demographic Difference and Reactions to
Performance Feedback” Vol 56(12), 1485-1513
[8] Kuttner A, Achenbach S, Becker C (2005), “ First Performance Evaluation” Vol 16, 256-
268
[9] Ms. Daphne T. Fernandes, Dr. Vijay Pithadia (2012), “The Effectiveness of Performance
Appraisal System” Vol 12, No 13, 1001-1012
[10] Harvie Ramsay, Dora Scholarios and Bill Harley (2000), “Employees and High-
Performance Work Systems” Pp 501-531
[11] K. Thaiyalnayagi, 2A.P.prabakaran, “Design And Comparitive Analysis Of Sram Cells
Stability Using 45NM”, International Journal of Innovations in Scientific and Engineering
Research (IJISER), Vol.1, No.12, pp.457-459, 2014.
[12] G. A. Bhosale, Dr. R. V. Kulkarni (2013), “Performance Appraisal of Teaching Staff” ISSN:
2278-621X
[13] Stefanie K. Halverson, Scott Tonidandel, Cassie Barlow, Robert L. Dipboye (2002), “
Agreement on a 360-Degree Leadership Evaluation”
[14] Nelson U. Alino, Gary P. Schneider (2012), “ Conflict Reduction in Organization Design”
Vol 11, No 1
[15] Roger C. Mayer, James H. Davis (1999), “The Effect of Performance Appraisal System of
Trust for Management” Vol 84, No 1, 123-136
[16] Douglas Cederblom (1982), “ The Performance Appraisal Interview” Vol 7, No 2, 219-227
[17] Anthony Anderson, Shawn M. Carraher (2011), “Customer Satisfaction Service” Vol 10, No
1, ISSN 2150-511X
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PCM137
LEARNING AGILITY, ORGANISATIONAL PERFORMANCE AND
ORGANISATIONAL CULTURE: AN EXPLORATIVE STUDY
Mrs. Susmita Ghosh
Research Scholar
School of Petroleum Management Pandit Deendayal Petroleum University
susmita.gphd16@spm.pdpu.ac.in; me.susmita@yahoo.com
Mobile: 7016300340, 7600857098
Abstract:
Learning agility is the capability of learning from different situations & different experiences;
effectively apply that learning in an uncertain rapidly changing economy, through a creative manner.
Learning agile people always ready to take advantage of developmental opportunities and ability to
stretch one’s capabilities, to configure activities quickly, to meet changing demands, to perform
successfully in a new situation. Through literature review this article explores different facets of
learning agility; which have a direct effect on organisational performance. This article also contends
that learning agility and organisational performance can be moderated by organisational culture; which
can help an organisation to get success. To explain the organisational culture here we used the various
elements of OATAPACE culture developed by T. V. Rao. Here, in this paper by developing a model, I
tried to show a relation between learning agility, organisational culture and organisational performance
i.e. overall organisational growth.
Keywords: Learning Agility, Organisational Culture, OCTAPACE, Organisational Performance
INTRODUCTION
In rapidly changing volatile environment, the success and effectiveness of any organisation depends on
the competency, capacity and efficiency of human resources and these human resources are obviously
the active members, who build up other resources, make use of those resources, construct political,
economic and social business and move further for total development of that organisation.
Organisational growth and development depends on the speed & flexibility of individual employees,
their groups and structure; that means only agile employees are required for organisational success &
development.
On the other hand the organisational growth and reformation are considered to raise the effectiveness
and efficiency of human resources by important transformation in organisational formation. Again
organizational restructuring impose new responsibilities and relationships on people and it is the
demand of the organisation that people should learn quickly all these new roles, play all responsibilities
effectively. Therefore the whole concept of development and changes regarding structural &
behavioural of any organisation, focuses on “Learning Agility” of people. Organisational culture also
affects learning and performance (Thomas & Allen, 2006) and the agility of the learners also has a
direct relation with organizational culture and climate.
Therefore, by this research article, I have tried to take an attempt to present an explorative research on
learning agility, culture and organisational performance.
Research Gap:
Sharma & Sharma (2010) said that problems like low productivity levels raised due to the difference
between demand and supply of talented labour and executive, which offset equalize other advantages
also. Clark (1987) orate that due to the cultural norms of Indian society, lower level of efficiency we
can observe in some Indian industries.
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Research Problem
Research Problems of this article are as follows:

✓ Is organisational performance getting affected by learning agility of employees or leaders?
✓ Is learning agility affected by different elements of organisational culture?
✓ Is the relation between learning agility and performance moderated by organisational culture?
Research Objective
The study aims at reviewing literature to explore the relationship of learning agility on organisational
performance. Further, the research also studies the effect of different elements of OCTAPACE on
learning agility of employees and performance.
A collection of published empirical and expert research articles were reviewed to study the concepts of
learning agility and performance. The literature review on culture through OCTAPACE profile also
explores as a moderating variable in between the relation of learning agility and performance.
LITERATURE REVIEW & CONCEPTUAL FRAMEWORK:
Learning agility is nothing but the capability, willingness of learning totally new competencies in order
to achieve success under totally first time, rough, forceful, totally different situations (Lombardo &
Eichinger, 2000). It’s obviously a competency which describes a person’s capability and/or desire for
examining circumstances, which has the flexibility to respond and adjust to meet the demands of that
situation (DeMeuse, Dai, & Hallenback, 2010). Learning agility can help in enhancing both Individual
and organisation performance (Eichinger & Lombardo, 2000). In the context of different managerial
levels, Kaiser and Craig, (2011) found that learning agility is the one most important aspect which
expected achievement throughout lower, middle managers and supervisors levels. It is true for Asian
countries also. Further, promoting learning agility in the organisation requires understanding the role
of several external and internal factors. De Meuse et al., (2012) found that organizational culture, as an
internal factor influence learning agility. Agile leaders can nurture human resources; cheer those human
resources to increase the agility of learning for making growth, development and advancement in their
personal and also in professional life; which may lead to better individual performance and organisation
outcome. Technology as an external factor has also the capability of affecting learning agility.
On the basis of the above context, we propose the following relationship:

Figure1: Conceptual Model
Source: Author’s own.
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Learning Agility
Lombardo and Eichinger, (2000) initiated the learning agility concept in “High potentials as high
learners said about those individuals who have ability as well as willingness to learn totally new
competencies in order to execute under totally new first time, different and difficult situations. Various
studies also reveal that learning agility should be the crucial factor for the leader. According to Echinger
& Lombardo, 2004; Spreitzer, McCall & Mahoney, 1997 the key indicator of potential is nothing but
the learning agility. Therefore learning agility is such competency which explains a person’s ability and
flexibility to respond and adjust to meet demands of that situation (DeMeuse, Dai, & Hallenback, 2010).
Learning agility is defined as the “ability and willingness to learn from experience and apply that
learning to perform successfully in new situations” (Korn Ferry, 2011). According to Swisher (2013),
near about 25% of Fortune 100 and 50% of Fortune 500 companies use learning agility, which is a
major factor for internal and external candidates to identify the leadership potential.
i. Mental agility: Mental agility refers to those people who always think to solve problems from a
new direction; all analysis and explanations are different; always unique, embracing complexity,
staying inquisitive.
ii. Change Agility: Change agility refers to those people who has the curiosity to know more things,
learn more things, and do experiments on continuous basis, enjoys new changes, always they
are the good thinkers, always a new perspectives, diverse type of people, willing to meet
transformation effects, they have the agility to change.
iii. People Agility: People agility refers to those who are very skillful well-known by themselves,
can judge themselves in a different way, treat others positively, can deal with various types of
people, they themselves are diversified in nature, they are always calm and cool under any
uncertain situations, bringing out the best in others
iv. Results agility: Results agility refers to those people who always deliver diversified new result,
influence other people for exploring new things; they have the risk taking capabilities.
v. Self-awareness: Self-awareness refers to those people who are excellent SWOT analyzer about
the cognitive and behavioural features of themselves, always positive for taking feedback from
others; these people are always alert regarding the knowledge of one's own character and
feelings, are conscious of their own limitation, which are far more enthusiastic confess their fault
and identify the requirement to increase more abilities, knowledge and skills.
It is the demand of the organisations that leaders and employees should be flexible and agile for adapting
to new business strategies in time of dealing with various teams with different working cultures and in
time of handling taking new assignments; that means they always want learning agile individual. Again
learning-agile individuals know that experience alone does not guarantee learning; they take time to
reflect, they always try to understand the reason behind any action. (Mitchinson &Morris, 2014).
a. Innovating: High learning agile individuals can create new ideas by which their capability to
study matters from different and multiple angles.
b. Performing: Learning-agile individuals can easily and quickly learn new skills and also can
execute better than their less learning agile employees.
c. Reflecting: Learning-agile individuals focused on information for better understanding their
own assumptions and behaviour.
d. Risking: Learning agile individuals can learn constantly; create self-confidence by widening
themselves out of their comfort area; which is a result of a cycle of continuous success.
e. Defending: To make a security against these upper discussed unintentional critical behaviour,
defensiveness needs to be calculated and understood the positive behaviours correlated with
learning agility.
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Organizational Performance:
Organisational Performance always shows the path, in which way an organisation can reach its mission,
vision and goal. Organisational performance has difference between the objective/goal of the
organisation and actual performance in three areas; financial performance, market performance and
shareholder value. The key implication of findings for managers is that a typical manufacturing
organisation is more likely to achieve better performance in employees’ quality, employees’ relations,
customer satisfaction, operational performance as well as business performance with total quality
management (Samson & Terziovski, 1999).
Gavrea, Ilieş & Stegerean (2011) quoted some illustrations of Lebans & Euske (2006: p. 71) about
organizational performance, as follows:
• Performance is a set of financial & nonfinancial activities which offer information on the degree
of achievement of objectives and results (Lebans & Euske 2006 after Kaplan & Norton, 1992).
• Performance is dynamic, judgmental and explorative.
• Performance is active; it also describes how current actions may affect the future results.
• Performance can understand differently, depending on the person’s participation in the
organisational performance.
• Performance of any organisation can be measured through its numerical results, which is
judgemental.
Organisational Culture through OCTAPACE:
In the decade 1970s, analysis about the concept of organisational culture has begun to start critically.
According to various researchers, so many research works have been conducted as the key role of
culture in organisational development, research and innovation.
Work culture of India shows that for Indian managers most important cultural values are collectivism,
high-powered distance and also affective reciprocity (Dickson & Chhokar, 2000). Organisational
culture or climate is a system of values, believes and shared actions that develops within organisation,
and also guides the behaviours of individuals (Bhagat, 2004). Here we have taken the OCTAPACE
culture to explain the effect of culture on learning of employees, agility and performance.
OCTAPACE cultures consist of values, beliefs, ethics norms, ethos, attitudes, climate, environment and
culture. The 8 dimensions of OCTAPACE culture are openness, confrontation, trust, authenticity, pro
– action, autonomy, collaboration and experimentation which all are very important for strong and
successful organisational culture. Rainayee (2002) in his work of climate or culture on commercial
banks set up that overall level of OCTAPACE values perceived at a moderate level. A culture with
these values has the greater chance of achieving high involvement and satisfaction, team work, growth
and free flow of communication within the organisation. The most important facets of organisational
culture is all of the principles, values & its practices.
a) Openness – It implies the transparent environment in the organization. It assist to get better
performance of organization and free interaction & innovation among team members, leaders
and top authority and make clarity in setting objectives and common goals.
b) Confrontation – The term signifies the actual problems which team face in their daily work
life. It implies to face the problem and find the best solutions to get over it rather than stepping
back to escaping the problems.
c) Trust – The trust factor come with openness which includes maintaining the other companies
confidential information, simplifying the forms and procedure, making higher empathy, and
giving highly support.
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d) Authenticity - It is the value underlying trust. To decrease distortion of communication, and

sharing of feelings freely to improve interpersonal communication. So this value is important
for the expansion of a culture of mutuality.
e) Proactive - Organisation must be proactive in terms of their planning, taking initiative, pre-
planning, and also for taking preventive action is the measure of proactive. Proactive is related
with expecting issues and taking advance step for understanding the conflict and solving those
issues. Planning and taking immediate action in related issues is proactive.
f) Autonomy – Autonomy is the willingness to use the power and helping other whenever is
needed. Basically Autonomy is all about giving and using freedom to plan and act in one’s own
sphere. Organisations must avoid Autocratic type of environment and give chance to team to
use their powers in positive way.
g) Collaboration – For the same reason, all individuals involve working together in a team.
Individuals sharing their concerns, solving problems, making strategies, working out those
strategies in actions and implement together.
h) Experimenting – It is related with innovating approaches to solve several problems.
Experimenting is nothing but the giving emphasis on the importance in innovating and trying
out new ways to deal with several problems of the organisation.
ANALYSIS AND FINDINGS: ROLE OF LEARNING AGILITY, CULTURE IN

ORGANISATIONAL PERFORMANCE
Learning Agility & Organisational Performance:
Eichinger & Lombardo,200; Wagner & Sternberg, 1990; Williams, 1991, all of them in their literatures
suggests a positive correlation between learning agility and performance. Connolly (2001) also found
that learning agility has a significant correlation with their performance. McCall and colleagues (1983)
found that successful performers were better at learning from development and taking challenging
assignments.
Cascio and Aguinis (2008) argued that recruiting of any organisation can help the organisation to reach
its goal by the ability of the performer by predicting the performance.
Kaiser and Craig, (2011) also revealed that the learning agility is the stronn factor for predicting the
success in all three career levels. Wherever it is also proved that learning agility is also a most important
predictor of success for executives than it was for middle managers, executives and supervisiors.
De Meuse, Dai & Tang (2013) in their study revealed that leadership competencies is positively co-
related with learning agility; also this findings has a consistency with the results of Spreitzer et al.
(1997) and Dragoni et al. (2009). It also proved that higher performance, which contributes to greater
career success, has a significant positive co-relation with learning agility.
Allen, (2016) as the result of his study showed that learning agility simulation was significantly co-
related with two ares of employee potential; one is learning from experiences, speed – to – competence
and provided incremental validity over traditional predictors of performance and potential for those
areas of performance.
Howard, (2017) Learning agility has been a very good indicator of high potential, high performance
and long-term success. Learning agility depends on the participant’s age and gender; mental agility,
change agility, people agility, result agility and as well as self -awareness; along with a total
performance.
Drinka, (2018) proves a positive association between subordinate learning agility and subordinate
performance, also shows a positive co-manager-subordinate psychological safety and with subordinate
learning agility.
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Therefore, this discussion leads to present the following proposition:
Proposition 1 (P1): Learning agility has a significant positive relation with Organisational
performance.
Organisational Culture (OCTAPACE) and Learning Agility:
Professor T. V. Rao of IIMA is coined the term OCTAPACE. The real meaning of HRD climate can
be well estimated from the amount of importance which is given to the improvement of OCTAPACE
culture in any organisation. Mufeed and Rafai (20007) stated that the employees’ implementation and
promotion of OCTAPACE values has positive contribution with organisational dynamics and effective
governance.
Every organisation should empower employees; encourage and support them to take decisions without
having fear of negative consequences. Management can conduct brain storming sessions to promote the
experimentation among the employees, also along with the gradual enlargement of duties
(Subrahmanian, 2012)
Sharma & Sharma, (2010) focused that organisational culture i.e. shared values and norms focus on
employees’ attention on organisational main concerns; and also direct their behaviour and decision
making.
Jafri, (2012) studied on OCTAPACE elements for describing the culture of any organisation; which
supported proper training for the employees by maintaining a healthy environment. Again that healthy
environment also boosts the learning agile employees to deal with various problems of existing
employees.
In the research paper of HRD system Mangarai (1999) explained various elements of OCTAPACE; and
also found that OCTAPACE elements have excellent positive and successful impact on employees’
opportunities to communicate their view points in the organisation.
Kumar and Patnaik (2002) studied on 135 postgraduate teachers from various parts of the country to
find out the major relationship between HRD climate, approach towards work, satisfaction of jobs and
role effectiveness and efficiency. The research also focused that the supervisors observation about the
HRD climate is suitable and good value of confrontation should be there.
Panchamia, (2013) stated that there is a high correlation which is positive; the relation is between trust
and confrontation, as well as experimentation and confrontation. It also shows that employees who are
trying new ways and methods to carry out their tasks may require facilitation and support from
organisational culture.
In their empirical research, Bhardwaj and Mishra (2002) found that OCTAPACE culture has a support
of getting high score in performance of those senior level managers.
Through a variety of socialization and communication processes, organisational culture is learned by

group members who pass it to new group of members, and this a non-lasting continuing process.
(Schein, 1992).
Solkhe 2013, stated that in between trust and confrontation, there is a high positive correlation, which
also illustrates that human resources in organisation strongly believe in facing problems rather than
shying away from them. They recognize, make a diagnosis and try to find feasible solutions for their
problems. Also, there are strong correlations between organizational values of Openness and
Confrontation; Openness and Trust; and Trust and Authenticity.
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Empirical studies conducted by Rohmetra 1998; Rao and Abraham 1999; Alphonsa 2000; Bhardwaj
and Mishra 2002; Kumar and Patnaik 2002; indicate that the culture of the OCTAPACE values is
immersed in the culture of many organisations to a moderate degree. The OCTAPACE values help in
fostering the climate of constant development of human resources, which directly enhances the learning
agility of the employees.
Rohmetra (1998); Rao and Abraham (1999); Alphonsa (2000) in their empirical studied, stated that the
culture of the OCTAPACE elements help in progress the organisational culture; organisational
performance through a constant development of human resources, which obviously has a direct impact
on the learning agility of the employees.
Therefore this discussion leads to present next proposition:
Proposition 2 (P2): Organisational Culture has a significant positive relation with Learning Agility.
Organisational Culture and Organisational Performance:
Academy of Human Resources Development, (2009) stated that the OCTAPACE culture has critical,
relevant and excellent impact on business performance and success; which also brings higher efficiency
of employees and organisational effectiveness. As an example, they have suggested some organisations
such as Infosys, Wipro, Tata Steel etc.; which are successful, developing and growing, as because of
the tremendous impact of OCTAPACE culture.
Subrahmanian (2012), for success of every organisation, it is essential to cultivate trust and
collaboration among employees. If management can concentrate on work on the development of
OCTAPACE elements in their organisation, then they can able to get success on reaching the objective
of the organisation, individual and organisational performance should be achieved. In his study he also
suggested that management must be imbibed this culture within each and every individual employee by
encouraging the quality of work life.
The need of the OCTAPACE culture in tourism sector is studied by Mufeed & Rafai (2007). This study
is identified some major factors which are non-promotes for organisational effectiveness among
employees and also tried to measure the current organisational culture within the organisation. This
research paper also stated about high organisational dynamics and organisational effectiveness as an
impact of playing the positive role of OCTAPACE profile in organisational performance.
Sharma & Sharma (2010) said that for successfully survive in this competitive world; organisation
needs visionary leadership, organisational culture exhibit characteristics of decentralization,
accountability, collaboration, alignment and adaptability. To achieve competitive advantage within the
industry needs visionary leadership to drive change and performance of organisation.
This discussion leads to present next proposition:
Proposition 3 (P3): Organisational Culture has a significant positive relation Organizational

Performance.
Organisational Culture as a Moderator:
Shneider & Reichers (1983), Chandra & Coelho (1993), Rao (2001) stated that management people
working in different levels, with good supportive personnel policies and practices can make positive
attitudes towards the development of the people & their organisations. The general climate with the
OCTAPACE culture is a combination of support from all directions.
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Wallach (1983), Ritchie (2000) studied where a positive relation is observed in between the
effectiveness and success of an individual, organisational performance and organisational culture.
Studies also suggest that strong organisation culture’s performance is better than weak organisational
culture. The strength of the organisational culture reflects a relation with perceived effectiveness,
success of managers and organisational performance.
Odom et al. (1990), Sheridan (1992), Gupta (2007) fount that organisational culture and climate has an
effect on employees’ commitment, performance, rate of retention and satisfaction. Black (1999) said
that organisation culture has an effect on employees’ ability and as well as commitment towards
organisational performance directly through cultural values.
Pareek (1994) showed that the culture within the Civil Hospital of Gandhinagar shows a high level of
trust so openness is also on the higher scale. It is also observed that autonomy is less valued since
doctors and nurses are committed to serving the people. Employees of hospital are quite proactive since
it is highly valued in his study.
Kotter & Heskett (1992) proved that organisational culture affects company’s financial performance.
Organisational culture is also critical and influential in attracting and retaining talent modifies impetus,
engaging workforce, generating energy and synergy between work behaviour and organisational goal
(Eikenberry, 2010).
Wani (2013), stated about the tremendous impact of the organisation culture on employee performance
and satisfaction. Human resources are the most key instrument behind every success or failure. These
are the contributors of intellectual assets, affecting and social assets.
Drucker (1993) rightly stated that with traditional economic factors such as monetary capital, physical
labour and raw materials if we try to compare with today’s major factors which are supporting
organisational performance, those factors are innovation, knowledge development and improvement.
So, in this volatile, dynamic environment, it is very essential for the employees to develop learning
capabilities, such as cognitive and affective, which helps them to perform well in different situations
with different functions. Organisations believe that the organisation’s capabilities are the basis of
sustainable competitive advantages which cannot be imitated and can be accumulated only through the
long-term, continuous learning process. So these capabilities can be obtained, sharpened and used by
an optimal workforce development. The organisational culture also helps the workforce to develop,
innovate, expand, take risk, reinvent, experiment such things which can support the organisational
growth path. HRD culture support their employees to identify their potential, sharpen their current
skills, channelize and utilize their knowledge for the growth and development of the organisation.
This discussion leads to present next proposition:
Proposition 4 (P4): Organisation culture would positively moderate the relationship between learning
agility and outcome.
Limitations and Implications for Future Research and Practice:
This study grasp and present several realistic implications for practitioners and researchers both. But
this study requires for more empirical studies to carry forward in this area. That type of studies may
provide new results, new areas for research and more theoretical aspects can be developed.
More research for future study can be possible to test the implications of learning agility; performance
through various field studies. In that research participating organizations should have a structured,
performance appraisal process from which actual performance data can be examined. Performance data
should incorporate with subjective manager evaluations and both subjective and objective data should
be included.
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In this study “OCTAPACE” cultural element has taken care to prove the relation between learning
agility and organisational performance. There is ample scope for promoting the organizational values
of Collaboration and Trust prevailing in the organization.
Future research should be there to examine a multitude of contextual variables organizational culture &
climate, types of firms & industry, nature of the work in different organizational culture.
Though potentiality is the major part of learning agility, further research can possible to examine the
effect of technological up gradation on potentiality as well as learning agility and performance. Future
study can be possible for identifying some other moderating factors of learning agility.
Further, the findings from the present study suggest that a more theoretical understanding of context is
necessary to continue exploring the critical question about when learning agility leads to performance,
or similarly, when learning agility might lead to lower performance (Catenacci-Francois, 2018).
CONCLUSION:
Through this paper it is tried to explore the effect of learning agility and organisational performance.
Here this study also explores the effect of organisational culture on learning agility as well as on
organisational performance. In this study OCTAPACE elements are taken care as moderating variables
for learning agility and organisational performance. A conceptual model has been proposed where there
is a possibility of exploring this study empirically. This thoughtful relationship can be extended by
adding some other factors; which we can further add with the existing knowledge and for the researchers
to explore the learning agility in a better way.
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PCM130
CORPORATE LOBBYING: MANAGERS PERSPECTIVE,
COMPARATIVE ANALYSIS OF INDIA, CHINA AND USA
Suchet Rathod
Student
Gujarat National Law University
Suchee.rathod@gmail.com
Abstract
A system always works on the grounds developed by its creator, in the realm of the present scenario
one needs to empower the masses in order to preserve the democratic values of our society. As a scarce
resource on needs to value the structure of the strange relations that persists in the socio economic
realm of the society with similar symptoms being reflected in the trends so established. In the very
structure of the formal emporium of the statutory ideals that represents the concepts of trends
established.
The problem of society in the form of expression of the grievances they have been breeding, in those
aspects with firm situational retreat breeds up the alternatives in the form of lobbying, with specific
regards to the United States of America it stands legal whereas it is illegal in India. To look at this
aspect India, has an indirect structure of lobbying where political parties are funded by corporates. In
China they have developed a system that facilitates the corporates and CCP as well.
The sovereignty of the institution goes at stake when potentially hostile situation of lobbying arises.
This has been a certain field of exploitation in several cases that could potentially be infamous for
becoming breeding grounds of anarchy, injustice for the society at large. This holds a significant issue
for the problems of the people at large. This paper is intended to study the impact of corporate lobbying
in the realm of;
• Impact on Industries,
• Impact on Institution,
• Impact on society,
• Comparative analysis of Corporate Lobbying as a structure and a method in and among
countries like United States of America, China, India, etc.
This shall lead to get the fair picture of the situational existence of this superstructure, with a higher
denomination of leading paradigm of this widely spread method of democratic installation. Is it a form
of Democratic expression or an Oligarch setup to influence the masses; is a technical debate that would
keep revolving around the stringent atmosphere. The socio-economic structure in developing countries
like India meets the expectation of the people where, a huge population lives below the poverty line and
even middle class stands weak against mighty institution of globalized funds. This is the very rigid
situation that could arise for small traders or that the Indian trading community is very dynamic in all
its approach that it would adjust with new systems.
This paper aims at understanding the increasing depends of corporation on lobbing and there by
evaluating the prospective vision and impact upon the future of corporation and individual as well
Keywords: Corporate Lobbying, Corporate Lobbying in India, comparative corporate lobbying in

India, USA, China
INTRODUCTION
From ground to the levels of the sky there is this thread in which the corporate & state runs the economy
through law with prudence. There has been a sever rise in population globally leading to a pressure on
the limited resources. This has the very feature of the problem that we face today in the first place as a
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key to unlock the solutions we need to focus on the relics of tomb of lobbying. Is it that huge a thing to
be addressed in a rationally new approach which we are yet unaware of? Or a thing that remained our
part of the system for past several years but was not much known to masses at large? This becomes the
touchstone to fundamental practices of the states today, touching largest possible population if at all is
kept in consideration at this point. A real value that drives the economy today is law in force via
government, which establishes the core norms to be followed by the society in order to keep up to the
principle of equity with true allegiance towards the subjects of the states and an order required to
promote the fair translation of the business ideas to a wealth spawning wheel. With rosy pictures of
ideals and ideas there comes the role of the government as a key user of paternalism harmonising the
flow of the enriched capacities in order to eliminate the social losses. In this process there arises a
situation of influencing the role of institution in order to keep up the considerable efforts to bring forth
the vested interest of the corporates becomes the hot shot of the events. Do does it impact the overall
efficacy in a way clinging the slope towards negative axis? In an attempt to answer the aforesaid
question we need to encapsulate the tapped potential.
So, the question arises is, what do we mean by ‘Lobbying’? Lobbying is an action or set of action that
is directed towards motivating Government and its branches (Baumgartner, 1998) to get a favoured
policy, easement or an asymmetric advantage for the procedural aspect or the any other thing that may
become the cause of the source of higher transaction costs or a status quo for the industry, ideology or
any such social problems that dwells in the system. So it essentially means the an entire concept in the
broadest perspective implying the very fundamental issue to be kept in the run hence prudent figures
like Anna Hazare would also mean Lobbyist. This shall be a key framework to meet the negotiating
forces that forced or induced the government motivating it to form the laws as Right to Information act
(Roberts, 2010) This is the apt method to meet the requirements of the situation in the given context.
But on the other hand the corporates appears to pose a threat to the concern using the shady meetings
and funding in the very format of the getting the policies shifted to their side. In the side lines of the
American Constitutional frames Lobbying is seen as a “Funds of Speech” so as to influence Government
(Mayer, 2008). Hence there is no scope left for keeping it out of the table for the society. On the other
hand in India lobbying stands void altogether, recent Walmart controversy (Sreevatsan, 2017) proves
as empirical evidence to the fact numbered. It keeps the need to brings forth the resources optimisation
in the stream of the altogether, recent Walmart controversy proves as empirical evidence to the fact
numbered. It keeps the need to bring forth the resources optimisation in the stream of flow of the
resource and the funds becoming part of the speeches. It may lead to several anomalies some including
and not specifically restricted to but may lead to corrupt practices and other forms of social evils, in a
derogatory response to the fact, it may leave, those not so wealthy undermined or compromised to their
natural being. Though an act of basic fundamental rights may not be influenced by the existence of any
lobby but it plays a keen role for the same.
Information Arena
The true game begins at the call or the flow of the data or the information form the institution to the
people plays an important role in a healthy system of the evolved world which stands today, or is
embedded in our ideals. There is no situation of perfect competition that exist as in any capitalist or a
mixed economy, meaning thereby the virtual flow of the axis that could make the inference of is the
key tool to analyse the routine stability. In the current scenario, there arises a situation where in those
who are out of this system of flow of the information may end up losing the fair share of healthy
Democracy (Joan Esteban, 2006) for the reason that cant contribute to lobby the regulations that are in
force. As a prime feature of the position that we engage it creates the system that could potentially be
of a greater tools that we could face in the short and the long term needs of the democracy, in this aspect
we need to realise the grave scene that we potentially face if this aspect is ignored. Role of state is to
harmonise the relations among corporates, economy, and rest stake holders, and not to serve as a
cheerleader to the corporates.
It is in this regard that we must look into this matter without any impunity or reservation as any pro
capitalist state seldom survives. In the view of the same there goes a strong metaphor that suits aptly
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for the same, is Ukraine a country of Oligarchs (Puglisi, 2003), where the regulations judiciary and the
media tends towards protecting the interests of these mighty Oligarchs. Hence it means, the prudence
that a democracy enjoys goes virtually absent. The very facts that emerged from the Misha’s revolution
has given birth to a new hope for the deprived citizens of Ukraine (Hormel, 2017). With several other
things that is to be taken into account there lays a situation in which people tend to forget the stimulation
that we need. In the fight to keep up the efficiency of the institution these lobbies shall exploit the
democracy to the extent of oligarchy, as happened in America with the financial institutions that built
the ticking time bomb for the American Economy.
The Great Indian Dilemma
In the pursuit of efficiencies or for satisfaction of personal interest we often we forget the total embargo
that we shall face. If the ticking bomb is started it won’t end so easily as a part of the situation we must
concentrate on retaining higher levels of the certainty in the economic order is to create the efficiency
in accordance to the form aspirations. In this regard we can see that India is a leading economy not in
terms of volume but the quantum of growth we possess, but not all is fairy lore as it seems, India is a
country with vast inequalities of wealth distribution. Wherein the state has to become the harmonizer
of the activities of system, corporate and the individuals. This holds the need to bring up the potential
formulation of the concurrent estate, so as empirically witness the format of the proposal that we require.
In comparison to USA and UK we can see the volume to be boosting upfront on the grounds of the per-
capita income whereas in Indian context we still lag behind in the quantitative terms. So would a setup
so directed, is a nail to harm the Socio-Economic setup of India? This question is equally important to
perceive as a formulated policy regarding the same.
This paper shall address the core issues circling the way lobbies operate in an indirect form via political
funding. Also a comparative study to with the leading and developed economies in the realm of the
studying the overall benefits of the legalising or blocking the corporate lobbying.
OBJECTIVES
• To investigate the facets of the success structure of corporate lobbying.

• To make a comparative analysis of structure of corporate lobbying in United States of America,
India, etc.
• To analyse the inference of having corporate lobbying in India, rationale and its implications
of the same.
• To look at the volume of the trend of corporate lobbying.
In this order to mention the functions of a lobby and importance of the same, we need to recreate the
functionality models and trend assessment of the same is to be made.
Doctrinal in nature and is based on the study of few of the empirical studies. The basic literature that is
to be focused is based on the firm vitality of the study in the given context this paper basically referred
• Articles,
• Journals,
• Few of the reports of ADR(Association of Democratic Reforms),
• Other sources as was applicable.
In the very order to find the relation between corporate Lobbying and Transparency also to see the
levels of economic development to find the answer to should corporate Lobbying be legalised in India?
Thereby global transparency index is also referred. Hence several data points are taken care of to draft
this paper.
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LITERATURE REVIEW
The very thing that was to be taken care of in the study is all about the meaning scope and extent of the
term called Lobbying in the regards of the same the paper undertook was “What Is This Lobbying That
We Are so Worried About? (Mayer, 2008).” in this paper, author describes the concept of lobbying in
the broadest way possible and the problems in the definition of the same in the US context. In all its
extent this paper looks outwardly to restrict causes of lobbying for the definition of taxation.
In another attempt to further look for the implication of corporate lobbying this paper referred Seung-
(Hyun Lee and Yoon-Suk Baik, 2010) this paper encapsulated the basic norms as was existing in the
current system with a title of “Is protectionism for sale?” speaks for itself, the very constrains on how
a system is adopted to promote protectionism is thoroughly examined by the author. This paper finds
a good base for the study, in order to see the impact of lobbying would it really help developing countries
like India, becomes the key question.
(American Economic Association, 2010) In this essay the author has described the political aspects of
the corporate firms. The very economic idol that transformed partnerships into giants and incorporation,
the very fundamental motive of the State comes to an undefined question? As a part of the system if
these entities could compromise the state it becomes the question of great concern for the whole setup
of the socio-political and socio-Economic structure.
“Inequality, Lobbying, and Resource Allocation by Joan Esteban and Debraj Ray from The American
Economic Review, Vol. 96, No. 1 (March, 2006), pp. 257-279, published by American Economic
Association.” In the mentioned paper the author has described the relation between corporate influences
on the government in the sphere of the public resource allocation, with every move there comes up
another constrains in the developing economies and the underdeveloped economies that hold
prominence in present structure of the financial and economic globe. To add to it an impact of
legalisation of corporate lobbying means that it would create a greater risk, this paper shall address the
same in the possible context.
As the consequences of a high ended Corporate-Politic nexus is immense there is this question of the
setup that we need as an impending and inevitable disaster awaits, which would possibly end up the
Socio-Politic and Socio-Economic fabric of India. So to find the derivatives and the determinants of the
same (Brandon Lockhart and Robert A. Van Ness, 2013) This also prompts the cause to analyse the
reasons of this hybrid nexus.
Post globalisation an era that emerged out was of the corporates, progress and peoples aspiration
peaking to sky. On the edge of the global meltdown there came the concept of the alluding the
government by lobbying and funding for the business to grow this aspect was studied in (Amy J.
Hillman, Asghar Zardkoohi and Leonard Bierman, 1999) This hence becomes a robust analysis for the
system to intervene in the present set of the situation and also to keep up the integrity of the state, and
other institution.
Looking at the possibility of the reasoned approach for the same there emerged a situation in which the
concept of cost is introduced for the firms to cope up with the new system that could be made better on
the part of the system in this aspect we shall need to evaluate the forecasted modes of this entire setup
as profits would drive the needs and the requirements of the lobbying system hence (Hui Chen and
David Parsley and Ya-wen Yang) Explains the same but to see the basic that is to be taken into account
is of whether lobbying breeds higher economic activities or is it that higher economic activity creates
the scope for lobbying is the question that is to be answered in this paper.
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LOBBYING AN INFERENCE
In the aspects of physical realm there lies a brief political, social entity that eases out the deliberate
methods of progressive impartation in the faith of consecutive efforts that shape up the present structure
of the allocated resources. In this very aspect there rises a tussle for securing most of the resources on
can afford to hoard, as a discipline though we may fail to attribute Greed, but it remains significant
throughout the human diaspora. Another way of allocating this resource is Lobbying, a method of
securing the most out of the resources using legitimate and legal means. Though not so indigenous to
India but is significantly raising head on to the extent of legislation, Bureaucracy also to Media as a
relevant tool for the corporate participation post liberalization one could see the rise of the same and
several examples are visible today as well, in the same order it is said;
“In east, business of Corruption are meeting new rivals,

From Western style of business of Persuasion1.”
It is in the same regard that lobbying is held significant for it may be at a nascent stage (Titus) but is
really effective. Fairly explaining the concept of Lobbying it appears as a third house often termed as
Invisible Government(Munro, W., 1928). According to Professor Holcombe lobby are those people
who pursue instructing members of legislators, as their business (Holcombe, A. and Wells, R., 1929).
In Louisiana (U.S.A) it is defined as "an attempt to influence the action of a member of the legislature
by any method other than appealing to his reason.”2
This makes it simple to reason out the basic function of the lobbying in the very legal aspects the
definition of lobbying. But there is a slight problem with the variant of the same, i.e. use of money for
the same, paying some one for him to persuade gives a leverage more on the morality aspects than on
the legality of the same. This paper shall address the same with regard to the funds of speech, should
money be considered as a prime aspect of motivating? This becomes the question for this paper.
Process of Lobbying
Lobbying as a tool gets the hold of the best methods of doing the things. With the boon in liberalized
market in the form of corporate lobbying there has been a keen rise in the formulated efforts of corporate
to persuade the government to keep up to their expectations. To justify this aspect we need to understand
how this operates.
• Controlling the source- as a keen business to take up to the expectation of the investors many
a times corporates exploits the core connections with the source of the information. This could
be seen with the Maggie crisis in which leading women entrepreneur Dr. Deepa Bhajekar who
also represents food research bodies at Food Safety and Standards Authority of India (FSSAI)
as member of its Central Advisory Committee (CAC) supported Maggi(Times Now 2015).
• Controlling Media- Media plays a significant role in the operational activities of the lobbies
that operate, by taking the same lines as the Public Representatives of the corporates.
• Pressure Tactics- People who takes up the corporate they process the methods as and when
required using pressures tricks, Like AAP was declined the support of the ISP’s(Goswami,
2017)( Goswami, S., 2018).
• Wooing Government- FICCI & CII is often taken as industry lobby, though several believe
contrary, this is taken as a key tool for the same. Hence the Corporate lobby exists in India.
1 International Herald Tribune 31st May 2006

2 Wolf's Statutes, 1920, p.657
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DETERMINANTS OF CORPORATE LOBBYING
There are several reasons that determine the reasons and degree of lobbying that is to be taken into
account as prime constituents of the same, in this very context it is clear that one needs the clearly
interpret the same as and when cited there is higher payoff when clubbed with political influence, hence
firms will stick to it awaiting to derive the benefits via policy formulation (Faccio, M., Masulis, R. W.,
& McConnell, J., 2006). Firms do seek the help of the investors who are politicians for the sake of the
same (Faccio, M., Masulis, R. W., & McConnell, J., 2006), in this very regard it is also prominently
seen that companies with higher political contribution have better scope for securing higher earnings
and stock valuations (Cooper, M. J., Gulen, H., & Ovtchinnikov, A. V., 2010). Hence the major
contributor of the same, are as follows:
Worth Amplification
The value of the corporation is of key importance to the same hence there is a need to understand the
functionality of the clause mentioned here, managers would tend to create better revenues or reduce
risk or deduct cost. This amplification comes with bigger firm size & industry competitiveness. Degree
of Corporate Lobbying is always directly proportional to the financial size of the firm (Agrawal, A., &
Knoeber, C. R., 2001). In the very stream it is important for the people to understand that there lays a
greater scope for the corporate lobbying by those firms which are vulnerable to litigation (Sheng, M.
E. N., 2013). Whereas in regulated industries one could find higher levels of charitable contribution
(Brown, W. O., Helland, E., & Smith, J. K., 2006). Studies also show concentration or the competition
in an industry plays a significant role attributing to Lobbying with regards to fewer players and higher
competition (Pittman, R., 1976).
Flow of Funds
A higher flow of funds leads to corporate lobbying (Jensen, M. C., 1986). As in the study it was shown
that people tend to start Lobbying the politicians in the very realm of creating personal utility apart from
that of their corporation, hence lavish spending becomes the cause for understanding the roots of the
same in the very order as mentioned. This is essentially true so to be said that a higher fund flows create
higher chances of lobbying.
Antidumping
As is mentioned earlier that corporation tend to secure protectionism via lobbying (Grossman, G. M.,
& Helpman, E., 1992) firms dealing with problem of performance are prone to seek government
protection (Lenway, S., Morck, R., & Yeung, B., 1996). Thereby it becomes obvious that firms do
lobby to gain protectionism as well, not just for favourable industry output.
CORPORATE LOBBYING IN AMERICA

In the very era of modernisation and evolution there has been a time where on could see as a complete
capitalist state in the form of United States of America(Jessop, B., 1982). This proves as empirical base
for this analysis, it becomes essential to analyse the structure of American Corporate Lobbying and the
system they pursue in the very realm of analysis. A story of ups and downs in the form of reaching the
solutions to build the value based system that could be used to build the same in the places yet untouched
if at all it stands beneficial.
A corporate essential need to be shown up without any ambiguity (HuffPost, 2018) in a nut shell they
stand important to visualise and to interpret the economic efficiency. It is on those grounds that
Lobbying is supported in America. The basic definition given to is
ISBN: 978-93-5351-069-5 202

“The term ‘lobbyist’ means any individual who is employed or retained by a client for financial or other
compensation for services that include more than one lobbying contact, other than an individual whose
lobbying activities constitute less than 20 per cent of the time engaged in the services provided by such
individual to that client over a six month period3.”
“The term ‘lobbying contact’ means any oral or written communication (including an electronic
communication) to a covered executive branch official or a covered legislative branch official that is
made on behalf of a client with regard to—
(i) The formulation, modification, or adoption of Federal legislation (including legislative
proposals);
(ii) The formulation, modification, or adoption of a Federal rule, regulation. Executive order, or
any other program, policy, or position of the United States Government;
(iii) The administration or execution of a Federal program or policy (including the negotiation,
award, or administration of a Federal contract, grant, loan, permit, or license); or
(iv) The nomination or confirmation of a person for a position subject to confirmation by the
Senate4.”
While the process of Lobbying is so clearly stated there has to decode the progress of the same with
regard to it. At the time one could easily speak up that they are essentially keen to recognize that
Americans support lobbying instead they tend to control it (Mayer, L. H., 2008), though Constitution
legally provides so5. This is the basic problem that prompted and was ruled out in the way less
anticipated6 by the Supreme Court of Massachusetts. So the question is how they control Lobbying in
specific? Though American Congress has little power to stop Lobbying it does it in a sophisticated way
as possible. The prescribed format for this structure is at stake in the form “funds of speech”, hence the
corporate structure is of that leisure that is to indicate the first input that is to be given is dealt in with
certainty. In this context, lobbying is regulated by the congress is by declining the deductible status of
such expenses7. Therefore it becomes a costly move for the people tending to lobbying. In the aspects
of corporate formulation there is the need to implement such cost by the exponential variant for the
same; hence the next approach taken is by making it mandatory for the lobbyist and the organization to
fully disclose the lobbying activity done during a particular term. The third aspect is by blocking the
corporate and government employees in the first place to meet and discuss the things that could touch
the standard of bribing and by limiting the gifts and grants to the officials at large. This therefor is the
way Lobbying is regulated by the American Law.
Taxation on Lobbying
In the context of Lobbying there is this particular remedy to hold it is by the way of providing them dis-
incentives by the law and/or regulations in process. Hence the leverage is laid on lobbying amount in
the form of taxes. Hence the government checks this process through taxing it (Berry & Wilcox,). This
becomes the basic essence of this entire system at large; in order to check the vitality of the system it
ensures the betterment of all the stake holders. Congress makes it mandatory for them to pay tax by
making the tax to be paid first (Judith E. Kindell & John Francis Reilly, 1997). Hence the taxpayers
are to pay their taxes on the funds used for lobbying8. If the Businesses are having Lobbying as a
substantial part of the exercise, in that case the federal tax laws stops one from the tax deductible
“charitable contributions9.
3 Sec 3 (10) Lobbying Disclosure Act 1995;

4 Sec 3 (8) (A) Lobbying Disclosure Act 1995;
5 the First Amendment right to petition the government for the redress of grievances.
6 Bellottiy 435 U.S. at 784 (concluding that First Amendment speech protections apply regardless of whether the
speaker is an individual or a corporation).

7 Cammarano v. United States, 358 U.S. 498, 512-13 (1959)
8 See Gregg D. Polsky, A Tax Lawyer's Perspective on Section 527 Organizations, 28 Cardozo L. Rev. 1773, 1775-
78 (2007) (explaining how Congress uses a similar mechanism to require the use of after-tax dollars with respect to
election-related activities).
9 See I.R.C. i7o(c)(2)(D) (2000)
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Lobbying As Business Activity

During the initial phase of the business activities in Lobbying there in America came the first change
in 1915 by AMERICAN CONGRESS (Mayer, L. H. 2008), stating that Lobbying is not "an ordinary
and necessary expense in the operation and maintenance of a business10”. Hence they took a case by
case approach to seek deductibility for the same11. In this regard courts decided that lobbying inflicts
the policy making of the same.12 This popped up again in 1930 with regard to charity where the court
came up with the logic of paying tax for lobbying for everyone does so in the same regards 13, due to
this they held up the idea then a paradigm shift evolved to liberalize lobbying in the realm of company
expenses only though grass root lobbying is set back14. But back in 90s Clinton administration decided
to cut down same in order to prevent the lobbying effects (William Clinton & Albert Gore, 1992).
Hence it became a post-tax cost to the corporations.
Lobbying as a Charity
Sorrow arises with pains and apathy hence the real problem that arises in the same regards as lobbying
in the form of charity as a “substantial part” of their business15. Though in the same realm there has
been a tough legal history behind the same one need to realise that even as a charity there is a dearth of
the things to be pursued for settling the scores of the representation of the same, hence we can find that
there is this positioning of the US Senate with regards to charity16.
Disclosing Lobbying
It was never the problem to block the funding moreover there was a non-scripted game that emerged
out was to regulate the same via disclosing it, under Lobbying Disclosure Act (1995). This makes it
mandatory for the lobbyist to register and report their proceedings with the key officials17. Lobbyist can
be an individual or an organisation who becomes the representatives of the clients for the purpose of
lobbying18. The structure remains simple the person has to disclose the identity and contact of both the
person lobbying as well as the one who the client is providing the reasons and estimates of the same on
time in semi-annual basis19. The reason to fo the same is also listed in a senate’s speech as “Too often
... the true attitude of public opinion is distorted and obscured by the pressures of special-interest groups.
Beset by swarms of lobbyists seeking to protect this or that small segment of the economy or to advance
this or that narrow interest, legislators find it difficult to discover the real majority will and to legislate
in the public interest. As Government control of economic life and its use as an instrument of popular
welfare have increased, the activities of these powerful groups have multiplied membership, source of
contributions, and expenditures groups would prove helpful to Congress in evaluating their contribution
and weighing their worth. Publicity is a mild step in protecting government under pressure and in
promoting the democratization of pressure groups”20, though it was challenged but it never underwent
change as even courts upheld it validity in the constitutional barriers21. Hence Clinton administration
was keen to administer the same in the very regards of the same22.
10 D. 2137, 17 Treas. Dec. Int. Rev. 57, 57-58 (1915) (denying a deduction for the sake of lobbying.)
11 Textile Mills Sec. Corp. v. Comm'r, 38 B.T.A. 623, 630-31 (1938), rev'd en
12 Ibid
13 Cammarano v. United States 358 U.S. 498, 533 (1959)
14 H.R. Rep. No. 87-1447, at 17 (1962); S. Rep. No. S. 87-1881, at 24 (1962)
15 Revenue Act of 1934, Pub. L. No. 74-216, 23(0), 48 Stat. 680, 690 (1934);
16 H.R. Rep. No. 91-413, at 4, 19-43 (1969)
17 Lobbying Congress: An Overview of Legal Provisions and Congressional Ethics Rules 2-5 (2006) (describing the
LDA).
18 2 U.S.C.A. 1602(2), (10) (West 2007).
19 2 U.S.C.A. 1603(b) (required semi-annual report); 1604 (b) required (semi-annual report information) (west 2007).
20 S. Rep. No. 79-1400, at 4-5 (1946);
21 United States v. Harriss, 347 U.S. 612 (1954) (upholding the constitutionality of the FRLA based on conclusion
that challenged sections do not violate guarantees of freedom to speak, to publish, or to petition the government)
22 Ibid footnote no. Error! Bookmark not defined.
ISBN: 978-93-5351-069-5 204

Limiting Interface between Lobbyist and Government
The government has limited the interaction between lobbyists and the key people concerned for the
same23. There still persists the threat to be a subject of statutory prohibition like that of accepting
bribes24, defined as “making and soliciting or accepting gifts or other payments for the purpose of
influencing official action, encouraging fraud on the United States, or inducing violation of official
duties25”, hence the government employees are subjected to meet the requirements to stay in the limits
so provided by the law and a control is placed in the same to stop them from accepting gifts and other
non-monetary perks apart from that provided by the government in order in which would arise potential
conflict of interest26.
In this order the government/ congress has controlled the lobbying using several socio-economic and
other regulatory methods like limiting interaction etc.
FIGURES OF CORPORATE LOBBYING IN AMERICA
With absolute measure available there raises a situation under the law that would be sufficient to meet
the requirements of the people from the perspective of a citizen there is a need to get the details of the
people required for the same this is essentially useful to look at how the lobbying takes place it is equally
essential to see how is it dispersed and the similarities with the other system that operates.
Table 1 (aggregate amount of Lobbying In USA)

Row Labels Sum of Amount %age of Amount
2012 2990000 1.13%
SECOND QUARTER AMENDMENT 2990000 1.13%
2013 280000 0.11%
FOURTH QUARTER REPORT 100000 0.04%
SECOND QUARTER REPORT 80000 0.03%
THIRD QUARTER REPORT 100000 0.04%
2014 19709118 7.46%
First Quarter 18380000 6.96%
Second Quarter 80000 0.03%
FOURTH QUARTER AMENDMENT 720000 0.27%
THIRD QUARTER AMENDMENT 86070 0.03%
2015 13414890 5.08%
23 Honest Leadership and Open Government Act of 2007, Pub. L. No. 110-81, 206,
24 18 U.S.C. 20i(b)(i)-(2) (2000)
25 Ibid Footnote no. 24
26 See 2 U.S.C. 31-2 (2000) (limiting gifts and the payment of travel expenses for Senators, officers and employees,
and in some instances their close family members);
205 ISBN: 978-93-5351-069-5


THIRD QUARTER TERMINATION (NO
0.00%
ACTIVITY)
2016 227669869 86.22%
First Quarter (NO ACTIVITY) 0.00%
FOURTH QUARTER (NO ACTIVITY) 208000 0.08%
FOURTH QUARTER AMENDMENT (NO
0.00%
ACTIVITY)
FOURTH QUARTER TERMINATION 6583404 2.49%
FOURTH QUARTER TERMINATION (NO
20000 0.01%
ACTIVITY)
FOURTH QUARTER TERMINATION
0.00%
AMENDMENT (NO ACTIVITY)
SECOND QUARTER (NO ACTIVITY) 10000 0.00%
SECOND QUARTER TERMINATION 0.00%
SECOND QUARTER TERMINATION (NO
0.00%
ACTIVITY)
THIRD QUARTER (NO ACTIVITY) 40000 0.02%
THIRD QUARTER AMENDMENT (NO
0.00%
ACTIVITY)
THIRD QUARTER TERMINATION 630000 0.24%
THIRD QUARTER TERMINATION (NO
0.00%
ACTIVITY)
Grand Total 264063877 100.00%
Hence we can see the total of the Lobbying expenditure made during the year 2012-16; Source
(https://www.senate.gov/legislative/Public_Disclosure/database_download.htm)
ISBN: 978-93-5351-069-5 206

Figure 1 Dispersion of Monetary equivalents in USA
The figures that props up in the very format that is required to put up for analysing the potential of the
lobbying that is to be analysed in this very form there were few inference that caught attention in this
way there has been a critical thing that was a lobbying amount that was directed to the senator regarding
Iran’s Nuclear deal. Likewise, there were several things that were directed to different members as was
the need in the aspect of requirements. In the year 2016 we could see the rise in total volume of lobbying
before elections.
CORPORATE LOBBYING IN INDIA
In the very aspect of decoding the corporate lobbying in India there we need to get into the core of the
issue in the very form of its development in order to ascertain the value based understanding of the
Lobbying as an aspect in India. A country of billon and problems rooted in the life of common citizens
that fuels the spark of a viscous cycle of further problems faced by India, in this part of the world things
are severely different from rest of the places, perhaps it has little impact on the visualising of the
statutory requirements of the people. In most of the third world countries there exists a problem for
securing resources mostly, for their survival, this and lot more. Moreover there is dearth of execution
for justifiable distribution of resources, the question of when and why to get them is not a matter of
trend but how to secure becomes the Mantra of the same. Hence with high population the human stands
at the losing side and so is the nature. Similar is the case with Lobbying in India which stands void in
several aspect with exception to few things like the promotional expenses incurred by the
Pharmaceutical companies via Medical Representatives to the doctors, and/or those indulging in public
discussions to get the favourable outputs in the form of pressure groups for instance RERA was the
outcome of the fight for the right of consumers, etc.
With these aspects it is clear that in the time of pursuing best there is a fight to attain and retain the
essential game in the hands of the key players. When it comes to India there is are great figures distrust
between individuals and corporates, that too at a level of deep restraint for the same. As a tool for
replenishing the ways out one needs to understand the differences if not the problem itself in the case
of people trying to bring forth better relation with the individuals is seen as a conspiracy against the
people all these frames the present set for the corporates to corrupt rather than lobby. Secondly what
they call “Lobbying in West is called Corruption in East”. It has infinite corporate impact so as to bring
down the effect of the lobbying, so the question remains do they lobby the government? Is Lobbying a
form of corruption? This is fundamental question which has its own implications corruption stands
illegal whereas lobbying has got government protection. The basic point of separation is intention and
magnitude of the same hence is contained in the structure for the analysis of the same.
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LOBBYING OF WEST, CORRUPTION IN EAST
The question that was caught up initially is again on its peak what about India is it legal? The answer is
‘NO’, it stands illegal, and so what binds it? The answer is Prevention of Corruption act 1988 (The
Hindu 2018). In this order India stands as a signatory of United Nations Convention against Corruption
(Unodc.org., 2018), so is there any definition of corruption? Actually, Corruption was defined in
section 161-165 A of Indian Penal Code which stands repealed and has its existence as Prevention of
Corruption Act 1988. In the same course there is this particular phenomenon of corruption has its role.
So what does Prevention of Corruption Act says?
Structure that holds back Lobbying
Any public servant receiving gratification27 other than what he is legally supposed to take28 for the
purpose of any official29 act is considered as an offence unlike in America where it is the same thing is
given protection under 1st amendment of the constitution. Hence is a matter of trail in India (L.K.
Advani vs Central Bureau Of Investigation, 1999) also that there is this critical difference in Law for
the same. Covering currently working also prospective ones needs to be fair in their approach in the
same very section there has to be a motive or reward to do so i.e. to favour or disfavour (Dr. Anup
Kumar Srivastava, 2012) the party involved and to a greater extent in the cases related to the same.
The act in particular focuses on the demand for Service or Disservice to be provided by centre, state or
local bodies, be that legislature or a company or any other entity may have to face imprisonment. Hence
in India not just corrupt but the one trying so shall also be taken into consideration.
Preventing the people to take measures or to step in for inducing the public servant to take gratification
by a private individual (Moulana vs State, 2003) is also considered as an offence under prevention of
Corruption Act 198830. In an Indian perspective PAC also prohibits receiving any gratification of an
individual31 that aims to get favour or disfavour either for himself or for someone else32. Indian law not
just bars monetary transactions, it includes any object or material even, without consideration is treated
on the same line as defined under section33 7 & 8 of the prevention of Corruption act. The next aspect
is of criminal misconduct (R. Sai Bharathi vs J. Jayalalitha & Ors, 2003) of the public servant34, hence
in any of the way if at all tried by the public servant to receive or to gain anything apart from what he
should legally possess is charged with the cases of corruption.
Table 2 Differences of the regulations and needs in USA & India

FIELD USA INDIA
Corporate needs exist? TRUE TRUE
Paying Public SERVANTS for same? TRUE TRUE
Is paying them Legal? TRUE FALSE
Is paying them Regulated? TRUE FALSE
Do Corporate Favours Exist? TRUE TRUE
Is it OFFENCE to favour them in exchange of something? TRUE FALSE
The table above shows difference between USA &INDIA in the realm of corporate lobbying hence
“Lobbying of West Corruption in East” holds true.
27 PCA sec. 7 (b); see also Parkash Singh Badal And Anr vs State Of Punjab And Ors, Supreme Court of India
Appeal (civil) 5636 of 2006 6th December, 2006.
28 See Hussan Lal son of Kala Ram son of Batana Ram vs State Of Punjab, High Court at Chandighar Criminal
Appeal No. 419-SB of 1991 on 15 April, 2009

29 See P.C.A. Chapter (3) sec. 7
30 See PAC Chapter 3 sec (8).
31 See PAC Chapter 3 sec (9).
32 See also (C.B.I. vs . Bangaru Laxman) on 27 April, 2012
33 See also PAC Chapter 3 sec (11)
34 See also PAC Chapter 3 sec (13)
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KEY PLAYERS OF CORPORATE LOBBYING (METHODS & INFERENCE)
In third world countries mostly in countries like India, corporate lobbying is seen as nothing but
corruption in this streak we can also see the value that they generate for themselves. It is prima-facia it
appears that there is no point of contact that could prevail for lobbying in India but contrary to that
corporate lobbying does exists in India as well. Sounds extreme but it does exists as
• Lobbying via Legal professionals

• Lobbying via pressure groups
• Lobbying via corporate-political funding (Tehelka, 2008)
• Lobbying via political intrusion of corporates
It is in these manners that corporates tend to gain political interference in the same lines we can find
Neeta-Radia tape (The Radia Tapes, 2018) relevant while most of the scams became a hand in glove
of Corporate Political nexus we are on the same path to establish the better known influence of the
corporate on economy and politics, hence a parallel system seems to appear when the public is in a
trance of freedom.
Lobbying via Legal professionals
There is a nexus between Government and Corporate through advocacy Public relation and corporate
communication under the umbrella of perception that general public has to the people at large (Bhargavi
Zaveri, 2013) in the discussion it stands unblemished that there was advocacy involved in telecom
portfolio allocations (Balaji Chandramouli and Arman Malik, 2008). This system has given birth to
need for the better advocacy for the foreign stakeholders in India. Hence this has given birth to the effect
for the people to come up with the concept of policy advocacy like Policy Law Regulations chambers
(K. Ganz, 2018) hence the legal wing of Indian advocacy is propping up the signals of Ethical Lobbying
in all the way possible. This being another set of problems being faced in the form of ethical lobbying
that is coming up has a different set of relevance as of today (Zaveri B, 2014).
Lobbying via pressure groups
In developing countries especially like India pressure groups have better say in the policy formation
with economic and political regards. Chambers of Commerce like CCI, FIICI, ASSOCHAM, etc. have
a good say in the formulation of policy, economic in most respect hence there is this dearth that we have
to face but more and more corporates claim it be a pressure group rather than soft-lobbying institutions.
Hence in this regard we can say that we need a better operational accessibility for sustainable judicial
equity. It is not that Lobbying is bad for justice but the concern is it exists that too unregulated while
sitting on the time bomb you can simply pray it should not explode.
Lobbying via political intrusion of corporates
In India corporate lobbying also takes place via corporates taking control of the politics directly in a
moderate way possible unlike Ukraine but on a greater note, for instance Vijay Mallya the man of
Kingfisher airways held ministry of aviation in UPA Government, while Baba Ramdev a reformist
turned business man holds a prestigious position with regard to compatibility with Government.
Similarly we have Jindal as an MP in Lok Sabha hence they have the control over political elites as
such. This has an implication on the resource allocation in the same breath as is evident from the same
in the course of bridging the gap between corporates and politics.
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Corporate Political Funding
Corporate funding to political parties is a way how politics is primarily influenced by them, in the
earnest desires of receiving the same. In the very game of thrones the played aspect is mentioned as
the same in the given
Table 3 one could see the corporate funding of the Political Parties in the year 2009-13 this is taken so
as to see the impact of corporate funding and the dispersion of the same throughout. Four large central
parties have been taken into account i.e.
AITC- All India Trinmool Congress,

BJP- Bhartiya Janta Party,
INC- Indian National Congress
While BSP i.e. Bahujan Samaj Party has denied taking any funds from corporates. In the Row Labels
one could see the Bolder classification shows the mode of Payment used for funding of the political
parties where;
1- Cheque
2- NEFT/RTGS
3- Bank Deposits
4- Cash
While the indented plain ones indicate the submission of pan along with the receipts of funds is
mentioned as;
1- Pan Submitted
2- Pan Didn’t Submitted
This is the broader classification that has been laid down the value that has been estimated in the
meanwhile one could see the dispersion of the same, also significant is the person who has given these
deposits.
Table 3 Funds Raised by the four national parties
Row Labels AITC BJP INC Grand Total
2009-10 205000 873220133 840521238 1713946371
Cheque 205000 820253738 820458738
1 180000 131909000 132089000
2 25000 688344738 688369738
NEFT/RTGS 50500000 50500000
1 50500000 50500000
Bank Deposits 822720133 14702900 837423033
1 416389000 3000000 419389000
2 406331133 11702900 418034033
Cash 5564600 5564600
1 49000 49000
2 5515600 5515600
2010-11 146253279 80232884 226486163
Cheque 59748825 59748825
1 29473625 29473625
2 30275200 30275200
NEFT/RTGS 1651000 1651000
1 1651000 1651000
ISBN: 978-93-5351-069-5 210

Bank Deposits 144602279 11814000 156416279

1 137387279 137387279
2 7215000 11814000 19029000
Cash 8670059 8670059
1 360400 360400
2 8309659 8309659
2011-12 1261556 334194113 95910664 431366333
Cheque 1261556 2450000 59675001 63386557
1 1211555 2450000 11052501 14714056
2 50001 48622500 48672501
NEFT/RTGS 50150000 20000000 70150000
1 50150000 50150000
2 20000000 20000000
Bank Deposits 281594113 10416000 292010113
1 204591000 204591000
2 77003113 10416000 87419113
Cash 5819663 5819663
1 1161600 1161600
2 4658063 4658063
2012-13 832018462 117166225 949184687
Cheque 84710925 84710925
1 16055000 16055000
2 68655925 68655925
NEFT/RTGS 200000 1150000 1350000
2 200000 1150000 1350000
Bank Deposits 830190462 16238000 846428462
1 571746810 46000 571792810
2 258443652 16192000 274635652
Cash 1628000 15067300 16695300
1 303000 549500 852500
2 1325000 14517800 15842800
2013-14 14000000 14000000
NEFT/RTGS 14000000 14000000
1 14000000 14000000
2014-15 83169115 83169115
Cheque 15669115 15669115
1 15614115 15614115
2 55000 55000
NEFT/RTGS 67500000 67500000
1 67500000 67500000
Grand Total 98635671 2185685987 1133831011 3418152669
211 ISBN: 978-93-5351-069-5

Inference- hence we can see that flow of funds tend to be highest during elections on the same lines as
that of America provided that it is mere funding while large companies create Trusts (Progressive
Electoral Trust)35.
Managers Perspective
In the course of understanding the focus of the corporates there has been a keen rise in the society of
intellectual elites and the media so as to ease the perception towards the Lobbying this could be seen
wit a simple understanding of the System noted as:
fCL 𝛼 f(i, Pn, Sn, Er,……….N) …………..Eq. 1
Where Fcl stands for Function of Corporate Lobbying

i stands for Interest of the Corporation,
Pn stands for Political Setup,
Sn stands for interest of Society,
Er stands for the function of Expected return,
N stands for Other factors as may be applicable.
Hence the concept of expected redundancy shall permit the consequences as in the form expressed as
outrage. But on a lighter note “funds of speech” has its role to play. This frames the conclusive output
that Indian Companies do Lobby the Government and the same is liable to get Lobbied by MNC’s as
well. This frames the quotient that holds a far greater approach than anything else.
SHOULD CORPORATE LOBBYING BE LEGALISED IN INDIA? (CONCLUSION)
In the view of the same it has a better implication that should corporate lobbying be allowed in India,
while India is trying to bring in more freedom and use better technologies to improve the same. While
most of the countries that have legalised corporate lobbying are the top rank holders of Global
Transparency Index they also have tendency to bring about the changes that we require. In the same
regard we can see it opens up wide area of discussion in the public domain so the question here is should
we allow it completely? The answer remains ‘NO’ for the simple reason that these countries have fairly
less population and hence there is lesser fight over the resources rather a status quo must be maintained
while opening up and creating transparency in the system liberalizing to certain extent and thereby
creating opportunities for all in the same regards. Hence state funded election would also help to clean
up the system in the aspects of creating greater horizons one must bend to test the waters and thereby
cleaning the same.
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[31]. Sec 3 (10) Lobbying Disclosure Act 1995;
[32]. Sec 3 (8) (A) Lobbying Disclosure Act 1995;
[34]. the First Amendment right to petition the government for the redress of grievances.
[35]. Bellottiy 435 U.S. at 784 (concluding that First Amendment speech protections apply regardless
of whether the speaker is an individual or a corporation).
[36]. Cammarano v. United States, 358 U.S. 498, 512-13 (1959)
[37]. Judith E. Kindell & John Francis Reilly, Lobbying Issues, in Exempt Organizations - Technical
Instruction Program for FY 1997, at 261 (1997), http://www.irs. gov/pub/irs-tege/eotopicp97.pdf
[38]. See Gregg D. Polsky, A Tax Lawyer's Perspective on Section 527 Organizations, 28 Cardozo L.
Rev. 1773, 1775-78 (2007) (explaining how Congress uses a similar mechanism to require the
use of after-tax dollars with respect to election-related activities).
[39]. See I.R.C. i7o(c)(2)(D) (2000)
[41]. D. 2137, 17 Treas. Dec. Int. Rev. 57, 57-58 (1915) (denying a deduction for the sake of lobbying.)
[42]. Textile Mills Sec. Corp. v. Comm'r, 38 B.T.A. 623, 630-31 (1938), rev'd en
[43]. Cammarano v. United States 358 U.S. 498, 533 (1959)
[44]. H.R. Rep. No. 87-1447, at 17 (1962); S. Rep. No. S. 87-1881, at 24 (1962)
[45]. William Clinton & Albert Gore, Putting People First: How We Can All Change America 25
(1992).
[46]. Revenue Act of 1934, Pub. L. No. 74-216, 23(0), 48 Stat. 680, 690 (1934);
[47]. H.R. Rep. No. 91-413, at 4, 19-43 (1969)
[48]. Lobbying Congress: An Overview of Legal Provisions and Congressional Ethics Rules 2-5
(2006) (describing the LDA).
[49]. 2 U.S.C.A. 1602(2), (10) (West 2007).
[50]. 2 U.S.C.A. 1603(b) (required semi-annual report); 1604 (b) required (semi-annual report
information) (west 2007).
[51]. S. Rep. No. 79-1400, at 4-5 (1946);
[52]. United States v. Harriss, 347 U.S. 612 (1954) (upholding the constitutionality of the FRLA based
on conclusion that challenged sections do not violate guarantees of freedom to speak, to publish,
or to petition the government)
[53]. Honest Leadership and Open Government Act of 2007, Pub. L. No. 110-81, 206,
[54]. 18 U.S.C. 20i(b)(i)-(2) (2000)
[55]. See 2 U.S.C. 31-2 (2000) (limiting gifts and the payment of travel expenses for Senators, officers
and employees, and in some instances their close family members);
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[56]. The Hindu (2018) Cabinet clears stronger anti-corruption Act. [online] Available at:
http://www.thehindu.com/news/national/cabinet-clears-amendments-to-anticorruption-
act/article7154111.ece [Accessed 2 Feb. 2018].
[57]. Unodc.org. (2018) India: Government ratifies two UN Conventions related to transnational
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conventions.html [Accessed 3 Feb. 2018].
[58]. PCA sec. 7 (b); see also Parkash Singh Badal And Anr vs State Of Punjab And Ors, Supreme
Court of India Appeal (civil) 5636 of 2006 6th December, 2006
[59]. See Hussan Lal son of Kala Ram son of Batana Ram vs State Of Punjab, High Court at
Chandighar Criminal Appeal No. 419-SB of 1991 on 15 April, 2009
[60]. L.K. Advani vs Central Bureau Of Investigation High Court of Delhi 1997 CriLJ 2559, 1997
(court concluding charges to be framed against L.K. Advani and Jain brothers an V.C. Shukla)
[61]. See Dr.Anup Kumar Srivastava vs Cbi THE HIGH COURT OF DELHI AT NEW DELHI BAIL
APPLN. 341/2012 on 11 April, 2012
[62]. See Moulana vs State Represented by in the high court of judicature at madras crl.o.p.no.818 of
2013 and m.p.nos.1 & 2 of 2013 on 12 August, 2014 (where the courts concluded that the word
‘whoever’ is wide enough to bring in private individuals as well)
[63]. R. Sai Bharathi vs J. Jayalalitha & Ors Appeal Supreme Court of India (crl.) 115-120 of 2002
Special Leave Petition (crl.) 477 of 2002 on 24 November, 2003
[64]. Tehelka Magazine (June 21, 2008) for a general public perception of lobbying in India
[65]. https://www.outlookindia.com/. (2018). The Radia Tapes. [online] Available at:
https://www.outlookindia.com/website/story/the-radia-tapes/268214 [Accessed 4 Feb.
2018].Bhargavi Zaveri, The Disclosure of Lobbying Activities Bill, 2013, Vol. XLVIII No. 24
[66]. Balaji Chandramouli and Arman Malik, The New Face of Lobbying, Business Today, July 15,
2007
[67]. Kian Ganz, Ex-Amarchand Suhaan Mukerji starts law/ policy firm with 3 partners; Will do
‘ethical lobbying’ & pro bono, Legally India (November 22, 2013)
(http://www.legallyindia.com/201311224132/Law-firms/suhaan-mukerji-starts-law-firm-clean-
lobbyingpro-bono Last visited: 5th February 2018)
[68]. Bhargavi Zaveri, Notes from the field: How India’s corporate law firms are influencing her legal,
policy
[69]. and regulatory frameworks, Harvard law school program on the legal profession research paper
series.
[70]. Sreevatsan, A. (2017, April 29). The right to reject, deny, obfuscate. Delhi: The Hindu.
Retrieved from https://www.thehindu.com/society/the-right-to-reject-deny-
obfuscate/article18302448.ece
[71]. Titus, D. (n.d.). Corporate Lobbying and Corruption-Manipulating Capital. India Law Journal.
Retrieved from http://www.indialawjournal.org/article-12.php
215 ISBN: 978-93-5351-069-5

PCM051
CONTEMPORARY STATE AND TRENDS OF BUSINESS
INTELLIGENCE AND ANALYTICS MARKET IN INDIA
Mubashshirahbanu M. Shekh Dr. Vikas S. Chomal
Assistant Professor, Associate Professor,
TMES Institute of Computer Studies, TMES Institute of Computer Studies,
Mandvi, Surat, Gujarat, India Mandvi, Surat, Gujarat, India
mubbishekh@gmail.com vikschomal80@gmail.com
8000895574 9925470346
Abstract
Data Science is among of the most influential and trending topic since last decade. The presence and
importance of data science is been observed in every domain dealing with business or research. Earlier
it was having limited existence pertaining to theoretical perception only. But due to latest and emerging
improvement in the existence of large data as well as enhancement in various technologies and concepts
such as machine learning, intelligence and analytics made it promising to apprehend data science
practically. Considering today’s scenario Business Intelligence (BI) and Analytics are considered as
one of the best services and utility provided by the IT industry. There has been a continue development
in field of BI and Analytics which is been viewed and experienced globally. The research focuses on
exploring and evaluating contemporary state of BI systems and analytics market in India and also to
highlight the main trends in BI applications, technologies development. The main results of our study
shows the trends of BI and analytics applications, technologies development in India. Also an outline
of various challenges and opportunities of BI and analytics in India is been highlighted. A healthy and
positive trends of BI and analytics applications was observed in our study. Also new and innovative
applications, platforms of BI are emerging which are having constructive effect on business.
Keywords: Business Analytics, Business Intelligence, State, Trends
INTRODUCTION
In digital era, resourceful Information is very decisive for executing an effective business in all domain
whether it is dealing with academic, healthcare, government governance and other prominent domains.
The foremost need of organization today is to have business information systems and platforms which
provides with collection, processing, preservation and analysis of information when needed and in
specified and prescribed format. Hence, business organizations are looking forward for such
applications and mechanisms which will assist them in prompting worthy circumstances for business
success. BI systems and platforms are among such mechanisms. Organizations are forfeiting more
consideration towards these BI systems and analytics technologies to govern their repeatedly mounting
pools of data and at the same time facilitating their data workers, managers to make healthier business
decisions. Today, BI systems have been among the most speedily evolving software products and
applications.
BI can be defined as platform which provide with the capabilities of gathering, processing, storing and
analyzing data and at the same time presenting information to business executives, managers and other
potential stakeholders for taking quality business decisions and actions. A part from these basic tasks,
BI also incorporates variety of tools & techniques, applications, and procedures that facilitate enterprise
to develop and perform various functionality about the data, generate reports, control panel along with
data visualizations to make the analytical results available to corporate decision makers as well as
functional workers. In the 21st century, BI systems is a major battlefield for business, and every
organization is demanding to entice and hold top IT expertise.
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According to the facts and information provided by Analytics Peepal and Gartner [2][5] the market for
the market of BI and analytics applications is predicted to show a positive growth to $20.81 billion
globally by 2018 and will grow to $66.719 billion by 2019. Also the report reveal that, North America
is considered as one of the prominent and leading market in terms of marketplace, while Asia-Pacific
will also experience an escalation in market during the projected duration. In their study and report they
stated that, India is expected to be in the top 3 big data analytics markets by 2020, while currently
having occupancy in topmost 10 in the world. The recent scenario shows that the BI and Analytics
industry in India is currently estimated to be $2.03 billion annually in revenues and also it is growing
at a strong rate of 23.8 per cent CAGR (Compound Annual Growth Rate). The agency also forecasted
that by 2020, a good percentage of growth will be perceived in the application area of big Data, advance
analytics, predictive modelling and data science. Also it has been summarized from the report that
currently 90,000 analytics specialists are at present engaged by Indian companies. 600 of these
companies actively engaged in developing and implementing analytics products and services, out of
which 400 are recently established.
Hence, the foremost intention of this research paper is to present the analysis and evaluation of current
state of BIS market and outline significant trends in BI technologies development for the last three years
considering Indian market. The rest of the paper is systematized as – related Literature Review is
presented in Section II followed by Research Methodology in Section III. While, Section IV describes
Experiment & Results. At last detailed Conclusion and Future Work is presented in Section VI.
LITERATURE REVIEW
Luhn [7] defined intelligence as – the course of action which is having ability to fetch or extract the
interrelationship of given facts and figures and present in such a way that provides guidance to achieve
desired objective. Davenport [4] highlighted in research study that, the term intelligence was one of the
promising research area since 1950s. Also the author incorporated that BI gained popularity in every
sphere comprising of research, IT and business communities since 1990 whereas BA became one of the
most important and critical component of BI from 2000 onwards. Wixom et al. [16] identified various
approaches and practices regarding BI. Further, author also focused on the use of these BI and analytics
practices which provides benefit to the organization. Solberg [14] mentioned that initially, BI and
analytics applications used in business environment were capable to provide comprehend insight of
data, facts and figures rather than state or open knowledge.
According to Raisinghani [13] BI has grown-up strong in recent years due to advancement in recent
information and communication technology and other IT techniques. Due to this development the
company can use BI to fetch a massive volume of data with cheaper rate, and also have access to a lot
of data in the form of Smartphone, internet records, social media activities. Nofal, M. et al. [10]
emphasizes that BI is characterized as a framework which collect, transform and demonstrates
organized information from numerous sources.
According to Dresner Advisory Services report [5] the major modernizations due to BI and analytics
are mobility, collective work, utilization of cloud computing, new dimensions in data visualization,
enlargement in analysis domain such as sentiment analysis, social analysis, content analysis and
forecasting capabilities. Dr. Mika Hannula [6] examines that most of firms implement and execute BI
and analytics applications only to monitor the competitive environment, predict customer(s) approach
and activities, study market trends and so on. But apart from these, contemporary BI and analytics
application plays a central role in creation and presentation of information in variety forms which can
be used for operative and strategic decision making. Hsinchun Chen et al. [3] identified, analysed and
presented several experiments and prospects associated with BI and analytics applications research. In
one of the report provided by McKinsey Global Institute [8] projected that in approaching years a huge
scarcity of BI and analytics applications professionals will be challenged globally.
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S. Pavkov et al. [12] presented an analysis that BI and analytics application will be a central part of all
companies and their activities. Author also stated the utilization of cloud computing in BI and analytics
application will deliver companies with superior, supplementary as well as unobserved benefits. In their
research, Vizgaityte et al. [15] disclosed about the factors and criteria that must be considered while
designing, developing and implementing BI and analytics applications. Peter O’Donnell et al. [11] in
their study identified major critical issues faced by organization while implementing BI and analytics
applications in their working environment. Muhammad et al [9] in their study explored about various
components of BI and analytics applications. Also they provided detail analysis of different BI
enterprise applications, distinct features and future challenges.
METHODOLOGY
For our research purpose, we collected data related to market of BI and analytics from various reports
provided by leading research and advisory agencies such as Gartner, Dresner, IDC and Analytics
Peepal. These data were then summarized, analysed and presented. Further, various capabilities and
functionalities of BI and analytics applications are analysed. The main phases of research methodology
is presented in Fig 1.
Content and S econdary Analysis was done to focus on various functionalities, characteristics as well as to
discover market trends of BI and analytics application.
To present comparative scenario considering information provided by cited research firms are highlighted
using Comparative analysis.
To perform and present statistical analysis to highlight various trends such as market future forecast,
assessment of major critical capabilities and so on using R programming
Analyzing and outlining various challenges and opportunities of BI and analytics in India
Fig.1 Diagrammatic Representation of Research Methodology
Further, experiment and results of the study are presented in next section.
EXPERIMENT & RESULTS
Major BI and analytics applications are presented in Table I. These BI and analytics applications
provide their customers or users with functionalities such as (a) Predictive modelling, (b) Data
engineering, (c) Capabilities of handling and processing Big Data, (d) MIS reporting © Knowledge
Management (f) Dashboards and many more.
Table I List of BI and Analytics Applications
S r. BI and Analytics Abbreviation
No. Applications Used
1. IBM Cognos IC
2. Information Builder IB
3. M icrosoft M soft
4. M icrosoftStrategy MS
5. Oracle Ora
6. Qlik Qlik
7. System Application & Product SAP
8. Statistical Analysis System SAS
9. Tableau Tab
10. TIBCO Spotfire Tib
11. Yellowfin Yelfin
12. WebFOCUS Web
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Further, the market trend of BI and analytics applications considering number of users globally provided
by research and advisory agencies such as Gartner, Dresner, IDC and Analytics Peepal is graphically
presented in Fig. 2 (a), 2 (b) and 2 (c) for three consecutive years 2016, 2017 and 2018.
Fig. 2 (a) BI Users in 2016 Fig. 2(b) BI Users in 2017
Fig. 2 (c) BI Users in 2018
From Fig. 2(a), 2(b) and 2(c) top 3 BI applications for the year 2016, 2017 and 2018 is presented in
Table II.
Table II Rank of BI S oftware
S r. No. Rank 2016 2017 2018
1. 1 SAP Tableau Tableau
2. 2 Qlik Qlik SAP & SAS
3. 3 Oracle SAP Oracle
From Fig. 2(a), 2(b) and 2(c) as well as analyzing Table II, it can be observed that there is an extreme
increase in the number of users of BI software from the year 2016 to 2018.
Also the leading BI and analytics applications in global markets were SAP, Qlik, Oracle, Tableau and
SAS. Further, increase in number of users of BI software specifies an increase in acceptance and
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importance of these software for modern companies and their employees. After exhaustive analysis of
various literature review and report included in study, the major critical capabilities that BI and analytics
applications must integrate considering organization environment and working are presented in Table
III.
Table III Critical Capabilities of BI S oftware
S r. No. Capabilities
1. Product features
2. Analytics Dashboards
3. Data M anagement
4. Ease of Use
5. Exploration and Visualization of data
6. Security
7. Self Service
8. Administration
9. Real Time Analytics
10. Integration with other systems
BI and analytics market in India

According to report provided by Gartner for 2018 as well as Analytics Peepal on the development of
BI and analytics market in India stated that BI and analytics software market in India is predicted to
raise at 9.6 per cent year-on-year through 2019 as compared to 6.8 per cent across Asia-Pacific region.
Through this positive growth it is perceived that Indian companies are transforming and shifting from
outdated as well traditional approach, strategic and tool-centric data and analytics projects to strategic,
contemporary and architecture-centric data and analytics software. In Indian market Microsoft, Tableau,
Qlikview, SAP and SAS are the prominent BI and analytics applications which are widely used. The
domain or sector were BI and analytics applications are extensively used in India are emphasized in
Table IV.
Table IV S ector S erved by BI and analytics Applications
S r. No. Prominent S ector
1. Finance & Banking
2. M arketing & Advertising
3. E – Commerce
4. Retail
5. Telecommunication
6. Healthcare
7. Travel & Hospitality
From examination of various reports and studies it has been scrutinized that about 40% of analytics
professionals in India are employed with large scale companies. Medium scale organization employs
33% whereas as 27% are employed by startup companies. This fact clearly indicates that there is good
demand of analytics professionals considering Indian scenario. A part from this progressive growth and
appealing demand, BI and analytics applications faces many challenges, few of which are identified
and listed such as – (a) Computing issues, (b) Implementation drawbacks, (c) Engaging and training
users, (d) Upgrading issues, (e) Universal design, (f) Lack of proficiency and (g) Investment.
CONCLUSION
In present scenario BI and analytics are becoming successful, interesting as well as gaining attention
from organizations to research and development. BI and analytics applications are now becoming a
necessity for organizations irrespective of its size. Also organization are utilizing BI and analytics to
survive in competitive market. The paper explored about the growth and trend of BI and analytics
market globally as well as considering Indian scenario. During this exploration, we found that there is
a positive and healthy growth of BI and analytics and same trend will be carry forward for coming years
too. The number of users of BI and analytics applications showed a momentous growth from year 2016
ISBN: 978-93-5351-069-5 220

to 2018. Through analysis of various facts and figure it is observed that SAP, Tableau, Qlik, SAS and
Oracle are leading BI and analytics applications. Further, the use of BI and analytics applications is
widely increasing and shows an improvement day by day hence large number of vendors providing BI
and analytics applications are also increasing and at the same time new and innovative applications,
platforms of BI are emerging which are having constructive effect on business.
REFERENCES
[1]. Analytics & Data Science Industry in India: Study 2018 by Analytics India Magazine &
AnalyticxLabs
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data to big impact. MIS quarterly, 1165-1188.
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[5]. Dresner, H. (2012). Wisdom of Crowds Business Intelligence Market Study. Dresdner
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[6]. Hannula, M., & Pirttimaki, V. (2003). Business intelligence empirical study on the top 50
Finnish companies. Journal of American Academy of Business, 2(2), 593-599.
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development, 2(4), 314-319.
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Big data: The next frontier for innovation, competition, and productivity.
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Domain and Beyond. Universal Journal of Industrial and Business Management 2(6): 127-134,
2014.
[10]. Nofal, M. I., & Yusof, Z. M. (2013). Integration of business intelligence and enterprise resource
planning within organizations. Procedia Technology, 11, 658-665.
[11]. O’Donnell, P., Sipsma, S., & Watt, C. (2012). The critical issues facing business intelligence
practitioners. Journal of Decision Systems, 21(3), 203-216.
[12]. Pavkov, S., Poščić, P., & Jakšić, D. (2016). Business intelligence systems yesterday, today and
tomorrow–an overview. Zbornik Veleučilišta u Rijeci, 4(1), 97-108.
[13]. Raisinghani, M. (2004). Business Intelligence in the Digital Economy:
Opportunities. Limitations, and Risks: Idea Group Publication.
[14]. Solberg Soilen, K. (2015). A place for intelligence studies as a scientific discipline. Journal of
Intelligence Studies in Business, 5(3), 35-46.
[15]. Vizgaityte, G., & Rimvydas, S. (2012). Business Intelligence in the Process of Decision
Making: Changes and Trends. Ekonomika, 91.
[16]. Wixom, B. H., Watson, H. J., & Werner, T. (2011). Developing an enterprise business
intelligence capability: The Norfolk Southern journey. MIS Quarterly Executive, 10(2).
221 ISBN: 978-93-5351-069-5

PCM058
IMPLICATIONS OF NON PERFORMING ASSETS – NPA: A STUDY
ON THE PROFITABILITY OF SELECTED BANKS IN INDIA
Mr. Paresh Dave Dr. Yogesh C. Joshi
Assistant Professor, Dean, Faculty of Management,
S. R. Luthra Institute of Management, Surat Director and Professor
pareshdave.srlim@gmail.com G. H. Patel Postgraduate Institute of Business
Management, Sardar Patel University,
Anand – Gujarat
joshiyogesh_2000@yahoo.com
Abstract:
Health growth of a nation depends on sound and error proof banking system. The banking industry
should be hassle free and capable of meeting with the new challenges posed by internal as well as
external factors. Undoubtedly, strong banking systems will aides in to the economic development of a
nation. Currently, the Indian banking sector facing the difficulty of extraordinary level of Non-
Performing Assets (NPA) and a recent report revealed by CARE rating puts the Indian economy on the
top 5 countries with highest amount of bad loan in the world with NPA ratio of 9.9. Indian economy is
twirling under enormous NPA of over Rs. 7.33 lakh crore as of June 2017. Due to this, profitability of
banks are getting affected which also further affects the business houses in India. In this paper an
attempt has been made to understand the effects of NPA on the profitability of Scheduled Commercial
Banks (SCBs) operating in India. The main aim of the paper is to weigh the extent of impact of NPA on
scheduled commercial banks profitability. This study was purely based on secondary data. In order to
study the profitability, three variables have been used, Return on Assets, (ROA) Return on Equity,
(ROE) and Net Interest Margin (NIM) while the NPA is based on the two ratios i. e Gross NPA ratio as
well as Net NPA ratio. The Multiple Regression analysis has been used to achieve the stated objective.
It has been found that profitability measures such as Return on Assets, (ROA) and Net Interest Margin
(NIM) does not significantly depends on NPA while Return on Equity (ROE) significantly depends on
NPA for SCBs during 2007-08 to 2016-17.
Key Words: Non-Performing Assets (NPA), Return on Assets (ROA), Return on Equity (ROE),
Net Interest Margin (NIM)
INTRODUCTION
The nonperforming assets are defined as any loan or advances which remain outstanding for a period
of more than 90 days except for agricultural/farm loan. Reserve Bank of India (RBI) moved towards
the best international practices and to ensure greater transparency, from March 31 st 2004 following
situation shall be called Non-Performing Assets (NPA) for a loan or advances given by banks. (RBI,
2014)
Table: 1 Types of Loans and NPA description by RBI with effect from 31st March, 2004
Types of Loans Situation Outstanding Period
If any interest or instalment of
In case of a term loan Above 90 Days
principal remains unpaid
In case of cash credit/overdraft
If account stands out of order Above 90 Days
(CC/OD)
Purchasing and discounting of bills the bill remains unpaid Above 90 Days
If any interest or instalment of Depends of harvest
Loan given agriculture work
principal remains unpaid seasons
If any amount to be expected
Additional accounts More than 90 Days
remains overdue
Source: https://m.rbi.org.in/Scripts/BS_ViewMasCirculardetails.aspx?id=9908
ISBN: 978-93-5351-069-5 222

According to the annual report of RBI, the amount of gross NPA reached at Rs. 7918 billion at the end
of financial year 2016 -2017 as compared with previous year of Rs. 6120 billion for all the scheduled
commercial banks operating in our India. Similarly the rise has also been observed in the net NPA
amount, which stands at Rs. 4331 billion compared with Rs. 3498 billion in the previous financial year
(RBI Report, 2016 -2017.) Therefore, there is no doubt that the NPA has been significantly higher in
India since last few years. The increased amount of gross NPA and net NPA in India are indicators of
deterioration in assets quality of Indian banking sector. Poor asset quality of banks unfavourably
influences their ability to lend funds to various sectors.
One of the main requirements for the Indian banking system is to tackle the NPA issue which has also
affected the profitability of banks. Various steps have also been attempted by the concerned authorities
to handle the situation with the Insolvency and Bankruptcy Code (IBC Code 2016) being the modern
one where some of the larger NPAs (Account having more than 2 Lakh Crore as NPA) have been
identified for immediate resolution. The result would be known in the near future only as it provides
180 days only plus 90 days of extension with approval.
Non-Performing Asset and Profitability of Banks:
NPA placed adverse influence on profitability of banks because it stops to receive income on one side
and has to give lot of provisions as compared to standard assets on the other side. NPA affects the many
operational aspect of a bank and creates impact on the many parts of banking operations. Due to the
high level of NPA, the money of banks gets blocked that leads to loss of profit earning in some other
productive project. (Opportunity cost) it further reduces the profitability of banks and puts banks on the
side where it lacks enough cash to carry out its operations smoothly.
Figure: 1 Impact of NPA on Banking Operations
• Current Profit
Opportunity
Cost • Future Stream of
Profit
• ROI
Profitability • ROA
• NIM
• Lack of Cash
Liquidity • High Borrowing
Cost
Source: (Michael, 2006)
223 ISBN: 978-93-5351-069-5

It facilitates formulating objectives for present study. The same has been briefly presented as below.
Sharma and Rathore (2016) measured the influence of NPA on the profitability of scheduled
commercial banks for the period of 2004 – 2005 to 2014 – 2015 with the help of regression analysis. It
was found that currently NPA shows upward trend and profitability measures has shown a diminishing
trend. The work revealed that NPA has a contrary impact on bank’s profitability too.
Kiran and Jones (2016) have said that NPA management reflect the efficiency level of bank’s
performance. The study has been completed on public sector banks of India to assess the effect of NPA
on bank’s profitability in India. Their result found that 5 nationalised banks selected revealed the
indirect relationship between gross NPA and net profits whereas the same is not true in case of State
Bank of India only.
Narula and Singla (2014) assessed the NPA with respect to Punjab National Bank and measure its
impact on the profitability for the period of 2006 – 2007 to 2011 – 2012. It was found that reduction in
NPA is important to recover the profitability of bank. They concluded that that positive relationship
among Net Profits and NPA of PNB has been observed. Basically it means that if profits raise NPA
also rise. Mismanagement on the bank side was a reason for the same. The suggestion was suitable
management desirable from banks to decline NPA.
Das and Dutta (2014) have focused on reasons behind NPA and its impact on the banking operations.
They have found that there is no significance difference in the means of NPA of the banks. Banks
regardless of their operation level have similar NPAs in recants year was the main conclusion of them.
The period of the study was 2008 to 2013. NPAs are the type of assets which are issue of major concern
to the banking sector in India.
Trujillo and Ponce (2013) have studied which factors directed the profitability of banks in Spain for the
period of 1999–2009. They have concluded that extraordinary profitability of banks during the study
period was due to the loans given in hugh percentage in total assets, a great amount of customer deposits,
decent competence level and a little doubtful assets ratio. This study also concluded that performance
of commercial bank and saving bank was different from each other.
Velmurugan (2013) studied the NPA in the public sector bank of India in Tamilnadu state. He concluded
that the profits of banks have been highly affected because of nonperforming assets especially public
sector banks which accounted almost for one half NPA in India. Borrower have to take responsibility
and needs to be come ahead in this bad situation without it India can’t become an advanced country.
He lastly commented that borrowers have to turn financially disciplined and support the positive
working of Indian banking system.
Singh (2013) measured the performance of Indian commercial banks through the NPA. She found that
the serious problem of high NPA shows high possibility of large number of credit default which affects
the profitability as well as bank’s liquidity. The public sector banks have extraordinary level of NPA as
compare to other banks and it is not possible to have nil NPA but at least banks must be cared enough
for creditworthiness of customers before granting loans.
Balasubramaniam (2012) has addressed the emerging issue of NPA and profitability of commercial
banks in India. It was observed by him that the level of NPAs is very high with respect to the all banks
at present and the banks would be likely to reduce their NPA. He also concluded that Competition in
the banking also gone up and private sector banks specially HDFC and ICICI performs better than
others. It was difficult for the PSU banks to follow the Basel III guidelines although being dominant
banks in India.
Thiagarajan et. al (2011) has taken the help of econometric model to forecast the causes of the credit
risk with respect to Indian commercial banking sector. This study reveals two types of factors
ISBN: 978-93-5351-069-5 224

responsible for credit risk i. e. macroeconomic and bank specific factors. They have been concluded
that in the past decades both the public sector and private sector banks have been effective enough to
manage its credit risk.
Chaudhary and Sharma (2011) attempted to analyse the efficiency of managing NPA by public sector
and private sector banks of India. They found that Effective and regular follow-up, an efficient
management information system, a healthy Banker-Borrower relationship, clear financial acquisition
policy for ARCs and better IT platform should be developed for reducing the NPA. Public sector banks
must take care on their operative mechanism to give tough competition to private banks. They
concluded that banks must be cautious while selecting borrower/projects for lending funds.
Michael (2006) has done theoretical study on how NPA affects the operational efficiency of central co-
operative banks. He commented that unpaid loan among its various loans disturbed the functioning
productivity that resulted in negative impression on profitability, liquidity and solvency position of co-
operative banks. He also marked that the high amount of NPA distresses the capital of the banks which
further could cause crisis and due to that profitability and liquidity also reduced.
Sathye (2005) studied on Indian banks with respect to inspect the effect of bank privatisation on its
performance and efficiency. The study was restricted to year 1998 to 2002. The performance of public
sector banks was not good compared to partially privatised banks. He also concluded that partially
privatised banks have non-stop impressive performance and they were also found efficient after
privatisation.
Staikouras and Wood (2004) have put efforts to study the determinants of European bank profitability.
They have mainly focused upon internal and external determinants resulted in presentation of EU
banking industry from 1994 to 1998. Their conclusions mainly said two noteworthy factors one that is
related to their management decisions and second its ability to see changes in the external
macroeconomic environment that affects bank’s profitability.
Reddy (2002) commented on handling the issue of NPA from the experience of other Asian countries.
It also looked in to the impact of changes in reforms on the level of NPA along with suitable mechanism
to deal with this NPA problem. It found that strong legal and legislative framework is a prerequisite for
solving this issue. Foreign experiences must be used with domestic situation and flexible solution that
fit to all stakeholders should develop. The following objectives have been delineated.
OBJECTIVE OF THE STUDY
This paper has a purpose to achieve the following objectives.

1. To examine the trend analysis of Non-Performing Assets of Scheduled Commercial Banks of
India for last ten financial year.
2. Measuring the impact of Non-Performing Assets on the various parameters of profitability
(ROA, ROE and NIM) for Scheduled Commercial Banks of India.
The current study is based on the secondary data collected from the various publications of Reserve
Bank of India (RBI) includes annual report, report on trend and progress of banking in India as well as
Handbook of Statistics on the Indian Economy for the relevant study period. The study period is ten
financial years started from 2007 – 2008 to 2016 – 2017. Causal research design that is also known as
explanatory research design was used in this study in order to identify the extent and nature of cause-
and-effect relationships between NPA and Profitability of SCBs. In this study, researchers have used
causal research design for the purposes of assessing the impact of NPA on the profitability of SCBs of
India. All scheduled commercial banks operating in India have been selected because NPA reached at
its highest level for this category of banks in the year 2016 - 2017. The study was based on the data of
225 ISBN: 978-93-5351-069-5

all scheduled commercial banks from 2007 – 2008 to 2016 – 2017. Multiple Regression analysis has
been performed to measure the impact of NPA on profitability of SCBs. The dependent variables of the
study were profitability measures of SCBs and independent variables were NPA of SCBs. The measures
of NPA were Gross NPA Ratio and Net NPA Ratio while Profitability has been measured on the Return
on Assets (ROA), Return on Equity (ROE) and Net Interest Margin (NIM). The data collected have
been examined with the use of the software called statistical package for the social sciences (SPSS
Version 21). Relevant hypothesis were also formulated and tested during the study. In analysing the
data, first correlation between selected variables was found and then to quantify relationship multiple
regression analysis has been performed. Following Multiple Regression Equation has been formulated
to enumerate the relationship among choosen variables.
Y = a + b1 X1 + b2 X2
(Where Y = Dependent Variable, a constant, b Beta and X= Independent Variable)
DATA ANALYSIS
Trend Analysis of NPA

Table: 2 Trend Analysis of NPA in SCBs of India for last ten financial years
2007 200 2009 2010 2011 2012 2013 2014 2015 2016
Particulars
– 08 – 09 – 10 – 11 – 12 – 13 – 14 – 15 – 16 – 17
Gross NPA
RATIO* 2.3 2.3 2.5 2.4 2.9 3.2 3.8 4.3 7.5 9.3
in %
Net NPA
RATIO** 1.0 1.1 1.1 1.0 1.3 1.7 2.1 2.4 4.4 5.3
in %
Source: https://dbie.rbi.org.in/DBIE/dbie.rbi?site=publications
*Gross NPAs as per cent of Gross Advances
**Net NPAs as per cent of Net Advances
Chart: 1 Trend Analysis of NPA for SCBs of India
Source: (RBI, Handbook of Statistics on the Indian Economy, 2017)

The above data clearly reveals that during these ten years of time, the asset quality of SCBs was
significantly worsens. Gross NPA ratio and Net NPA ratio both continuously increases from 2007 – 08
ISBN: 978-93-5351-069-5 226

to 2016 – 17. The continuous increase in NPA would adversely affect the earnings of SCBs as well as
reduces the economic development of our nation. There were sharp increases observed during the last
two financial years in case of both ratios. Two year ago, these ratios were almost less than half of its
current value. It means that SCBs couldn’t able to get back much of it lending amount in the past two
years compares to earlier time period. Hence these banks need to take severe steps to control this
scenario.
Correlation analysis between NPA Ratios and Profitability Measures
Hypothesis:
H0 : There is no significant association between NPA ratios and measures of profitability of SCBs in
India.
H1 : There is a significant association between NPA ratios and measures of profitability of SCBs in
India.
Table: 3 Correlation Analysis
Return on Return on Equity Net Interest Margin
Assets
Pearson Correlation -.977** -.965** -.471
Gross NPA Ratio Sig. (2-tailed) .000 .000 .170
N 10 10 10
Pearson Correlation -.984** -.975** -.480
Net NPA Ratio Sig. (2-tailed) .000 .000 .161
N 10 10 10
In order to determine the relationship between the NPA ratios and various measures of profitability for
SCBs of India (2007–08 to 2016–17) a Pearson product-moment correlation was used.
Gross NPA Ratio & Profitability Measures

A strong negative correlation between Gross NPA ratio and Return on Assets which was statistically
significant. (r = -.977, n = 10, p = .000)
A strong negative correlation between Gross NPA ratio and Return on Equity which was also
statistically significant. (r = -.965, n = 10, p = .000)
A moderate negative correlation between gross NPA ratio and Net Interest Margin which was
statistically significant. (r = -.471, n = 10, p = .170)
Net NPA Ratio & Profitability Measures
A strong negative correlation between Net NPA ratio and Return on Assets which was statistically
significant. (r = -.984, n = 10, p = .000)
A strong negative correlation between Net NPA ratio and Return on Equity which was statistically
significant. (r = -.975, n = 10, p = .000)
A moderate negative correlation between Net NPA ratio and Net Interest Margin which was statistically
significant. (r = -.480, n = 10, p = .161)
Hence, the above date revels that the null hypothesis was rejected. It means there was a significant
relationship between NPA ratios and measures of profitability accept for a variable Net interest margin
NIM.
227 ISBN: 978-93-5351-069-5

Multiple Regression analysis for SCBs of India (Study Period 2007-08 to 2016-17)
Multiple Regression Equation: Y = a + b1 X1 + b2 X2

(Where Y = DV, a constant, b Beta and X= IV)
NPA Ratios and ROA
H0 : There is no significant impact of NPA ratios on ROA of SCBs in India

H1 : There is a significant impact of NPA ratios on ROA of SCBs in India
Table: 4 Model Summary

Model R R Square Adjusted R Square Std. Error of the
Estimate
1 .987a .974 .966 .05432
a. Predictors: (Constant), Net NPA Ratio, Gross NPA Ratio
Table: 5 ANOVAa
Model Sum of Squares df Mean Square F Sig.
Regression .763 2 .381 129.242 .000b
1 Residual .021 7 .003
Total .783 9
a. Dependent Variable: Return on Assets
b. Predictors: (Constant), Net NPA Ratio, Gross NPA Ratio
Table: 6 Coefficients a
Model Unstandardized Coefficients Standardized t Sig.
Coefficients
B Std. Error Beta
(Constant) 1.214 .078 15.554 .000
1 Gross NPA Ratio .129 .111 1.063 1.167 .281
Net NPA Ratio -.396 .177 -2.044 -2.246 .060
a. Dependent Variable: Return on Assets
The total variation in the dependent variable ROA is 97.4 % which is very large. (R Square .974) The
anova table represents that whether overall regression model that was run is statistically significant or
not. In this example, the significance value p is 0.000 which is less than 0.05 hence statistics said that
it is good fit for the data. The significant column of coefficient table tells whether the ROA of SCBs
significantly depends on Gross NPA ratio and Net NPA ratio or not. Here in this case the significance
value p is 0.281(GNPA) and 0.060 which is more than 0.05. Hence data shows that null hypothesis
was failed to reject it means that there is a no significant impact of gross NPA ratio and net NPA ratio
on the return on assets of SCBs of India. So,
ROA = 1.214 + 0.129 * Gross NPA Ratio – 0.396 * Net NPA Ratio
NPA Ratios and ROE
H0 : There is no significant impact of NPA ratios on ROE of SCBs in India

H1 : There is a significant impact of NPA ratios on ROE of SCBs in India
Estimate
1 .982a .965 .955 .96791
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Table: 8 ANOVAa
Regression 181.526 2 90.763 96.880 .000b
1 Residual 6.558 7 .937
Total 188.084 9
a. Dependent Variable: Return on Equity
Coefficients
B Std. Error Beta
(Constant) 15.958 1.390 11.477 .000
1 Gross NPA Ratio 3.264 1.974 1.731 1.653 .142
Net NPA Ratio -8.122 3.146 -2.702 -2.581 .036
a. Dependent Variable: Return on Equity
The total variation in the dependent variable ROE is 96.5% which is very large. (R Square .965) In this
example, the significance value p is 0.000 which is less than 0.05 hence statistics said that it is good fit
for the data. The significant column of coefficient table tells whether the ROE of SCBs significantly
depends on Gross NPA ratio and Net NPA ratio or not. Here in this case the significance value p is
0.142 for Gross NPA ration which is more than 0.05 while the significance value p is 0.036 which is
less than 0.05. Hence it reveals that null hypothesis was failed to reject in case of gross NPA ration it
means that there is no significant impact of gross NPA ratio on the return on equity of SCBs of India
while null hypothesis was rejected in case of net NPA ration it means there is a significant impact of
net NPA ratio on ROE of SCBs of India. So,
ROE = 15.958 + 3.264 * Gross NPA Ratio – 8.122 * Net NPA Ratio
NPA Ratios and NIM
H0 : There is no significant impact of GNPA ratio on NIM of PSBs in India

H1 : There is a significant impact of GNPA ratio on NIM of PSBs in India

Estimate
1 .495a .245 .029 .14221
Table: 11 ANOVAa
Regression .046 2 .023 1.133 .375b
1 Residual .142 7 .020
Total .187 9
a. Dependent Variable: Net Interest Margin
229 ISBN: 978-93-5351-069-5

Coefficients
B Std. Error Beta
(Constant) 2.706 .204 13.244 .000
1 Gross NPA Ratio .106 .290 1.782 .366 .725
Net NPA Ratio -.214 .462 -2.258 -.463 .657
a. Dependent Variable: Net Interest Margin
The total difference in the dependent variable NIM is 24.5% which is very small. (R Square .245) In
this case the significance value p is 0.375 which is more than 0.05 hence statistics said that it is good
fit for the data. The significant column of coefficient table shows that whether the NIM of SCBs
significantly depends on Gross NPA ratio and Net NPA ratio or not. Here in this case the significance
value p is 0.725 and 0.657 for gross NPA ration and net NPA ratio respectively which is more than 0.05
in both cases. Hence data shows that null hypothesis was failed to reject it means that there is no
significant impact of gross NPA ratio and net NPA ration on net interest margin of SCBs of India. So,
NIM = 2.706 + 0.106 * Gross NPA Ratio – 0.214 * Net NPA Ratio
CONCLUSIONS
The current issue of nonperforming assets - NPA of Indian banking sector would be harmful to Indian
banking sector if we fail to take precise action immediately. Adequate measures are desperately needed
now in order to bring the sector on track which is backbone of our economy. The measures of
profitability used in this study were ROA and ROE shows high degree of negative correlation with
gross NPA ratio net NPA ratio while moderate negative correlation was observed in case of NIM. It
means that any fall in profitability measures like ROA and ROE of SCBs are highly attributed to NPA
of SCBs of India. With the help of multiple regression analysis, it has been concluded that the gross
NPA ratio and net NPA ratio does not significantly reduces return on assets (ROA) of SCBs of India.
The return on equity (ROE) significantly depends on net NPA ratio while it wasn’t significantly depends
on gross NPA ratio. The net interest margin (NIM) that is third variable of profitability has nothing to
do with both NPA ratios. As per this study, it has been concluded that gross NPA ratio and net NPA
ratio does not significantly reduces the net interest margin (NIM) of SCBs of India for the study period
of 2007 – 08 to 2016 – 17. Some dependent variables in this study do not significantly depend on NPA
ratios, it means that there are other variable that impacts ROA and specially NIM. All the concerned
banks, regulators and borrowers are required to work in a coordinated manner to come out of this bad
scenario for Indian banking sector.
REFERENCES
[1] Balasubramaniam, C. S. (2012). Non-performing assets and profitability of commercial

banks in India: assessment and emerging issues. National Monthly Refereed Journal of
Research in Commerce & Management, June, volume, (1), 41-52.
[2] CARE Ratings. (2017). Indian Banking Sector: Update FY17 & Outlook. MUMBAI:
CARE RATINGS LIMITED.
[3] Chaudhary, K., & Sharma, M. (2011). Performance of Indian public sector banks and
private sector banks: A comparative study. International journal of innovation,
management and technology, 2(3), 249.
[4] Das, S., & Dutta, A. (2014). A Study on NPA of Public Sector Banks in India.
[5] Handbook of Statistics on the Indian Economy (2017) Retrieved January 3, 2018, from
www.rbi.org.in: https://dbie.rbi.org.in/DBIE/dbie.rbi?site=publications#!2
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[6] Kiran, K. P., & Jones, T. M. (2016). Effect of Non Performing Assets On The
Profitability of Banks–A Selective study. International Journal of Business and
General Management, 5(2), 53-60.
[7] Michael, J. N. (2006). Effect of Non-Performing Assets on Operational Efficiency of
Central Co-Operative Banks. Indian Economic Panorama, 16(3), Oct 2006, pp.
33,34&39.
[8] Narula, M. S. D. S., & Singla, M. (2014). Empirical study on non-performing assets of
bank. International journal of advance research in computer science and management
studies, 2(1).
[9] RBI. (2017, 10 15). Database on Indian Economy. Retrieved 11 15, 2018, from
https://www.rbi.org.in https://dbie.rbi.org.in/DBIE/dbie.rbi?site=publications:
https://dbie.rbi.org.in/DBIE/dbie.rbi?site=publications
[10] RBI. (2014, July 1).
https://rbi.org.in/scripts/BS_ViewMasCirculardetails.aspx?Id=9009&Mode=0.
Retrieved January 16, 2018, from https://rbi.org.in:
https://rbi.org.in/scripts/BS_ViewMasCirculardetails.aspx?Id=9009&Mode=0
[11] RBI, R. B. (2016-17). Annual Report 2016-17. Mumbai: Reserve Bank of India.
[12] Reddy, P. K. (2002). A comparative study of Non Performing Assets in India in the
Global context-similarities and dissimilarities, remedial measures.
[13] Sathye, M. (2005). Privatization, performance, and efficiency: A study of Indian
banks. Vikalpa, 30(1), 7-16.
[14] Sharma, M. (2005). Problem of NPAs and its impact on strategic banking
variables. Finance India, 19(3), 953.
[15] Sharma, S., & Rathore, D. S. (2016). Measuring The Impact of Non-Performing Assets
on The Profitability of Indian Scheduled Commercial Banks. International Journal of
Research in Economics and Social Sciences, 6(11), 285-297.
[16] Singh, A. (2013). Performance of non-performing assets (NPAs) in Indian Commercial
Banks. International Journal of Marketing, Financial Services & Management
Research, 2(9), 86-94.
[17] Staikouras, C. K., & Wood, G. E. (2004). The determinants of European bank
profitability. International business and economics research journal, 3, 57-68.
[18] Thiagarajan, S., Ayyappan, S., &Ramachandran, A. (2011). Credit risk determinants of
public and private sector banks in India. European Journal of Economics, Finance and
Administrative Sciences, 34, 147-154.
[19] Trujillo‐Ponce, A. (2013). What determines the profitability of banks? Evidence from
Spain. Accounting & Finance, 53(2), 561-586.
[20] Velmurugan, R. (2013). Non-performing Assets: PSB. SCMS Journal of Indian
Management, 10(3).
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PCM036
BUSINESS MODELS FOR ENTRIES:
COMPANY STRATEGIES FOR INTERNATIONALIZATION AND
GLOBALIZATION
Jayshree Waghela
Research Scholar
Gujarat University
Jwaghela.cti@gmail.com
Abstract
The emergence of e-business and m-business has revolutionized the whole mode of doing business.
Business models witness radical changes due to global metamorphosis in competition, value chain,
growth in economies, availability of resources and approach to value proposition. Dynamic business
models catering to the pace of development are vital to survive the augmenting competition. Business
model is designed according to the competitive strategy, knowledge, resources, and value chain that
the company is employing to stand apart from its competitors and attain sustainability in an industry.
Success of a business lies in its internal control activities and the business model is developed by
keeping in view of those activities by managers. In international trade, global strategies are framed to
attain competitive advantage, while some nations are leading because of their comparative advantage
in certain industries. An understanding of global industries and global competition is a must for the
managers to come up with a successful global strategy. The generally accepted approaches of entry
into foreign markets are export, contractual, and investment.
Key words: Business models, dynamic, competitive strategy, knowledge, resources, value chain,
international trade, global strategies, comparative advantage, export, contractual, investment.
INTRODUCTION:
The economic potentials of a country need to be channelized for the growth and development of the
country to its full extent. It is crucial to recognize economic resources and utilizing it in the direction of
business activity development and growth of the country in feasible ways.
The liberal policies led by Government have opened the arena of global business. The barriers to
international trade are truncated and an encouragement to bring competitive advantage in the business
by entering foreign market through global strategies has flowed. The policies and globalization favoured
industries and nations with comparative advantage over other nations. A successful global entry strategy
can be created by a thorough understanding of global competition in the global industry level.
According to Wach and Loustarinem (Wach, September 2014), business internationalization is a

process that increases the involvement in international business activities. The entry mode by the
business unit is realized by its business potential categorized as endogenous factor and its position that
it enjoys in the market or its industry as exogenous factors. The modes of entry into foreign markets
carries varied efficiency and input costs. Wach (Wach, September 2014) has given the taxonomy
distinguishing in three fundamental ways: by way of export; by way of contract; by way of investment.
One of the successful modes of business practices while entering the international market is employing
proper marketing strategies. The marketing strategies require to select viable markets, targets and mode
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of entering foreign markets over the marketing mix instruments (Čivić & Sinanagić, 2014). Appropriate
marketing concepts lead to long term infinite gains to the company and exporting country, and are
crucial for achieving economic welfare of the country. The transition of manufacturing or sales concept
towards the marketing concept can give hold in modern market conditions.
Global vs. International Tactics
In international strategy, subsidiaries are disseminated locally in foreign countries and operate without
interference, handling or administration of the origin company. Global strategy involves framing and
applying a universal strategy worldwide, that adapts to the complete network of subsidiaries and
partners existing overseas in flexible manner (Yip, 2002).
Table 1: Difference between the Global and International Tactics:

Global Tactics International Tactics
Origin company’s authority and engagement
All globally existing firms’ operations are The origin company’s interference over its
interdependent and guided from center. branches all over the world is negligible.
Uniformity of the products
The standardization, similarity and identicalness The products and operations are customized and
of the products and operations are maintained adapted according to indigenous requirements.
with all the branches of the world. (Zou & Cavusgil, 2002).
Incorporation of strategies and combating competition
Center initiates the course of action and The course of action and execution of strategies
execution of strategies at all its subsidiaries to rest with the subsidiaries with respect to
take on the competition in the market. indigenous level competitors.
Firms are independent from parent company
Firms are part of center and compete
and compete autonomously in the market. (Yip,
collectively to combat competition.
2002).
Reasons for Companies Going Global/International
Companies reach a saturation stage at a certain point and seek for flourishing markets. The main aim of
a company tapping overseas market is growth. An international strategy is made to diversify or expand
the business by hiring international employees or entering a new market abroad with a goal to expand
the business. Economic globalization includes global clients and expands their markets to different
countries.
Other attraction of spreading the business overseas is cost effectiveness. Countries with low cost of
living and deflated currencies can earn major profit. Countries entering into free trade agreements with
the exporting countries are one reason for entering into such countries’ foreign markets. Cheaper human
resources reduce overhead costs and increase profit in such countries. During the time of financial
crises, the company can make reforms internally by forming new budget it can invest in overseas
business (Elmuti & Kathawala, 2001).
International business entry reduces a company’s dependence on domestic markets (William Edwards).
New business opportunities, extended market segment, potential for greater profit, expand the range of
their products, goods and services are some of the reasons for going global. In state of financial
restructuring, business development, ownership transformation, flow of commerce, acquisition,
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inevitable situation for survival, are some reasons that inflict the company to grab a market in foreign
countries.
IKEA’s Modus Operandi of Globalization
(Business Today) The case study of IKEA analyses its strategies to adapt itself in global markets. The
company is well known for its characteristics of providing inexpensive, contemporary and ingeniously
designed furniture. The founder of IKEA is Ingvar Kamprad from Sweden who established it in 1943.
The company established itself in furniture business despite all odds of rivalry by learning to design its
own furniture and buying raw materials from suppliers in Poland at half the price in his country and by
creating its own exhibitions. In furniture business IKEA holds now world’s largest furniture retail
market and owns above 300 stores all over world.
IKEA opened the first global outlet in Stockholm at the outskirts, which gave the facilities of parking
and approach to the road. Customers had the choice of carrying packed furniture comfortably to their
destination. Exhibiting the furniture in a set environment gave an ease of idea to the customers’ to make
a suitable purchase.
IKEA implemented the policy of standardization of furniture to reduce the cost and facilitate the
operation. This created hurdles for the company when it extended its market to USA in 1985. Due to
vast difference in culture and altered mode of measurement, difference in sizes of sofas and beds,
unsuitable size of kitchen appliances and furnishings compelled IKEA to change its strategy from
standardization to culture based customization.
IKEA ventured in China in 1998 with its furniture business and for this it was legally bound to form a
joint venture. This helped IKEA to study the fundamentals of the market. It customized its furniture to
the compact size demand of the local citizens. Earlier in the USA market, it had customized the furniture
to larger size catering to the demand of the customers. By proliferating its stores in other parts of China,
IKEA’s revenue grew by 40 percent in 2004 compared to previous year.
To tackle the strategic challenges of low priced furniture, IKEA slashed the price to make it affordable
for the Chinese population. This was made possible by opening factories in China, which resolved the
issue of high import duties in China. This move allowed IKEA to slash the prices of its furniture over
60 to 65 percent. But the low-price strategy of the company created doubts among the customers. So
the company targeted the young-middle educated class by advertising on Chinese social media and
micro-blogging website Weibo.
Unlike other stores in China, IKEA gave a socialized environment to the customers by giving them
personal attention and allowing them to feel and touch the furniture. It straightened up its store location
strategy to make it accessible to customers as most people use public means, went for mass production
and trimming supply chain cost. Low price was the key factor to make the furniture affordable for
middle class population. In place of self-service mode employed in Europe by the company, IKEA used
the strategy of quality service in China.
The company realized the method of doing business in emerging global markets by multinational
companies. It took twelve years for the company to well establish itself in China and become a profitable
company in the Asian subcontinent. IKEA had to undergo a metamorphosis in its modus operandi in
different countries.
The Tata Company: A Case Study of Internationalization
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The Tata was founded in 1868 with the objective of wealth creation to strengthen the nation’s economy.
A conglomerate of more than 100 companies and a turnover of more than $70bn, it is highly
decentralized. Tata companies globally embody the core values of trust, honor, honesty, understanding,
excellence, integrity, unity and responsibility.
Tata Africa Holdings was established in Johannesburg in 1994 as a wholly-owned subsidiary of Tata
International. Individual Tata companies were acquiring small stakes abroad before its largest
acquisitions of Tetley Tea, one of leading brands of Britain. Another major acquisition of Tetley Tea
for US$432 million was made in 2000 by Tata Tea by mode of leveraged buyout. Next step of Tata
group in internationalization was 2007 when an Anglo-Dutch firm Corus was acquired by Tata
Company for US$11 billion. This being the case of hostile takeover as the loan was huge for leveraged
buyout and the target was a small company. In 2008, Tata Motors acquired Jaguar Land Rover.
To make the merger a success, Tata companies adapt to the culture and working environment of that
country. At the home front, as a part of strategic decision, Tata Tea used innovative packaging to
increase market share and position its five tea brands in India which increased its share from 2% to
26%. To grab the opportunity of transformation of global tea industry, in 2006-07 Tata company aligned
to form a joint venture in Sri Lanka. It became a dominant international plantation giant. To overcome
expensive distribution network, it preferred to take the advantage of distribution created by a partner or
a joint venture or an alliance. Thus, Tata preferred here the growth by inorganic route. At present, Tata
Tea and Tetley have grabbed 53 percent of global packaged tea volume. By acquiring tea business
internationally Tata Company has become an international brand in tea business (Goldstein, 2008).
(Witze, 2010) Tata maintained a pragmatic approach in dealing with new acquisitions. It followed the
policy of continuing the same brand names it acquired abroad for reassurance of the stake holders’
affinity to the brands. It continued with Tetley and Jaguar Land Rover with original brand name as these
are seen as a strong brand in their home countries and renaming it would destroy its brand value. Corus
was considered as a weak brand, so instead Tata took a conventional approach of branding it under Tata
brand.
Dabur India Ltd: A Case Study of Globalization
Founded by Dr. S. K. Burman in 1884 as a pharmacy business to prepare ayurvedic medicine for
diseases like malaria, cholera and plague which had hardly any cure that time, Dabur India Ltd. has
established itself as a trustworthy brand by being more than 120 years in the market with varied products
of FMCG sector. Liberalization in 1990s saw entry of rich multinationals that gave tough competition
to the FMCG companies in India and Dabur saw losing its market share. The company decided to follow
a multipronged growth strategy with refurbishing its product portfolio with emerging categories as skin
care, packaged fruit juice etc.
Taking inorganic route of growth the company targeted the rural mass as its brand value had ayurvedic
product category label and was less preferable with the urban population. It was seen as a brand for
consumer above 35 years of age. So to entice the 21st century consumers, it completely refurbished the
packaging of its entire portfolio to make its products look contemporary.
Dabur was having a taste of overseas market with a joint venture with a Spanish company Agrolimen
in 1992, for manufacturing and marketing confectionery products in India. In 1995 it joined hands with
Osem of Israel for food and with Bongrain of France for cheese and dairy products. These ventures
gave the company an exposure to understand the consumers abroad and they decided to foray the foreign
market with their products.
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Following globalization, Dabur became the first Indian company to open its plant in U.A.E. This helped
the company to adept in addressing the altering requirements of the consumers. This step also provided
them with a leaner and quicker supply chain. Targeting the markets from Middle East, the company
expanded its business to sub-Saharan Africa, Turkey and The United States. By 2006, Dabur had setup
five manufacturing facilities outside India.
MCDONALD’S GLOBALIZATION:
McDonald’s a leading restaurant chains established its business in 1940 in California. It went
international in 1967 by opening its first restaurant in Puerto Rico and then in Canada. Today the
company is having its chain of restaurants in 119 countries. Its target market defines the segment of
demography containing family life cycles, age, nationality, income, generation etc. Its slogan says
“there is McDonald’s for everyone”. As a strategic planning for marketing, McDonald’s menu was
customized according to the culture of the country.
McDonald’s has over 30000 restaurants representing diverse culture all over the world. Diversity is an
integral part of the internal company culture, so it promotes local suppliers with similar diversity culture.
The company imbibes the local customs and traditions, integrating the local community and adapting
to the tastes and cuisines of the community are reasons for the huge success for the company globally.
In India, McDonald’s successfully established their hamburger chain despite the taboo of beef and pork,
by sleekly shifting their core product burgers to fully vegetarian and regional food tastes to mutton and
chicken based product. Thus customizing their product to the need of local community has made the
company have a firm hold globally in the fast food chain market.
COLLABORATION: THE SUCCESS MANTRA FOR GOING GLOBAL
(Slywotzky & Hoban, 2007)“Strategic collaboration changes the economics to benefit all players.”
Stern competition can be detrimental for the competing companies involved in the business with little
value to the customers of little product differentiation. Strategic collaboration on well-defined activities
results in immediate reduced costs and can help the company survive by avoiding overlapping expenses,
capitalize on economies of scale and partake with knowledge competence.
The airplane industry in 1960s in USA had two prominent players Boeing and McDonnell-Douglas.
The industry carries the characteristics of profound capital requirements; the European counterparts in
airplane making business were not competent enough to combat their international rivals for need of
capital and low production volume. By the end of 60s, the total share of the aircraft market that these
companies owned was merely 10 percent. It was the collaboration among the four main airplane making
European companies that effected some fundamental change in the industry. Companies from U.K.,
Germany, France and Spain collaborated to form a successful joint venture which famously surfaced as
Airbus, by utilizing their resources to redesign and manufacture the jet aircraft. This collaboration
survived the aircraft makers and gradually they developed with European airlines as their first
customers. This venture helped survive European aircraft manufacturers and it slowly found market in
America by 1980. Now European Airbus is the only competing company against American Boeing in
airplane industry.
Classifications of the Concepts in International Business Activities:
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The companies planning to expand their business internationally have a large number of options
available. The choice of tactics to enter foreign market is based on the amount of risk, the command
and guarantee of resources, and the return on investment. A categorization is export, contractual, and
investment variants of international business cooperation. A broad classification of the ways of entering
offshore can be:
 Non-equity mode, explained as by exporting or by entering into a contract with overseas

companies.
 Equity mode, explained as by forming a joint venture with an existing company in that country
or by establishing a subsidiary company in the respective country.
Export and import involves low risk and least market control. Whereas, direct investment done through
acquisition offers high risk, greater control over the market and higher return on investment. This mode
of entering in foreign market is also termed as Brownfield and Greenfield investments (Terpstra &
Sarathy, 2000).
Export is the most prevalent entry mode and widely accepted strategic variant of international business.
It involves least international risks and financial resources for its realization are available with most of
the internationally oriented companies. To start with internationalization process, companies prefer
indirect export by utilizing the services of intermediaries prevailing in foreign markets. This aids in
reduced risk and less obligations. The indirect export intermediaries are; the export commission house
(ECH), export/import broker, export management company (EMC), export trading company (ETC)
(Hollensen, 2007); (J.B.Cullen & K.P.Parboteeah, 2010). The nouveau manufacturers and small and
medium enterprises having limited capital and least exposure to foreign markets first employ indirect
exporting and when they get a good experience in this business and achieve the intricacies and contact
of foreign companies, they decide to venture for direct export strategy.
The other entry modes fall under cooperative variants of international business are licensing and
franchising. More forms of cooperative strategies for entering a foreign market manufacturing
cooperation, assembly operations (Onkvist & Shaw, 2004), management contracting, contract
manufacturing (Hollensen, 2007), turnkey operations (Onkvist & Shaw, 2004) and production sharing
(Čivić1 & Sinanagić, 2014).
Investment mode , based on foreign direct investment, is one of the most complex variant of
international business. It materializes in the form of international joint venture and independent direct
investment abroad. Joint ventures are taking place in two ways: equity joint ventures and contractual
joint ventures. Foreign direct investment gives an opportunity to enter the foreign market directly and
can be done in two ways: Brownfield investment is purchasing of existing foreign company by merger
and acquisition of local firms and Greenfield investment is establishing a new company.
The growth and development of a company in overseas market is decided by its basic business and the
market orientation strategy. In international marketing, four alternative market orientations have been
mentioned: ethnocentric, polycentric, regiocentric, and geocentric. Ethnocentric orientation is the
quality of small and medium enterprises, having least experience of business in foreign markets and are
in the nascent stage of internationalization process. It has the evidence domestic market approach in
international business too. Polycentric orientation defines companies with some experience of
conducting business in international markets. It shows some maturity by understanding the specific
features of foreign markets and caters to the demands of the markets. Regiocentric orientation has
regional grouping of countries viz. Africa, Far East, Western Europe etc. Geocentric orientation
involves global business philosophy. Factors like company’s character, international experience, market
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size, market heterogeneity and product character affect the selected international market orientation by
the company. (Čivić & Sinanagić, Model of Entry on a Foreign Market, 2014)
The decision of the strategy for entering a foreign market requires a continuous monitoring and
analyzing the factors involved in international marketing. By an appropriate strategy the company can
develop a framework to fit its possibilities and face the risk successfully. A wide range of questions
arise while choosing the product to export. Which particular product would entice which certain
country; modifications needed for the product; to enter with a new product or old product; name of the
product to use; guarantee and warranty clause; services to be provided after sales; ripe time to enter the
foreign markets etc.
Table 2: Approaches to globalization
BY WAY OF EXPORT BY WAY OF BY WAY OF

CONTRACT INVESTMENT
Management contracting Foreign branch

INDIRECT EXPORT
Export commission house T urnkey operations
Export/import broker
Contract manufacturing
Export Management Company
Export trading company International cooperative alliance
DIRECT EXPORT ASSEMBLY OPERAT IONS

Joint venture subsidiary
International representative office Part fit-up and shimming operations
Foreign agent Drilling operations
Foreign distributor Fastener installation
Own distribution network Repair and overhaul operations
COOPERAT IVE EXPORT LICENSING/FRANCHISING Wholly owned subsidiary
Export grouping Licensing
Piggy backing Franchising
SET T ING WAYS
Brownfield investments
Greenfield investments
Courtesy: Krzysztof Wach
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Table 3: Elements effecting entry choice

Ways of entry Licensing
Indirect Direct Joint Full
and/or
Export Export Venture ownership
Status of exporter Franchising
high high medium low low
objective Instant benefit
Market exposure low medium high
maximum medium high
authority
minimum high medium low
Competent
low high high
Firm’s internationally
capability Financially
medium high
robust
Simple to incorporate medium medium low medium
Goods
Hard to incorporate high high
Facile transportation medium medium medium medium
Logistics Complicated
medium medium high high
transportation
Affirmative government
low low medium high
Native regulations
governance Unfriendly government
high low
regulations
Market out of proximity medium medium medium
Location
Market with in proximity medium high
Complex cultural
medium low medium high low
adaptation
Ethnology
Smooth cultural
high high low high
adaptation
Source: adopted from (Cullen, Parboteeah, 2010, p. 296)
CONCLUSION
Globalization of business has generated a competitive atmosphere worldwide giving rise to global
strategic management. To adapt the accelerated pace of change in international market a transnational
organizational capability is to be followed by the firm. A well designed strategy fitting to the particular
foreign market together with international business capability and global mindset can lead to the path
of success. The obstacles in the form of competition against rivals, culture barrier, legal or political
issues etc. on the route to success can be overcome by joint ventures, proper effective communication.
Marketing and positioning a product internationally is a challenging task. A firm with coordination and
control of international marketing, communication, choice of global strategy, regional recognition, and
international strategic alliances can be the ultimate winner company.
REFERENCES
[1] Business Today. Business Today.

[2] Čivić, B., & Sinanagić, A. (2014). Model of Entry on a Foreign Market. Research in World
Economy .
[3] Čivić, B., & Sinanagić, A. (2014). Model of Entry on a Foreign Market. Research in World
Economy , 5 (2).
[4] Čivić1, B., & Sinanagić, A. (2014, september). Model of Entry on a Foreign Market. Research
in World Economy .
[5] Elmuti, D., & Kathawala, Y. (2001). An overview of strategic alliances. Management Decision
, 205-218.
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[6] Goldstein, A. (2008). THE INTERNATIONALIZATION OF INDIAN COMPANIES: THE

CASE OF TATA. Center for the Advanced Study of India .
[7] Hollensen. (2007).
[8] Hollensen, S. (2007). Global Marketing.
[9] J.B.Cullen, & K.P.Parboteeah. (2010). Multinational Management. In Multinational
Management.
[10] Onkvist, & Shaw. (2004).
[11] Slywotzky, A., & Hoban, C. (2007). Stop competing yourself to death: strategic collaboration
among rivals. Journal of Business Strategy , Vol. 28 (Issue: 3), pp.45-55.
[12] Terpstra, V., & Sarathy, R. (2000). International marketing. In International marketing.
[13] Wach, K. (September 2014). Market Entry Mode for International Businesses.
[14] Witze, M. (2010). Case study: Tata. Financial Times .
[15] Yip, G. (2002). Total Global Strategy. Prentice Hall PTR.
[16] Zou, S., & Cavusgil, S. T. (2002). The GMS: A Broad Conceptualization of Global Marketing
Strategy and Its Effect on Firm Performance. Journal of Marketing , 66 (no. 4), 40-56.
[17] https://www.ft.com/content/8e553742-136c-11e0-a367-00144feabdc0
[18] https://www.businesstoday.in/magazine/lbs-case-study/how-ikea-adapted-its-
strategies-to-expand- in-china/story/196322.html
[19] https://www.businesstoday.in/magazine/cover-story/sunil-duggal-on-how-dabur-
dealt-with-challenges/story/186319.html
ISBN: 978-93-5351-069-5 240

PCM020
AN ANALYSIS OF PROFITABILITY POSITION OF SELECTED
PUBLIC SECTOR AND PRIVATE SECTOR BANK IN INDIA
Prof. Rajendra Bhupatlal Patoliya
Assistant professor
N.R.Vekaria institute of business management studies Junagadh
rb_patoliya@yahoo.com
9904726116
Abstract:
Banking sector is a life blood for every economy and profitability is the measure for the success story
of banking industry growth. It shows the ability to earn for their owners. The profitability measures
control and efficiency of business operations. The basic objective behind this study is to analyze
profitability of selected private sector banks and public sector banks in India. The research has selected
some profitability ratios like net profit margin, interest spread, and return on long term funds; return
on net worth etc. this profitability ratios present insights on the performance of banks and financial
health of the banks. Banks have to face many problems and cannot survive without profit. A good profit
banks can reward its owners by large return on investment. It is the basic task of financial manager of
banks to increase profitability.
In this study researcher has gone though t test analysis. All data are collected through secondary
method from 10 public sector banks and 10 private sector banks. The study period is from2011-12 to
2015-16. This study found that private sector banks are more profitable than public sector banks in
India during the study period.
Keywords: Profitability, Interest spread, Net profit, long term loan, Net worth, Indian bank etc.
INTRODUCTION
The banking business in India is tackled by the banking regulation act 1949. The bank is the financial
institution that works to accept deposit and lend money to the needy people. The bank is the bridge
between the people those who have surplus money and those who require money. Each and every nation
require effective banking system for the healthy economy. Banking in any nation plays an important
role to finance the requirements of the country. With an emergence of competitive era banks have also
started new activities.
CHARACTERISTICS OF BANKING
There are some basic characteristics of banking to capture the important features of banking.
 Depositor can withdraw his/her deposit: All the deposits except fixed deposit done by the people
is withdrawn able by cheque, demand draft or otherwise. Generally deposits may be withdrawn by
the demand of deposit holder in the bank.
 Banks Deal with Credit: The bank is an organization, which can create credit so the creation of
additional money for lending is the great characteristic of banking.
 Banks are Commercial institutions in Nature: Since Banks do the banking activities for earning
profit, which actually a commercial activities so it is considered as a commercial institutions.
 Banks performs a role of an Agent: Banks have lots of task to perform related to accepting and
lending money, besides those banks performs a role of an agent between two parties as it has a
various agency services.
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LITERATURE REVIEW
Many Economist and Researchers had considered that profitability measurement is must for uplift of
banking industry. There are huge numbers of studies done to analyse profitability of banking, some of
which have been taken for review in this study.
Manish Mittal & Aruna Dhade (2004), had done a comparative study on profitability and
productivity in Indian banks. They had selected five year period of time from 1999-00 to 2003-04 for
the evaluation of performance. They had found that improved profitability is the only parameter for
performance evaluation at shareholder’s point of view. In their study, they found that public sector
banks were more profitable than private and foreign banks. As far as overall profitability is concern,
they also got that private sector banks had a higher noninterest income as compared to public sector, as
public sector banks were charging more fees for their services to the customers. So as per their point of
view there was a great need for improvement and introducing more services to the customer to compete
with private banks and foreign banks.
Gopal and Dev (2006), have studied profitability and productivity of Indian banks during the period of
1996-97 to 2003-04. They found very high degree of positive association in profitability and
productivity.
Prasad and Ravinder (2011), have gone through the study of Indian banks for the period of 2005-06 to
2009-10. They used arithmetic mean and one way Anova for the Analysis. Various ratios had been used
to calculate profitability of banks and found out that private sector banks are better in comparison of
public sector banks as far as profitability is concern.
Nancy Arora, Parul Grover & Dr. Vishnu Bhagvan (2012), had analysed that banking sector is the
backbone of every nation. Good profitability is required in banking sector of every nation if it wants to
grow. So profitability is a major criterion to evaluate the performance of the banks. They tried to do a
modest attempt to analyse the consequences and causes of the matter related with profitability in
financial statements of the bank. They also analysed the stability of overall performance and financial
performance in state bank of India for the period of 2008 to 2012. The study was based on secondary
data only. They used multi regression analysis as a statistical tool with some ratios.
Dr.D.Mahila Vasanthi Thangam & Salini.K.T (2015), in their paper aimed at examining the
profitability and productivity of Indian banks. They studied for the period of 2010-11 to 2014-15 with
simple random sampling techniques for the secondary data collected. They also used t test and
correlation test a statistical tool and examined the relationship among the productivity and profitability
of Indian banks. They also examined that due to increasing competitions profitability and productivity
has become a major challenge for the banks. They must find out each possibility of improvement. He
selected Bank of Baroda, Allahabad Bank, and Central bank of India, Union Bank of India and Axis
Bank for this study.
NEED AND RELEVANCE FOR THE STUDY
Some reforms in the Liberation phase saw that it had changed organizational structure, ownership
patterns and operating domains of Indian banks and they increased competition in the system.
Competition has forced the banks to transfer themselves for sustainable development. Often, the studies
done so far were limited to the economic aspects of the bank's operations, and studies limited to a limited
number of banks, limited number of years and limited number of indices. So there is a need to carry out
extensive studies. Due to changes in banking policies and practices during the reform period over the
past 20 years, it is appropriate to evaluate the effectiveness, profitability, and overall performance of
commerce banks, on the impact of reform measures both on quality and qualitative.
RESEARCH PROBLEM
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Profitability analysis is important to measure for every bank for the smooth functioning. It enables bank
to take prime decisions for the betterment. So researcher tried to study all these aspects very deeply and
clearly which is only be possible by having proper research techniques. After privatization of banking
sector, competition level between private and public banks have been raised, so need arise to evaluate
the financial performance of bank to succeed for future. Here researcher have made “An analysis of
profitability position of selected public sector and private sector bank in India” to find its
reasonable outcomes and suggestions through this study.
Objective of the Study
 To examine and compare the overall profitability of the public sector banks against the private
sector banks.
 To outline the changes of profitability in public sector banks and private sector banks in India.
 To identify the factors affecting to the profitability position of public sector banks and private
sector banks in India.
Research Design
In this study researcher tried to design the specification of procedure and methods for getting information
to solve the problem. It is the pattern that stimulate the information into data. The entire research is
carried out by Descriptive research design. It helps to study the financial environment of banking
industry. It tries to focus on the problem and analysis it by proper course of action.
Population of study
Here researcher has selected all public and private banks in India as a population of the study.
Sample unit
Public sector Banks - SBI, BOB, Panjab national Bank, Corporation Bank, Dena Bank, UCO Bank,
Indian Overseas Bank, Indian Bank, Syndicate Bank, and Vijaya Bank
Private sector Banks- Axis Bank, ICICI Bank, HDFC Bank, Federal Bank, Yes Bank, IndusInd Bank,
Kotak Mahindra Bank, and Lakshmi Vilas Bank
Sample size
As any researcher wish to collect all required data and information about research, here a researcher is
interested to take specific period, to analyses the data for meaningful conclusion. Here, the study is made
for five years from 2011-12 to 2015-16.
For the purpose of detail analysis of all the selected banks have been classified into ten public sector
banks and ten private sector banks.
Data collection Method
The secondary data is collected for the profitability ratio, which are identified from the literature review.
The required data for this study is based on annual reports of each banks, RBI bulletin, publications,
report of various rating agencies etc.
243 ISBN: 978-93-5351-069-5

Tools and Techniques
To quantify the performance of banks, many profitability ratios are used for getting better perspective of
financial performance of public sector and private sector banks of India. To get a significant conclusion
from the collected data it is necessary to have a proper statistical tool that can help the researcher evaluate
the data and can result in interpretation and conclusions. It is necessary to use sensible use of statistical
tools to evaluate the data and get into a meaningful conclusion.
Researcher is gone through t-test (two sample assuming unequal variance) to find the difference in two
mean has been used. In this research researcher wants to know the difference in profitability performance
of individual parameter between public and private sector banks of India.
Main Hypothesis: (Profitability Ratios)
H0: There is no significance difference between the Profitability ratios of the private and public sector
banks
H1: There is a significance difference between the Profitability ratios of the private and public sector
banks
Data Analysis
Operating Profit to Total Working Fund:
H0 : (𝛍1=𝛍2) There is no significant difference in the financial performance between Public Sector
Banks and Private sector banks in the ratio of Operating Profit to Total Working Fund for 5 years.
Table -15.1 Averages of Operating Profit to Total Working Fund

Sr. Public Sector Banks Private Sector Banks
Ratio Year
No. Average Average
1 2011-12 2.15 2.171
Operating profit
2 2012-13 1.916 2.354
to
3 2013-14 1.756 2.424
Total Working Fund
4 2014-15 1.621 2.522
(Annualized)
5 2015-16 1.412 2.42
Table -15.2 t- Test: Two Sample Assuming Unequal Variances
Public Sector Banks Private Sector Banks
Mean 1.771 2.3782
Variance 0.079068 0.0170102
Observations 5 5
Hypothesized Mean Difference 0
df 6
t Stat -4.380304845
P(T<=t) one-tail 0.00233333
t Critical one-tail 1.943180274
P(T<=t) two-tail 0.004666661
t Critical two-tail 2.446911846
t Stat (4.380304845) is greater than t Critical two-tail (2.446911846), Hence H0 fails to Accept.
Return on Equity:
Banks and Private sector banks in the ratio of Return on Equity for 5 years.
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Table -15.3 Averages of Return on Equity

Sr. No. Ratio Year
Average Average
1 2011-12 15.13 12.815
2 2012-13 12.476 14.614
3 Return on Equity 2013-14 8.938 10.176
4 2014-15 6.412 10.188
5 2015-16 -6.933 8.307
Table -15.4 t-Test: Two-Sample Assuming Unequal Variances

Mean 7.2046 11.22
Variance 73.5260618 6.1759475
Observations 5 5
df 5
t Stat -1.005724852
P(T<=t) one-tail 0.180354697
P(T<=t) two-tail 0.360709394
t Stat (1.005724852) is lower than t Critical two-tail (2.570581835), Hence H0 fails to reject.
Total Interest income (Net of Interest Tax) to Total working funds
H0 : (𝛍1=𝛍2) There is no significant difference in the financial performance between Public Sector Banks
and Private sector banks in the ratio of Total Interest income to total working funds for 5 years.
Table -15.5 Averages of Total Interest income (Net of Interest Tax) to Total working funds
Ratio Year
No. Average Average
1 Total Interest 2011-12 9.365 9.7
2 Income(Net of 2012-13 9.477 9.99
3 Interest Tax) to total 2013-14 9.061 9.799
4 Working Funds 2014-15 8.963 9.686
5 (Annualized) 2015-16 8.491 9.331

Mean 9.0714 9.7012
Variance 0.1498588 0.0575627
Observations 5 5
df 7
t Stat -3.092151565
P(T<=t) one-tail 0.008757017
P(T<=t) two-tail 0.017514035
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Net Interest Margin:
Banks and Private sector banks in the ratio of Net Interest Margin for 5 years.
Table -15.7 Averages of Net Interest Margin

Sr. Public Sector Banks
Ratio Year Private Sector Banks Average
No. Average
1 2011-12 3.236 3.423
2 2012-13 3.034 3.503
Net Interest
3 2013-14 2.824 3.589
Margin
4 2014-15 2.622 3.599
5 2015-16 2.546 3.708
Mean 2.8524 3.5644
Variance 0.0819748 0.0115468
Observations 5 5
df 5
t Stat -5.206058353
P(T<=t) one-tail 0.001724807
P(T<=t) two-tail 0.003449614
Return on Assets:
Banks and Private sector banks in the ratio of Return on Assets for 5 years.
Table -15.9 Averages of Return on Assets

Ratio Year
No. Average Average
1 2011-12 0.992 1.245
2 2012-13 0.871 1.339
3 Return On Assets 2013-14 0.628 1.146
4 2014-15 0.396 1.202
5 2015-16 -0.407 1.021
Mean 0.496 1.1906
Variance 0.3073685 0.0139663
Observations 5 5
df 4
t Stat -2.73993904
P(T<=t) one-tail 0.025954389
P(T<=t) two-tail 0.051908777
t Stat (2.73993904) is lower than t Critical two-tail (2.776445105), Hence H0 fails to reject.
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Table -15.11 Profitability Ratios (Sector to Sector analysis)

Hypothesis
Decision
Sr. Name of Criteria t Critical
t Stat. of Remarks
No. Parameter for two-tail
Hypothesis
Analysis
Operating There is a
profit to significance
H0
1 Total 4.380304845 2.446911846 difference in the
Rejected
Working financial
Fund performance
There is No
significance
Return H0
2 1.005724852 2.570581835 difference in the
On Equity Accepted
financial
performance
Total Between
There is a
Interest Public
significance
Income to And H0
total Private Rejected
financial
Working Sector
performance
Funds Banks
There is a
Net significance
H0
4 Interest 5.206058353 2.570581835 difference in the
Rejected
Margin financial
performance
There is No
significance
Return H0
On Assets Accepted
financial
performance
FINDINGS
Bank’s overall profitability measured by various parameters which are given below:
Operating profit to Total Working Fund (Annualized)
Significance difference has been identified in Operating profit to Total Working Fund at sector to sector
level analysis. Overall operating profit performance of public sector banks have been continuously
decreasing from 2011-12 to 2015-16 whereas in private sector it is quite good and stable operating profit
performance during this period.
Return on Equity
No significance difference has been identified in Return on Equity at sector to sector level analysis as
per the variance calculation there is a high variance of 73.5260618 in public sector banks as compared
to the variance of 6.1759475in private sector banks which results downward Return on Equity in public
sector banks compared to private sector banks but overall there is no significance difference in the
performance of Return on Equity between public and private sector as it is based on the concept of risk
and return. Public sector banks have taken more risk as compared to private sector banks so high
variance identified in Return on Equity, and private sector banks have taken low risk so low variance
identified in Return on Equity.
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Total Interest Income to total Working Funds (Annualized)
Significance difference has been identified in Total Interest Income to total Working Funds at sector to
sector level analysis. In the public sector banks Total Interest Income to total Working Funds found
ranges from average 8.49% to 9.47%. Public sector banks’ performance is going down continuously
from 2012-13 to 2015-16. In the private sector banks Total Interest Income to total Working Funds
found ranges from average 9.33% to 9.99%. Private sector banks’ performance is going down
continuously from 2012-13 to 2015-16. Interest income is a basic source of revenue for every bank. It
shows the ability of bank to generate income. Overall public sector banks are performing poor compared
to private sector banks.
Net Interest Margin
Significance difference has been identified in Net Interest Margin at sector to sector level analysis. In
the public sector banks Net Interest Margin averages range from 2.55% to 3.24% which is continuously
going down for the period of 2011-12 to 2015-16. In private sector banks Net Interest Margin averages
ranges from 3.42% to 3.71%. The performance of private sector banks is continuously increases for the
study period. HDFC bank, Kotak Mahindra Bank, Indusind Bank and Axis Bank are leading in this list.
Overall Net Interest Margin performances of public sector banks in India do not show good
performance.
Return on Assets
No significance difference has been identified in Return on Assets at sector to sector level analysis. In
the public sector banks Return on Assets performance is quite deteriorating averages range from 0.99%
to -0.41%. In private sector banks Return on Assets averages range from 1.25% to 1.02% which is
relatively good compared to public sector banks.
FUTURE SCOPE OF THE STUDY
This study is based on Indian public and private sector banks only, so it can be expanded by including
foreign sector banks. The period of study can be a future scope because study can be expanded by more
year rather 5 years. Further research can be carried out by taking some other parameters except
profitability.
LIMITATIONS OF THE STUDY
 The evaluation of this study is based on secondary data only so its findings are depended only upon
the accuracy of such data.
 The analysis is done through various statistical tools and techniques of comparison so the natural
limitations are abide to the researcher.
 The study is carried out for limited number of banks only. But it is difficult to draw conclusions
from selected banks.
 Only 5 years of study is not sufficient to arrive at any conclusion because banking sector is like an
ocean so it required more years to study for getting proper conclusion regarding profitability
performance.
CONCLUSION
Indian banking sector is playing vital role for economy. Here in this study researcher finds privet sector
banks better as compared to public sector banks in India. Private sector banks are prime to adopt new
technologies which directs to reduce the operating cost and increase employee productivity.
Profitability of banks in India plays major role in banking sector without profit the investors cannot run
the business. Profitability measure a company’s ability to generate earnings related to sales, assets and
ISBN: 978-93-5351-069-5 248

equity. Profitability is the primary motivating force for any economic activity. Business enterprise is
essentially being an economic organization; it has to maximize the welfare or the investment of its
stakeholders. The business undertaking has to earn profit from operations. Profitability acts as a
yardstick to measure the effectiveness and efficiency of business effort for the growth and success of
any business entities.
REFERENCES
[1] Manish Mittal & Aruna Dhade (2004), “Profitability and Productivity in Indian Banks: A
Comparative Study”, AIMS International, volume-1, issue-2.
[2] Gopal and Dev (2006),“Productivity and Profitability of Select Public Sector and Private Sector
Banks in India: An Empirical Analysis”, The ICFAI Journal of Bank Management, volume-5, issue-
6.
[3] Prasad and Ravinder (2011), “Performance Evaluation of Banks: A Comparative Study on SBI,
PNB, ICICI and HDFC”, Advances in Management, Volume-4, Issue-2, September.
[4] Nancy Arora, Parul Grover & Dr. Vishnu Bhagvan (2012), “Evaluate the profitability in state
bank of India”, international journal of research and development in technology and management
science-Kailash, ISBN:1-63102-446-9, volume, 21, Issue-2, June, 2014.
[5] Dr.D.Mahila Vasanthi Thangam & Salini.K.T (2015), “Profitability analysis of selected public
and private banks in India”, International journal of scientific engineering and applied science,
Volume-2, Issue-2, February, 2016.
[6] Chaudhary, S. K. (2008).Public sector banks in India. New Delhi: Rajat Publications.
[7] Cooper, D. R., & Schindler, P. S. (2014).Business research methods. New York, NY:
McGraw-Hill/Irwin.
WEBSITES
 http://www.rbi.org.in/
 http://www.dbie.rbi.org.in/
 http://www.sbi.co.in/
 http://www.bankofbaroda.com/
 http://www.pnbindia.com/
 http://www.corpbank.com/
 http://www.denabank.com/
 http://www.ucobank.com/
 http://www.iob.com/
 http://www.indian-bank.com/
 http://www.syndicatebank.com/
 http://www.vijayabank.com/
 http://www.axisbank.com/
 http://www.icicibank.com/
 http://www.hdfcbank.com/
 http://www.federal-bank.com/
 http://www.yesbank.in/
 http://www.indusind.com/
 http://www.kotak.com/
 http://www.lvbank.com/
 http://www.southindianbank.com/
 http://www.dhanbank.com/
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Appendix:
ISBN: 978-93-5351-069-5 250

251 ISBN: 978-93-5351-069-5

PCM057
POSSIBILITIES OF MICROFINANCE FOR PATOLA WEAVERS IN
SAURASHTRA REGION
Nita M. Khant Dr. Veena S. Samani

Lecturer in C.A.C.D. & D.M., Associate Professor,
A.V.Parekh Technical Institute, M.V.M. Science & Home Science College,
Rajkot, Gujarat, India. Rajkot, Gujarat, India.
nmkhant.71@gmail.com vssamani@gmail.com
Abstract
This research paper throws light on the importance and necessity of microfinance for Patola weavers.
The present paper involves a detailed study on microfinance for Patola weavers. The questionnaire was
provided to target group of total 50 Patola weavers to assess the different issues regarding need of
small financial help. These papers explains the need and impact of microfinance (MF) among the Patola
weavers in Saurashtra region in India and provide them financial helps in the form of microcredit to
establish their own small businesses. The study explores some glaring issues, challenges and offers
some suggestion to formulate micro finance more effective for benefit to many communities.
Key words: Patola weavers, Microfinance (MF), financial help
INTRODUCTION
India lives in rural. In past years, India depends majority on agriculture and labor work. Still we are not
go ahead of it particularly in rural areas. Weaving work is well spread in India. The Indian hand woven
fabrics have been very famous. One of the weaving works is Patola saree. Patola’s history is royal
connection. Patola sarees are very famous all around. The Patola art of our nation is antique.
How to make this art more popular is important by production, by increase the demand or by selling
with hi-tech methodology. Patola weavers are key persons for this matter. What they required is fairly
important. Patola weavers are not very rich. They are dedicated to their work. They love this art. If a
few help provided to them, the situation can be quite cheerful. Microfinance is one of key factor for it.
Microfinance is a type of the depository or banking service that is provided to unwaged or low-income
persons or groups who have no other options to admittance more fiscal services. Micro finance or micro
credit is based on the hypothesis that the poor have skills which remain unutilized or underutilized
particularly in rural or developing areas. Clearly, the purpose of microfinance is to offer low or small-
income people an chance to become self-sufficient by providing a way to save money, borrow money
and get assurance. Women comprise a crest unemployment rate compared to men in about every country
and make up the majority of the informal sector of most economies. So it is important that if more
women can get more microcredit loans will benefit multiple generations and further. No doubt that
microfinance have lot of potential like combating the multi-dimensional characteristic of poverty,
increases household income, a means for self-empowerment, Encourage self-sufficiency and
entrepreneurship, Sustainability, job creations etc.
OBJECTIVES OF THE STUDY

1. To assess possibilities of micro finance for patola weavers.
2. To find out awareness of microfinance among Patola weavers.
3. To find out importance and need of microfinance along with Patola weavers.
4. To find impact of microfinance among patola weavers.
ISBN: 978-93-5351-069-5 252

The questionnaire had been used for target group for diverse issues regarding Patola weavers. Woven
entrepreneurs are target group. A variety of questions are asked to assess the issues. Survey results were
approved for systematic analysis of content and requirements. Researchers survey various parameters
like income, awareness of microfinance, need of microfinance etc by a set of questionnaire and personal
interviews.
LITERATURE REVEW
We must pay careful attention to economic empowerment as an entry point [1]. Empowerment means -
power within- and/or -power with- which generates collective action for reducing social inequalities,
social barrier and more securities to weaker sections [1]. The coming out of women entrepreneurs and
their part to the national economy is quite apparent in India. The number of women entrepreneurs has
developed over a certain period of time. Microfinance programs have shown significant latent for
contributing to women's economic, social, educational and political empowerment [3]. Grameen
replicators in India using a for-profit Non-Banking Finance Company legal form have grown quickly
as far as members. Loan sizes are fairly not big [4] .
ANALYSIS
For perfect analysis of data the classification of questionnaire is divided in three parts as follows:
Part Name Number of item(s)

I Respondent profile 5
II Microfinance awareness and need 5
III Impact of Microfinance 11
Total 21
FINDINGS AND DISCUSSION
From the offered questionnaire, the prominent results are obtained.
Part:I Respondent profile

Table:1 Respondent profile
Sr Parameter Decision/data
1 Age 18 to 25 26 to 30 31 to 35 36 to 40 More
years years years years than 41 years
7% 14% 35% 30% 14%
2 Educational status Illiterate Up to SSC Up to Up to More
HSSC Graduate than graduate
5% 49% 44% 2% 0%
3 Total numbers of 2 3 4 5 More than 6
family members 3% 11% 45% 40% 1%
4 Earning members in 1 2 3 4 More than 5
the family 13% 50% 18% 15% 4%
5 Monthly income Up to 10001 to 15001 to 20001 to More than
10000 15000 20000 25000 25001
68% 22% 7% 2% 1%
*Young generation is working to make Patola sarees.
*Educational level observed as low.
*There is no large family.
*Earning members are two in majority.
*Low monthly income.
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Part:II Microfinanance awareness and need
Table:2 Microfinanance awareness and need

Respondents’
Sr. Assessment answer
Yes No
1 Do you know microfinance? 34% 66%
2 Do you know microfinance institutions? 31% 69%
3 If you wish to go to Micro Finance Institution (MFI) for financial 55% 45%
help?
4 Do you require financial assistance for your work? 53% 47%
5 Do you require the small loan for expansion or modernization? 77% 23%
*Not knowledge or information about microfinance or micro finance institutions (MFI).

*For financial help, majority weavers wish to go to MFI.
*Financial assistance is needed among Patola weavers.
*Small amount of loan is preferred by Patola weavers.
Part:III Impact of Microfinanance
Table:3 Impact of Microfinanance
Sr Assessment Decision/data
1 Do you believe that Microfinance Strongly disagree Disagree Agree Strongly agree
will support your work? 42% 3% 51% 4%
2 Do you believe that MF will Strongly disagree Disagree Agree Strongly agree
helpful to your business? 42% 3% 45% 10%
expand your business? 38% 12% 45% 5%
increase the turnover? 35% 15% 38% 12%
5 Whether such type of MF are Strongly disagree Disagree Agree Strongly agree
helpful to other business? 17% 27% 30% 26%
6 Do you believe that MF will be Strongly disagree Disagree Agree Strongly agree
able to increase your income? 13% 30% 40% 17%
7 Do you believe that MF will boost Strongly disagree Disagree Agree Strongly agree
your living standard? 12% 29% 42% 17%
8 Do you believe that MF will be Strongly disagree Disagree Agree Strongly agree
able to increase per capita 16% 22% 50% 12%
income?
9 Do you believe that MF will make Strongly disagree Disagree Agree Strongly agree
positive effect on import and 26% 31% 33% 10%
export of material?
10 Do you think that poverty can be Strongly disagree Disagree Agree Strongly agree
eliminated by microfinance? 16% 30% 43% 11%
11 Do you think that MF is more Strongly disagree Disagree Agree Strongly agree
useful to reach unbanked areas? 9% 20% 55% 16%
*Majorty Patola weavers are agree that MF will be a good support and helpful to them.
*Majorty Patola weavers are agree that MF will be able to expand the business and increase
the turnover.
*Majorty Patola weavers are agree that MF will be able to reduce poverty and increase their
living standard.
* Majorty Patola weavers are agree that MF will be able to reach at unbanked areas.
ISBN: 978-93-5351-069-5 254

Graph 1 Impact of Micro finance
CONCLUSION
Young generation is working to make Patola sarees. Educational level observed low. Not knowledge or
information about microfinance or micro finance institutions (MFI). For financial help, majority
weavers wish to go to MFI. Financial assistance is needed among Patola weavers. Small amount of loan
is preferred by Patola weavers. Majorty Patola weavers are agree that MF will be a good support and
helpful to them. MF will be able to expand the business and increase the turnover. Information or
awareness should be made available by Micro Finance Institutions to fascinated or interested borrowers
for the better utilization of credit. There is vital call for to diminish the procedure for be appropriate,
seeking and releasing of credit from the banks. The procedural difficulties are one of the major concerns.
There is large hope that poverty can be reduced and living standard can be improved by more
recognition with micro finance. It is concluded that large population is still to be cover under
microfinance to suppress the poverty, chiefly in rural areas. Women can be more empowered by
covering with microfinance umbrella. As far as unemployment removal or rural upliftment is concern
micro finance is very constructive.
REFERENCES
[1] Eyben, R., Kabeer, N., Cornwall, A. (2008). Conceptualising empowerment and the implications for pro
[2] poor growth. Institute of Development Studies, pp 2-352.
[3] Holvoet N (2005). The Impact of Microfinance on Decision Making Agency: Evidence from South
India.
[4] Development and Change, 36 (1), pp.75–102.
[5] Basu J P (2006). Microfinance and Women Empowerment: An Empirical Study with special reference
to
[6] West Bengal.
[7] Kamath, R. and Srinivasan, R.(2009) .“Microfinance in India: Small, Ostensibly Rigid and Safe”.
[8] Fields, G.S. (2010). Earning their way out of poverty: A Brief Overview, The Indian Journal of Labour
Economics, Vol. 53, I.No.1.
[9] Fe Bureau , (2009). Reforms can reduce the size of poor to 6% by 2025, The Financial Express, Mumbai.
255 ISBN: 978-93-5351-069-5

PCM069
FACTORS AFFECTING ENTREPRENEURIAL ORIENTATION ON FIRM
PERFORMANCE OF WOMEN ENTREPRENEURS IN VIDYANAGAR REGION
Dr. K S Prasad Ms. Archana Vipul Sarkar

Associate Professor, Research Scholar,
Department of Business Management, Department of Business Management,
Sardar Patel University, Sardar Patel University,
kolaprasad@yahoo.com Assistant Professor
Sardar Patel College of Adm. & Mgt.
aparmar.archana@gmail.com
Abstract
In the present era, the women-owned businesses in the form of women entrepreneurs are one of the
fastest growing entrepreneurial populations in the India. Small and medium enterprises (SMEs) play
progressively necessary role within the economic process of most nations. SMEs became necessary as
a supply of employment and maximize the potency of the resources allocation and distribution by
mobilizing and utilizing local human and material resources. In India the previous couple of years
additionally saw an incredible augmented in participation of SMEs that are seen to be taking part in
major role for the nation’s economic development. In addition an oversized range of those SMEs are
in hand and operated by women. However, research on women owned SMEs are still minimal
particularly on factors that have an effect on their business success. The objective of the paper is to
study the factors that affect women entrepreneurial orientation and their satisfaction. In this regard,
the paper explores the affecting variables and their impact on orientation and satisfaction.
Keywords: women entrepreneurs; EO-entrepreneurial orientation; satisfaction; SMEs
INTRODUCTION
The status of women in India has long been incomprehensible. They have had access to profession like
medicine, teaching, retailing and politics and have the right to have property. Among some social
categories, women are very powerful. Women are taking increasing interest in recent years in income
generating activities, self employment and entrepreneurship.(Rajani,2008). Women entrepreneurs
defined as a “woman or a group of women who initiate, organize and run a business enterprise”.
Government of India defined women entrepreneurs based on women participation in equity and
employment of a business enterprise. Accordingly, a woman run a enterprise is defined as “an enterprise
owned and controlled by a women having a minimum financial interest of 51% of the capital and giving
at least 51% of the employment generated in the enterprise of woman.”
In several developed and developing countries, entrepreneurship has been considered a vital component
that contributes to economic growth. Government worldwide recognized the growing role of small and
medium enterprises as driver of growth and job creation similarly as effective tools for poverty
alleviation. Many previous studies on business performance advised both behavioural and contextual
factors have significant impact on firm’s performance. Nevertheless it is found that almost all extant
studies on enterprises are restricted to male entrepreneurs. It is believed that feminine entrepreneurs
who owned enterprises in developing countries, due to difference level in their business knowledge and
skill.(Cromie,1987; Fbeil,2013)
In India, the development of women-owned enterprises has been receiving support from the government
as well as non-government agencies, not solely through provision of monetary help but additionally
through training and development, physical infrastructure like incubator, marketing of goods/services.
Nevertheless, the contribution of women entrepreneurs has not really discussed thoroughly and to the
best of knowledge the development of business performance not tested as well.
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The today’s business world has become rapidly and progressively hostile and competitive setting
denotes a challenge for organizations. the world has evolved into an endeavor of an entrepreneurial
economy; the formation and creation of new firms is at the centre of activity. (Chung-wen yang,
Taiwan).The premise of entrepreneurial orientation is that entrepreneurial company differs from
different forms of companies; productive business entrepreneurship ought to have an
entrepreneurial orientation. (Covin & Slevin 1989; Wiklund1999; Wiklund and shepherd, 2003).
EO suggests that some activities, which can be thought of entrepreneurial, develop within firms,
poignant the decisions, features, processes, actions and performance, of the organization.(Covin
& Slevin 1991; Lumpkin & Dess,1996). The EO construct comes from the strategic management
literature (Miller,1983;Mintberg,1973) and deals with the strategy creating technique. in line with
the strategic management perspective, the entrepreneurial posture of a firm is crucial part with
regard to achieving structure goals and sensible performance. It’s viewed as being determined by
the means the firm adapts to its external context (Miles & Snow, 1978)
LITERATURE REVIEW
Business Performance
In today’s economic environment, measure business performance could be an essential concern for
educational scholars and practicing managers. It’s a vital to contemplate the aspects of differentiation
which will be potentially confounded between subjective and objective measures. In general it’s
difficult to measure business performance due to distinction on the nature of business and mode of
profit. Most empirical researchers have varied definition and measurement of business performance,
like financial performance (Zahra and Covin, 1995)long term performance (Wilkund,1999) similarly as
innovation performance (Stam & Elfring,2008 ).
Three types of indicator have been generally adopted in organizational performance studies including
the growth, market share and profitability expressed by either financial or non financial indicator. (Dess
& Robinson, 1984)According to Covin and Slevin (1991), enterprises involved in entrepreneurial
activities had more emphasis on growth rate and profit margin which can be estimated by financial
indicators of sales growth and return on investment. In addition, Wiklund (1999) examined the
relationship between entrepreneurial orientation and performance, using sales growth, employee
growth, market value growth and sales growth compared with competitors, as a measure of growth
performance; and gross margin has been selected as a benefit of financial indicator. Furthermore, Dess,
Lumpkin and Covin (1997), stated that the sales growth, profitability, returns on investment and overall
performance as performance measurement. Besides that, regular indicators used in measuring business
performance are profit, return on investment (ROI), and turnover or number of customers (Wood et al,
2006).
Entrepreneurial Orientation (EO)
Different authors have adopted completely different definition therefore most uniform definition that
presently used refers entrepreneurial orientation as organization’s strategic orientation that covers
entrepreneurial action in decision making, process and practices.
Lumpkin and Dess 1996 outlined entrepreneurial orientation as method, practice and decision making
activity. Zara and Covin 1995 outlined entrepreneurial orientation as potential suggests that of
refreshing and stimulating existing company, this typically done through innovation, risk taking and
proactiveness. Most researcher directed to entrepreneurial orientation such Miller 1983, Coving &
Silver 1989, Lumpkin & Dess 1996, Wilkund 1999, investigated the impact of entrepreneurial
orientation on business performance and that they found that EO has positive relationship with business
257 ISBN: 978-93-5351-069-5

performance. EO is completely correlate to business performance but varies with variation of culture
and temperament traits.(Rauch et al,004)
Miller (1983) was the primary to propose the operationalisation of entrepreneurial construct as
comprising a firm’s innovativeness, risk taking and proactiveness. Lumpkin and Dess(1996)later
planned 2 further dimensions that are essential to explain an entrepreneurial firm; autonomy and
competitive aggressiveness. Hence, a firm’s entrepreneurial orientation refers to its propensity to
act autonomously, interact in innovation, perform risk taking activities and react proactively and
sharply to outstrip competitors within the market place.(Lumpkin & Dess 1996).Miller (1983)
recommended that firms that solely have all entrepreneurial dimension ought to think about as
entrepreneurial whereas in distinction Lumpkin & Dess (1996) argued that any firm that interact
in effective combination of EO dimension will be thought-about as entrepreneurial. so it implies
that to become entrepreneurial firm, it's not necessary to be all 5 dimension of EO (Chow 2006)
Innovativeness
Innovativeness refers to a firm's tendency to interact in and support new ideas, novelty,
experimentation, and artistic processes which will lead to new merchandise, services, or technological
processes (Lumpkin and Dess, 1996). Such companies pioneer frequently whereas taking risks in their
product market methods (Miller and Friesen, 1982). Miller (1983) conjointly outline originality is that
the reflection of a company’s tendency toward new ideas and artistic processes, the results of which
can exist in new merchandise, services or technological processes. It’s conjointly a mirrored image of
the individuals inside the corporate to interact in creative thinking and experimentation who
are willing to undertake new ways in which of doing things and actively introduce enhancements and
innovations in their organization like of recent merchandise or services further as processes. By
adopting a powerful EO and structure learning, and facilitating social ties between corporations, a
company might promote the desired information to form innovation (Zahra and George, 2002).
Therefore the hypothesis from above literature is
H1: There is significant impact of innovativeness and firm performance on women owned
business in Vidyanagar region.
Proactiveness
Pro-activeness is an opportunity-seeking, innovative perspective characterised by the introduction of

new product and services prior the competition and acting in anticipation of future demand (Miller,
1983). it's supposed to live the firm’s tendency to guide, instead of follow, in terms of developing new
procedures, technologies, and new product or services (Covin and Slevin, 1989). though pro-activeness
could be a characteristic of firms that are the first to introduce new product or services, some researchers
have found that the second firm to enter a brand new market is even as pioneering because the 1st
entrant and even as possible to realize success via proactiveness (Miles et al.1978).
H2: There is significant impact of pro-activeness and firm performance on women owned
business in Vidyanagar region.
Risk Taking
Miller and Friesen (1982) outline risk-taking as “the degree to which managers are willing to form large
and risky resource commitments, that is, those that have an inexpensive probability of expensive
failures.” firms with an EO tend to interact in risk-taking behaviour, like incurring heavy debt or
creating large resource commitments. Another study conducted by Miller (1983) declared that risk
taking involves taking daring actions by venturing into the unknown, borrowing heavily, and or
committing vital resources to ventures in unsure environments. It conjointly motivates team members
to require bigger possession of projects and tolerate bigger risks (Swink, 2003). In summary, it indicates
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the tendency of firms toward allocation of basic resources to the projects that have success or failure
chance in them.
H1: There is significant impact of risk taking and firm performance on women owned business
in Vidyanagar region.
OBJECTIVES
Entrepreneurial orientation refers to the willingness and preference of firm manager/owner to

require risk, favors innovation and alter. On the opposite hand, (Koontz and Donnell, 1993)
referred structure performance as a result of the power of a firm to accomplish its goals like high
profit, quality product, large market share, smart financial results and survival at preset time
employing a compatible strategy for action. though the entrepreneurial orientation topic has
fascinated increasing interest, the majority publication within the field has male enterprises. There
has been a masses literature associated with women enterprises in Somalia, China, African country
and Malasiya and eastern a part of india in keeping with researcher’s best information not such
study targeted to women entrepreneurs at Vidyanagar region found.
As EO is multidimensional concept, the effect of each of its dimension can be observed

independently.(Lumpkin & Dess 1996). Therefore for the study researcher used three dimension
of EO; i.e. Innovativeness, Proactiveness and Risk taking. Therefore, the objectives of this study
are;
1. To examine effect of innovativeness on firm’s performance of women entrepreneurs in

Vidyanagar region.
2. To determine impact of proactiveness on firm’s performance of women entrepreneurs in
Vidyanagar region.
3. To examine the impact of risk taking on firm’s performance of women entrepreneurs in
Vidyanagar region.
Research Design & Sample
The descriptive analysis design is employed to conduct this study. during this survey researcher
will determine the link between entrepreneurial orientation and firm’s performance of ladies in
hand SMEs in Vidyanagar region. A sample size consist 41 women entrepreneurs of Vidyanagar
region has been chosen. The researcher used convenience sampling techniques for information
assortment through personal interview. The survey engulfed questions designed to assess firm’s
entrepreneurial orientation and their impact on firm’s performance.
Measurement of Variable
The previous researchers showed that entrepreneurial orientation is proved through

entrepreneurial tendencies towards innovation, proactiveness and risk taking. during this study
too, EO is measured through above 3 dimension, every dimension carries with it five item on likert
scale starting from strongly disagree to strongly agree. Firm’s performance is measured through
five items like market share, productivity, sales growth and return on investment.
Data Analysis Techniques
This section describes the data analysis procedure. The statistical package for social science
(SPPSS version 16.0) package is employed to method and compute the collected information. each
descriptive statistics like frequency, and inferential statistics like Cronbach’s alpha, pearson
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correlation is employed for analyzing the information and multivariate analysis to check the
hypothesis.
Reliability and Validity of test

Table 1: Reliability and Validity of test
No. Variable N Items Cronbach’s Alpha
1 Innovativeness 41 5 .976
2 Proactiveness 41 5 .983
3 Risk taking 41 5 .974
4 Business Performance 41 5 .987
The reliability test conducted to determine the internal consistency of the measures used, the above
table shows that all variable have cronbach Alpha values more than 0.7 which make all variable
accepted, internally consistent and the scale deemed reliable for further study.
FINDINGS & ANALYSIS

A questionnaire filled up by 41 women entrepreneurs in Vidyanagar region is taken for this study.
Characteristics of Respondents
Table 2: Sample Statistics

Characteristics Classification Frequency Percentage
Age Less than 30 35 36.6
30-39 19 46.3
40-49 05 12.2
50-59 02 4.9
Education Background Upto HSC level 02 4.9
Diploma 07 17.1
Graduate 24 58.5
Post Graduate 08 19.5
Nature of Business Manufacturing 01 2.4
Service 35 85.4
Trading 05 12.2
Size of Enterprise Micro 37 90.2
Small 03 7.3
Medium 01 2.4
Ownership Structure Sole Proprietorship 24 58.5
Partnership 17 41.5
Annual Turnover 1lakh- 3 lakh 07 17.1
3 lakh- 5 lakh 23 56.1
More than 5 lakh 11 26.8
Above table shows the sample characteristics. As seen in table 2, 46% of women entrepreneurs are
under the age brackets of between 30 to 39 in vidyanagar region and 36% of sample is between below
30 age category. In the educational background majority that is 58.9% women did their graduation and
then after they came into business. 85% of thw women entrepreneurs are in the service industry whereas
12% in trading and only 2% in manufacturing industry. When we talk to size of enterprise the majority
i.e.90% women entrepreneurs run micro enterprise and they are 58% are of them in sole proprietorship
business means they are operating their business in single hand. 56% of sample’s annual turnover is
between 3 lakh to 5 lakh whereas only 26% women earn more than 5 lakh annually.
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Correlation analysis between the variables

Table 3: Correlation Analysis
firm
innovativeness pro-activeness risk taking performance
innovativeness Pearson Correlation 1 .968** .967** .959**
Sig. (2-tailed) .000 .000 .000
N 41 41 41 41
** **
pro-activeness Pearson Correlation .968 1 .967 .928**
Sig. (2-tailed) .000 .000 .000
N 41 41 41 41
risk taking Pearson Correlation .967** .967** 1 .976**
Sig. (2-tailed) .000 .000 .000
N 41 41 41 41
firm performance Pearson Correlation .959** .928** .976** 1
Sig. (2-tailed) .000 .000 .000
N 41 41 41 41
Above table shows the result of correlation analysis of the relationship among innovativeness,
proactiveness, risk taking and firm’s performance of women entrepreneurs in Vidyanagar region.. The
first objective of the study is to identify the relationship between innovativeness and firm’s performance
in women owned SMEs in Vidyanagar region. Hence, innovativeness has a significant positive
relationship with firm performance (r=0.959 and p<0.01). The second objective is to identify
relationship between proactiveness with firm’s performance and the results shows that there is positive
relationship (r=0.928 and p<0.01)
The third objective is to determine the relationship between risk taking and firm’s performance and the
result shows that third dimension of entrepreneurial orientation should also have positive relationship
between them.(r=0.976 and p<0.01)
Regression Analysis and Hypothesis Testing
Variables Entered/Removed
Model Variables Entered Variables Removed Method
1 risk taking, innovativeness, pro-activenessa . Enter
a. All requested variables entered.
b. Dependent Variable: firm performance
Model Summary
Std. Error of the
Model R R Square Adjusted R Square Estimate
1 .984a .969 .966 .13062
a. Predictors: (Constant), risk taking, innovativeness, pro-activeness
The “R” column characterizes the value of R, the multiple coefficient. Here the value of R is .984 which
specifies a good level of prediction. The R square column denotes the coefficient of determination
which is the proportion of variance in the dependent variable that can be explained by the independent
variable. The R square value in above table is .969 which signifies that independent variable i.e.
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innovativeness, pro-activeness and risk taking explain 97% of the variability of dependent variable
“Firm’s performance.”
ANOVAb
1 Regression 19.429 3 6.476 379.600 .000a
Residual .631 37 .017
Total 20.060 40
a. Predictors: (Constant), risk taking, innovativeness, pro-activeness
b. Dependent Variable: firm performance
The ANOVA table reflects that whether the overall regression model is good fit for data or not. In
above table p value is .000 which is less than .05 so we can say that model is significant.
Table 4: Regression Model Coefficients a

Unstandardized
Coefficients Standardized Coefficients
Model B Std. Error Beta t Sig.
1 (Constant) .175 .112 1.565 .126
innovativeness .462 .131 .467 3.538 .001
pro-activeness -.477 .128 -.495 -3.728 .001
risk taking .979 .128 1.004 7.630 .000
a. Dependent Variable: firm performance
Regression analysis is used to test the hypothesis. The regression analysis result in above table shows
that innovativeness has significant impact on firm performance of women entrepreneurs in Vidyanagar
region (β=.462, t=3.538 and p=.001) therefore, this findings supports H1. Proactiveness has also
significant impact on firm performance (β=.-477, t=-.495 and p=.001) therefore H2 is supported,
whereas the values on risk taking column (β=.979, t=7.630 and p=.000) shows significant relationship
between risk taking and firm performance of women entrepreneurs in vidyanagar region therefore H3
is supported.
FINDINGS
Previous researchers concluded that entrepreneurship dimension have positive significant impact on
firm’s performance. In this study too through regression analysis it is proved that EO dimension used
in this study that is innovativeness, pro-activeness and risk taking influence the firm performance of
women entrepreneurs in vidyanagar region and so for that this study too support previous study.
In vidyanagar region majority of women owned business are in micro form and they are in service
industry. Majority of their annual earning is between 3 lakh to 5 lakh. From the survey it is clear that to
run successful business women in vidyanagar region take innovative ideas, react proactively and take
high risk to achieve fim’s objectives.
CONCLUSION
The current study set out to examine the relationship among entrepreneurial orientation and
performance of women owned SMEs in Vidyanagar region. The study also determines the power of
women entrepreneurs to innovate, to take risk and become proactive to win the men domain
marketplace.
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Successful combination of entrepreneurial orientation into firm’s strategic behavior is essential to

improve women’s ability to grow up and create wealth and sustainability in the business. Women owned
business in Vidyanagar region increasingly understood the importance of innovation and risk taking for
opportunity holding and succeeding their path of entrepreneurship. We found that three dimensions of
entrepreneurial orientation are positively correlate with the performance of women entrepreneurs
therefore this study supports the findings made by previous researchers that the company’s
entrepreneurial orientation is an important factor contributing to the performance of the firms.
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APPENDIX 1
Constructs Code Items
Innovati veness INNO1 My firm seek innovative idea to do business
INNO2 My firm actively seeks new market and new marketing method
INNO3 My firm motivated to be creative in methods of operation
INNO4 My firm introduce new line of product or service ahead of competitors
INNO5 My firm have strong emphasis on product/service gap
Pro-activeness PA1 My firm adopts new product/service offering ahead of competitors
PA2 My firm adopts new technology ahead of competitors.
PA3 My firm continuously seeks opportunities to improve business
performance.
PA4 My firm continuously monitor market trend and anticipate demand.
PA5 My firm continuously tracks customer need and future demand.
Risk Taking RT1 My firm likes to take big financial risk
RT2 My firm take bold decision to achieve the firm objective
RT3 My firm pursue new business idea while well aware that someone fail
RT4 My firm encourage risk taking behavior
RT5 My firm encourage venture into unexplored area
Firm FP1 My firm's sales is increased over the last few years
Performance FP2 My firm's market share is increased over the past few year
FP3 My firm's profit to sales ratio is increased over the past few years
FP4 My firm's productivity is increased over the past few years
FP5 My firm has achieved higher return on investment
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PCM098
CUSTOMER’S AWARENESS TOWARDS MUTUAL FUND SERVICES
WITH SPECIAL REFERENCE TO VAPI CITY
Jyoti D. Gulvani Dr. Pankajray Patel
Assistant Professor, Director,
GIDC Rajju Shroff Rofel Institute of - Gujarat Technological University
Management Studies, (BBA Programme), Vapi pankajraypatel@gmail.com
jyoti_gulwani@yahoo.com 9426770873
9979410585
Abstract
Mutual Fund is a device that stimulate small and medium investors, thus support the capital market.
The rational for investment in mutual fund are like liquidity, professional management, tax advantage,
diversified investment, reduced risk and cost, better return and having plenty of schemes according to
the need of investors to meet their financial goals. The objective of the research paper is to know
awareness towards Mutual Funds services in Vapi city. In this research 200 customer’s opinion were
studied and interpreted.
Keywords: Mutual Funds, Investments, Awareness level, SIP
PREAMBLE
A Mutual fund is a device that gathers the savings of a number of investors who have a common
financial goal. The amount, thus collected from investors is invested in capital market and money
market instrument such as shares, debentures, Treasury bill and other instruments. The investors will
get either the return in the form of regular income or in the form of capital appreciation or either both
as per the scheme in which the investment is made. Thus a Mutual Fund is the most appropriate
investment for the common man as it offers an opportunity, to invest in a diversified, professionally
managed portfolio of securities at comparatively low cost.
Mutual funds can be invested in many different types of securities through different schemes. Generally
the amount of mutual fund is invested in cash, stock, and bonds etc. Apart from this there are hundreds
of sub-categories where mutual fund is invested viz, Gold, Real Estate, Foreign Securities, Money
market instruments etc. Mutual fund also provides the services of professional and expert supervision
on continuous basis so that the performance of the portfolio can improve to enhance the return on
portfolio.
RATIONAL OF THE STUDY
Though the traditional investment options viz. Gold, Bonds, Real estate, Fixed Deposit etc. are
available, Mutual fund investments becomes important source of investments and it is more useful for
the salaried people for getting tax benefit as well as for getting regular income at lesser risk. Irrespective
of the age, gender and income of the investors, Mutual funds are gaining prominence and thus indirectly
help to mobilize the capital formation in market. Yet there are a lot of difficulties faced by the investors
to invest in mutual funds because of lack of knowledge and awareness. In fact, many a times, people
investing in mutual funds too are unclear about how they function and how to manage them. So the
mutual fund houses which are offering mutual funds have to offer broad information to the potential
investors. This is the main reason for this study.
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MEANING OF MUTUAL FUND
A mutual fund is a pool of money managed by a professional Fund Manager. It is a trust that collects
money from a number of investors who share a common investment objective and invests the same in
equities, bonds, money market instruments and/or other securities. And the income / gains generated
from this collective investment is distributed proportionately amongst the investors after deducting
applicable expenses and levies, by calculating a scheme’s “Net Asset Value” or NAV.
TYPES OF MUTUAL FUND SCHEMES
Different mutual fund houses provide various combinations of mutual fund schemes according to the
requirement of investors need. Following are the basic type of mutual fund schemes offered by mutual
fund house.
• Open – Ended scheme
• Close – Ended scheme
• Equity Fund
• Debt Fund
• Liquid Fund
• Balance Fund
• Exchange Traded Fund (ETFs)
• Fund of Fund
• Gold ETFs
• Index Fund
CURRENT STATUS OF MUTUAL FUND INDUSTRY
According to AMFI, Indian mutual fund industry has immense growth potential as Indian households’
savings amount to Rs 20-30 lakh crore every year, which shows huge scope for directing this saving
into MF industry. Assets base of mutual fund in India as a percentage of GDP is just 11 per cent while
the same for world is 62 per cent. In the last 10 years, According to AMFI and CRISIL, India’s mutual
fund industry has grown 12.5% annually on average, outperforming the growth clocked by the world
and developed regions by more than double. During the same period, Asia-Pacific including India, grew
at just 8%.
The share of MFs in the amount flowing into the capital markets through portfolio investments rose to
18.4% in March 2018 from 8.5% in 2014. “During the period, domestic investors became bigger than
before, particularly after demonetisation. Due to fall in interest rates, investors moved to equities from
fixed-income assets. On a year-on-year basis, the industry AUM witnessed a growth of 20.57 per cent.
The quarterly average assets under management at the end of Q1FY19 was Rs 23.40 lakh crore, up
19.91 per cent from Rs 19.52 lakh crore at the end of Q1FY18. In India, at present there are total 42
mutual fund houses providing mutual fund services with AUM at approx. Rs 23 lakh crore.
LITERATURE REVIEW
Kumar Prasanna S. and Rajkumar S. (2014) conducted a study on “Awareness and Knowledge of
Mutual Fund among the Investors with Special Reference to Chennai – A Critical Study.” The study
was conducted to assess the awareness and knowledge among the investors with a special reference to
Chennai city. A survey was conducted among 250 mutual fund investors of Chennai city to study the
factors influencing the fund or scheme while selecting a particular scheme for investment in mutual
fund. To validate the study ANOVA test was implemented. The study outcome reveals that many
investors have knowledge about basic scheme like growth and income scheme but don’t have
knowledge about balance and dividend scheme. Company should try to educate customers regarding
various schemes through different campaign.
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Dr. Aravinth S. and Dr. Sudhakar S. (2016) have undergone “A study on the Awareness and Preferences
of Mutual Fund schemes by Middle Class Family Members with Reference to Coimbatore City.” The
study was conducted on 61 middle class families of Coimbatore city who have invested in mutual fund
schemes. Statistical tools like Frequency analysis, Ratio statistics, Coefficient variation and Descriptive
statistical analysis were used to arrive at conclusion. Study result shows that investors are aware about
mutual fund as a best tool for investment at a same time unavailability of agents in mutual fund creates
major drawback for investors.
Dr. Unnamalai T. (2016) conducted “A study on Awareness of Investors about the Mutual Fund
Investment in Musiri Taluk.” The study aimed at finding the reasons preferred by investors to invest in
mutual fund. Primary data were collected from 250 respondents conveniently and the data were
analyzed using Chi-square test and percentage method. Study outcome reveals that there is a positive
growth of mutual fund industry. The company should provide them with the better services, safety,
higher return, diversified risk, more innovative schemes etc. to build the confidence of investors
Mr. Goel Ankit and Dr. Kartik Rajendra K. (2017) conducted “A Study on Investor’s Awareness and
Preference towards Mutual Fund as an Investment Option.” The study was conducted on 90 respondents
selected on judgmental basis from Mathura. Study result shows that majority of investors have heard
about mutual funds but still many of them have not started to investment because of lack of full
information of mutual funds. The data further discloses that majority of respondents are showing
preference towards investment in mutual funds in near future as to get better returns. It also shows that
companies and government should come ahead in making investors more learned and train their
advisors in a way so as to build more confidence among investors to make them invest in mutual funds.
Statement of problem
The study aims to measure the awareness of customer’s towards Mutual Fund services with
special reference to Vapi city.
Objective of study
1. To study the concept of Mutual Fund.
2. To overlook the current status mutual fund industry in India.
3. To know the awareness level of customers towards various mutual fund services.
Research design
• Descriptive research design is used to complete the study.
Data collection method:

• Primary and secondary data were collected for study.
Data collection tool:

• Secondary Data were collected from various Journals, publications and websites.
• Primary Data were collected through Structured Questionnaire.
Sampling size
• 200 respondents were selected as a sample size.
Sampling method
• Convenient Sampling (Non-Probability Method)
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Data Analysis method

• Reliability Test, T-test and ANOVA were used to analyze collected data.
Research hypothesis
1) H0: There is no significant relationship between Gender of customer and Awareness
regarding Mutual fund Services.
2) H0: There is no significant relationship between Marital Status of customer and Awareness
3) H0: There is no significant relationship between Age of customer and Awareness regarding
Mutual fund Services.
4) H0: There is no significant relationship between Income of customer and Awareness
Limitation of the Study

1. The study is limited to Vapi city.
2. Respondents may hesitate to provide information regarding personal questions like their
family income, savings/expenditures, investment avenues etc.
3. The data collection was done through structured questionnaire. The drawback of
questionnaire as data collection tool may be reflecting in data obtained from the customers.
TESTING OF HYPOTHESES
Reliability test:
Before testing hypotheses and arriving at conclusion, Reliability test was carried out on SPSS. The test
statistics and results are as follows:
Table: 1 Reliability Statistics:

Cronbach’s Alpha N of Items
0.949 7
(Source: Results from Primary data by SPSS)
Reliability test was used to measure internal consistency. For Reliability test result any value more than
0.7 considered as reliable. (According to Sahu, Jaiswal and Padey) The alpha coefficient for the seven items is
0.949 signifying that the data are highly consistent.
In order to test the hypotheses formulated for the study, T-test and ANOVA was carried out on SPSS.
The test statistics and results are presented as follows:
T-test
Table: 2 Relationship between Gender and Awareness of Mutual Fund services:

Sr. Variable T-Test df Accepted/Rejected
No Value
1 Various Mutual Fund Schemes 0.136 199 H0 is Accepted
2 Various Charges 0.214 199 H0 is Accepted
3 SIP facility for Investment 0.036 199 H0 is Rejected
4 Tax Benefits 0.163 199 H0 is Accepted
5 Risk in Mutual Fund Investment 0.115 199 H0 is Accepted
6 Nomination Facilities 0.040 199 H0 is Rejected
7 Entry and Exit load in Mutual Fund 0.298 199 H0 is Accepted
(Source: Results from Primary data by SPSS, at 95% confidence level)
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Above table shows the relationship between Gender and awareness level of customers towards mutual
fund services. The significant value 0.05 is more than P value (T-test Value), hence H0 is rejected. It
shows that there is a significant relation between Gender and awareness regarding SIP facility available
in Mutual Fund and Nomination Facility available in Mutual Fund.
While the significant value 0.05 is less than P value (T-test Value), hence H0 is accepted. It shows that
there is a significant relation between Various Mutual Fund Schemes, Various charges involve in
Mutual Fund, Tax benefit available in mutual fund, Risk involve in mutual fund and Entry – Exit load
in mutual fund.
Table: 3 Relationship between Marital Status and Awareness of Mutual Fund services:
Sr. Variable T-test df Accepted/Rejected
No Value
1 Various Mutual Fund Schemes 0.014 199 H0 is Rejected
6 Nomination Facilities 0.114 199 H0 is Accepted
7 Entry and Exit load in Mutual Fund 0.032 199 H0 is Rejected
Above table shows the relationship between Marital Status and awareness level of customers towards
various ~mutual fund services. The significant value 0.05 is less than P value (T-test Value), hence H0
is accepted. It shows that there is no significant relation between Marital Status and awareness regarding
Various Charges involve in Mutual Fund, Tax Benefit available in Mutual Fund, Risk involve in Mutual
Fund and Nomination Facility available in Mutual Fund.
While the significant value 0.05 is more than P value (T-test Value), hence H0 is rejected. It shows that
there is a significant relation between Marital Status and Various Mutual fund Schemes, SIP facility in
Mutual Fund and Entry – Exit load in Mutual Fund.
ANOVA
Table: 4 Relationship between Age and Awareness of Mutual Fund services:

Sr. Variable ANOVA df Accepted/Rejected
No Value
3 SIP facility for Investment 0.673 199 H0 is Accepted
7 Entry and Exit load in Mutual Fund 0.830 199 H0 is Accepted
Above table shows the relationship between Age and awareness level of customers towards various
insurance services. The significant value 0.05 is less than P value (ANOVA Value), hence H0 is
accepted. It shows that there is no significant relation between Age and awareness regarding Various
Mutual Fund Schemes, Various Charges in Mutual fund, SIP facility for Investment, Tax Benefits in
Mutual Fund, Risk in Mutual Fund, Nomination Facility and Entry – Exit load in Mutual Fund.
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Table: 5 Relationship between Income and Awareness of Mutual Fund services:

No Value
2 Various Charges 0.046 199 H0 is Rejected
4 Tax Benefits 0.001 199 H0 is Rejected
5 Risk in Mutual Fund Investment 0.001 199 H0 is Rejected
7 Entry and Exit load in Mutual Fund 0.002 199 H0 is Rejected
Above table shows the relationship between Income and Awareness level of customers towards various
mutual fund services. The significant value 0.05 is more than P value (ANOVA Value), hence H0 is
rejected. It shows that there is a significant relation between Income and Various Charges on mutual
fund, SIP facility available in mutual fund, Tax benefit on mutual fund, Risk in mutual fund,
Nomination facility and Entry – Exit load in mutual fund.
While the significant value 0.05 is less than P value (ANOVA Value), hence H0 is accepted. It shows
there is no significant relation between Income and Various mutual fund schemes.
CONCLUSION
Indian Mutual fund, now days provide a good avenue for investment as it provides good return with
diversified risk. Also mutual fund houses provide expert services with comparatively lesser charges for
investment. The minimum amount of investment is also very less for investment in mutual fund as
compare to other investment avenues. These are the few reasons for increasing preference of mutual
fund as an investment tool increasing significantly, especially for salaried class people with very limited
income. The industry at present is in a boom stage with increasing asset under management. The
industry has registered an annual growth of 12.5% which is doubled than the growth of Asia-Pacific
region and other developed market’s growth rate. Further, saving habits of India society boost provides
immense scope for growth in future also. Study results shows that majority of customers are aware with
various mutual fund schemes, charges for investment in mutual fund, SIP facility for investment in
mutual fund, tax benefit offered by mutual fund, risk associated with mutual fund, nomination facility
in mutual fund and entry-exit load in mutual fund. Still the awareness is less in public and hence the
mutual fund houses should try to increase the awareness through campaign and awareness programmes.
REFERENCES
[1]. Kumar Prasanna S. and Rajkumar S., 2014, “Awareness and Knowledge of Mutual Fund among
the Investors with Special Reference to Chennai – A Critical Study.” International Journal of
Research and Development – A Management Review, Vol. 2, Issue – 4, pp. 1-4.
[2]. Dr. Aravinth S. and Dr. Sudhakar S., 2016, “A Study on the Awareness and Preferences of
Mutual Fund Schemes by Middle Class Family Members with Reference to Coimbatore City.”
International Journal of Research in Management & Technology, Vol. 6, Issue – 4, pp. 6-13.
[3]. Mr. Goel Ankit and Dr. Khatik Rajendra K., 2017, “A study on Investor’s Awareness and
Preference towards Mutual Fund as an Investment Option.” International Journal of Commerce
and Management Research, Vol. 3, Issue – 3, pp. 61-65.
[4]. Dr. Unnamalai T., 2016, “A study on Awareness of Investors about the Mutual Fund Investment
in Musiri Taluka,” International Journal of Management, Vol. 7, Issue – 2, pp. 115-122.
[5]. https://economictimes.indiatimes.com/mf/mf-news/mutual-fund-industry-rebounds-in-
june/articleshow/65033804.cms
[6]. https://www.thehindubusinessline.com/markets/huge-growth-potential-for-mutual-fund-
industry-in-india-hdfc-amc/article24462157.ece
ISBN: 978-93-5351-069-5 270

[7]. https://www.livemint.com/Money/SbfccvGsbAeyVBWKzoW2NJ/Indian-funds-beat-global-
growth-pace-by-over-100.html
[8]. https://www.amfiindia.com/investor-corner/knowledge-center/what-are-mutual-funds-
new.html
[9]. https://timesofindia.indiatimes.com/business/india-business/huge-growth-potential-for-mf-
industry-in-india-hdfc-amc/articleshow/65055089.cms
[10]. http://www.iaeme.com/MasterAdmin/uploadfolder/IJM_07_02_013/IJM_07_02_013.pdf
[11]. https://kapilnaharblog.wordpress.com/
[12]. https://www.bankofbaroda.com/mutual-funds.htm
[13]. https://timesofindia.indiatimes.com/business/india-business/huge-growth-potential-for-
mutual-fund-industry-in-india-hdfc-amc/articleshow/65056611.cms
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PCM087
TALENT MANAGEMENT
Aabha S Singhvi Dr. Pankaj Ray Patel
Assistant Professor, Director,
GIDC Rajju Shroff Rofel Institute of – Gujarat Technological University
Management Studies, (MBA Programme), Vapi Chankheda, Ahmedabad
aabha.singhvi@gmail.com pankajraypatel@gmail.com
9974044897 9426770873
Abstract
Talent means skills, art, capabilities of a person in a particular area of interest. It helps in achieving
success. Talent management is the process in which human capital needs are assessed and retaining
them is taken care of. The basic need of every organization it be Government, Private or NGO is to get
the right person for the right job. There is a popular saying, “you can teach a turkey to climb a tree,
but it is easier to hire a squirrel.”
Those individuals who make a difference to the organization. Talent Management, is the capability,
competency of employees within an organization. The word talent management extends to exploring
the hidden qualities of people and inculcating traits which are desired. The main concern today is about
attracting the best talent and retaining it. Also making them get adjusted in that culture is a big concern
for organizations.
This paper is about the need, importance and challenges of talent management. Also the impact of talent
management on the insurance sector.
Keywords: Talent, Management, Performance, Competency.
INTRODUCTION
The HR team communicate to each department managers and to the staff individually and as
well in group and also time to time for taking the feedback of the employee about the work,
working condition, about performance and define their respective roles. They motivate the
employees and also help in performance appraisal by giving the guidance that how to perform
the appraisal session without any fault and biasness.
Maintaining Work Atmosphere: To provide good working condition to their employee is also
one of the aspect of maintaining work atmosphere of the organization. The good atmosphere
of the workplace gives out with good performance of the employee and if the employee is
satisfied they perform better. Some element of maintaining work atmosphere are: - Safety,
clean and healthy environment, good relation with co-worker, healthy completion and good
working culture and all these bring out best in the employee performance.
LITERATURE REVIEW
1. Demo G, Neiva R, Rozzett I in their study have given the parameters for evaluation of HRM
practices like Performance Appraisal, Recruitment & Selection, Employee Performance, Training
& Development, Compensation, Career Development.
2. Vlachos I, in his paper has given evaluation parameters like Training & Development,
Compensation.
3. Tiwari P, Saxena K have given variables like employee’s attitude, employees performance,
productivity, etc.
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It is from many research papers that the variables of this study has been selected.
Impact of Job Gupta 2012 This research paper examines the psychology of
1. Satisfaction on Kavita, Kaur employee satisfaction and touches upon the ways
Employee Simran, to delight (enjoyment) employees. Mind you,
Performance, a Gupta companies cannot delight customers, unless they
Challenge for HR Pramod, Jain have delighted employees
Managers in Lalit, Sharma
Changing Sunil K.
Environment
2. Recruitment in Marilyn 1999 These researchers argue that the adoption of
small firms: Carroll, Mick more formal procedures and methods could
Processes, methods Marchington, reduce staff turnover in small firms and its
and problems Jill Earnshaw associated costs. They concluded that many
and Stephen small employers would remain unconvinced by
Taylor the case for opening up recruitment channels,
and may find their existing approaches more cost
effective in the short term.
Problem Statement
 What is the status of human resource practices in Pharmaceutical Company / Sector?
 To study an impact of HR practices on employee performance.
OBJECTIVE
 To determine the status of human resource practices and policy in pharmaceutical company. In
order to materialize this objective, the following specific objectives were considered.
 To address the linkage between HR practices and organizational performance.

 To assess Mega fine industry Human resource management practices on its
performance.
 To explore the importance and to change the mind-set of the employers by introducing
Human Resource practices as these practices are contributing in the performance of the
organization and employees collectively.
Hypothesis.1
H0: There is no significant effect of human resource management practices on employee

performance.
H1: There is significant effect of human resource management practices on employee
performance.
Hypothesis.2
H0: There is no relationship between marital status and employee performance.
H1: There is relationship between marital status and employee performance.
Convenience sampling has been used.
Limitation of The Study: The study examined only five human resource practices like
recruitment and selection, performance appraisal, training and development, career
development, compensation while other HR practices can also be used for the study to get a
clear idea.
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DATA ANALYSIS AND INTERPRETATION OF CHARTS
Table of Demographic
Married Unmarried Total
Male 34 22 56
Female 12 9 21
Total 46 31 77
1.Recruitment and Selection

Sr. Strongly Strongly
Variables Disagree Neutral Agree
NO Disagree Agree
Your company use Recruitment
1. 5 4 21 35 12
and selection as a strategic tool?
Recruitment and selection practise
2 affect the performance of 0 9 17 38 13
employees?
Recruitment and selection give
3 competitive advantage to 2 6 15 14 13
organization?
You are satisfied with present
4 Recruitment and selection 1 4 21 34 17
practise?
Interpretation
 Recruitment and Selection
- Q1.1 - 47 respondents are (Strongly agree and Agree with R & S practice)
- Q1.2 -51 respondent are (Strongly agree and Agree with R & S practice)
- Q1.3- 54 respondent are (Strongly agree and Agree with R & S practice)
- Q1.4 51 respondents are (Strongly agree and Agree with R & S practice)
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2. Performance Appraisal
Sr. Variables Strongly Disagree Neutral Agree Strongly
NO Disagree Agree
1 Appraisal system in this 3 10 21 32 11
company is growth and
development oriented?
2 Performance Appraisal system 0 11 19 32 15
has influence on individual and
team behaviour?
3 The performance rating is 2 9 22 35 9
helpful for the management to
provide employee counselling.
4 Satisfied with the existing 0 13 16 35 13
performance appraisal system.
5 Have separate committee to 1 6 20 27 23
review the performance appraisal
result.
Interpretation
 Performance Appraisal
- Q2.1 - 43 respondent are (Strongly agree and Agree with PA practice)
- Q2.5 - 50 respondent is (Strongly agree and Agree with PA practice)
3. Training and Development

sr. Variables Strongly Disagree Neutral Agree Strongly
no Disagree Agree
1. T & D helps to increase the 4 5 16 29 23
motivation level of employees?
2 Does the learning from the training 0 5 19 38 15
is implement in your work?
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3 Training is required to improve my 0 5 18 34 20

skills?
4 Training and development is 0 4 10 28 35
connected with the employees
performances?
Interpretation
Training and Development
- Q3.1 - 52 respondent are (Strongly agree and Agree with TD practice)

- Q3.2 - 53 respondents are (Strongly agree and Agree with TD practice)
4. Career Development
Sr. Strongly Strongly
Variables Disagree Neutral Agree
NO Disagree Agree
I have opportunities to learn and
1. 0 5 26 36 10
grow.
I have a clearly established career
2. 2 8 27 32 8
path in my company.
Are you satisfied with the
practices being adopted by the
3. 0 7 20 34 16
management in framing your
career path?
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Interpretation
 Career Development
- Q4.1 – 41 respondent are (Strongly agree and Agree with Career Development
- Q4.2 – 40 respondent are (Strongly agree and Agree with Career Development)
- Q4.3– 53 respondent are (Strongly agree and Agree with Career Development
5. Compensation
Sr. Variables Strongly Disagree Neutral Agree Strongly
No Disagree Agree
1. I am satisfied with the level of pay I 5 9 22 35 6
receive.
2. Company pay practise help attract 0 11 26 29 11
high performing employees.
3. Company offers rewards based on 1 3 20 33 20
performance.
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Interpretation
 Compensation
- Q5.1 – 41 respondent are (Strongly agree and Agree with Compensation)

6. Employee Performance
Variables Strongly Disagree Neutral Agree Strongly
Disagree Agree
1. Training provided by company has 1 5 21 34 16

positive impact on employee
performance.
2. The experience gained in this company 3 8 13 37 16
will be helpful in advancement of my
future career.
3. I feel HR practices has direct impact on 4 6 30 30 7
the retention of employee
4. I feel HR practices has positive effect on 1 6 24 38 8
employee turnover.
5. I think this company is a good place to 1 4 18 34 20
work.
6. I have been given equal opportunity to 0 6 15 33 23
develop my skills and knowledge
Interpretation
 Employee Performance
- Q6.1 – 50 respondent are (Strongly agree and Agree with EF)

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Hypothesis Testing
Regression Analysis and ANOVA has been used for testing hypothesis 1.
Regression Analysis
Table:1
Model Summary
1 .770a .593 .564 2.25906
a. Predictors: (Constant), CP, RS, CD, PS, TD
There is a highly association between Employees Performance and HRM practices is 59.3%.
Table:2
ANOVAa
1 Regression 527.792 5 105.558 20.684 .000b
Residual 362.338 71 5.103
Total 890.130 76
a. Dependent Variable: EP
b. Predictors: (Constant), CP, RS, CD, PS, TD
P value is 0.000 which is less than alpha. So we accept the Alternate hypothesis that there is impact of
HRM practices on employee performance.
Table:3 T-Test
One-Sample Statistics
N Mean Std. Deviation Std. Error Mean
G1 77 1.2727 .44828 .05109
EP 77 22.2987 3.42231 .39001
Table: 4
One-Sample Test
Test Value = 0
T df Sig. Mean 95% Confidence Interval of the Difference
(2-tailed) Difference Lower Upper
G1 24.913 76 .000 1.27273 1.1710 1.3745
EP 57.175 76 .000 22.29870 21.5219 23.0755
The result of t-test is that p value is 0.000 so we reject the null hypothesis. We accept the alternate
hypothesis that there is impact of HRM practices on Employee performance.
Table:5
Test Statistics
EP M1
Chi-Square 43.727a 28.688b
Df 15 1
Asymp. Sig. .000 .000
a. 16 cells (100.0%) have expected frequencies less than 5. The minimum expected cell frequency is 4.8.
b. 0 cells (0.0%) have expected frequencies less than 5. The minimum expected cell frequency is 38.5.
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The Chi-Square test is applied between a marital status and Employees performance. The null
hypothesis is rejected as p-value is less than alpha (0.05). So we can say that there is relationship
between marital status and employee performance.
FINDINGS
• The responses were tabulated and a relationship between the HR practices and the employee’s
performance was statistically achieved with the help of Regression, T- test and chi-square analysis.
• Respondents are agreeing and strongly agree with the (RS, PA, TD, CD, CO & EF) provided by
company which has positive impacts on employee’s performance.
• 51% respondents have strongly agreed that company has a well –defined recruitment and selection
policy
• 50% respondents strongly agreed with PA methods.
• If employees are fully satisfied with the policy performed by the “Mega fine pharma Pvt ltd”
CONCLUSION
• The study supports the research problem as there is significant relation of employee’s performance
with HRM practice including Recruitment & Selection, Training & Development, Performance
Appraisal, Career development, Compensation, Rewards, Employees performance.
• The management should pay special heed towards maintaining the best level between HRM
practices and employee’s performance, because HRM practices heavily affect the productivity of
the organization and it is now commonly accepted that employees create an important source of
competitive advantage for firms.
BIBLOGRAPHY
[1] Demo G, Neiva E, Rozzett I, (2012), “Human Resources Management Policies and Practices,”
UCLA Anderson School of Management - University of California,” Universidade de Brasília
– UnB,” BAR, Rio de Janeiro, v. 9, n. 4, art. 2, pp. 395-420.
[2] Vlachos I (2009), “The effects of human resource practices on firm growth”, Int. Journal of
Business Science and Applied Management, Volume 4, Issue 2.
[3] Tiwari P, Saxena K (2012), “HUMAN RESOURCE MANAGEMENT PRACTICES: A
COMPREHENSIVE REVIEW”, Shri Chimanbhai Patel Institute of Management & Research
Ahmedabad-380051,” Mohanlal Sukhadia University, Udaipur-313001, India.
[4] Carroll M, Marchington M, Earnshaw J, Stephen Taylor, (1999) "Recruitment in small firms:
Processes, methods and problems", Employee Relations, Vol. 21 ISSN: 3, pp.236 – 250
[5] Webiliography
[6] https://www.managementstudyguide.com/benefits-of-talent-management.htm
[7] http://hrmgroupbd.blogspot.com/2014/06/talent-management-meaning-and-important.html
[8] http://hrmars.com/hrmars_papers/Article_03_Impact_of_HRM_Practices_on_Employees_Per
formance.pdf
[9] https://www.turnitin.com/paperPermission.asp?svr=310&lang=en_us&r=35.1258793006657
[10] https://iiste.org/Journals/index.php/RHSS/article/viewFile/31800/32672
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PCM 118
“MANAGING NATURAL RESOURCES IN THE PERSPECTIVE OF
SUSTAINABLE TOURISM DEVELOPMENT : A GENERAL
REFERENCE TO COASTAL AREAS OF INDIA”
Dr. Subhashish Mishra Prof. Amar Deshpande
Assistant Professor – Hospitality Management Assistant Professor – Hospitality Management
C Z Patel College of Business and Management C Z Patel College of Business and Management
hmlecturer@gmail.com amardeshpande15@gmail.com
9664913498 9106942150
Abstract
The past decades have witnessed the omnipotent role being played by development policies that
concentrate on economic acceleration with aim to enhance sustainability. The growth rate of tourism
in the coastal areas of India, especially in coastal destinations like Goa and Chennai have taken a toll
on the local natural resources, unplanned development has resulted in mass tourism activities that
further threatens the continuum of the destination and its potent attractiveness.
Directionless planning and restricted co-ordination among the various stakeholders of the tourism
system at the destination level, pose unwanted impact patterns and that yields conflicting issues
pertaining to utilization of the resources. Development initiatives in the coastal tourism sector have
always been driven by commercial interests and the local socio-economic scenario has been left
neglected, such situations also have impacted the welfare of the indigenous fraternity.
The frameworks under which state devices exist influences the engagement of tourism related policy
and planning towards attaining sustainability. Regressive factors like paucity in funding, negligible or
limited administrative deliberations coupled with lack of tourism related studies have proven to be an
obstacle in the establishment of these regions into sustainable destinations.
Keywords: natural resources, coastal areas, sustainable tourism
INTRODUCTION
Endeavors to curb undesirable effects of mass touristic activities have lead to the adoption of socio-
ecological sensitive methodologies. Nomenclatures used to describe such approaches include the likes
of “sustainable tourism” eco tourism” other derivative concepts include nature based tourism, green
tourism and responsible tourism among others.
A centre of tourism related activities that is devoid of a blueprint that supports and meets the economic
and environmental requirements of the sector is ill- poised to immune the destination of consequences
due to mass tourism, exigencies like man-made and natural disasters and also prevalent market
inhibitors.
Tourism as a commercial process is infrastructure intensive and relies heavily on facilities like mass
parking, eateries which in turn levy huge pressure on the natural resources leading to degeneration of
natural habitat and adversely affects the indigenous marine ecosystem at the same time injures the local
fabric of the destination concerned.
Varying approaches towards conventional tourism have fostered the study and research of disciplines
like sustainability and ecotourism. According to eminent authors, planning for sustainable tourism
development refers to environmental preservation planning and as such includes a variety of inquiry
activities and analysis to the decision for determining the direction of the development.
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Establishing a plan for tourism is to prevent the injudicious utilization of resources in particular domains
of the destination without preceding care for the preservation of the resources. There’s an impending
requirement for destination planners to be cognizant of holistic approaches to tourism planning and
various practices, principles, and examples that have evolved and advised. However, the volume and
uniqueness of tourism stake bearers portray a complex system. A vital link to the optimal management
of natural resource to enhance sustainable tourism is a local regulation and monitoring in the planning,
development and management of these tourism sites. Pragmatic studies have shown the hub of all major
eco-touristic activities are centered on the beach sites of coastal areas like Goa and Pondicherry. Survey
of past studies on the tourism sector of coastal areas reveal, that research has been primarily
concentrated in tourism marketing, and that many now imbibe new theories and approaches for better
provision of tourism related services keeping in tandem the conspicuous requirement of natural
resources for the future generations.
The present study is aimed at to contribute for better understanding of how natural resource of coastal
areas are managed thereby creating an atmosphere that will nurture sustainable development in the
coastal destinations of Western and Eastern India
LITERATURE REVIEW/ BACKGROUND INFORMATION
The coastal regions of India, albeit being the strategic point of entry and exit for both man and materials
is amassed with tourism related activities.
Over the years coastlines have emerged as a multi-dimensional tourism product that appeals to the
largest segment of the tourism and hospitality related customer base-the mass market. Decades ago,
beaches were the considered to be “a one stop” getaway from the maddening cacophony of the urban
centers to a more serene and tucked away place that serviced the necessity to relax and rejuvenate for
the excursionist. In the present day scenario, beaches have been developed to cater to higher motivations
like water sports and romance. Not only beaches and shorelines have become magnets for tourists of
varied competencies but also serve dual purpose of being an excursion destination as well as a
vacationer hub.
The coastline proves to be a key inventory component for an economy’s tourism industry. Tourism
theory is abounding with case stories of destinations that carry the burden of mixed utility.
With ills like receding coastlines, destruction of marine life habitat and large scale displacement of the
native fishing communities , it is an imperative that there is a clear conflict, a conflict between the
natural resources that the coastline offers and the beneficiaries of the same.
Most studies in this regard have been driven by considering economic sensibilities, which is why the
primary reason to conduct such a study becomes an imperative.
Corresponding to the emergence of a large and heterogeneous corpus of study and research findings
pertaining to the notion of sustainable development, various studies have emphasized the tourism-
ecology dynamics and more importantly the negative impacts large scale tourism on the natural
environment (Runyan & Farrel, ’91).
Coherently, there exist a sound record of research pertaining to the interaction between Sustainable
development and natural resource utilization. Exemplary works have been committed by Nash and
Butler (1990), Bateman and Hameed et al; (1997), Cater (1993), Pierce and Wallace (1996) Lindberg
et al;( 1996) Collins (1999) Mwanza and Liu (2014)
Current Scenario of the Coastal Areas
Coastal areas are special blinking regions between the land-mass and a large body of water featuring a
high amount of flora and fauna populations and they are home to some of the diverse and most delicate
ecosystems on the planet, like mangrove formations and coral bays. At the same time, coasts are under
very high population pressure due to rapid urbanization processes. More than half of today’s world
population lives in coastal areas (within 60 km from the sea) and this number is on the rise.
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At the same time, coastal destinations are those which are most frequented by travelers and in many
coastal areas tourism presents the primary revenue generating instrument. Forecast studies carried out
by WTO estimate that international tourist arrivals to the Mediterranean coast will amount to 270
millions in 2010 and to 346 millions in 2020 (in 2000 around 200 million foreign visitors per year).
Identification of Natural Capital
Natural capital that any coastline offers may be referred to as “Coastal Capital” (Luke, WRI, ’14)
which encompass the resources bestowed by nature upon the coastal regions concerned. Such resources
are diverse in nature and vary from topography to topography. While India is blessed with coastlines
from all the three sides of the subcontinent; Goa, the smallest state of the country boasts of a popular
coastline off the Arabian Sea.
Natural capital of the coastal areas includes a wide range of resources that play a crucial role in the
development of the destination
Given below in table number 1 is a schematic portrayal of how coastal capital can be classified.
Evaluation of Tourism Impact on the Natural Resources

Huge numbers of tourist arrivals, frequenting a relatively small area, render a mammoth impact. These
compounds to the pollution, waste, and water needs of the local population, putting local infrastructure
and habitats under enormous pressure. For example, 85% of the 1.8 million people who visit Australia's
Great Barrier Reef are concentrated in two small areas, Cairns and the Whitsunday Islands, which
together have a human population of just 130,000 or so. ( Condenast Traveller, ’13)
Tourist infrastructure
In many coastal destinations a myriad of facilities like aerodromes, marinas/esplanades, and leisure
establishments like beach and golf resorts. Rapid development of tourism share similar issues with other
coastal related schemes and ventures, but the degree of impact and culture of conflict arising out of
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duplicity of resources are higher when the development project is situated alongside delicate
marine ecosystems. For example beach resorts and touristic hubs dotting the Bay of Bengal on the east
coast of India like Digha, Puri, Chennai, The Sundarbans Delta System aswell as India’s island cluster
of Andaman and Nicobar on the South East display similar patterns of harassment to natural resources
:
1. Mangrove formations and sub-marine vegetations have been destroyed to make way for more
“beach space”
2. In Andaman and Nicobar Islands, which happen to give refuge to millennia old coral colonies,
infrastructure developments like jetty stations and other superstructures have been erected directly
on coral reefs
3. The leatherback turtle’s native to the waters and shores of the Bay of Bengal has lost a good number
of their nesting areas on the coast of Orissa due to excessive tourist demand. Adding to the woes,
constant human-ecological transactions have lead to the turtle breed being on the endangered
species list.
Mass Tourism and Malpractices by Hospitality Providers and Tour Operators
Injury caused to the local ecosystem doesn’t limit itself to the mere development of infrastructure, it
lies deep within the veneers of tourism consumption- the tourist themselves. Leisure fishing, unlicensed
snorkeling, callous beach usage, injudicious boating, unethical treatment to coral life (touching them,
picking them and manhandling their colonies), disturbing shore-bed sediments all lead to the
degeneration of the coastal resources. Marine life like dolphins, turtles, birds also bear the brunt of
increased logistical activities like the extensive use of speed/jet boats, launches.
Beach resorts often don’t have appropriate waste disposal policies implemented and are neither
monitored by the nodal agencies, hence the waste accumulated from such establishments end up as
effluents on the shores (and the water body) eventually seeping to into the beach sand, therefore
degrading the same.
Tour operators also have contributed to the systematic exploitation of the fragile ecosystem by inducing
tour group movements into delicate and pristine locations thereby directly impacting the tourism
carrying capacity of the area.
Ills of Cruise Tourism
There was once a time, when cruise tourism was an entire niche market which appealed to the higher
income segment of the tourist market, with the advent of larger vessels and technologies that have the
capability to carry volumes and the promotion of newer routes and marine sectors, travel by ship has
become yet another ordinary tourism product in the mass market.
While, Indian ports are still nascent in this travel trend, the country remains vulnerable to the various
direct and residual effects some of which include effluent in the water bodies and the coastal areas,
scarcity of proper port handling services coupled with lack of waste disposal facilities on board may
result in the disposal of waste materials on sea which are then carried by currents and wind to the shore,
Shore based developments like dredging further degenerates the coastline and hamper the pristine
locales
Duplicity of Resources
Resources, as elucidated above are exhaustible in nature. Coastal areas posses a diverse arena of natural
capital which are in conflict with the needs and aspirations of development
Whilst beaches can be used to propagate touristic activities, it does exert pressure on the local geography
displacing indigenous populace and oppressing natural habitats.
Primary example is of fish consumption at coastal areas; sea-food which constitutes a key element in
the measure of destination attractiveness and is the staple food of the coastal community caters to the
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ever growing demand of the tourists and creates a gap in the supply for the local populace. It is also to
be noted that at some sites, the production of fish can only sustain a limited consumer base, but the
influx of tourists poach a resource that technically should be reserved for local consumption, a
reference can be made to the many isolated island groups of the Andaman and Nicobar.
Activities like non-regulated sand mining in the coasts of western India have already depleted large
portions of beaches, which are vital in the maintenance of the ecological balance.
Need for Research
Extensive studies have examined the interaction between tourism and natural resource utilization and
how has sustainability been a key factorial in the process of development. Tourism scientists have
attempted to explain the inter-dependencies, correlations and conflicts between sustainable
development and the optimal engagement of natural resources.
Yet, there exists a void in research as to explore the dynamics of sustainable development and its
implication on the natural resources especially in the emerging economies. A comprehensive study with
both an empirical and pragmatic approach to the problem stated above must be conducted to determine
among others an econometric model aimed at bridging the divide between equitable development and
natural resource preservation for a sustainable future.
BIBLIOGRAPHY
[1]. “The Ecotourism Industry and the Sustainable Tourism Eco-Certification Program “ University
of California ‘13
[2]. “Devising a conceptual infrastructure to comprehend sustainable tourism development” C. Wu
‘2009
[3]. Towards Sustainable Tourism Development in Zambia: Advancing Tourism Planning and
Natural
[4]. Resource Management in Livingstone Area” L. Binyi, Mwanza MF, Tonhji Univ-China ‘14
[5]. “Tourism Development and Natural Capital” Alan Collins, University of Portsmouth ‘99
[6]. “Ecology and Tourism” Farrel HB, Univ of California & Dean R. ‘91
[7]. “Managing Sustainable Tourism Development” UN- New York ‘13
[8]. “Meeting Development Objectives, USAID’s Portfolio in Sustainable Tourism” US Agency for
International Development, Washington DC ‘05
[9]. “The Role of Local Authorities in Sustainable Tourism. Tourism and Local Agenda, 21” UN-
Rio ‘03
[10]. “Guidelines on Integrated Planning for Sustainable Tourism Development” Economic and
Social Commission for Asia and the Pacific ‘99
[11]. “Directory of Afro-Tropical Protected Areas” Gland ‘87
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PCM024
MICROFINANCE IN INDIAN CONTEXT –AN OVERVIEW
Sachin Abda
Assistant Professor
SGJ Institute of Management and IT
9727416653
sachinabda866@gmail.com
Abstract
In India more than half of its population resides in rural areas. Microfinance is considered as an
effective tool to reduce the poverty and generating income among rural poor. Microfinance is provision
of financial services like savings, loans, investment and other related services to poor. Developing
economy can develop further by using microfinance strategy properly by addressing poverty. According
to published reports India is the country where major chunk of population comes under poverty and
are not part of formal financial banking. Microfinance in In dia is considered as an effective instrument
to combat the poverty by generating income and employment opportunities in rural India. Microfinance
in India is provided with two dominant approaches like Self Help Groups Bank Linkage Programand
Microfinance Institutions, in many rural areas dominantly microfinance is provided through SHG Bank
Linkage Program model. The current study focuses to identify the significance of microfinance in rural
development and current scenario of microfinance in India.
Keywords: SHG Bank Linkage, Microfinance, MFIs
INTRODUCTION
Before the year 1980s, poor segment of society was not able to access to formal financial system since
the policies and systems were not suitable to their requirements and it forced them to borrow from
informal financial system. NABARD initiated and proposed government of the country to develop the
system so that poor can be saved from exploitation from informal financial system. Consequently
microfinance came into existence. Microfinance is provision of financial services like credit, insurance,
savings to poor. Yunus received a Noble prize for developing and executing the concept of microfinance
in Bangladesh and he is considered as pioneer person in the concept of Microfinance.
According to reports published by World Bank majority of population in India is from rural counterparts
where their main source of livelihood is agriculture sector. In spite of more systematic development of
financial sector of India, still there are populations from rural area who do not have access to formal
financial system because of which after LPG policy adopted by the government combating poverty has
been the priority target for the government of India. Various studies on microfinance have proven
microfinance as an effective tool to address the serious problem of poverty in rural areas. So,
microfinance can play pivotal role to reduce the poverty in India.
Among two models for microfinance in India like Self Help Groups Bank Linkage program and
Microfinance Institutions model, the former model was initiated by NABARD and had been popular
model afterwards.
There is not only one entity regulating microfinance in India but multiple authorities like NABARD,
RBI are majorly regulating microfinance institutions in India with existence of other regulators as well
depending on the nature of Microfinance entity.
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OBJECTIVES
1) To study the microfinance, evolution of microfinance and delivery models in Indian context
2) To evaluate the significance and role of microfinance in India
3) To identify the current scenario prevailing in Microfinance segment in India
METHODOLOGY
This paper is based on secondary data collected through various published reports from research papers,
RBI reports, NABARD reports and reports published on microfinance institutions by various sources.
MICROFINANCE
Professor Muhammad Yunus initiated the concept of microfinance to develop rural households, he was
the founder of Grameen bank and won noble prize in 2006.
Microfinance is the concept where by banking related services like loans, savings, insurance are availed
to poor. Microfinance is services offered to poor and rural households to increase their income and
reduce the poverty.
Characteristics of microfinance
Microfinance deals with providing financial services to rural households in order to develop them.
Moreover it is the tool adopted by many policy makers to reduce the poverty. Its objective is of welfare
than of profit making.
There is thin line difference between microfinance and microcredit, micro credit is the service related
to extending smaller loans where as microfinance includes multiple financial services offered to poor
like insurance, savings, loans etc.
Development phase of microfinance in India
The development process of microfinance in India has been discussed below in various phases like:
Phase 1: Co-operative credit (1900-1960)
At this stage, rural households were provided the credit by credit cooperatives with the help of
government assistance.
Phase 2: Social Banking with subsidies (1960-1990)
Since government could not achieve its targeted objectives under earlier phase, it adopted strategies like
nationalizing banks, initiating the concept of Regional Rural banks, developing rural branch networks
along with establishing apex institutes like National Bank for Agriculture and Rural Development,
Small Scale Industries Development of India. During this phase banks could reach to large scale
population still this period was attributed to misuse of large-scale credit resulting barriers towards the
path of reaching to low income people.
Phase 3: SHG Program and MFIs (1990-2000)
Since social banking with subsidy also failed, it forced the system to change measures to deliver rural
credit and NABARD proposed Self Help Group bank linkage program, this program’s objective is to
connect the group of informal women to formal banks. This program helped the government to reach
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to the rural households to great extent. This system had induced in developing Microfinance institutions.
Crisis in beginning of 90s and reforms in 1991 gave more freedom to financial sector.
Phase 4: Microfinance’s Commercialization
After economic reforms, banks and MFIs started considering rural market as an interesting market
where banks considered rural market as social responsibility as well as new business line. On demand
side, NGO –MFIs began to convert themselves into regulated legal firms like Non-Banking Finance
Companies to induce commercial investment. Today microfinance consist two major delivery models
SBLP and MFIs.
Microfinance delivery models
SHG Bank Linkage Model
An SHG is a group of 10-20 persons consisting of homogeneous class from rural and urban poor that
promotes the saving habits among members and uses the collected corpus to meet group member’s
credit requirements .The group is formed democratically which chooses its own leader. These groups
are framed from same community having similar kinds of economic goals.
Under this model, below mentioned three models are found in India
Model 1: SHGs promoted, guided and funded by banks.

Model 2: SHGs which are promoted by NGOs or Government and funded by banks.
Model 3: SHGs which are promoted by NGOs and funded by banks with NGOs
Microfinance Institution Model
This model in India is attributed by variety of institutional and legal forms. MFIs in India is found in
diversity of forms like trusts registered under various Indian trust act or societies registered under
societies act, co-operatives registered as co-operative entity , Non-Banking Financial Companies –
MFIs, which are registered under companies act or with reserve bank of India. These institutions are
found across the country.
Significance of Microfinance
According to world bank’ reports India’s lager population resides in rural areas which are poor.
Government of the country has adopted various strategies to reduce the poverty in India but during past
few decades microfinance has been proven as effective tool to reduce the poverty in the country.
Microfinance is developing the economy in many ways. Rural sector is not able to reach to formal
financial system because of many barriers for their credit requirements; microfinance has provided the
credit facilities to many rural households. Because of microfinance employment opportunities are
generated in rural areas since it promotes entrepreneur skills consequently reducing poverty. Many of
the beneficiaries of Microfinance are rural women as well. Rural women get opportunity to develop
themselves by availing benefits of credit from microfinance institutions. Microfinance is trying to
convert the savings into productive investment in rural area as a result GDP also increases which
stimulates economic growth. Because of employment opportunities income goes up which leads to more
consumption and better education, health and family welfare etc. leading to betterment of society.
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Current scenario of Microfinance in India
List of leading microfinance institutions in India in year 2018:

 State Bank of India.
 Ujjivan Financial Services.
 Equitas Small Finance Bank Ltd.
 M&M Financial Services.
 Sundaram Finance Ltd.
 Bandhan Financial Services.
 Bharat Financial Inclusion Ltd.
 Muthoot Microfin Ltd.
India is the largest market for microfinance in the world with 120 million rural households having no
access to financial services according to CRISIL research. There are more than 3000 MFIs and NGO-
MFIs among which 400 have active lending program.
List of Top MFIs with their respective loan portfolios in 2016-17:

S. No. Name of MFI Gross Loan Portfolio (Rs crore)
1 Janalakshmi Financial Services Ltd. 10983
2 SKS Microfinance Ltd. 7682
3 Ujjivan Financial Services Ltd. 5389
4 SKDRDP 4994
5 Equitas Micro Finance Ltd. 3283
6 Satin Creditcare Network Ltd. 3271
7 Grameen Koota Financial Services Pvt. Ltd. 2539
8 Spandana Sphoorty Financial Ltd. 2282
9 ESAF Microfinance & Investments Pvt. Ltd. 1925
10 Share Microfin Ltd. 1540
According to Bharat Microfinance report 2016, majority of borrowers are from urban population.
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The above mentioned chart shows the journey of microfinance from the year 2001 to 2016. From the
base year to the last year it is seen from the chart the microfinance has grown tremendously in terms of
borrowers.
CONCLUSION
In developing countries like India microfinance plays a significant role to develop the economy by
reducing the serious concern of government, Poverty. From the year 1990 poverty has been major
concern of the government for solving it, many steps are taken by the government. Microfinance is
proven tool to reduce the poverty and socio economic upliftment all over the world not just in India.
So, Microfinance can play a significant role to improve standard of living of rural poor.
It is the condition for any county that its savings should be channelized in to productive investments for
economic growth. Microfinance is the arrangement of financial services extended to poor encompassing
loans, savings, insurance, money transfer and many more. The government of India needs to pay
attention on extending financial services to rural and urban for stable growth.
From the study it is found that SHGs and MFIs are playing a key role for delivering financial services
to rural poor households leading towards development of poor in India. However few noted problems
and hurdles identified from various research studies like poor quality of group functioning, member
drop outs from groups etc. should be taken care for framing next plans and strategies for SHG and MFI
program to be more successful.
REFERENCES
[1] Dutt, Ruddar and Sundharam, K.P.M (2004): Indian economy S. Chand and Company
publication, India.
[2] Goyal, S. (2018). Present Scenario of Microfinance in India. International Journal of Academic
Research and Development , 777-778.
[3] Juja, S. (2014). SELF HELP GROUPS: A TOOL FOR SUSTAINABLE DEVELOPMENT.
EPRA International Journal of Economic and Business Review , 21-24.
[4] K.Sivachithappa. (2013). Impact of Micro Finance on Income Generation and Livelihood of
Members of Self Help Groups – A Case Study of Mandya District, India. Procedia - Social and
Behavioral Sciences , 228-240.
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[5] Kamel Bel Hadj Miled, J.-E. B. (2015). Microfinance and Poverty Reduction: A Review and
Synthesis of Empirical Evidence. Procedia - Social and Behavioral Sciences , 705-712.
[6] Manish Kumar, N. S. (2010). Micro-Finance as an Anti Poverty Vaccine for rural India .
International Review of Business and Finance , 29-35.
[7] Preethi, P. R. (2014). Micro Finance in India- for Poverty Reduction. International Journal of
Research and Development - A Management Review , 20-23.
[8] Velid Efendic, N. H. (2017). THE SOCIAL AND FINANCIAL EFFICIENCY OF
MICROFINANCE. South East European Journal of Economics and Business , 85-101.
[9] Vipin Kumar, M. C. (2015). AN OVERVIEW OF MICROFINANCE IN INDIA. Abhinav
National Monthly Refereed Journal of Research in , 19-26.
[10] Westover, J. (2008). The Record of Microfinance:The Effectiveness/Ineffectiveness of
Microfinance Programs as a Means of Alleviating Poverty. Electronic Journal of Sociology , 1-
8.
[11] www.indiamicrofinance.com.
[12] www.rbi.org.in
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PCM022
A STUDY ON PERFORMANCE EVALUATION OF ENGINEERING
COLLEGES IN PRIVATE SECTOR
Shukla Virang Kishorchandra Shah Dhavalkumar Ashokbhai
Lecturer Lecturer
BMEF, Surat BMEF, Surat
virangshukla_1983@yahoo.co.in dhavalshah28187@gmail.com
Abstract
This research paper deals with the various dimensions of Performance Evaluation and excellence in
higher education of engineering colleges in Private sector. It gives the major remedies from the
performance evaluation study to improve and maintain comfortness of students in engineering colleges.
It will help developing the approach & strategy for engineering colleges in Private sector. These
studies, not only bring out the progress made so far but also point towards the emerging problems faced
by higher education system. By implication the findings also suggest the possible way out. This study
provides ‘snapshot’ of the current provision of quality education at the Engineering colleges. The main
focus is on facilities available for education and different factors taken into the account to improve the
performance of colleges. It also offers suggestions that could be implemented to improve performance,
given the limited resources available to management. Communication is one of the important skills for
improvement in performance techniques.
Keywords: Performance Evaluation, Quality education, Resources, Suggestions
INTRODUCTION
Performance evaluation is defined as activity or series of activities that take place in interactions
between students, faculties and management and/or physical resources which provided as solutions to
students problems. Performance evaluation describes the different facilities provided by colleges to
satisfy the needs of students, improve the quality & give quality education.
OBJECTIVES
• To improve satisfaction level of students in engineering colleges

• To increase colleges physical facilities to build a good image in students mind
• To give quality education through different learning methodology such as E-learning
• To improve lecturer’s capacity to solve students problems
• To improve effective communication between students and faculties
• To improve overall framework of management
DIMENSIONS OF PERFORMANCE EVALUATION
• Reliability: It is the ability to give service accurately.

• Responsiveness: It is willingness of colleges to give appropriate services to students.
• Assurance: It is the atmosphere to build trust & confidence among students.
• Empathy: It is ability to give proper approach to students.
• Tangibles: It is ability to give physical facilities to students.
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Research Objectives:
Primary Objectives:
• To measure effectiveness of SERVQUAL scale in engineering colleges in Surat city.
• To know the perception of students about the service performance of engineering colleges
in Surat city.
• To measure satisfaction level of students towards service quality in engineering colleges in
Surat city.
4.1.2 Secondary Objectives:

• To measure the TANGIBILITY of engineering colleges.
• To measure the RELIABILITY of engineering colleges.
• To measure the RESPONSIVENESS of engineering colleges.
• To measure the ASSURANCE of engineering colleges.
• To measure the EMPATHY of engineering college.
• To measure the overall satisfaction of students with respect to engineering college.
“Research methodology is the process of collection of data, analysis of data & give the conclusion.
Research methodology covers the following:

A. Research design
B. Data collection methods
C. Sample design
Research Design:
It is the procedure which indicates types of information collected, sources & procedures. It also helps
to make a plan structure or strategy as per the answers of questionnaire.
Descriptive studies:
Descriptive are generally considered when researcher is interested in properties of groups such as
gender or profession, this kind of study is necessary.
Data Collection Method:
Sources of data:
❖ Primary data:
Survey method was used to collect primary data.
❖ Secondary data:
The sources of secondary data are books, websites, journals and annual reports.
Research Approach:
Survey include face-to-face interview and fill up the questionnaire from respondents.
Research Instrument:
The most effective research instrument for data collection was questionnaire, for this study
the structured questionnaire was used.
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Types of questions
Two types of questions can be asked to the respondents. These are
1) Open ended questions
2) Close ended questions
Sampling Design:
Method of Sampling:
The sampling method used in this study was non random quota sampling.
Defining the target population
Element: Students of engineering colleges in Surat.
Sampling unit: Service Users (students) of Engineering College in Surat.
Extent: Surat city.
Determination of Sample Size: Sample Size =120 respondents
Execution of sampling process: Data from Service users (students) of Engineering college in Surat.
LITERATURE REVIEW
There are several theories of performance evaluation. Johnson and kalpan (1987) studied performance
evaluation during industrial revolution. The performance evaluation has involved with the dominant
research area in the early 50’s, while academicians and practitioners had an interest to measure the
performance and measurement of the organization.
According to At. Kinson(1997), performance evaluation is generally helpful to analyse the services
provided by an institutions for their customers. It also includes facilities provided by organizations to
fulfill customer needs.
Performance evaluation includes the coordination, monitoring and diagnosis of facilities provided by
organizations. Marr(2004) generally differentiates different activities by measuring performances.
These activities given below:
1) Develop a performance model separately for each activity.

2) Data collection of an individual activity.
3) Analysis of data & evaluate results.
4) Retrival and communicate the information properly.
DATA INTERPRETATION & FINDINGS

Statement: 1
Frequency Table:
1. When you have any problem your college’s faculties are sympathetic & reassuring solving
your problem.
Frequency Percent Valid Percent Cumulative Percent
Valid Disagree 8 7.2 7.2 7.2
Neutral 29 23.1 23.1 30.3
Agree 46 37.9 37.9 68.2
Strongly agree 37 31.8 31.8 100.0
Total 120 100.0 100.0
From above table we found 7.2% respondents are disagree with statement, 23.1% are neutral,
37.9% are agree with statement while 31.8% respondents are strongly agree with statement.
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Statement: 2
Frequency Table:
2. Are you satisfied with lecturer’s capacity to solve problems when they arise.
Valid Strongly disagree 2 2.4 2.4 2.4
Disagree 9 6.9 6.9 9.3
Neutral 22 19.4 19.4 28.7
Agree 54 42.9 42.9 71.6
Strongly agree 33 28.4 28.4 100.0
Total 120 100.0 100.0
Interpretation:
From above we found 2.4% assenters strongly oppose,6.9% assenters are disagree with statement, 19.4%
are neutral, 42.9% are agree with statement while 28.4% assenters are strongly agree with statement.
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Statement: 3
Frequency Table:
3. Communication skills: Courses are well taught by the lecturers in the college.
Valid Strongly disagree 1 0.9 0.9 0.9
Disagree 14 10.1 10.1 11
Neutral 27 24.3 24.3 35.3
Agree 49 39.9 39.9 75.2
Strongly agree 29 24.8 24.8 100.0
Total 120 100.0 100.0
Interpretation:
We found that 0.9% assenters are strongly oppose the question,10.1% assenters are oppose, 24.3% are
neutral, 39.9% are agree with statement while 24.8% respondents are strongly agree with statement.
Statement: 4
Frequency Table:
4. Your college uses up-to-date equipments that helps to deliver prompt service.
Disagree 8 5.9 5.9 5.9
Neutral 35 29.8 29.8 35.7
Valid Agree 45 36.9 36.9 72.6
Strongly agree 32 27.4 27.4 100.0
Total 120 100.0 100.0
Interpretation:
We found that 5.9% assenters are disagree with statement, 29.8% are neutral,36.9% are agree
with statement while 27.4% respondents are strongly agree with statement.
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Bar Chart:
CONCLUSION & RECOMMENDATIONS

• Whenever colleges promises to do something it should be done on time so that students are
satisfied.
• All the Engineering Colleges in surat city need to use up-to-date equipments so that students get
fast delivers of prompt service.
• All the colleges faculties try to solve student problem when they are requesting so that students is
satisfied with faculties respond towards student problem.
• Colleges try to increase their physical facilities to build a good image in the mind of students.
• Colleges try to give fast respond to their student.
REFERENCES
[1]. Berman, W. F. (1980). MBO in student personnel: Can it work? In C. H. Foxley (Ed.), Applying
management techniques (pp. 55-67). New Directions for Student Services, No. 9. San
Francisco: Jossey-Bass.
[2]. Bretz Jr., R. D., Milkovich, G. T., & Read, W. (1992). The current state of performance
appraisal research and practice: Concerns, directions, and implications. Journal of
Management, 18(2), 321.
[3]. Brown, R. D. (1988). Performance appraisal as a tool for staff development. In M. J. Barr &
M. L. Upcraft (Eds.), New directions for student services (pp. 3-105). San Francisco: Jossey-
Bass.
WEBSITES
[1]. http://en.wikipedia.org/wiki/Service_(economics)
[2]. http://papers.ssrn.com/sol3/papers.cfm?abstract id=962227
[3]. http://www.ccsenet.org/journal/index.php/ibr/article/viewFile/982/952
[5]. http://www.teiser.gr/business/sites/default/files/paradoteo5c
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PCM066
TOURISM INDUSTRY: IS IT THE NEW GROWTH ENGINE OF INDIA?
Dr. Alaknanda Kamal Madhani

Assistant Professor
Marwadi University
akmadhani@yahoo.com
9428344708
Abstract
The Travel and Tourism sector has continued to make a tangible change in the world economy by
driving growth, alleviating poverty, encouraging development by creation of new jobs and above all
increasing tolerance among the world citizens. According to the (Wo rld Economic Forum, 2017), the
growth of travel & tourism sector out performs the global economy which exhibits the industry’s
pliability to face the global uncertainty and economic volatility. This research paper focuses on
identifying the relationship between GDP from tourism sector and Total contribution to Employment,
Internal T&T Consumption, Investment (Capital investment), Domestic Tourism Spending and visitor
exports and knowing the impact of Total contribution to Employment, Internal T&T Consumptio n,
Investment (Capital investment), Domestic Tourism Spending and visitor exports on the GDP
contributed bythe tourism sector. The present research is based on the secondary data obtained from
the data bank of World Travel and Tourism council for 24 years from 1995 to 2018 for the variables
under study. Pearson correlation was computed to assess the relationship between Total contribution
to GDP in bn. (Real prices)and Total contribution to Employment, Internal T&T Consumption,
Investment (Capital investment), Domestic Tourism Spending and Visitor Exports (Foreign spending)
and step wise regression was used to know the influence of various variables on the growth contribution
of tourism to GDP of India. The study revealed that that there is a strong positive correlation between
Total contribution to GDP in bn. (Real prices) and Internal T&T Consumption, Investment (Capital
investment), internal travel, Domestic Tourism Spending and visitor exports. Regression analysis was
applied to know the relationship between the variables under study.
Key words: Tourism, Total contribution to Employment, Internal T&T Consumption, Investment
(Capital investment), Domestic Tourism spending, visitor exports.
INTRODUCTION
The Travel and Tourism sector has continued to make a real difference in the world economy by driving
growth, alleviating poverty, encouraging development by creation of new jobs and above all increasing
tolerance among the world citizens. According to the (World Economic Forum In 2017), the growth of
travel& tourism industry outperforms the global economy which exhibits the industry’s pliability to
face the global uncertainty and economic volatility.
Tourism is a booming industry in India. Tourism industry has a high potential to generate employment
opportunities. Tourism supports activities that generate a high amount of employment and career
prospects for low skilled and semi-skilled workforces mainly for poor, female and young workers.
Women make 70% of the workforce in the tourism sector.
Tourism contributes substantially to our national economy and also has the capacity to create forward
and backward linkages with a host of sectors like manufacturing, transport, hospitality, education,
health, banking and agriculture. The consumption demand arising due to tourist expenditure also
increases which causes multiplier effect on the economy. This causes positive effects on the economy
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such as increase in job opportunities, increase in State revenues, wages and salaries of people engaged
in the tourism business.
LITERATURE REVIEW
Risso, W. A. (2018), analyzes the relationship between tourism and economic growth for a international
data of 179 countries during 1995–2016. The research is based on data for Granger causality test, two-
directional causality was found, associating with the hypothesis at a international level. The results
show that a 100% increase in tourist arrivals, tourism receipts, and tourism expenditure increases per
capita GDP by 9%, 7%, and 10%, respectively. In divergence, a 100% increase in real per capita GDP
increases tourist arrivals, receipts, and expenditure by 54%, 91%, and 101%, respectively. Control
variables such as human capital and gross capital formation as a percentage of GDP play an important
role in tourism and economic growth. According to Zuo, B., & Huang, S. (2018),the relationship
between the level of tourism specialization (TS) and economic growth using a panel data including 31
provinces in mainland China from 1995 to 2013. A quadratic function was calculated following the
basic economic law of returns to overcome the weaknesses of constant returns to scale associated with
the tourism-led economic growth hypothesis (TLGH). Using tourist arrivals as a percentage of domestic
population (TA) and tourism receipts as a share of real GDP (TR) as the indicators of TS which represent
respectively the size and the quality/structure dimension of TS, characters of tourism on economic
growth are discussed regarding the future course of regional improvement. Croes, R., Ridderstaat, J., &
van Niekerk, M. (2018), reviews the relationship between quality of life (QOL), tourism specialization,
and economic growth as applied to small island destinations. Results point out that the relationship
between tourism specialization and both QOL and economic growth is only partial. Tourism
specialization develops the residents QOL but, only on the short term.
According to Khoshnevis Yazdi, S., Nateghian, N., & Sheikh Rezaie, N. (2017), the main focus of this
paper was to know the impact of foreign direct investment (FDI), official exchange rate and trade on
international tourism. This study was done by using panel data of 27 countries for the data for the years
1995–2014. The study concluded that FDI plays a significant role in expanding the tourism sector
in EU countries. The research suggested that the appropriate policies to explore tourism resources
and plans must be designed to develop new tourist venues and facilities. Fauzel, S., Seetanah, B., &
Sannassee, R. V. (2017), attempted to answer the important question of whether foreign direct
investment (FDI) pouring into the tourism sector has aided to augment economic growth in Mauritius
for the period 1984–2014. The study was based on the dynamic vector error correction model. The
results showed that tourism FDI has really contributed to nurturing economic growth; although
the size of the figure being relatively smaller than FDI in the non-tourism sector. The results also
validate a positive relationship between tourism development and economic growth. This supports the
tourism-led growth hypothesis. Yazdei, S. K., Salehi, K. H., & Soheilzad, examines the long term and
short-term relationships between tourism and economic growth in Iran. The annual data for the period
of 1985–2013 periods was used and the tool autoregressive distributed lag and the Error Correction
model was used to examine the relationships between variables. The result revealed that there is also
positive relationship between the real effective exchange rate (REER), foreign direct investment (FDI)
and economic growth. The Granger causality test shows a two -way causality running between tourism
expenditure and economic growth. Ly Pham, T. M., & Phung Tran, T. P. (2015) focuses on Granger
Causality relationship between international tourist arrivals and foreign direct investment from Turkey.
The annual data for the period of 1980-2012, was utilized for the same. The results indicate a strong
causality relationship between two variables. The study implicated that the Turkish authorities should
promote international tourism since its foreign based investments will be positively influenced from
the development of tourism. Phung-Tran, P. H. I., & Trang-Le, H. U. Y. E. N. (2014), the Granger
Causality Relationship was examined between FDI, GDP and International Tourist Arrivals–Empirical
evidence from 5 countries. In this analysis of Granger Causality, the researcher has made an attempt to
examine the evidences of casual relationship between international tourist arrival and foreign direct
investment. In order to narrow down the research, the study was conducted for the international tourist
arrival, FDI and GDP for only five countries namely United Kingdom, Italy, Spain, Germany
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and Turkey. The result showed that there was a positive relationship between growth of GDP and FDI
from tourism sector. Gacus, R. B., & Tan Cruz, A. (2013), focuses on analyzing the relationship
between the GDP, FDI, unemployment and tourism in Philippines. The sample period for study
was from 1972 to 2008. The main objective of the study was to analyses the relationship between
real GDP, FDI, Tourism, and unemployment rate in tourism. The research concluded that FDI is
likely to contribute to advanced economic and employment growth which is an operative tool of
reducing the poverty in the country.
Samimi, A. J., Sadeghi, S., & Sadeghi, S. (2013), centers on the Relationship between Foreign Direct
Investment and Tourism Development: Evidence from Developing Countries. The investigation is
based on the panel data for the period of 1995-2008 for the purpose of examines the existence of
Grangers Causality and co integration between the tourism development and foreign direct investment
of 20 developing countries. The FDI in hotels and restaurants were used as the proxy for the FDI in
tourism. The results revealed that there is a bilateral long term causality between FDI and tourism
development. Saroja, S., Selvanathan, E., & Vishwanathan, B. (2012), in their research paper Causality
between Foreign Direct Investment and Tourism: Empirical Evidence from India. The deregulation
policies of India during the early 1990s have attracted a large amount of foreign direct investment (FDI)
into India in present years. India has been classified as the second most preferred FDI destination in the
world, just behind China. This article studies the causal relationship between FDI and tourist arrivals in
India by using the Granger causality test below a VAR framework. A two-way causality test is applied
between FDI and tourist arrivals in India. This reveals the quick growth in the tourism sector as well as
FDI in India during the last decade. Akinboade, O. A., & Leshoro, T. L. (2009), describes in the
research is about the macroeconomic policies that focus on the sustainable economic growth of
developing in developing country such as South Africa. According to the researcher this can be achieved
thorough international tourism. This research was aimed at studying the real gross domestic product
(GDP), international tourism earnings, real effective exchange rate and exports. The two consequently
agreed that the course of causality is from tourism receipts to real GDP. This means that international
tourism receipts lead to growth of real GDP.
1. To study the relationship between GDP from tourism sector and Total contribution to
Employment, Internal T&T Consumption, Investment (Capital investment), Domestic Tourism
Spending and visitor exports.
2. To know the impact of Total contribution to Employment, Internal T&T Consumption,
Investment (Capital investment), Domestic Tourism Spending and visitor exports on the GDP
contributed by the tourism sector.
Hypotheses
H0: There is no correlation between GDP contributed by the tourism sector and Total contribution to
Employment from tourism sector.
H0: There is no correlation between GDP contributed by the tourism sector and Internal T&T
Consumption.
H0: There is no correlation between GDP contributed by the tourism sector and Investment (Capital
investment).
H0: There is no correlation between GDP contributed by the tourism sector and Domestic Tourism
Spending.
H0: There is no correlation between GDP contributed by the tourism sector and visitor exports.
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The study is based on the secondary data obtained from the data bank of World Travel and Tourism
council for 24 years from 1995 to 2018. Simple linear Correlation is used to establish relationships
between GDP from tourism sector and employment generation in the tourism sector, foreign exchange
earnings, visitor arrivals, internal travel and tourism consumption and visitor exports and to study the
impact stepwise regression analysis is conducted on independent variables such as employment
generation in tourism sector, foreign exchange earnings, visitor arrivals, internal travel and tourism
consumption and visitor exports on dependent variable GDP from tourism sector in India.
DATA ANALYSIS
The data analysis was conducted on the secondary data which was obtained from World Travel and
Tourism council. Pearson Correlation was applied to test the correlation between GDP from Tourism
and Total contribution to Employment, Internal T&T Consumption, Investment (Capital investment),
internal travel, Domestic Tourism Spending and visitor exports.
Table No. 1
Pearson CorrelationCorrelations
Total
Visitor
contribution Total Investment Domestic
Internal T&T Exports
to GDP in contribution to (Capital Tourism
Consumption (Foreign
bn (Real Employment investment) Spending
spending)
prices)
1 -.461* .999** .883** .998** .971**
Sig.
.023 .000 .000 .000 .000
(2-tailed)
N 24 24 24 24 24 24
*. Correlation is significant at the 0.05 level (2-tailed).
The Pearson correlation was computed to assess therelationship betweenTotal contribution to GDP in
bn. (Real prices) and Total contribution to Employment, Internal T&T Consumption, Investment
(Capital investment), Domestic Tourism Spending and Visitor Exports (Foreign spending).
The above Table 1 exhibits the correlation of GDP from tourism with other variables. It can be
concluded that there was a negative correlation between the two variables Total contribution to GDP in
bn (Real prices) and Total contribution to Employment r = -.461, n =24, p = .023< 0.05.
There was a strong positive relation between the two variables Total contribution to GDP in bn. (Real
prices) and Internal T&T Consumption. r =.999, n =24, p = .000< 0.01.
There was a strong positive relation between the two variables Total contribution to GDP in bn (Real
prices) and Investment (Capital investment). r =.883, n =24, p = .000< 0.01.
prices) and Domestic Tourism Spending. r = .998, n =24, p = .000< 0.01.
prices) and Visitor Exports (Foreign spending). r = .971, n =24, p = .000< 0.01.
Thus, it can be concluded that there is a strong positive correlation between Total contribution to GDP
in bn (Real prices) and Internal T&T Consumption, Investment (Capital investment), internal travel,
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Domestic Tourism Spending and visitor exports. The negative correlation was observed between Total
contribution to GDP in bn (Real prices)and Total contribution to Employment can be due to decrease
in indirect employment in tourism the reasons for the decline in the employment is absence of political
will, increasing crime against women, absence of infrastructure and tourist security. In the era of
digitalization, that is use of internet and mobile applications less manpower is required in tourism
related services, which is one more cause of declining in employment. There is a decline in employment
percentage in tourism to the overall employment from 13.4% in the year 2004 to 9.3% in the year 2016
is evident of negative correlations between the two variables.
Chart No. 1
The above chart 1 indicates that only in one variable i.e. Total contribution to Employment exhibits
negative trends rest of the predictors exhibit a strong positive relation between GDP from tourism sector
and Internal T&T Consumption, Investment (Capital investment), internal travel, Domestic Tourism
Spending and visitor exports.
Stepwise regression analysis was performed on Total contribution to GDP in bn (Real prices) as
dependent variable and Internal T&T Consumption, Investment (Capital investment), internal travel,
Domestic Tourism Spending and visitor exports as independent variables or predictors. Stepwise
regression analysis was used when the researcher wants to include only significant predictors in
regression model. In this research, the impact of Total contribution to Employment, Internal T&T
Consumption, Investment (Capital investment), and Domestic Tourism Spending and visitor exports on
the GDP contributed by the tourism sector is studied. There are five predictors which are studied in this
research but the model is to be constructed but those that don't contribute uniquely to predicting the
total contribution to GDP from tourism should not enter our regression equation. Thus, stepwise
regression is used to construct appropriate model for predicting economic growth through tourism.
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Table 2
Model Summary
1 .999a .998 .998 138.20015
2 .999b .999 .998 125.11934
3 .999c .999 .999 113.37522
a. Predictors: (Constant), Internal T&T Consumption
b. Predictors: (Constant), Internal T&T Consumption, Total contribution to Employment
c. Predictors: (Constant), Internal T&T Consumption, Total contribution to Employment, Investment (Capital
investment)
d. Dependent Variable: Total contribution to GDP in bn (Real prices)
In the stepwise regression analysis, adding each predictor in our stepwise procedure results in a better
predictive accuracy. R is simply the Pearson correlation between the actual and predicted values for
GDP from the tourism sector which is 0.999. This value exhibits the strong correlation between actual
and predicted values. R square -the squared correlation- is the proportion of variance in GDP from
tourism sector accounted for by the predicted values. The R 2 is also quite high i.e. .999 which indicated
that 99% of the variance in GDP is due to the predictors.
Table 3
ANOVA
Regression 2.365E8 1 2.365E8 1.238E4 .000a
1 Residual 420184.183 22 19099.281
Total 2.370E8 23
Regression 2.366E8 2 1.183E8 7.558E3 .000b
2 Residual 328751.814 21 15654.848
Total 2.370E8 23
Regression 2.367E8 3 7.890E7 6.138E3 .000c
3 Residual 257078.794 20 12853.940
Total 2.370E8 23
a. Predictors: (Constant), Internal T&T Consumption
b. Predictors: (Constant), Internal T&T Consumption, Total contribution to Employment
c. Predictors: (Constant), Internal T&T Consumption, Total contribution to Employment, Investment
(Capital investment)
d. Dependent Variable: Total contribution to GDP in bn. (Real prices)
The table 3 indicates that the regression model predicts the dependent variable significantly well. It also
indicates that SPSS allowed specify multiple models in a single regression analysis. This explains the
3 of the models being reported.
Looking at the breakdown of variance in the outcome variable, these are the categories that are
examined. The Total variance is partitioned into the variance which can be explained by the independent
variables (Model) and the variance which is not explained by the independent variables (Error). The
table 3 indicates the statistical significance of the regression model that was run. Here, p= 0.000, which
is less than 0.05, and indicates that, overall, the regression model statistically significantly predicts the
outcome variable (i.e., it is a good fit for the data).
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Table 4
Coefficients
Unstandardized Standardized
Model Coefficients Coefficients t Sig.
B Std. Error Beta
(Constant) 542.423 82.546 6.571 .000
1
Internal T&T Consumption 1.055 .009 .999 111.287 .000
(Constant) -251.735 337.001 -.747 .463
2 Internal T&T Consumption 1.066 .010 1.010 109.068 .000
Total contribution to Employment .016 .007 .022 2.417 .025
(Constant) -926.299 418.159 -2.215 .039
Internal T&T Consumption 1.023 .020 .969 50.248 .000
3
Total contribution to Employment .034 .010 .047 3.514 .002
Investment (Capital investment) .193 .082 .060 2.361 .028
a. Dependent Variable: Total contribution to GDP in bn (Real prices)
A stepwise multiple regression was conducted to evaluate whether internal travel and tourism
consumption, total contribution to employment and capital investment are necessary to predict the total
contribution to GDP. The data entered into the regression equation was significantly related to F (3, 20)
= 6.138, p < 0.001. The multiple coefficient was 0.999 indicating approximately 99% of the variance
of the variables under consideration for the contribution of tourism towards the GDP . Thus, the
regression equation is
Total contribution of tourism sector to GDP = -926.299 + 1.023 Internal T&T Consumption +
.034 Total contribution to Employment + .193 Investment (Capital investment)
FINDINGS
The data analysis revealed that

 It can be concluded that there was a negative correlation between the two variables Total
contribution to GDP in bn. (Real prices) and Total contribution to Employment.
 There was a strong positive relation between the two variables Total contribution to GDP in bn.
(Real prices) and Internal T&T Consumption.
(Real prices) and Investment (Capital investment)
(Real prices) and Domestic Tourism Spending.
(Real prices) and Visitor Exports (Foreign spending)
 Stepwise regression analysis revealed that R the Pearson correlation between the actual and
predicted values for GDP from the tourism sector which is 0.999. This value exhibits the strong
correlation between actual and predicted values. R square -the squared correlation- is the
proportion of variance in GDP from tourism sector accounted for by the predicted values. The R 2
is also quite high i.e. .999 which indicated that 99% of the variance in GDP is due to the
predictors.
 The analysis indicates the statistical significance of the regression model that was run. Here, p=
0.000, which is less than 0.05, and indicates that, overall, the regression model statistically
significantly predicts the outcome variable.
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 The data entered into the regression equation was significantly related to F (3, 20) = 6.138, p <
0.001. The multiple coefficient was 0.999 indicating approximately 99% of the variance of the
variables under consideration for the contribution of tourism towards the GDP.
 Thus, the regression equation is-Total contribution of tourism sector to GDP = -926.299 + 1.023
Internal T&T Consumption + .034 Total contribution to Employment + .193 Investment (Capital
investment).
CONCLUSION
The Tourism Industry has grown and developed over the years in India and on continual basis has shown
a difference in the Indian economy by providing employment opportunities due to increase in tourist
arrivals from domestic and international region. The research was conducted with the objective of
identifying the relationship between GDP from tourism sector and total contribution to employment,
internal travel and tourism consumption, investment and domestic tourism spending and visitor exports.
It is concluded that there was a negative correlation between contribution to GDP and employment may
be due to digitalization of tourism in India. Otherwise there was positive correlation between other
variables such as GDP and Internal T&T Consumption, Investment, Domestic Tourism Spending and
Visitor Exports (Foreign spending). The stepwise regression aided in construction of the model but
those that don't contribute uniquely to predicting the total contribution to GDP from tourism should not
enter our regression equation. Thus, stepwise regression is used to construct appropriate model for
predicting economic growth through tourism. The regression analysis revealed that Internal T&T
Consumption, Total contribution to Employment, Investment (Capital investment) are the important
predictors for GDP from the tourism sector. The regression equation can aid the government to predict
the growth of GDP from tourism sector. It is suggested that government of India should focus on
strategies which can bring more foreign direct investment to India as well as on strategies that can
improve the employment generation from tourism sector. The scope of future research is to know why
there is a negative correlation between increase in contribution to GDP from tourism and employment
generation.
REFERENCES
[1] Akinboade,O.A., & Leshoro, T. L. (2009). International tourism and development of South
Africa: A Granger Causality test. International Journal of Tourism Research, 12, 149-163.
Retrieved from DOI: 10.1002/jtr.743
[2] Croes, R., Ridderstaat, J., & van Niekerk, M.(2018). Connecting quality of life, tourism
specialization, and economic growth in small island destinations: The case of Malta. Tourism
Management, 65, 212-223.
[3] Fauzel, S., Seetanah, B., & Sannassee, R. V.(2017). Analyzing the impact of tourism foreign
direct investment on economic growth: Evidence from a small island developing state. Tourism
Economics, 23(5), 1042-1055.
[4] Gacus, R. B., & Tan Cruz, A.(2013, June). Relationship of GDP, FDI, unemployment and
tourism in Phillipines: 1972-2008. Paper presented at Inclusive and sustainable development.
Issues and challenges for agriculture, Fishery and Na.
[5] Ly Pham, T. M., & Phung Tran, T. P. (2015). The Granger Causality relationship between
international tourist arrivals and foreign direct investment: Empirical evidence from Turkey. In
the 9th International Days of Statistics and Economics (pp. 1291-1300). Prague, Prague.
[6] Risso, W. A. (2018). Tourism and Economic Growth: A Worldwide Study. Tourism
Analysis, 23(1), 123-135.
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[7] Samimi, A. J., Sadeghi, S., & Sadeghi, S. (2013). The Relationship between Foreign Direct
Investment and Tourism Development: Evidence from Developing Countries. Institutions and
Economics, 5(2), 59-68.
[8] Saroja, S., Selvanathan, E.,& Vishwanathan, B. (2012). Causality between Foreign Direct
Investment and Tourism: Empirical Evidence from India. Tourism Analysis, 17(1), 91-98.
Retrieved from DOI: https://doi.org/10.3727/108354212X13330406124296
[9] Soheila Khoshnevis Yazdi, Niloofar Nateghian & Niloofar Sheikh Rezaie (2017) The causality
relationships between tourism development and foreign direct investment: an empirical study
in EU countries, Journal of Policy Research in Tourism, Leisure and Events, 9:3, 247-
263, DOI: 10.1080/19407963.2017.1297310
[10] ThiMinh, L. P., & ThiPhi, P. T. (2017). The Relationship between International Tourist Arrivals
and Foreign Direct Investment: A Granger Causality Analysis. Acta Oeconomica Pragensia,
2017(4), 3-12.
[11] Turner, R., & Freiermuth, E. (2017). Travel and tourism-Economic Impact 2017-India (1).
World Travel and Tourism Council.
[12] Zuo, B., & Huang, S. (2018). Revisiting the tourism-led economic growth hypothesis: The case
of China. Journal of Travel Research, 57(2), 151-163.
ISBN: 978-93-5351-069-5 306

PCM041
A STUDY ABOUT BITCOIN
Ashish Galaiya Komal Darji Madhumalti Rohit

Student Student Student
Rofel Grimms Rofel Grimms Rofel Grimms
ashishgalaiya9197@gmail.com komaldarji8996@gmail.com madhurohit110@gmail.com
Abstract
Today the world is moving towards the digital currency and in this world the most powerful currency
which had created the havoc is the cryptocurrency: Bitcoin. Bitcoin has created new waves in the
financial markets, Bitcoin price is most fluctuating and help investors to gain the enormous profit in
Bitcoin. It is also the most risky digital currency of the world. It has created the fear among the financial
institution as it is the unregulated and the peoples does not need the third party to trade or invest or to
pay in the Bitcoin. Bitcoin is the fastest growing trend in the world. People are tending to more traded
in the Bitcoin. It has the risk involving factor that there is no security of this currency it can be hacked
and there are no rules formed to complaint about this currency has been hacked or stole. As it can
create the market rise due to it unregulated form the users can remain anonymous as there is no sharing
of their private information anywhere. The study shows that 1. Bitcoin is the myths can be known 2.
Understanding the position of the current market of the Bitcoin 3. Knowing the reasons of the Bitcoin
fraud 4. Future demand and it regulations
Keywords: unregulated, hacked, trend traded, cryptocurrency, myths, blockchain technology.
INTRODUCTION ON BITCOIN
Crypto currency is considered to be the digital currency it uses the decentralized control method which
work through the ledger technology it was launched in 2009 as open source software and considered
to be the first decentralized cryptocurrency. Ownership of the Bitcoin units can be provided exclusively
cryptographically. It is the digital payment currency which works on the bases of peer to peer
technology to create and managed the transactions which are said to be opposed of the public policy.
The open source Bitcoin P2P manages all the transactions of the Bitcoin in the efficient manner.
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HISTORY OF BITCOIN
Bitcoin was developed and created by wee Dai in 1998 on the cypherpunks mailing list. In 2009, then
the Bitcoin specification and real application proof was published by they satoshi nakamoto.
WORKING OF THE BITCOIN
The payments are made through the wallets unlike other digital currencies that uses and stores on a user
computer or mobile device all the payments system and the person only needs to enter the recipient’s
address of the Bitcoin information and payment amount before pressing send to complete payment.
BITCOIN MINING
It is the process of transactions in which the digital currency systems records the current
transactions known as the block chain.
BITCOIN SECURITY
Bitcoin has the major problem of the volatility but there is no vulnerable case of hacking or stealing the
Bitcoin as due to the volatility increases we can say that the risk in the Bitcoin increases.
1. To know the position of current Bitcoin market

2. To know the reasons for happening of the Bitcoin fraud
3. To identify the different advantages and how to regulate the Bitcoin if necessary.
4. To know the future demand of the Bitcoin
PROBLEM STATEMENT OF THE STUDY
To know the Bitcoin is the myths or misconceptions by knowing the awareness and the regulatory body
of the Bitcoin
Research design Descriptive study
Source of data Secondary data
Secondary data Websites , newspapers, journals
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LITERATURE REVIEW
In 2009 Satoshi Nakamoto says that a peer to peer version of the cryptocurrency of the Bitcoin will help
to sent directly the payments without the involving of the third party. Digital signatures are not the
solutions for the double spending so he has developed the system known as the timestamps which
provide the hash proof network of the chain. This gives the benefit for making the transactions in the
Bitcoin without any hurdles.
In February 9, 2018 Jochen Mobert has published his paper on the topic on the Bitcoin the myths,
misconceptions and the understandings it opens the door for the decentralize financial, door to door
alternative, economic and social. The consequences of the blockchain technology is disruptive it
complexity is the issue. Developer of the new technologies gets the benefit from particularly strong and
self reinforcing network effects. The follow up new technologies will replaced the unforeseen or
unforeseeable problems.
In December 2017 Raghav Gupta has published his paper on the topic future of the Bitcoins the
researcher says that there is no forum where we can go and say that we are fraud by the Bitcoin and
there is the most probably the lack of the awareness among the peoples it has been found that the Bitcoin
is used in the ponzi schemes. there is lot of the volatility due to the critical risks associated with it.
Bitcoin can be considered as a good for the Zimbabwe and Nigeria to get the wealth eradicated due to
the hyperinflation.
In January 2018 sushmita, Sandeep , Mauro, chaggan, Mauro has published the paper on the security
issues of the Bitcoin it is the related to the security threats of the normal functions of the Bitcoin by
providing the various solutions and the preservance of it anonymity can save from the fraud. The future
research suggest that the provisioning stringent security and the privacy techniques of Bitcoin.
In 2016 Yuanfeng CAI and Dan Zhu has published the research article on fraud detection online by the
perceive of the blockchain technology it provides the new opportunities to redesign the reputational
system. It was so effective that it prevents all the users from the information frauds, application frauds,
etc. with the loan application fraud also taken into consideration.
FINDINGS
To understand the position of the current Bitcoin market

• Bitcoin price currently is at $3732.04 market valuation of Bitcoins was approached at
US$1 billion which has created a boom in the market and has results in increased in the
popularity of the market of the Bitcoin in all over the world
• it was seen in april 2013 that the Bitcoin price was constantly dropping down from US$
266 to $50 and in terms of Indian rupees 15,960 to 3300 we can say it has fall to 20.67%
in just 1 year due to it dangerous volatility
• On 17th march 2010 Bitcoin was traded on market commercial website known as
(market .com ) at RS. 0.0018 In the Indian rupees ..
• 1 BITCOIN = RS.2,63,976.24
• There are 21 billion Bitcoins in the world as in 2018 estimate.
To know the reasons for happening of the Bitcoin fraud

• The decision made by the intelligent systems depend on the operators and the user’s data input
for making the transactions so the accurate decision making is very difficult or we can say that
the fraud person or the hackers can use this input and will create the scam of the information
fraud..
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• The algorithms detection system can’t able to elimininate the wrong input behaviors which has
been made by the users or can be know as the Bitcoin holders .
• Pre evaluation of the reputation of the Bitcoin seller cannot be known or obtained. So the
anonymous transaction system makes it hazardous.
To identify the different advantages and how to regulate the Bitcoin if necessary
Advantages
• No or reduced transfer fees
• faster transaction completion
• International payments can be made easily by the buyer with the fraction of the seconds
which is also ultimately useful and the easiest way of payment to small business
ventures.
• No risk of the inflation of the price affect the value of the Bitcoin currency as individual
can preserve the coins.
Regulations of the Bitcoin
• RBI has recently recommended that the financial institutions which comes under the purview
of the RBI considered as the regulated financial institutions are not permitted to provide the
services to the companies, individual who are dealing with the virtual currencies. The RBI was
more open to block chain, the technology that underpins virtual awareness, and says in the
statement that it has the potential to improve the finance.
• Each and every country has the different standards, rules and regulations.
• Bitcoin is not legal tender in India. The Indian government had issued warning about the risk
associated with trading.
• The RBI statement was the part of an announcement about boarder regulatory policy measures
for strengthening financial market regulation.
• RBI has notice that a popularity of Bitcoin will rise the interest among the buyers to buy the
Bitcoins in the market or the buyer will find another way to trade in the Bitcoin through the
various illegal exchanges which are operating in the Indian market which result in the higher
terms of the risk and it will have the serious issues of the Bitcoin theft.
• JAPAN has make the reality to legalise the bitcoin transactions over it goods and the services.
To know the future demand of Bitcoin
• As it is gaining more popularity due to the high returns and the trust among the members will
make demand and supply of the Bitcoin transactions more.
• As more the Bitcoin get the coverage from the media it will garner the image of the Bitcoin in
positive manner and ultimately the rise of the demand of the Bitcoin will be high in the future.
• The technological integration with PAYPAL will surely make the positive trustworthy image
on the mindset of people in the transactions of the Bitcoin and ultimately it will create the
market burst of the Bitcoin.
SUGGESTIONS
1. If cyber cell person should spread awareness by creating campaigns and more detail
information about the Bitcoin should be provided to the common people and the businessman.
2. Bitcoin should be made regulated as per RBI guidelines so, the fraud chances get reduce
because the central body with different policies will ultimately control it.
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3. By emerging of the blockchain technology in the tear 2019 the transaction which had done
between the two persons they will have the copy of the transactions and can save from the any
vulnerability.
4. Instead of decentralized verification of transaction is done by the Bitcoin minors it should be

centralized so that the agency and Government can interfere in it.
5. The every single bit of the transactions has to be validate then it will have a transfer into a data
block which has been recorded in the block chain ledger.
6. RBI should create such a modified technology with the certain policy that some commodity
should listed to trade by Bitcoin and in other commodity which is hazardous and opposed to
the public policy cannot be traded in that commodities should banned so the Bitcoin cannot be
traded for the criminal activities.
7. In today’s world everybody want to earn the fast money and especially it is with the problem
of the young generation who are consuming the Bitcoin for the purpose of the investment to
gain the higher returns and which lead them to the wrong track and the lost of the money, so
the government should imposed certain restrictions on the age.
8. UGC body the higher body of the educational institutions should make compulsory Add the
Bitcoin topic in various subjects so that the students get the information about these new
financial trends which is emerging in the market and by this way the indirect awareness and the
knowledge about it is created in the students mind.
9. The government should recruit and trained the IT personnel who are working in the cyber cell
to deal with the cases of the Bitcoin in the efficient manner as until it has been regulated
otherwise it will damage the prospects of the economy.
10. Financial institutions should create more trust among its customers and the public regarding it
functions and should develop more systems that the information shared by the customers should
be more private. The more privacy attract more customers this is the basic and the pure
philosophy that Bitcoin follows.
11. The most probable problem of the Bitcoin the people buys is that increased there purchasing
power due to the popularity and easily traded. As if the more media will give the positive
coverage it will definitely effect on the minds of the person. Media should be controlled and
restricted in this matter.
CONCLUSION
Bitcoin is the good for the future in the long run but it is the new concept it has to be fully understood
and should be in the control of the government because of it anonymity it can increase the criminal or
illegal transactions in the country and will damage the prestige of the economy in the long run. The
awareness of the Bitcoin should be must in the public and its trading should be restricted for the good
purpose. We welcome the Bitcoin trends due to it certain powerful advantages of not getting hacked
and to store the money in the digital wallet so problem of the cash does not arises and it increases the
purchasing power of the people. The any things should be controlled as is there same in the Bitcoin case
it need to be controlled otherwise it future would be dangerous.
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REFERENCES
[1]. Abadi, J and M Brunnermeier (2018): “Blockchain economics”, Princeton University, mimeo,
May
[2]. Berentsen, A and F Schär (2018): “A short introduction to the world of cryptocurrency”,
Federal Reserve Bank of St Louis, Review, vole 100, no 1.
[3]. Ba S, Pavlou P (2002) Evidence of the effect of trust building technology in electronic
markets: price premiums and
[4]. Buyer behavior. MIS Q 26(3):243–268
[5]. R.C. Merkle, "Protocols for public key cryptosystems," In Proc. 1980 Symposium on Security
and
[6]. Privacy, IEEE Computer Society, pages 122-133, April 1980.
[7]. S. Haber, W.S. Stornetta, "Secure names for bit-strings," In Proceedings of the 4th ACM
Conference
[8]. On Computer and Communications Security, pages 28-35, April 1997.
[9]. Durden Gold T (2017) Bitcoin, And Metcalfe’s Law.
http://www.zerohedge.com/news/2017-10-23/gold-Bitcoin-andmetcalfe%E2%80%99s-law
[10]. http://www.investopedia.com/terms/c/currency.asp#ixzz4w7PQcCaR
[11]. jfin-swufe.springeropen.com
[12]. www.forexnewsnow.com
[13]. www.uggsale.net.co
[14]. www.icommercecentral.com
[15]. en.wikipedia.org
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PCM021
THE RELEVANCE OF BRANDING IN DIGITAL ERA
Lecturer Lecturer
Abstract:
Brand is the most powerful tool for marketing process which generates the unique identity for the
particular product of a company. Brand is a combination of term, identity or logo to identify
producer’s particular products or services. In competitive market of 21st century branding is
becoming the powerful and necessary tool to sell the particular product more effectively. Brand
name of a company gives the legal protection and unique features which might not be occupied
by others. Branding generally helps to maintain different factors such as brand equity, image of
brand and loyalty of brand. Branding enables us to develop the practice of differential marketing .
Keywords: Equity of Brand, Strategies of generating Brand equity, Decisions of Brand Strategy
INTRODUCTION
The word ‘Brand’ generally comes from Norwegian word ‘Brandr’ means to identify. Brand is
considered a big asset of a company. Brands are the most powerful elements which should be carefully
developed and managed. Brands are not only names or symbols but the identity of a company. The
brand equity of powerful brand is very high.
Brand Equity:
Brand is varied in accordance with value and power of a Brand in the market. The equity of a Brand is
the positive effect which describes consumer response to the products or services. Let’s take an example
of CD player. Customers are generally willing to buy branded CD players as compared to unknown
Brand of CD players.
As per model proposed by David A. Aaker, Brand equity is the uniqueness of a brand. Equity describes
the efforts made by marketers to build the unique value of a Brand.
Brand having strong Brand equity is the real asset for a company. Brand value can be measured by total
financial value of a Brand.
The Brand name carries high credibility. It generates the extension of a brand. We can give many
examples such as Coca Cola, P&G, TATA, NESTLE, CADBURY and HINDUSTAN UNILEVER.
These companies launch many products under the same Brand name.
David A.Aaker has given the structure of brand equity. The structure is mentioned below.
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(Structure proposed by David A. Aaker of five assets underlying the brand equity)
Building Brand Equity

It is very challenging to create the brand equity. It is the result of awareness of brand. Brand equity
should be developed by image of brand, loyalty of brand and association of brand. We can build the
brand image generating satisfaction of the customers.
OBJECTIVES
To achieve Brand equity following objectives have been suggested

• Selecting the brand elements which generate the Brand.
• Marketing support programs should be developed and implemented.
• Develop quality of products to satisfy the customers.
Guidelines for Building Brand Equity
Following guidelines have been proposed by Kevin Keller for building high brand equity
• Gathering all the elements of brand and mix them. Select different elements of brand to get
different objectives and the design of Brand elements must be given to each other.
• Generate the wealthy image of Brand. This image of Brand will depend on quality of products.
• Set the pricing and discount policies time to time to attract and get attention of more customers
to buy that particular products.
• The proper channel strategy should be developed for a particular brand. Customers should be
pulled out to buy the product of particular Brand.
Brand Strategy Decisions
Important decisions of Brand strategy are as follows.

• Positioning of Brand
• Selection of Brand name
• Sponsorship of Brand
• Development of Brand
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Positioning of the Brand:

Brand positioning describes the attraction of customers as compared to the competitors. Brand
positioning can be measured in terms of following factors.
• Attributes
• Benefits
• Values and belief
Selection of Brand name:
The selection of good name of Brand will give the product to great success. Brand name should be
selected such that it becomes the identity of particular products.
Sponsorship of Brand:
Sponsorship of Brand can be categorized as follows.
• Brand of manufacturer
• Private Brand
• Licensed Brand
• Co Brand
Development of Brand:
It can be classified as follows.
• Brand extension
• Line extension
• Product flanking
• Multi Brands
• New Brands
All above factors are the key factors for the development of particular Brand. It will develop the product
under particular Brand to the full extent. Several products should be considered under same Brand name
to take the advantages of that Brand.
Data Collection Method:
Types of research
In this study descriptive and applied research analysis are used for evaluating the data.
Sources of data
Two sources name primary and secondary are used for analysis of result. The collections of primary
data are from structured questionnaire and secondary data are from website, journals and different
related books.
Data collection
Data are collected from a cross section survey from consumers
Research instrument
Well design and structured questionnaire was prepared to analyse the data from chosen samples.
Sampling method
Simple random sampling was used to collect the primary data from selected samples.
Sample size
The sample size is 25 from which data was collected for the purpose of study and analysis.
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Plan of analysis
Various tests such as frequency analysis and cross table analysis were used for data analysis and
interpretation of results.
Scope of study
This paper helps to find out the effect of brand image on preference of consumers. This paper includes
different factors such as price, quality, brand name and customer service which affect purchase decision
of customers.
LITERATURE REVIEW
When and Bernard (1986) highlighted strategic brand concept. They concluded that the fundamental
marketing activity is used to convey brand image to a targeted customers. The processes of preserving
this concept of brand image linkage are related to the brand concept are functionary symbolic or
experiential. Brand market performance should be significantly enhanced by maintaining linkage of
brand image.
Benedict and Rajeev (2002) examined the perceived brand globalness which generates brand value.
They also gave reason why some consumers prefer multinational brands to local brands in today’s
competitive market conditions.
Ching and ying (2008) studied about the topic of brand equity, brand preference and intension of
purchase. They have concluded that all these three have positive relationship with the effect of
moderation of switching cost which can affect the relationship between brand equity and purchase
intensions.
RESEARCH OBJECTIVES:
1. To study the value of consumer preference for branded products.

2. To study the influence of brand in decision making of customers.
DATA ANALYSIS AND INTERPRETATION

The data are collected with the help of structured questionnaire. The software used for analysis were
frequency test and cross tabulation methods.
Q.1 why do customers prefer branded products?
Table 1: The preference of customers for branded products.

Reason Frequency Percentage %
Product range 03 12
Product design 04 16
Product quality 13 52
Price range 03 12
Customer services 02 8
total 25 100
Interpretation:
Above table highlights that quality of products is the main reason for prefer branded products (52%),
followed by design of products (16%), range of products (12%) and price range (12%).
Conclusion:
Customers generally consider products of high quality, price and product range over and above design
of products.
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Q.2 what factors which affect purchase decision of consumers?
Table 2: The factors which affect purchase decisions of customers for branded products.
Factors Frequency Percentage %
Name of brand 14 56
Design 5 20
Availability 3 12
Price 2 8
Desire to purchase 1 4
Total 25 100
Interpretation:
Above table highlights that name of brand has affected the purchase decision of consumers most (56%).
Consumers also give design (20%), availability (12%), price (8%) and desire to purchase (4%) for
purchase decisions of consumers.
Conclusion:
Consumers prefer branded products are the main factor for affecting purchase decision of consumers.
CONCLUSION
• Quality is the prime factor which affects the preference of consumers for branded products.
• Normally customers favour products based on quality and price rather than product design and
product range.
• Generally consumers use branded and non-branded products in equal proportion based on price,
quality and durability of products.
• Satisfaction of customers seems to be ultimate factor towards repeated purchase.
SUGGESTIONS
• Quality of products should be improved to build brand image to enhance sale of particular
products
• To ensure that customers must get accurate value for the amount they spent for branded items
through different benefits and different services.
• Reasonable price should be maintained for branded products to enhance and promote selling of
different products among different age and income group.
• We should ensure that branded products must be easily available for sale promotion.
REFERENCES
[1]. Philip kotler, Principles of Marketing Management, 10th Ed, Pearson/PH
[2]. David Aaker (1991, Managing Brand Equity, the Free Press, N.Y.
[3]. Keller, Kevin (2008) strategic brand management, 3rd Ed, Pearson.
[4]. Ching Chen & Ying Chang (2008).Airline brand equity, brand preference &
[5]. Purchase Intension: Journal of Air Transport Management.Vol-14(1), 40-42.
[6]. Whan Park & Bernard (1986).Strategic Brand Concept, Image Management: Journal of
[7]. Marketing. Wall 50(4), 135-145.
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PCM063
OPTIMISTIC MARKETING: A COMBINED APPROACH OF

PSYCHOLOGY AND CUSTOMER RELATIONSHIP MANAGEMENT
Maulik R. Shah
Management Department,
Oakbrook Business School, Ahmedabad.
Prof.maulikshah@gmail.com
9374336396
Abstract
Marketing and psychology are in way synonyms. Psychology is the science of behavior and mental
process with the ultimate goal of understanding individuals and groups. Marketing is the science of
behavior and mental process with the ultimate goal of understanding consumers and groups of
consumer (i.e. markets) for commercial purpose. So the only difference in their definition according to
me is the word “commercial”. So it is fair enough to say that marketing and psychology only differ in
their application part. This research paper will emphasize on the optimistic marketing especially
eliminating the use of word ”No” in business and its implications, with some examples from case studies
in order to strengthen my arguments.
The research methodology adopted is observational research. Marketing is all about keeping all your
senses open and then ‘sense and satisfy’ the needs of customers. So the examples explained in the
research paper is based on the common observations done across some industries and finding out how
ignorance has led to the use of negativity in the business and how to use optimistic marketing can help
change the situation. Some supporting examples from successful companies like Disneyland, Nordstrom
and Lacoste is also discussed. These case studies and other facts presented in the paper obtained
through the observational research throws light on, how creating a positive atmosphere in your
business can create wonders.
Keywords: Optimistic Marketing, Customer service, Psychology, Differentiation.
PSYCHOLOGY AND CUSTOMER RELATIONSHIP MANAGEMENT
The ultimate goal of marketing is to delight the customer’s profitability. Delighting in a way is
considered to be very difficult for the marketers with too much of competition prevailing but actually
according to me delighting a customer can only start with a customer and not with a marketer and not
just a customer but an angry customer. Inside all of us there lurks what is generally known as The Angry
Customer. You’ll see him and his avatar in yourself, everywhere you go on every business trip, holiday
cruise, hotel dining room, the fast food joint around the corner, or even the local grocer wherever you
are not satisfied but very few people go ahead and demand quality because we, as consumers, believe
that as long as we sit back and accept bad service, we are asking for that bad service and we don’t
deserve any better. It could apply to your organization, too. So it’s up to organizations to get their act
together, to make the difference. Most service providers in this country have their share of disgruntled
customers. The good thing about a ‘bad’ customer is that he will tell you where your service stinks.
Now that’s actually a very good thing, because you’ll kindly appreciate that a customer who complains
in trying to make things better, is actually doing a big favor. I think all of us should also raise our
expectations a bit higher. This will help in creating an optimistic marketing environment.
Business, industries – they all have different backgrounds. But really, everyone is in the same business.
This is the business that every single organization is in, whether it is selling cars or selling consultancy
or selling anything else and that is to attract the customers and then to retain them. The context is
products, customers and service. It is very important to understand what exactly it is that we are selling,
to whom, and why these would-be buyers would want whatever you’ve got on offer. More importantly,
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do they want it at all? The fact of the matter is that in almost all cases, nobody wants your products. It’s
sad but it’s true. People buy things for various reasons. For example, nobody needs a car. They need
transport. It is a solution to a problem that they might be facing. They need to get from point A to point
B, so that’s the need. A car is only one of the ways of doing it. When we think this through, it becomes
clear that this line of reasoning can be applied practically to everything. It is important to understand
all this because in today’s environment, service and marketing are becoming far more important because
the environment has changed. We need to peer into the customer’s mind and divine his real motivations.
Once you managed to do that, you’re home free. It’s as simple as that. If you go through the table below
we will find out that the customer buys anything in order to:
TO SAVE TO INCREASE TO REDUCE TO IMPROVE

Money Income Expense Productivity
Time Investment Tax Ability
Efforts Future Liabilities Confidence
Resources Relationships Trouble Peace of mind
Appearance
You cannot find anything apart from this, and if companies are not optimistic in fulfilling these
requirement than they are bound to lose their customers.
Empathy: Do you care for your customers? How many people can say, that the brief to their HR
department is to hire nice people. Have you ever seen that in a requirement? I want to hire nice people.
That’s what empathy is. You make sure you have nice people to deal with customers. You know another
requirement for customer service people is that the frontline guys must genuinely be interested in
helping people.
Tangibles: Tangibles are the basics. Is the sir conditioning working? Is the coffee hot? If you are on
Airline, will the tray table stay up or keep falling down on your lap? – Stuff like that. Those basics are
very important.
Finally, The Intangibles: Customers want total experience. They want to associate with a brand that
makes them feel good. It’s an emotional thing. The ‘feel good’ factor is not just jargon; these days it
really counts.
There are 3 levels in the service arena. Most people struggle to get to the first on, which is: giving
customers what they want. The very, very, very good companies reach the second level. Where they
will not only give the customers what he wants but will also give it to him in just the form he wants it.
And for most companies, this is a dream. When a service provider tries to understand
customer’s needs and meets them, the organization is fulfilled. How many companies actually manage
to reach the peak? When people buy a Lacoste shirt, they are not buying it because they want to save
their backs from getting sun-tanned. They are buying it because they want to feel good about
themselves. They want people to look up to them because it costs you 2500/-. One can buy a perfectly
good shirt for 400/-. If it was just a question of covering your back, it would be functional aspect, but a
Lacoste shirt delivers at both material as well as emotional levels. It’s most important to deliver that
kind of value to people. Very few organizations even think along those lines.
THE COMMON NOTION OF “NO”
• Most places we go to, we see too many ‘No!’ signs. “You can’t do this, you can’t do that.” Try
walking into a shop in a mall with a cola in your hand. Some guy will come to you and politely
tell you to leave the shop. “Sorry Sir! You can’t bring your soft-drink in here, you have to
leave.” You know if that cola hit the carpet, it would cost them only 20/- to clean it. You were
planning on spending a couple of thousand rupees in that shop. You’ve suddenly changed your
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mind. The words ring in your ears: “Sorry Sir! It’s against the rules; no soft drinks allowed.”
He could have said, “Do you mind leaving your drink on this table?” Or, “May I hold it for you
sir, while you look at our products?” Or, he would have brought over two shirts for inspection,
compelling you to relinquish my cola. But all he said was “Sorry Sir! No!”
• Try taking a little home-cooked food into a restaurant where it says, “No outside eatables
allowed”. They won’t allow you to eat stuff you carry in. They want you to eat only items
ordered by you, from them. There’s no philosophy that says ‘Somebody has come to our
restaurant to eat. Okay, so they’re supplementing the order with some home-made food. No
harm in that: at least we made a sale.’ You’re dreaming-nothing like that is going to happen.
All you’ll hear is the old refrain “No! No outside eatables allowed.” We have to move fast. The
global marketplace is highly unforgiving of such out-dated attitudes. If we fail to respond
quickly and creatively to change (Which is the only constant), we are not going to find it easy
to survive.
• Even Lacoste, when they were selling a 1500/- shirt, they’d say, “any time in your life, you
have a problem with this product; you can come back and change it. Anytime,” and people
come back with 5 year old shirts and said, “I think it has faded a little bit”. No one could see
any fading, but the point was people were strictly instructed – don’t ask questions: just exchange
the shirt’. We have got to remember that, that person who is bringing the shirt back is doing the
shop a favor. We’ve got to thank him. So people would use a shirt for 5 years and then they’d
came back and have it exchanges it for a brand new shirt. They also used to receive a ‘thank
you’ letter and a gift voucher, something off on their next purchase. Today, don’t try that with
Lacoste, it doesn’t work.
• People need to be ‘un-trained’, to see that it doesn’t matter if the customer carries extra food or
a cola into the establishment. Let him bring anything in. It is hard enough to get people to come
to the shop. Once he entered, whatever you do, don’t turn him away. When a customer goes to
a place, he doesn’t want to hear the words “NO!” he wants to hear a ‘YES!” Everything should
be ‘YES!’ Everything should be positive. Everything should be welcoming. That’s the kind of
place customer love to go to. If they get a “NO!” they are never seen in that shop again. It is
very easy to complicate our lives. For some peculiar reason, there are a breed of human beings
who think, “Life is too simple, let me complicate it a little bit and make it difficult for myself
and everybody around.” Think of what is best for the customer, and do let that point of view
govern all your actions and decisions. There are many ways in which apathetic frontline staff
with the wrong attitudes will punish customers. Many, many ways. Some of them are not all
that obvious. It’s all because of thinking that is divorced from the reality of that customer. The
thinking might be of some ivory-tower bureaucrat, some hotshot sitting in air-conditioned
office, far away from customers. He never goes shopping, his wife does shopping or his servants
do the shopping. He’s completely out of touch with reality. And he designs these crazy policies.
• You know company’s gives away last minute seats on flights. That means, if you booked your
seat earlier and let the company pay for your purchases, you are going to pay more. If you go
there in the last minute, you are going to pay less. That’s not fair. That’s ridiculously
discriminatory. Did you ever wonder that every time you have a sale, you are doing a great
disservice to regular customer? You are, in fact, telling them sorry, you come to me four times
a year and buy, but I need to make this closeout sale, so I am going to give the benefit to a
whole lot of guys who wait all year round for just this sort of summer sale, guys who’ll come
to shop here only at that time. I am going to give them all the benefits, not you. It’s hard to
understand.
• Credit Card Companies: they promise you the earth: special low-rate transfers of outstanding
on your other credit card, etc. once you are in, you’re on your own: the credit card company
has forgotten all about you. All they’re thinking about is the next month’s target, about the next
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perspective subscriber. They pile it on thick to bag a customer, and then fail to deliver. And yet,
if only they kept those promises, spent a bit more time and money taking care of existing
customers…
• Supermarkets are another classic case of this kind of inverted logic. If you spend 15000/-, you
have a huge cart full of stuff; you have to wait in the longest checkout line. They have got a
special counter for express checkout, less than two items. Guys who are spending 50 bucks get
quick service; guys who are spending 2000 bucks have to wait in line. What’s going on here?
• There is one more common observation whenever you go to any restaurant and that is the “No
admission” or “No Entry” signs on the door of the kitchen. Can anybody explain the logic
behind that? There are only three obvious reasons for having such sign, one is either you are
doing something wrong behind the doors which your customers should not come to know or
else you have some black money hidden there or the last you have just written because every
hotel does that without thinking why? Why as a customer I am not supposed to go and see in
the kitchen how the food which is going inside my stomach is prepared, I am risking my life by
consuming that food inside my body and I am not supposed to see that, I am prohibited to enter.
Imagine a situation where a restaurant welcomes you to visit their kitchen and see the place and
see what is going around. That is the real USP, the real differentiation the real replacing the No
with yes and you can delight your customers. Even now-a-days there is trend of open kitchen
in front of the table of the customer. Customer orders the food and the chef will prepare the
part/complete food in front of the table and serve it sizzling hot. This is the power of optimism.
Everybody likes Yes, nobody like No and when as marketers we know this fact then why not
create an optimistic marketing ecosystem for the customers.
The problem is, people don’t listen. Listen to what the customer wants, thinks, feels. Then tailor
your policies to meet those. Unfortunately, the people who are making the policies are too far away
from the scene of the action. They don’t listen enough. The bore is somebody who wants to talk
about himself all the time. That’s a bore. The gossip is someone who wants to talk about someone
else all the time. The interesting speaker is someone who wants to talk about you (which is why
he’s interesting!) But the brilliant conversationalist is somebody who listens. We need to do a little
more listening. Not only do we listen outside, we do not listen within the organization, either. And
amazingly, we usually find that the people who interface with the customer on a one-to-one basis –
are the ones who are treated pretty shabbily. It is all about people. Service is not delivered through
machines or through technology. At the end of the day, there is a person delivering the service. You
have to take care of that person.
EXAMPLES OF OPTIMISTIC MARKETING:
• The magic kingdom is actually the magic kingdom. Its other name of Disneyland. They
don’t have any employees there. They don’t call anyone an employee. Everyone is a cast
member. They don’t have a job description they have scripts. Every single day, every single
thing that everyone does is a performance. Nobody has a job; they have roles. They are
never on duty or off duty. They are either on-stage or off-stage. So everybody all the time
is attuned to the overall performance. They are all busy delivering for their consumers. You
go to a guy sweeping the sidewalk at Disneyland and you can ask him anything about
Disneyland. You ask him, “when was Mickey mouse born?” and he will tell you that. Every
single person there has been perfectly trained. But it starts before the training – it starts with
recruitment. You might have seen this AV presentation where they ask the HR head of
Disneyland how they hire people. And this lady just smiles back at the interviewer. So he
asks her again, “Can you tell me something about your recruitment process? How do you
hire people?”She keeps smiling, so the interviewer thinks she’s not too bright, she can’t
speak. And he asks again, ‘Please can you tell me’. She says, “I am telling you. We just
look for the smile. If the person can smile we hire him. That’s the most important thing.”
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It seems such a juvenile, childish thing to go to Disneyland. But whether you go to

Disneyland, Europe, the U.S., wherever – it’s all over the place now-it’s fascinating
customer service experience.
• Another Disneyland example: the worst part about Disneyland is the waiting in the queues.
And here’s how-with a pinch of ingenuity – you can turn a disadvantage into an advantage.
Now, at Disneyland, they have these massive rides on weekends. They are long queues
ahead of every weekend. Now it is rather painful to wait in a line. One of the things most
people hate is standing in queues. But these innovative Disneyland guys have an interesting
solution, to lighten your burden. They have characters coming around. Mickey mouse for
the kids, and Mickey’s girl Minnie. Always works for the kids. They also have lots of other
tricks apart from this. You know, they put up a sign that the wait for the ride is 55 minutes.
You don’t want to wait 55 minutes but the kids are badgering you, so you get into the line.
And you find, 40 minutes later, you’re in. The guys told you 55 minutes! It’s your lucky
day! And you feel good about yourself. Of course, it’s all stage managed. They over-state
that waiting time so when you get there before time, you feel great. They always under-
promise and over-deliver. Most of us do exactly the opposite. They also have a thing called
‘fast-pass’. In case the queue is too long for your threshold of patience, you can buy a fast
pass, which mentions a time when you can return, skip the queue, and walk right in! So you
do that. It doesn’t cost them anything. It is easy for them to do. But you feel like V.I.P.,
because when you come back at 3 o’clock, you have a pass and you walk right through,
past the queue and you feel great. So all these little things help them to deal with the
realities, the difficulties of normal business.
• Here another magic kingdom. There is a company called Nordstrom. Everyone who talks
about customer service ends up talking about Nordstrom some time or the other. This is
because they are the ultimate optimistic people. Nordstrom started off as Shoe Company, a
shoe retailing company. They got into a whole lot of other things, clothes and everything.
One day a little lady walked into Nordstrom with a tyre in a hand and saying, ‘This
Goodyear tyre I bought from here, it doesn’t work properly. There is something wrong with
it. It is worn out’. The guys says, “Oh sure madam, leave it here and we will get it exchanged
for you. Just give me little time.” He gets on to phone, makes a couple of calls, comes back
to her and says, “I am really, really sorry. We don’t have it in stock right now, but what I
am doing is, I am calling another store and we will have it delivered to your house so that
you don’t have the hassle of coming here again and again. It will be delivered to you.” She
was very happy, she went back home and sure enough, and it was delivered – bang on time.
Now isn’t that good customer service? Sure, it was reasonably good customer service, about
the usual anywhere in the U.S. But, the really interesting thing is, they have never sold a
tyre. They didn’t even deal in it. But this guy, instead of saying “No!” – this guy, he said,
I’ll buy it from the market and deliver it to her house at the earliest so that this woman is
going to be happy and she will come back to Nordstrom again and again. Frankly, nobody
knows if the story is true. It’s become a legend. Everyone talks about it. But it is typical of
the kind of service you could legitimately expect from Nordstrom.
• Here’s another Nordstrom saga, this time called from the pages of the Times of India. The
Vice-chairman of Nordstrom called up an 11 years old girl, while publishing an apology to
her in the newspapers. The Vice-Chairman of Nordstrom apologizing to an 11 years old
girl! How come? It so transpired that this child had gone into store to buy some garments.
Incidentally, that’s what Nordstrom so mainly, they are chiefly into clothing. This young
girl went in the store but didn’t find anything she wanted. So she told the sales guy “I am
11 years old, you don’t have any clothes for me. All the clothes you’ve got here, if I wear
them, I’ll be half naked. I don’t want to show my body. Show me some clothes for 11 year
olds.” And he said, “Hey kid, that’s the current style.” And she got upset about it and she
told someone and they told someone who told lots of others and soon the story was all over
the place. The Vice-Chairman promised publicly through a newspaper message that they
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were going to re-engineer the entire training process for their frontline people, so that
nobody ever was so rude to 11 year old girls again. Prima facie, what’s so offensive about
“Hey kid, that’s the current style”? Most places you go, they say, ‘get out, that’s all we
have, don’t bother me’. This Nordstrom man was actually trying to be friendly. But the
Vice-Chairman apologized publicly. Nordstrom, a legendary place, with fantastic service
no one is ever likely to forget. Something we can all try to emulate. But it is not necessary
to have great customer service to be successful. For some companies, that is. Have you
noticed where an elephant sits? It sits wherever it feels like. If you are big enough, you can
do what you feel like and nobody can do anything to you. There are some companies that
are in that position. They are big enough, they can treat people anyway they feel like, and
we have to accept it.
• Now people ask, why does Apple have such an ardent following? And why is Microsoft
pilloried so often? Users say they’ve been using Microsoft for many years and were always
plagued by a huge number of problems. It is said you keep calling their service engineers
but no one turns up. However, the story is that if you buy pirated software, you’ll have 10
Microsoft guys standing on your doorstep. Critics say it’s the only way to have Microsoft
guys visit you. Buy software, you can call till the day you die; nobody is going to pay any
attention, according to Microsoft watchers. On the other hand, the same people say about
Apple, that “their service setup is excellent.” They reply to the question whether part of the
satisfaction from Apple stems from its service network, with something like “I don’t know.
I never needed service! The machine works so well, it never crashes, I never need
anything.” It’s a lesson in ‘getting it right the first time’. There are still lots of big giants
present in this world. Fortunately, a lot of progressive companies are coming and changing
things around a lot.
REMOVE THE NO FACTOR
Here are a few examples of some other Indian companies and few anecdotes.
• The first case that comes to mind is that of a private Airline that started redefining customer
service some years back. They did a fantastic job. Travel by Indian Airlines was hardly an
experience to cherish, to say the least. Then this private airline came in. Next time you
travel on Jet Airways, notice that they have got a feedback form. Unfortunately, nowhere
on the feedback form do they have a place for your address, email, or telephone number.
Nothing. You can put in your name and that’s about it. This gives you the impression that
they don’t want to get back to you; they don’t want to know about you, they don’t want to
share anything with you. I think they are going to have a problem in the long run.
• Here is one for coffee lovers. There are two coffee-shop chains which both make the same
blunder, in terms of customer satisfaction. One has something called Americano on their
menu. It is a tall black coffee, served hot; but try asking them for an iced Americano. They
will tell you they don’t have iced Americano. For many people, that’s all they drink. There’s
only one way of outwitting hem. Ask for some ice cubes then add it to an Americano. Voila!
An iced Americano! “That’s Iced Americano”, you say. “Yes Sir! But we are sorry, we
can’t do it. Not allowed.”
• This story is about two department store chains. One of them has been around for a long
time. It started off with a bang, it’s now on ‘pause’, soon it might stop, who knows? The
other one is much newer. They are both in Gurgoan, facing each other. Walk into them and
you’ll see the difference in service before you talk to a single person. Just by their signs.
You walk into the newer one; you don’t have to try hard to find anything. Signs are brilliant,
everyone knows where everything is. It is so well laid out. You go to the older one; you
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search around the whole day, hunting for things you need. No one comes to help; no one
seems to be around to help.
• There is a drug store chain. Look at the way they succumbed to the lure of Indian standards
of rendering customer service. Ironically, they were the pioneers in trying to change
customer service standards in Delhi. Fantastic new look to the stores. You go in there and
ask for a medicine, and if they don’t have it, they tell you with utmost sincerity “Sorry Sir!
We don’t have it. But leave your address and telephone number, we will get it and deliver
it to you within 2 hours.” Incredible! This is the kind of service everyone’s looking for.
Four hours later, you walk back to the store and say, “Hey! Guys what happened?” and
they look at you blankly and ask, “Who are you?” You say, “I’m the guy you promised to
deliver some medicines to, about two hours ago.” They are unfazed. “Oh! That guy has
gone off shift. I am sorry we don’t have the medicine you need but it can be delivered to
you within two hours if you can write down your name and address here.” Thank you very
much. Good-bye.
To sum-up, CRM is certainly nothing but psychology. Build the successful company that you want. But
never forget that customers don’t want your product, they don’t need your product – they need a
solution. All customers are not the same. Remember, nobody is going to wait here too long.” Optimism
is very effective and it’s a simple yet effective way to stand apart in this red ocean and create a blue
ocean for you.
REFERENCES
[1]. Loy, B. (2017, 01 12). Business Case Study: Nordstrom's Culture of Customer Service.
Retrieved from https://study.com/: https://study.com/academy/lesson/business-case-study-
nordstroms-culture-of-customer-service.html
[2]. Newell, L. A. (2012). Happiness at the House of Mouse:How Disney Negotiates to Create the
“Happiest Place on Earth”. PEPPERDINE DISPUTE RESOLUTION LAW JOURNAL, 415-
441.
[3]. Sally. (2016, november 9). Nordstrom’s Customer Service Is The Definition of Above &
Beyond. Retrieved from https://sharpencx.com/: https://sharpencx.com/blog/nordstrom-
customer-service/
[4]. Solomon, M. (2016, jan 26). What Any Business Can Learn From Nordstrom Customer Service.
Retrieved from Forbes : https://www.forbes.com/sites/micahsolomon/2016/01/26/what-any-
business-can-learn-from-the-way-nordstrom-handles-customer-service/#7d8833f65b9e
[5]. Yao, J. (2017). Research on marketing strategy: case study of Disneyland. Advances in
Economics, Business and Management Research, volume 33 (pp. 473-481). China: Atlantis
Press.
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PCM070
A STUDY ON REGULATION REGIME FOR E-COMMERCE IN INDIA
Bhavna Prataprai Bosamia
Assistant Professor
D N P Arts and Commerce College, Deesa
kbhavna@ymail.com
Abstract
Indian e-commerce market is growing at faster rate and accordingly e-commerce in India is struggling
due to weak legislative regime. Periodically significant amendments have been made in e-commerce
regulations but still deficiencies exist and legal framework fails to handle certain issues. This paper
has been written to identify certain prime issues related to e-commerce and regulatory safeguard
available to resolve these issues. The current study has also attempted to highlight deficiencies in
information technology and other relevant legislation. By analyzing IT Act it can be concluded thar IT
Act addresses few issues like legal reliability of online transaction , it also specifies certain security
issues, also refers to content regulations, further it specifies liability of intermediary and covers
jurisdiction issues. But it fails to cover certain issues concerned with sending spam/bulk mail, also
issues related to property concerned with intellectual knowledge are unsolved, further issues related to
payment, taxation and consumer protection remain unsatisfied. Ten major components of e-commerce
and supporting legal provision are identified in this paper which may be useful to government and
businesses of e-commerce in taking necessary steps for smooth functioning of e-commerce business and
from security view point.
Keywords – E-commerce, India, Legislation, IT Act
INTRODUCTION
Although Ecommerce definition is not specified in any legislation of consumer but it is generally
defined as activities which relates to buying and selling of goods and services on the internet. The
domain of ecommerce is growing equally worldwide with greater speed and at cheaper rate. Ecommerce
has provided huge platform to Indian traders for trade and commerce. On one hand it has benefited
traders by making their sale possible beyond territorial boundaries; on the other hand consumers are
benefited by availability of wide range of product, delivery of goods/services at the doorstep of
consumer, providing quality product at economic price etc. Therefore ecommerce has brought
revolution in ways of marketing goods and services all over the world.
Increasing use of Artificial Intelligence has ensured wider range of accuracy that e-retailer can provide
to its consumer, besides this online operations are also catered by many service units like Indian
Railway, Electricity Board, Banks, movie theatre etc. with greater accuracy. Thus Indian trade industry
has observed remarkable convenience because of different facilities available due to online transaction.
However the sad reality on the other side of the coin is that even with such increased scope, there is a
disadvantage of entering into such online transactions, being the ambiguity in the laws relating to them.
LITERATURE REVIEW
D. Mahipal and K. Shankaraiah (2018) in their research paper entitled ‘Ecommerce Growth in India
: A Study of Segments Contribution’ examines the growth of Ecommerce in different segments in India.
The study reveals that Ecommerce is among top growing businesses in India and provides great market
potential for investment and it has attracted many foreign investors. The study concludes that there
would be prospective growth of Ecommerce in India if the government provides legal security and
framework for ecommerce. Also there are chances for the growth of international trade if few concerns
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of online transaction like intellectual property, privacy, prevention of fraud, consumer protection etc.
are taken care of in the legal framework.
Kanika Satyan (2015) in her paper ‘Ecommerce and Consumer Right: Applicability of Consumer
Protection Laws in Online Transactions in India’ in her paper attempted to study various consumer laws
for online transactions. The article briefly examined consumer rights regarding online transactions by
studying different legal aspects related to ecommerce like The Consumer Protection Act – 1986,
Information Technology Act – 2000, The Indian Contract Act etc. The study concluded that the laws
proved stagnant leaving many of such customers’ remediless. The emerging concerns in the field of
Ecommerce are that it fails to protect confidential data, the delivery system is also ineffective, further
advertisement on internet are misleading and also legal regime of ecommerce fails to provide certainity
regarding jurisdiction whenever there occurs any disputes.
 To identify the type of fraud and issues generated while undergoing online transactions.
 To study and analyze the legal protection in India related to fraud and issues identified in online
transaction.
The current study is descriptive and analytical, is based on secondary data. Books, journals, different
web sites, articles, published data etc. were used to study different law amendments made in
safeguarding online transaction.
ECOMMERCE LEGISLATION IN INDIA
Online shopping is getting popularity specially in cities due to greater convenience and variety of
product offered by online outlets. But it is equally true that buyers in some cases remains dissatisfied
because of cheating done by such online shops.There is no specific regulations in India to handle
ecommerce transaction because of which many of the ecommerce complaints are filed under Consumer
Protection Act 1986. Majority of buyer remains dissatisfied because of issues related to refund or
replacement, delay in delivery of product and also due to illusive promotion done by online stores on
the internet.
Regulations governing ecommerce transactions briefly comprises of the following –
 Consumer Protection Act 1986

 Information Technology Amendment Act 2008
 Depending on type of product/services certain legal regime provided by few regulatory bodies
is applicable to ecommerce transaction such regulatory bodies includes –
o Reserve Bank of India,
o Indian Medical Association (IMA) etc.
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Analysis of E-commerce legislation
Legal legislations that are applicable to e-transaction are analyzed here and how they provide regulatory
protection is understood. In order to identify the applicability of regulatory laws few parameters are
identified and studied with regards to available legal legislation.
Legality of E-Transaction
E-contract in online transaction are generally of three types which includes click wrap contract such
contract determines the agreement of the party to terms and conditions of contract by clicking on ‘I
Accept’ button provided at the end of the contract, the second type of such contract is browse wrap
contract according to this contract the party agreement to the contract is just by browsing or by mere
use of the web site shows consent of the party to the contract and third type of contract is shrink wrap
contract in this kind of contract party before agreement to the contract can read the terms and conditions
by clicking on the box within the product or license in which it is packed. Shrink wrap contract is
generally applicable to ecommerce transaction. Online transaction are provided legal protection through
few legislation which includes –
 IT Act 2000 – Section 4 of this act which guidelines for creating digital signature thereby
confirming the authenticity of e-transaction.
 IT Act 2008 – Section 10 of this act clarifies requirement of license and the authorizing agency
providing required license for e-transaction.
 Indian Contract Act 1872 – According to this act is legally valid if it is physically signed, also
the contracting party must be major and it should cover payment of stamp duty. In this regard
e-contract fulfills the requirement of physical signature by placing digital signature on the
contract but it fails to cover the rest of the two conditions.
Therefore e-contract fails to provide legal protection to the party in agreement due to unavailability of
strong legal support and also because of few parameters regarding contract mentioned in the Indian
Contract Act 1872.
Security
Internet being intangible and virtual the major factors that worries parties involved in e-transactions are
regarding their security and privacy. Security issues can be classified mainly under four heads as under:
Validation
Today various technology are accessible for document authentication and identification of the parties
who are concerned with online transaction. It is important to set up capacity, power and legitimacy of
a person who authenticate electronic contract. Validation of ecommerce transaction is generally
covered by –
 IT Act 2000 – Section 3 of this act covers authentication of electronic transactions.

 IT Act 2008 – Further amendment made and section 3A has specified that use of electronic
signature will prove authentication of e-contract.
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Privacy
In many cases online transaction demands personal as well as financial information of the persons
involved in e-transaction. This may give rise to two primary concerns one risk to one’s privacy i.e.
misuse and unauthorized access of personal information. IT Act 2000 partially covers privacy issues
with regards to e-transactions.
 IT Act 2000 – Section 67 of this act prohibits transmitting or publishing certain obscene material
on the internet. It further specifies that parties involved in such offence are liable for
punishment.
 IT Act 2008 –
o Section 66 E – Covers punishment for violation of privacy.
o Section 67 – Covers punishment if an obscene material is transmitted or published on
internet.
o Section 67A – Covers punishment if the party publish or transmit material that contains
children in sexually explicit act and other such activity in electronic form.
o Section 67B – Covers punishment for disclosure of such information in breach of lawful
contract.
Data Security
Punishment against cheating done by using computer resources is covered by –
 IT Act 2000 - Under section 66D but it failed to address data protection issues.
 IT (Amendment) Act 2008 – Addresses certain data protection issues which were not covered
by IT Act 2000. Section 43A of this act covers compensation in case of failure for data
protection.
 Sensitive Personal Data or Information rule 2011 (SPDI) – Has given framework to protect data
in electronic form. SPDI provides guidelines that a corporate body or person should follow
during data transfer, data collection and information disclosure in order to protect their data that
are available in electronic form.
System Protection
Major problem of ecommerce companies is security issues as they keep personal information, password
etc. on their server and there are chances to misuse this information through external and internal
sources. Externally the problem related to system protections are due to hackers expertise, also
sometimes the issue arises because of viruses and Trojan horses. On the other side internal factors
affecting system protection are generated by technical staff or employee of the company. The legal
provision available in this regard are –
 IT Act 2000 – Section 65 of this act covers tampering with computer source document and its
section 66 covers computer related offences,
 IT Act 2008 - Section 66 of IT Act 2000 was further amended in the IT (Amendment) Act 2008,
but still the act fails to provide adequate system security.
 Sensitive Personal Data or Information Rule 2011 (SPDI) – System security was not adequately
addressed by IT Act but SPDI has listed security practices and standards in this regard. Also it
has suggested complete documented information regarding programme security and
information security. The rule also specifies policies containing security control for managerial,
technical and physical security.
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Act Resolving Junk mail and spamming
Spam email known as Junk email is unwanted messages sent in bulk via email. Such email whether
they are commercial or not contains such disguised links that appears to be very familiar web sites, but
in reality lead to phishing web sites or sites that are hosting malware. India ranks first among other
countries that are frequently attacked by phishes. In case of sending spam messages Indian ranks 6 th and
contribute 3.43 per cent of unwanted mails. Legal regime in this regards constitutes as under –
 IT Act 2000 - Does not cover spam legislation however not specifically described.
 IT (Amendment) Act 2008 - Under section 66A of this act unwanted fake mails are covered, it
specifies that if menacing, appalling or misleading messages are sent through electronic
medium then such offence is punishable with three years of imprisonment and the victim is
liable to pay penality.
 The Indian Chapter with Coalition Against Unsolicited Commercial Emails (CAUCE) - it is an
volunteer organization which is created by citizens, the organization helps in controlling spam
problem and tries to prevent crises generated by such spam messages.
Policy for Content Security
Ecommerce is such platform that facilitates distribution or exchange of information or content to the
third party.Therefore content regulation becomes extremely significant for Ecommerce undertaking.
Section 79 of IT (Amendment) Act 2008 describes exemption from liability of intermediary in certain
cases. Regulations that helps to control content are discussed below :
Issue of Obscenity
Intermediary guideline rules prohibits uploading content of specific nature on the internet. If such
content is uploaded then web site host has to block such content that includes certain activities that is
harmful and harasses someone, also offensive, defamatory, obscene, pomographic, pedophilic, libelous,
invasive of another’s privacy, hateful or racially, ethnically objectionable, disparaging, relating or
encouraging money laundering or gambling or otherwise unlawful in any manner is prohibited by
intermediary guideline rules . Indian Government controls content being published on the internet with
the help of Intermediary Guidelines Rules. Intermediay rules still faces certain issues which covers –
 Violation of right of speech as it does not permit certain type of content on the internet.
 Content regulations provided in this rules are different from the other media like newspaper and
television.
 It fails to block certain content on the internet because the server of few web sites are located
outside Indian jurisdiction limit.
Indian Penal Code 1860 (IPC) has also specified obscenity issues under section 292 which controls sale
etc of obscene books etc. In case if anyone violates this rule it would lead to imprisonment for a period
up to two years and penalty up to INR 2000 for the first time offenders and if the person is found liable
to conduct such act second time the period of imprisonment will increase to five years and the penalty
charged will be INR 5000.
The Indecent Representation of women (Prohibition) Act 1986 – This law covers offensive
representation of women. The IT (amendment) Act 2008 in its section 67 and 67A covers issues related
to offensive representation of women on the internet and hence it can be said that this law is
overshadowed by the IT (amendment) Act 2008. It is equally noteworthy that IT Act 2008
independently provides very little help to women in case of their such representation on the internet.
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Cyber Defamation
When the reputation of the person or company is harmed in the eyes of third party and this harm is done
by the use of oral or written words or it is due to usage of sign or visible content it can be termed as
defamation. Cyber defamation can be done through the medium of World Wide Web through discussion
groups, intranets, mailing lists and bulletin boards and e-mails. Legal responsibility primarily falls either
on the main publisher which may be web site content provider/email author or this responsibility may
also fall on the secondary party which may be internet service provider or operator of bulletin board.
 IT (amendment) Act 2008 – Section 66A of this act specifies punishment of imprisonment
extending upto three years with penalty if a person is found default of sending messages that
causes insult or injury or criminal intimidation to any person, company etc.
 IPC (Indian Penal Code) –
o Section 469 – Says that whoever commits forgery that harms the reputation of any party
covers imprisonment of three years and the person is also liable to pay fine.
o Section 499 - Specifies punishment of imprisonment up to two years and/or fine for the
act of defamation.
o Section 501 of IPC- According to this section a person is punished if his offence includes
printing or engraving of such matter that can be described as defamation of affecting
party.
o Section 503 of IPC – When a person is found doing such offence which can be defined
as criminal intimidation by using email and other electronic media for communication.
 Other Act -Cinematograph Act, The Copyright Act, The Broadcasting Regulations, The
advertising code etc. are the laws that also looks after defamation of the party in the transaction,
but there occurs problems with regards to monitoring of social media.
Regulation to safeguard Intellectual property issues
When the person by using his mind create any invention, artistic, literary work it can be defined as
intellectual property Law governing such intellectual property specifically connected with computer
software like design, contents, links, web page are as under –
 Trade Related Intellectual Property Rights (TRIPS) - Article 10 of the agreement

 World Intellectual Property Organization (WIPO) - article 4 and 5 of World Intellectual
Property Organization (WIPO)
 Copyright Treaty.
 Patent Amendment Act
 The IT Act 2000 – This act fails to cover strong framework that can tackle the issue of copyright
on the internet, but section 43 of this act covers few aspects in this regard which includes penalty
if the act of person damages computer or computer system etc. Section 65 has covered the issues
that are related with tampering of computer source, documents with the objective to safe guard
the intellectual property that are kept in the computer.
Specifically talking with regards to intellectual property right few common issues that relates to e-
commerce includes design of platform through third party use, using content of third party on the web
site, use of hyper linking, deep linking, framing and meta tagging in pursuit of marketing goals and
issue related to domain names. IT Act does not specify any strong legal support so far as intellectual
property right are concerned but there are other acts as mentioned above that assist IT Act to protect the
issues of intellectual property right.
Regulation for Payment Issues
Technological development has paved path for electronic payment methods and as such smooth serving
mechanism is of utmost important for e-commerce business, but electronic payment methods are
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complex and involves many challenges as it includes technological abilities that service provider must
possess, it should also cover commercial relationships, legal protection of buyer and seller, issues
concerned with the security of the party involved. Payment and Settlement System Act 2007 regulates
payment system both traditional as well as electronic payment system and is further assisted by RBI
guidelines that helps to control transactions for security or privacy breach and also helps to control
fictitious transactions which prevent security/privacy breach and control for fictitious transactions, but
those guidelines fails to promote e-commerce growth. In spite of of these guidelines many issues
relating to electronic payment have come forward resulting into decreasing trust of customers in online
payment system. Indian IT Act fails to handle issue related to electronic payment like tax and regulatory
issues and high transaction costs for cross border operations and security threat.
Taxation of Ecommerce transaction
In e-commerce transaction third-party vendor are the actual provider of goods/services and not the e-
commerce operators. In order to achieve substantive equality between traditional tax payer and e-
commerce transaction tax payer intelligible tax policy must be drafted. After the application of GST
from July 2017 e-commerce buyer and seller can register their IT form GSTR 8, accordingly it is
mandatory for e-commerce vendor to register, and section 9(5) of CGST has clearly specified
regulations that applies to tax collection at source from the vendors, also it specifies tax payment on
behalf of vendors.
Mandatory Registration
Under GST regime However there are two exceptions whereby supplier selling through e-commerce
operator may avail threshold exemption :
i. Where e-commerce operators are liable to pay tax on behalf of the suppliers or
ii. If the supply is made through such e-commerce operator that is required to collect TCS
GST provides for the state specific registration, and therefore, all e-commerce operators will have to
register in each state from where it is making a taxable supply of goods and/or services.
Tax Collection at Source (TCS)
The amount collected by operators on the supply of goods is called TCS. In e-commerce transaction
online operators has to collect 1 per cent of TCS on the net value of taxable supplies. This one per cent
includes 0.5 percent of CGST and 0.5 percent of SGST.
There are chances that online sales may decrease because vendor has to compulsorily deposit TCS in
each state. The main purpose here is to bring compliances in tax regime and also to keep watch on
selling of e-commerce operator. When GST was applied initially it affected online sale but gradually
the system has been accepted and e-commerce market now shows positive growth.
Mediator Liability
When any person on behalf of another person accepts, stores or transfer any record or transfers any
service and makes use of any of the mentioned services like telecom, network, internet, web hosting
service, search engine or any other online sites the person is said to be mediator in the transaction.
Section 2(w) of IT (amendment) Act 2008 has defined the liability of ‘intermediary’. In India online
intermediaries are covered by IT (amendment) Act, The Copyright Act (as amended in 2012) and
Information Technology (intermediary guidelines) Rules. A conditional safe harbor is provided to
Indian intermediaries through section 79 of the IT Act which specifies that in certain circumstances
intermediary is not liable to third-party content which is available through intermediary.
The IT intermediary guidelines demand few changes primarily for the explicitly specifying very
important statements this includes safeguarding liability of intermediary if the source of content at stake
is third party and this intermediary is liable to get protection, in order to avoid heterogeneity between
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state and local body in enforcement there should be clear written legislation and legal framework should
be strong enough to fulfill the expectations of aggrieved parties and strong enough to provide legal
remedy in case of disputes.
Regulation to Solve Jurisdiction issues
Ecommerce disputes are of two types one contractual which occurs between B2B and B2C, the other
type of disputes is non-contractual which includes copyright issues, data protection issues, right of free
expression and competition law and domain disputes. Resolving such disputes pertaining to e-
commerce is still in its nascent stage in India. IT Act 2000 has provided few guidelines for jurisdiction
issues under section 1(2) according to which law is applicable to entire India and it also covers such
offensive activity outside India. This issue is further strengthen by section 75 of the IT Act which covers
its application all over the world and this section covers the following issues –
 In sub-section (2) of the act it is clearly mentioned that it will cover offences that are committed
outside India without considering his nationality.
 In sub-section (1) of the act it is specified that such offence should be done by the use of
computer, computer system or network located in India.
 Section 17 – Clearly specifies appointment of controller or certifying authority which controls
certifying authority that provides digital signature.
 Section 18 – It settles disputes that have occurred between subscriber and certifying authorities.
 Section 46 – Covers norms for the appointment of adjudication officers.
 Cyber Appellate Tribunal (CAT) – Central Government established CAT in accordance with
the provision specified under section 48 with the help of controller of certifying agency. CAT
enjoys all the powers like civil court but it enforces to provide natural justice. When the person
is dissatisfied with the order given by controller he can make his appeal in CAT. The person
can also approach to high court.
However Indian law provide security to non-residents so far as business transactions are done at
international level, but it creates personal jurisdiction and sometimes in such cases the laws of other
countries are applicable to resolve disputes. The major hindrance to cross border trade is that legal
provisions are different in different country.
Consumer Security
Consumer protection is not specifically mentioned in IT Act of India but Consumer Protection Act
(CPA) 1986 applies to issues that are identified with regards to consumer protection. The issues like
refund on return, replacement, unfair and restrictive trade practices are covered by CPA. CPA conducted
one research in 2001 which concluded that customers are dissatisfied with ecommerce transaction, this
dissatisfaction included security issues, breach of contract terms of guarantee/warrantees, refunds,
dispute settlement procedure, misleading information etc. Citizen Consumer and Civic Action Group
(CAG) is the NGO that specially work for consumer protection. Economic Co-operation and
Development (OECD) is an international organization has mentioned five key issues related to
consumer protection which are misleading information disclosure, fraud commercial practices, issues
of privacy of consumer, method of resolving disputes. It has further given guiding principles that helps
to overcome discontent among e-commerce consumers which includes effective and transparent
protection to e-commerce consumer, fair business practices, proper advertising and marketing of
products, true disclosure of information, secured payment system, satisfactory judgment for disputes
resplution and to create awareness among consumer regarding e-commerce transaction.
CONCLUSION
Ecommerce ventures in India are growing at a faster rate but very few of e-commerce players actually
know and obey with techno-legal requirements. Technological addition has made solid demand for
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strong legal framework to govern ecommerce transaction. Considering these demand and because of
certain generating issues government of India has legislated IT Act that can assist legal issues pertaining
to ecommerce transaction. But these provisions seem incomplete and fail to completely address certain
issues related to e-commerce. The major issues in ecommerce are legal validity of e-transaction, safety,
junk mail and spamming, content regulation, intellectual property issues, payment regulation, taxation
of e-commerce transaction, intermediary liability, and jurisdiction and consumer protection. Legal
framework fails to satisfactorily resolve certain issues while few of them acts as medium of security to
stake holder involved in the transaction. Despite of the constant amendments laws fails to cover certain
issues because of the intangible nature of the transaction and cross-border transaction. The drawbacks
of IT Act 2008 with regards to security was covered by the Reasonable Security Practices and
Procedures and Sensitive Personal Data or Information Rules 2011. Although there are regulations it
was found that security issues still remain completely solved. Also the IT Act fails to cover certain
issues of e-commerce transaction which are intellectual property rights, payment issues, taxation of e-
commerce and consumer protection. On the contrary these issues depend on other supporting
regulations and therefore do not provide strong background to resolve issues related to e-commerce.
Intellectual property right are regulated by Trademark Act, Copyright Act, etc., while Payment issues
are regulated by Payment and Settlement System Act 2007, also no separate regulations are framed to
cope with the taxation issues and consumer protection issues are governed by Consumer Protection Act
1986. The IT Act of India does not provide strong legal framework so far as jurisdiction issues are
concerned. Issues still remains in case of international trade and also it fails to cover dual-key pairs for
individual and business providing confidentiality in e-commerce transaction. Therefore strong legal
provisions are required that can enhance e-commerce growth. There is a need to create separate e-
commerce regime which may be flexible and adhered to change with the development in technology.
REFERENCES
[1] Ministry of electronics and information Technology. (2015, September 8). Retrieved October
28, 2018, from Ministry of electronics and information Technology Web site:
http://meity.gov.in/content/view-it-act-2000
[2] Navya, P. K. (2018, January 9). Citizen Matter. Retrieved October 28, 2018, from Citizen
Matter Web site: http://citizenmatters.in/ecommerce-online-shopping-consumer-protection-
law-5526
[3] Prateek Kalia, R. A. (2016). Information Technology Act in India : Ecommerce Value Chain
Analysis. NTUT Journal of Intellectual Property Law and Management , 55-97.
[4] Rastogi, V. (2018, May 10). India Briefing. Retrieved October 28, 2018, from India Briefing
Web site: https://www.india-briefing.com/news/e-commerce-india-market-trends-regulations-
14946.html/
[5] Satyan, K. (2015, July 5). SSRN. Retrieved October 28, 2018, from SSRN Web site:
http://ssrn.com/abstract=2626027
[6] Shankaraiah, D. M. (2018). E commerce Growth in India : A Study of Segments COntribution.
Academy of Marketing Studies Journal , 1-10.
[7] Srikanth, C. R. (2018, October 11). The Economic Times. Retrieved October 28, 2018, from
The Economic Times Web site:
https://economictimes.indiatimes.com/industry/services/retail/flipkart-ceo-claims-victory-
says-there-is-no-clear-no-2/articleshow/66168106.cms
[8] Nandgopal R., K. A. (2008). Research Methods in Business. New Delhi: Excel Books.
[9] V., K. S. (January 2010, Second Edition). Statistics Made Simple Do it Yourself on PC. New
Delhi: PHI.
[10] Murthy, C. S. (2018). e-Commerce Concepts. Models. Strategies. Mumbai: Himalaya
Publishing House .
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PCM128
ATYPIC FINANCIAL SERVICES.
Deepak Arora
Student,
dpk0005@gmail.com
Abstract
In simple words Big Bang Disruption is nothing but the integration of technology into the traditional
ways. This new wave doesn’t say that we have to wait for customers requirement, like who needed
navigation system before it was invented. As we talk about financial services initially traditional banks
were able to integrate and work with the new innovations and technology but it was the financial crisis
of the year 2008, here the bankers were focused only on numerous rules and regulations and the fines
and punishment imposed on them. This created a gap between what was offered by the banks and
expectations of the customers. This made the non banking technologies to jump in this sector and hence
started big band disruption in financial services. This embarks the birth of Fintech. Companies like
Facebook, Amazon started banking things like Facebook allowed the user to transfer money by the
messenger app and Amazon experimented with offering student loans on its platform. These companies
are happy to be the front end only they left the boring back end stuff like ‘post rates’ to traditional
banks. This might be the new model of banking.
OBJECTIVES:
1. To analyze the role and opportunities of Fintech in India.
2. To know the bank concerns and see the Financial Inclusion.
3. To know the potential Winners and Losers due to Big Bang Disruption.
This paper will shed light on the effects of Big Bang Disruption. , and it shall discuss about the Concerns
of the banks and a new possible banking model.
Keywords: Disruption, Finance, Banking, Fintech.
INTRODUCTION
Disruptive innovation as explained by Clayton Christensen in 1997 in The Innovator's Dilemma

‘describes a process by which a product or service takes root initially in simple applications at the
bottom of a market and then relentlessly moves up market, eventually displacing established
competitors.’ This is a very slow process gradually things take place but on contrary big bang disruption
is very rapid here big bang is the technology and these disruption can happen overnight. It started in
1990’s when small start-up began to become big corporate giants and when new and better products
started to come into the industry especially in the electronic industry at a cheaper price. With big bang
disruption, whole product offerings—entire markets—can be quickly destroyed as clients imperfection
altogether and run to an item that is better, less expensive, snappier, littler, increasingly customized and
advantageous at the same time. Disrupters can appear suddenly and go worldwide quickly. Disturbance
can occur so rapidly and on such an extensive scale, to the point that it is difficult to anticipate or shield
against.
Stages of Big Bang Disruption
(a) singularity; (b) big bang; (c) big crunch; and (d) entropy
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Figure 1- Stages of big bang disruption.
Source: www.wired.com
Big Bang Disruptors go back and forth in generally short impacts of market infiltration and market
immersion. The longstanding ringer bend of innovation selection originally proposed by Everett Rogers
presently seems serene and unsurprising by examination. At the point when Big Bang Disruptors take
off, they do as such rapidly, rising and falling less like a bend and increasingly like a shark's fin. Where
customary innovation promoting travels through five distinct market fragments, Big Bang Disruption
has just two—preliminary trial users and every other person.
A) The singularity:
The Singularity is the primordial overflow from which Big Bang Disruptors rise. It is populated by
unusual analyses and frequently more unusual experimenters, who throw together apparently peculiar
mixes of off-the-rack parts and freely associated specialist organizations to dispatch new ventures
without a business show, not to mention cautiously created vital plans with ways to benefit. They work
together on configuration, testing, what's more, notwithstanding financing with clients. Not their
customers—your customers. This is the home of unrestricted advancement, where time to market
presently surpasses time in market. Presently, disruptors of assorted types are blending, driven by
programming "hackathons," open source parts, what's more, adventure sponsored incubators. Their
designers, progressively financed by early users, filter through publicly supported alterations and
actualize them specifically into their items. Since experimentation has moved toward becoming so
cheap and the risk of failure so low, almost certainly, some market tests went for the heart of your
business are running right presently. Most will fall flat. Be that as it may, it just takes one to wreck your
business.
B) The big bang:
The Singularity, the wild time of failed early market tests, flags the unavoidable landing of genuine
disruption. At the point when the Big Bang comes, everything is sudden, counting achievement and
failure. Clients either touch base on the double or not in the slightest degree. Big Bang markets are by
their temperament "victor take all." In this phase of the shark fins, time appears to move at an quickened
pace—for business visionaries, their clients, and above all for officeholders who may wake up one
morning to discover their center items what's more, innovations dislodged by something better and
cheaper. Since Big Bang Disruptors are driven by close immaculate market data, new items and
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administrations spread virally. Clients create extraordinary market request even as they consistently
revise the business case for the disrupter. Pioneers, regardless of whether start-up or occupant, must
figure out how to see the indications of "disastrous achievement," also, create abilities to endure the fast
increasing speed that goes with it.
C) The big crunch:
Accomplishment in winner take-all markets can be hazardously misleading. Pioneers trust themselves
powerful, even as contenders rapidly mimic their best thoughts. Trend-setters rapidly turn into
occupants, progressively concerned about saving market share than in foreseeing what shoppers need
straightaway. Development slows down; income decays. That is the device that describes the Big
Crunch. While the Big Bang arrange is loaded up with energy and richness, the Big Crunch is the calm
morning after. It is the most hazardous phase of the shark blade. In the Big Crunch, new businesses and
occupants alike are as often as possible gotten not ready for the fast market immersion that happens
when near perfect market data brings each intrigued client to their entryway all without a moment's
delay, to be immediately served either by them or forceful imitators. In their extravagance, they
regularly neglect the erratic tastes of progressively faddish buyers, whose inclinations can move
medium-term in the inverse heading. With the landing of a superior and cheaper option, relinquishment
can be unconstrained, indeed, even prompt. Markets that once took years and even a long time to soak
would now be able to achieve their regular limit in months or even weeks. At the point when the Big
Crunch comes, markets contract, pulling down new businesses and occupants alike. For the individuals
who figure out how to warrior on, technique moves drastically. Here it's about survival of the quickest—
the quickest to perceive looming market immersion, the quickest proportional down, also, the quickest
to shed resources that are before long to end up liabilities. The champs are constantly organizations that
realize how to temper Big Bang accomplishment with the down to earth reality that the gathering can't
and won't keep going long.
D) Entropy:
Before the finish of the Big Crunch, clients have deserted the old industry and relocated as once huge
mob to the new. Most officeholders leave the passing on industry and its inventory network, taking with
them whichever of their inventories, resources, and scholarly property have held an incentive in the new
biological system and moving, as fast as they can, those that don't. A few old ventures find productive
homes in the new world; some turn to other enterprises. Also, some basically vanish. The last phase of
Big Bang Disruption is Entropy, where the issue and vitality of the old business are so disseminated
they are scarcely fit for gainful work— in the event that by any means. In Entropy, a couple of stragglers
frequently remain, choosing to serve a little be that as it may, solidified gathering of inheritance clients
who can't or won't embrace better and cheaper items, and who, for reasons unknown, are substance to
stay with products—take timetables, home phones, money enrolls—that are more awful and
progressively costly, assuming as it were since they are progressively commonplace. Via cautiously
overseeing costs, inheritance suppliers can flourish in Entropy, or at minimum discover approaches to
deal with a benefit. For the rest, there's as yet an opportunity to rescue remaining resources, and to make
a postponed in any case, life-sparing way out.
FINTECH-INDIA
NASSCOM predicts that India’s fintech software market alone could touch US$ 2.4 billion by 2020,
doubling on the current rate of growth. The FinTech Industry in India can be divided into 12 broad
categories and they can be listed as follows:
1. Alternative Funding;
2. Banking Tech;
3. Crowdfunding;
4. Consumer Finance;
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5. Cryptocurrency;
6. Enterprise Finance;
7. Foreign Exchange;
8. Insurance Tech;
9. Investment Tech;
10. Mobile Wallets;
11. Payments; and
12. Software for Institutional Investor.
Financail services and technology in Indian market
A) Peer-to-Peer (P2P) Lending Services:
Organizations utilize elective credit models and information sources to give shoppers and organizations
quicker and less demanding access to capital. P2P loaning enables online administrations to
straightforwardly coordinate banks with borrowers who might be people or organizations. Precedents
are Lendbox, Faircent, i2iFunding, Shiksha Financial, GyanDhan, and MarketFinance.
B) Payment Services:
Organizations enable both private people and organizations to acknowledge installments over the web
and on versatile without requiring dealer accounts. Exchanges are made specifically to the financial
balance connected to the payee so as to anchor against extortion. Models are Mobikwik, Paytm, and
Oxigen Wallet.
C) Remittance Services:
A few startup undertakings, yet enlisted abroad, are attempting to address the openings in settlement
trades (both inbound and outbound) as the present technique is ungainly and exorbitant. These new
organizations expect to annoy the present forcing plan of action held by firms like Western Union and
MoneyGram. Points of reference are Instarem, FX, and Remitly.
D) Personal Finance or Retail Investment Services:
Fintech organizations are likewise developing around the need to give altered budgetary data and
administrations to people, that is, the manner by which to spare, oversee, and contribute one's close to
home accounts dependent on one's particular needs. Models are FundsIndia.com, Scripbox,
PolicyBazaar, and BankBazaar.
E) Miscellaneous Software Services:
Organizations are putting forth a scope of distributed computing and innovation arrangements, which
enhance access to money related items and thusly increment proficiency in everyday business tasks.
The extent of fintech is quickly expanding at both large scale and small scale levels, from giving web
based bookkeeping programming to making particular computerized stages interfacing purchasers and
venders in explicit ventures. Precedents incorporate Catalyst Labs in the farming part, AirtimeUp which
gives town retailers the capacity to perform portable best ups, ftcash that empowers SMEs to offer
installments and advancements to clients through a versatile based stage, Profitbooks (web based
bookkeeping programming intended for non-bookkeepers), StoreKey, and HummingBill.
F) Equity Funding Services:
This incorporates crowd funding stages that empower the financing of a task or business adventure by
raising assets from an extensive number of individuals. Such web interceded stages are picking up
notoriety over the world as access to funding is regularly hard to anchor. These administrations are
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especially focused at the beginning period of an organizations' task. Models include: Ketto, Wishberry,
and Start51.
G) Cryptocurrency:
India being a progressively preservationist market where money exchanges still command, use of
advanced monetary cash, for example, 'bitcoin' has not seen much footing when contrasted with
universal markets. There are, be that as it may, a couple bitcoin trade new companies present in India –
Unocoin, Coinsecure, and Zebpay.
Reason for rapid growth
The FinTech business' fast development can be credited to the blessed trinity of India's Fintech
insurgency: The Banks, Government and Startups. Give us now a chance to break down all these three
viewpoints and how they helped in the exponential development of the FinTech space in India.
A) Government:
The Central government's push towards a cashless computerized economy through its different strategy
activities has helped in establishing a solid framework for the FinTech segment in the economy. These
elements can be recorded as pursues:
B) India Stack:
With the presentation of India Stack, which is essentially a lot of APIs that permits governments,
organizations, startups and engineers to use a one of a kind computerized foundation. The government
has attempted to present a world-class mechanical system to the startup circle, pioneers and MNCs
which would, thus, quicken the development of the FinTech space in the nation. The situation is much
the same as the arrangement bolster given by the government in the late 1990s to the Telecom business
which took foremost significance in many change activities of those occasions.
C) Startup- India:
The startup India program as propelled by the Center incorporates different assessment exclusions,
rearrangements of directions, changes to the patent routine, mentorship and a considerable increment
in government subsidizing.
1. Pradhan Mantri Jan Dhan Yojana – Budgetary incorporation drives, for example, the PMJDY is
viewed as the world's biggest money related consideration program which had an objective to get
fundamental managing an account exercises to the underserved area of the Indian populace.
2. Adoption of Aadhar- You would think about RBI's KYC standards including Aadhar based biometric
confirmation which will make opening a ledger to be a problem free undertaking.
D) National Payments Council of India Initiatives or the NPCI
With the presentation of Unified Payment Interface or UPI, the NPCI has taken advantage of the
exponential development of the cell phones and the Jio unrest and thus, diminished the expense of
framework for the FinTech startups. The cell phone user base which is relied upon to contact around
500 million users by 2020, from around 150 million users in 2016. This forceful development will
guarantee a bigger computerized managing an account impression in the economy. The NPCI has
thought of various creative activities which give a strong base for a carefully empower FinTech division
in the nation. Which gives the startups in this space, to use this time and the various chances to develop
and be received as standard keeping money exercises. Administrations, for example, Digital KYC,
BHIM (Bharat Interface for Money), Bharat Bill Payments Scheme (BBPS), Aadhar Enabled Payment
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System (AEPS) are for the most part attempting to facilitate the procedure of advanced installments for
all classes of individuals in the Indian culture.
Public relations- Focus has likewise marketed the entire computerized money related framework well.
Space still requires controls for different FinTech enterprises, for example, the P2P exchanges,
crowdfunding and information security. PM Modi's recipe of IT + IT = IT (Indian Talent + Information
Technology = India Tomorrow) can be viewed as the government's stand on the digitisation of each
division including the back field.
E) Effects of Demonetisation:
The FinTech space got a noteworthy lift because of the sudden declaration of Rs. 500 and 1000 notes
were demonetized by the Prime clergyman on eighth Nov 2016. The e-installments and e-wallet
framework saw an increase in 500% as far as traffic in the initial couple of months. Government
information expresses that 1.7 mn exchanges were finished by these e-wallet benefits in the primary
month after the declaration of demonetisation. Around, 46% of the FinTech space are associated with
the installment administrations business.
Regulators- The four principle controllers will's identity dealing with the FinTech space will be the
Reserve Bank of India, Securities and Exchange Board of India, the Telecom Regulatory Authority of
India (TRAI) and at long last, the Insurance Regulatory and Development Authority (IRDA).
F) Startup:
India's Fintech space stood out enough to be noticed in 2016 and has been developing as far back as the
Payments division got a lift after the Demonetization. Exchange loaning additionally has been getting
a charge out of a decent development rate as a result of various unbanked, new to the bank, underbanked
shoppers. Be that as it may, the FinTech framework still has a great deal of extension for development,
let us take a gander at the different areas in the startup circle of the FinTech space:
Payments- The advanced installments segment in the nation is required to develop to USD 500 billion
by 2020, speaking to around 15% of the GDP. It is assessed that 80% of the monetary exchanges in
India still occurs through money, while it is 21% for created economies. This leaves a critical space for
development. There was a quick development in exchanges in the year 2016-2017 and has developed
from that point forward. Portable installments applications, for example, wallets, P2P exchange
applications and versatile purposes of offer are as well known as ever and they have a solid user
appropriation rate among the educated youth of the nation. A few players in the FinTech space are
exploiting extraordinary and creative arrangement activities, for example, Payments Banks.
Fundamentally, a model of a cutting edge bank to serve the unserved which mixes together both portable
administrations and the conventional keeping money administrations.
Alternative Lending- Elective Lending is said to the second most subsidized and one of the quickest
developing segments in the Indian FinTech space. As of October 2016, exchange loaning in India had
gotten USD 199 million in financing crosswise over 33 bargains.
P2P Lending- has developed to be the most searched out startup thought of the FinTech framework.
P2P has the qualities of everything FinTech arrangement – it is speedy, cheap and implied for more
noteworthy's benefit. After the 2008 money related emergency, banks have progressed toward
becoming risk-unwilling, advances have harder to get and the banks have adjusted their own tasks. P2P
is the answer for this issue, the real supporters of this development are the neglected demand advances
by MSMEs with a hole of generally USD 200 billion in credit supply. It is an extremely economical
model that keeps running on a feeling of social duty. P2P is setting down deep roots and has every one
of the requirements to develop exponentially in the Indian culture.
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InsurTech- The protection part in India has not been the least demanding division to acknowledge
imaginative items, however with the clients requesting a bang for their buck and an expanded access to
innovation empowered efficiencies. The insurance agencies are not watching out to join advancements
and items that enhance essential components of client commitment, maintenance and enhancing the
total client lifecycle. Web of-Things or IOT has picked up very some notoriety in the InsurTech
segment, which is controlled by broad client information. Connecting of information of wellbeing and
health can assist the back up plans with predicting the know-hows of client conduct and lead to an
expansion in their profit through better evaluating systems.
Wealth Management- The advantage and riches the executives will observer a rush of computerization,
and so will India. The mechanical headways need to prompt a superior item advertising. The ascent of
e-installments, e-KYC through Aadhar and online store exchanges, online proclamations of
speculations have made the eventual fate of a mechanized riches the executives part very brilliant.
India's young and to a great extent under-saved money populace has been generally missing from the
stock and the security markets and this present a significant opportunity to get better for players in this
area. Moreover, SEBI and RBI have empowered straightforwardness. With everything taken into
account, this has lead to a considerable amount of users being guided towards formal speculations.
G) Banking Technology:
Money related Institution has been putting vigorously in developing innovations to enhance the client
encounter, their interior activities and so on. All inclusive, it tends to be seen that extensive business
banks are putting resources into Artificial Intelligence, Machine Learning and Blockchain startups for
both back office and front office purposes.
Blockchain Tech- Blockchain based framework offer endlessly enhanced trust and straightforwardness
and because of its administrative uses, the selection of Blockchain or Distributed Ledger Technology
("DLT") in the Indian keeping money area is likewise discovering some footing and support from the
administrative bodies. DLT in India by and by has just achieved the verification of idea organize, where
a business bank is giving it a shot to authorize a savvy get, its application in settlements and exchange
fund. DLTs are in general alluring from an administrative and review perspective. The three
fundamental utilizations of the DLT in the coming future could be: (I) Efficient installments exchange
infra; (ii) Enforcement of brilliant contracts; and (iii) Digital Identity for example a carefully designed
history of an exchange and gives the users a choice of picking who to offer access to their own
information.
AI & ML- Man-made brainpower ("AI") and Machine Learning ("ML") are good to go to disturb the
Banking part in India sooner rather than later. Computer based intelligence can be clarified as a bigger
and more extensive idea which identifies with machines doing exercises that we consider to be shrewd,
while MI is one of the specific utilizations of AI which essentially gains from the information given to
it to make forecasts and inductions that can be utilized by the user. Computer based intelligence can
have a great deal of utilizations in the saving money segment extending from client obtaining, KYC
and Onboarding, Accounts and Loans, Customer Service, Brand Management, to Risk and Credit and
so forth.
Scope for growth in India
Fintech benefit firms are as of now rethinking the manner in which organizations and customers lead
exchanges once a day.
This is the reason worldwide speculations into fintech adventures have been expanding at record speed
– tripling to US$ 12.2 billion out of 2014 from US$ 4.05 billion of every 2013, and coming to US$ 19.1
billion of every 2015.
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In India, the scale has been a lot littler yet at comparable development rates – interest in India's fintech
industry grew 282 percent somewhere in the range of 2013 and 2014, and came to US$ 450 million of
every 2015.
Figure2- Fintech Investment
Source: Fintech innovation lab (Accenture)
Furthermore, India has an expansive undiscovered market for budgetary administration innovation
startups – 40 percent of the populace are presently not associated with banks and 87 percent of
installments are made in real money.
With cell phone entrance expected to increment to 85-90 percent in 2020 from 65-75 percent right now,
and web infiltration consistently climbing, the development potential for fintech in India can't be
exaggerated.
Additionally, by a few assessments, as much as 90 percent of private companies are not connected to
formal monetary organizations.
These holes in access to foundations and administrations offer essential extension to create fintech
arrangements, (for example, subsidizing, back administration) and expand the market base.
FINACIAL INCLUSION
In the course of recent years, fintech has been inserted in the money related administrations biological
system to such a degree, to the point that the term has now advanced into a couple of driving word
references. While the general impression of fintech is 'items and organizations that utilize recently
created advanced and online innovations in the managing an account and money related administrations
ventures', we trust that fintech has developed to play out a considerably more key and centered job. The
more extensive goal of fintech is to serve the neglected money related requirements of those portions
of the populace which are not the center target sections of conventional monetary administrations
models. In this way, fintech intends to add to the bigger objective of Financial Inclusion. Efforts in this
direction have manifested in several ways:
• Rise of new-age fintech start-ups rolling out innovative solutions using low-cost technology
• Strategic partnerships between incumbents and fintechs
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• Launch of new digital products or digital-only banks by incumbents

• Government intervention through creation and operationalisation of fintech policies, launch of
initiatives such as smart cities, portals for quick approval of loans for small and medium scale
enterprises (SMEs), etc.
Bank concerns
A) Strategic options/risk:
Regardless of whether, they team up with fintech organizations to hold some portion of the income
(counting which items, which areas, and so forth) or move down the risk chains to take progressively
risky business to meet monetary targets.
B) Outsourcing risk:
As more players are engaged with the offering of money related items and administrations than at
present, a key test for monetary establishments/banks will be to screen tasks and risk the executives
exercises that occur outside their associations at outsiders. Occupant banks should think about the fitting
procedures to lead due persistence, contract the executives and progressing control confirmation and
observing of tasks so as to shield the bank and its clients.
C) Operational Risk:
According to BIS, operational risks exuding from fintechs can be both proficient and idiosyncratic in
nature. The climb of fintech prompts more advancement interdependencies between market players
(banks, fintech and others) and market establishments, which could cause an IT risk event to develop
into a basic crisis, particularly where organizations are pressed in one or a few winning players.
D) Cloud Sourcing:
is one of the territories where banks share essential assets (like programming bundles and examination)
in a financially savvy way. This expands risks encompassing information security, security, tax evasion,
cybercrime and client assurance.
WINNERS AND LOSSERS
Gainers profile
Will be those who are embracing the changes, leveraging economies of scale and offering competitive
pricing structures. They will put customer experience as their first priority. One of their top strategies
will be creating a 100% digital journey for their existing customer base and newly acquired customers.
They will be actively partnering with third-party providers to offer new-added values services (financial
& non-financial), maximising new revenues streams. Gainers will find themselves steps ahead in
comparison to passive players by empowering technology such as monetising big data and developing
advanced analytics.
Losers Profile
Will be those who are considering PDS2 as an extra cost for IT systems and compliance. Their top
priority will be just to allocate sufficient budget in order to comply with the new rules. The regulation
offers fewer barriers for new entrants, therefore, time-to-market will be reduced to the minimum and a
significant market share will be lost to faster actors. Wait-and-see adaptors are considered passive
players as they won’t anticipate where the market will lead them and might find themselves steps behind
in this new competitive environment.
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CONCLUSION
Likewise with any such difference in this greatness, we are just start to welcome the horde ramifications
of the ascent of big-bang disrupters. There are various subtleties of technique and risk the board in every
one of the four stages that we have just started to address here. Administrators must discover the
development of disrupters in their very own ventures, and start to set up the abilities important for
achievement in a world that doesn't play by the old principles of business.
Grasping the new decides that support a big-bang system isn't for the black out of heart. It will take
responsibility, vision and a solid constitution. Since while big-bang disrupters are now and again
unsurprising, and their belongings now and again felt early, their capacity to overturn in a moment is
significant. Business directors should regard the implicit cautioning given by a character in Ernest
Hemingway's tale, The Sun Also Rises, about the manners in which organizations fall flat. At the point
when asked how he went bankrupt, he answers, "Two different ways. Continuously and then abruptly.
REFERENCES
[1]. 1.Marsden, P.(2014). Big Bang Disruption.
[2]. 2.Denning, S.(2014). Business's Worst Nightmare: Big Bang Disruption.
[3]. Nunes, P. & Dawnes, L. (2015). Seven Essential Questions about Big Bang Disruption.
[4]. https://www.accenture.com/t20170411T181442Z__w__/us-
en/_acnmedia/Accenture/Conversion-
Assets/DotCom/Documents/Global/PDF/Dualpub_13/Accenture-Big-Bang-Disruption-
Strategy-Age-Devastating-Innovation.pdf
[5]. 5.Cyrill, M. (2018). Future of Fintech in India – Opportunities and Challenges.
[6]. 6.Khattar, K(2018). All you need to know about Fintech in India
343 ISBN: 978-93-5351-069-5

PCM126
NPA MESS: A CHALLENGE TO ASSET RECONSTRUCTION
COMPANIES
Vaishnavi J. Patel
Student,
Vaishnavipatel187@gmail.com
Abstract
The unabated hike in stressed assets of the Indian banking sector division is a purpose behind worry for
the economy. The issue is intense, especially among the state-owned Public-Sector banks. The Reserve Bank
of India evaluated those Non-Performing Assets (NPAs) and stressed assets set up together a record for
10% of aggregate bank loans at the end of September 2014. With a downfall in the Indian economy, various
companies/ventures are under pressure. Subsequently, the Indian banking system has seen an expansion in
NPAs and rebuilt accounts amid the current years. Asset reconstruction companies (ARCs) in India
happened once the SARFAESI Act of 2002 to act as a foul bank by secluding NPAs from the record of
bank/FII and encourage the last to focus on typical banking activities. ARCs in India are established as
non-government vehicles with the assistance of the banking sector as critical debt aggregation and funding
support below a government-owned/support model. Since 2003, pitching loans through sale to ARCs as an
end-result of Security receipts became popular banks. Be that as it may, in the recent years, this alternative
has not been practiced by the Indian banks in an empowering way. This paper is an inside and out
examination of the issues and challenges looked by the Asset Reconstruction Companies (ARCs) because
of expanding proportion of NPAs and furthermore investigates the new RBI norms with a specific end goal
to help the precise improvement of ARCs in the nation.
Keywords: Non-Performing Assets; Asset Reconstruction Companies; Reserve Bank of India;

SARFAESI Act, etc.
INTRODUCTION
In the banking framework, an abnormal state of NPAs can result in degrading the overall performance of
economy because of a redirection of its administration and financial assets towards the recovery of NPAs.
Also, greater the resources reserved by the companies to overcome the losses, lesser the amount of capital
can be leveraged. Thusly, it induces the banks to adopt a moderate strategy in giving new loans; which can
prompt the economic condition within the money market, adding up to economic and money degradation.
Asset reconstruction companies (ARCs) in India happened once the SARFAESI Act of 2002 to alter banks
and a few money institutions to seize insurance in secured loans, while not the contribution of courts. Asset
Reconstruction companies (ARCs) approach as a nasty bank by detached Non-Performing Assets from the
record of bank/FII and encourages the last to concentrate on normal banking exercises. Be that as it may,
in the current years, because of an expansion in the proportion of NPAs alongside changes in the norms of
RBI, there has been a noteworthy increment in the issues looked by the ARCs. The vital increment of NPAs
in the nation makes an unpleasant circumstance and along these lines, raises expectations from the Asset
Reconstruction Companies (ARCs) to assume a noteworthy part in cutting down the proportion of NPAs
in the nation.
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OBJECTIVES
a. To examine the relevance and necessity of Asset Reconstruction Companies in overcoming the
problems of NPA in India.
b. To study the stress on the Banking System because of rise in NPA.
c. To scrutinize the essence of contemporary RBI norms for orderly development of ARC’s.
RESEARCH METHODOLGY
The main purpose of the current research study is to gain an understanding about the relation between Asset
Reconstruction Companies and NPA’s through examining the role of RBI norms in conquering the
problems at various levels that are inherent in India. Also, the relevance of ARC after new RBI norms is
analyzed in the existing paper.
NON-PERFORMING ASSETS: A STRESS ON THE BANKING SYSTEM
The introduction of Financial Sector changes since 1991 have changed the look of the banking business in
India to a greater extent. The banking business has moved relentlessly from a directed environment to a
deregulated showcase-based economy. Likewise, there has been a vicious rivalry being seen in the banking
business. Regarding this, the issue of swelling non-performing asset (NPA) is getting serious and gathering
of enormous NPA has expected huge significance with regards to economic development. The issue of
Non-Performing assets in the Indian banking area has even worsened in the past couple of years. Therefore,
the risk landscape for the banks in India has experienced a noteworthy change. The general level of Non-
performing assets has relatively multiplied in the last couple of financial years.
Talking about the previous year, the Reserve Bank of India (RBI) released its Financial Stability Repot on
31st December, 2018 and according to the report, the overall risk to the Indian banking system eminent due
to asset quality concerns. As per the report, on one hand, the credit growth of Scheduled Commercial Banks
(SCBs) showed an improvement during the period March, 2018 to September, 2018; while on the other
hand, public sector banks (PSBs) continued to lag behind as compared to the private sector banks. In
accordance with the report, the gross non-performing advances (GNPAs) ratio and the stressed advances
ratio in the banking sector has shown improvement during March-September, 2018. Also, it was predicted
that the Gross Non-performing advances (GNPAs) would decline from 11.5 percent of gross advances in
March, 2018 to 10.8 percent in September, 2018 and would further decline to 10.3 percent by March, 2019.
As per the reports revealed by CARE Ratings on May 15th, 2018 at 9.85 percent ratio, India was ranked 5th
on the list with countries having highest Non-Performing Assets and was top spot amongst the BRICS
nations. Talking about the recent statistics issued in RBI’s Financial Stability Report, the special mention
account (SMA) loans were recorded near to 3.5 percent of bank loans in September, 2018. In addition to
this, the outstanding loans of Scheduled Commercial Banks (SCBs) were Rs. 80 trillion as on 29 th
September, 2018. Hence, form the above figures, it is speculated that the amount of loans that carry a high
risk of slippage into the Non-Performing Asset (NPA) category over the next few quarters would jump to
Rs. 2.8 trillion.
➢ The table below shows the figures of NPAs for May 15th, 2018. (Source: PwC’s financial regulatory
technology insights.)
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➢ The table below shows the figures of NPAs in different sectors bank. (Source: Care rating- NPA in
Banks)
ISBN: 978-93-5351-069-5 346

Analyzing the above graph, we can say that, Overall NPAs had expanded from Rs 2.61 large integer large
integer in March 2017 to Rs three.46 large integer large integer in March 2018 that is Associate in nursing
growth of thirty two.7%. Absolute propels nonetheless enlarged at a lower rate of fourteen.4%. terrorist
organization proportion enlarged for all banks apart from affirmative Bank and Kotak Bank within the non-
public gathering and Vijaya Bank and Indian Bank within the PSBs. the foremost elevated increment in
terrorist organization proportion was seen throughout the year in UCO Bank (7.52%), Dena Bank (5.77%),
Union Bank (4.56%), and Oriental Bank of Commerce (3.90%), Allahabad Bank (2.87%) and Bank of
geographic region(2.55%). for personal banks, Axis had the foremost elevated increase. progressive NPAs
in total terms was the foremost elevated if there ought to arise an occasion of Association Bank,
geographical region Bank, Allahabad Bank, Dena Bank and Oriental Bank of Commerce among the PSBs
and ICICI Bank and Axis Bank among the non-public banks.
Hence, form the above discussion, we can say that, there has been a remarkable increase in the ratio of Non-
Performing Assets (NPAs) in the country which resulted into soaring issues for the Asset Reconstruction
Companies (ARCs) and led the Reserve Bank of India to bring stringent changes in the framework of ARCs.
KEY CHALLENGES FOR ASSET RECONSTRUCTION COMPANIES

There are 4 key challenges which restrict ARCs scale up to the main part in entire NPA play;
a. The availability of funds with ARCs are too less in comparison to the huge NPA market.
b. However, regardless of whether funds are available, there is a mismatch with respect to the price
expectations between the selling bank and buying Asset Reconstruction company and ever subtle
agreement on a worthy valuation structure.
c. In addition to these, whether an ARC procures the NPA of a specific bank, it becomes very difficult to
quickly aggregate advances from every single creditor who has intricate and profound inter-creditor
issues to accomplish competitive level for driving determination which is generally 75 per cent of the
debt, although, for sale of an asset through SARFAESI, it is 60 per cent.
d. Lastly, a more imperative component in resolution beyond the debt obligation is the way to address
challenges in resolution including finding fresh money, administration, and innovation to revive the
asset. Also, there is an issue regarding how to have an exit clause for the investors which needs to be
looked upon.
The next big test for ARCs is to create and have a wide range of abilities in overseeing turnaround story.
The RBI has officially informed ARCs for setting up a board with respect to area-specific management
347 ISBN: 978-93-5351-069-5

firms/people having an ability in running firms/companies which could be considered for dealing with the
(acquired distressed) companies. Actually, ARCs can pick specialty territory for the extent of their activities
for more noteworthy achievement in portfolio management.
With administrative arbitrage which is over-provisioning in banks and ARCs, getting deceased, the role of
ARCs as an exit structure for balance sheet management of banks is to a great extent finished. Banks will
now anticipate more trade exchanges, especially out late NPAs with little arrangements. As a result, ARCs
will fundamentally require having broad help from profound pockets with risk capital and risk appetite for
their survival. For ARCs to get this help, they need to exhibit their capacity and readiness to deal with
complex NPAs and move the certainty of the financial specialists that they can produce market expected
IRR.
Hence, from the above discussion, we can say that, ARCs need to address every one of these viewpoints,
which have been examined at different levels and possible solution needs to be achieved. Beginning from
the weakest connection, there is an absence of a dynamic distressed debt market in India.
As a solution to this, in a recent function which was organized by an Industry body, RBI Director General
Viral Acharya suggested to develop a Distressed Loan Sales Trading Platform and also, establish various
bodies such as: Loan Syndication & Trade Associations which would comprise of ARCs, Banks and Rating
Agencies working together to evolve such a platform. According to the Director General of RBI, the selling
of NPAs should be as smooth as selling Sachin Tendulkar’s bat.
CONTEMPORARY RBI NORMS FOR ORDERLY DEVELOPMENT OF ASSET

RECONSTRUCTION COMPANIES (ARCs)
With the volume of stressed assets in India nearly multiplying in most recent five years, Asset
Reconstruction Companies (ARCs), which act as an intermediary between the borrower and the lender,
have been presented with the basic duty to clean up stressed assets by adopting an effective determination
and recuperation instruments and diminish lenders from the mountainous burden.
Backed strongly by the RBI, ARCs are a making of the Securitization and Reconstruction of Financial
Assets and Enforcement of Security Interests (SARFAESI) Act, 2002 over 10 years prior. Despite the RBI's
empowering measures towards promoting the offer of stressed assets by banks to ARCs, the ARC segment
is yet to develop in Indian purview. This can be seen from the fact that despite stressed assets verging on a
disturbing figure of near INR 700 trillion, just 14 functional ARCs on the date has a significantly minimal
stressed asset portfolio. This dreary performance of the ARCs can be ascribed to a number of issues, for
example, stringent legitimate and administrative compliances, insufficient capital, confinement on outside
speculation, valuation jumble, colossal stamp obligation suggestions on task archives and so on.
In order to overcome the adverse impact on their own balance sheets, the discouraged Asset Reconstruction
Companies (ARCs) have moved towards relying on the ‘management fee based’ model instead of focusing
on the primary objective of recovering the stressed assets. This aspect was witnessed from the fact that
under the previous regulatory regime which was the ‘5:95 structure’, these ARCs used to purchase the
assets at an aggressive book value price with a minimal upfront payment of 5 percent and remaining in the
form of security receipts (SRs) which were redeemed only on the recovery of the stressed assets. However,
because of the (yearly) administration expense of 1.5% charged on the 'asset under management' (AUM),
the ARCs were guaranteeing the return of around 18-20% over a 4-5-year time frame with the minor
forthright venture of 5%, overseeing just around 25-30% recovery rate of stressed assets, it not just
vanquished the question of the making of ARCs, yet, it also influenced the moneylenders as unredeemed
SRs, because of recovery shortage, were composed off with no plan of action to the ARCs.
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These aspects resulted in the introduction of a more stringent administration in 2014, where under money
responsibility of the ARCs was expanded from 5% to 15% (i.e. a 15:85 structure) and the management was
connected with NAV to guarantee better value disclosure of stressed assets and to keep the ARC's skin in
the diversion. This regulatory change led to an upfront investment necessity from ARCs and thereby,
significantly lessened the return on investment, while no measures were taken to enhance the resolution or
recovery mechanism of the stressed assets on an administrative front.
Talking about the most recent scenario, with developing stress in the balance sheets of the stressed
companies and that of vast banks, part of Asset Reconstruction Companies (ARCs) - visualized as an
institutional framework to handle developing NPAs-have come into sharper focus. Out of 19 Public Sector
Banks (excluding State Bank Group), dominant part i.e. 10 are under Prompt Corrective Action (PCA) by
RBI. Stressed Assets of the framework are at an altogether lifted level of around a Million Crores and
developing. In order to address this disturbing issue, Government of India (GOI) passed the Insolvency and
Bankruptcy Code (IBC) which, among others, would accommodate an adjustment in the administration of
defaulting companies and time-bound determination in a time of maximum 270 days or the defaulting
companies would move into liquidation.
Additionally, the Government had also stepped up with regards to advice the Regulator RBI to encourage
banks to refer huge NPAs. In the primary occasion, 12 huge NPAs prominently referred as the "Filthy
Dozen" having NPAs of over Rs 2 lakh Crores had been referred to NCLT and different cases were being
referred intermittently from that point onwards. The ecosystem around the resolution of NPAs is advancing
quickly with a large number of empowering regulations. In addition to this, the positive regulatory condition
has supported a great deal of players in distressed debts- both global and domestic-Special Situation Funds,
Hedge Funds, Long Term Funds including Pension Funds, Sovereign Funds, PE Investors,
Strategic Buyers, Turnaround Specialists, Specialized Transaction Advisory and so on to approach in

expansive crowds. The most significant aspect here is that in this NPA space swarmed with several
stakeholders, how do ARCs emerge and seek their successful role-play that is the place where ARCs need
to hindsight, introspect and re-evaluate them.
PROFOUND ASSET RECONSTRUCTION COMPANIES (ARCS) AFTER NEW RBI

NORMS
The recent bank of India proposition to extend the bottom net owned funds (NOF) of asset reconstruction
companies(ARCs) from Rs a pair of large integer to a significantly higher Rs one hundred large integer
comes in not even as a necessary step towards taking care of the large issue of non-performing assets
(NPAs) of banks, however, is maybe progressing to prompt union within the ARC sector since little
corporations with lower funds base assume that it's unreasonable to survive on their own below the new
standards issued by the bank of India.
Since quality Reconstruction corporations square measure able to get larger amounts of unhealthy loans,
RBI, on one hand, raised the net owned funds (NOF) necessities for the ARCs, whereas on the opposite
hand, the govt. and also the banking sector was performing on the reduction of NPA burden on a war
footing. Additionally, to the current, the promoters of smaller ARCs believed that it'd be terribly tough to
satisfy the new standards and different demanding controls issued by run batted in. There was an associate
inherent risk on the part of ARCs that if they could not acquire outside funding to expand their NOF, there
would be very little selection for them aside from to shut down or provide resolute different larger players.
Among the larger names within the ARC business square measure wild flower, JM monetary and quality
Reconstruction Company of India (Arcil), with Ambit Group as currently is typing with JC Flowers for
associate ARC a year ago.
349 ISBN: 978-93-5351-069-5

However, as per the report issued by Crisil, half dozen out of twenty three ARCs were okay with the new
NOF needs of the Federal Reserve Bank of India thanks to the explanation that regarding ninety p.c of the
entire assets underneath management ar with the highest 5 players and with these new tighter norms, it had
been anticipated that their market share would increase additional. Also, with result from April one, 2017,
the Federal Reserve Bank of India had distended the provisioning stipulations for banks conducive in far
more than fifty p.c of the estimation of stressed assets (which is predicted to be reduced to ten p.c within
the year 2019) sold by them within the security receipts issued instead. Per Crisil, the most motive behind
this is often to form such foreign terrorist organization deals additional clear and guarantee real transactions
to require place. With enlargement of the provisioning needs by run batted in, there was a rise in cash-based
sales because of the strengthening of the framework that thereby, resulted into a rise in capital needs by the
ARCs beside the sale of assets showing AN upward trend throughout the fourth quarter of FY17 to beat the
new provisioning needs.
As against this, the angle towards quality of the Indian banking sector perceived to be weakening because
of the rationale that, on one hand, the contemporary terrorist organization generation rate was showing a
signal of moderation, whereas on the opposite hand, the annualized contemporary terrorist organization
generation was taking place. As results of this, we will say that, whereas the declining contemporary
terrorist organization generation reflects the soothing quality pressure, an outsized total of contemporary
decrement outside the quality restructured advances reflects the quality pressure outside the restructured
books.
CONCLUSION
The best indicator for the prosperity of the industry in an exceedingly nation is its level of Non-
Performing Assets (NPAs). It mirrors the execution of banks. However, in recent years, NPAs have
been a remarkable worry for the Indian economy. In such circumstance, it is ARCs with
statutory/administrative forces that can work in a compelling way as a nodal resolution mechanism
existing together with Corporate Debt Restructuring component in regard to NPA and stressed assets
administration. Although, a number of amendments have been brought about by the Reserve Bank of
India (RBI), as discussed in the current article, for improving the performance of the Asset
Reconstruction Companies (ARCs), still, there is a need to take certain measures for the growth of
ARCs in the country since, they would add value by cutting short the time taken to resolve issues and
would also, maximize the recoveries through proper mechanism. More importantly, there ought to be
certain instruments/mechanisms to supervise the working of ARCs wherein, these mechanisms should
work upon increasing the level of transparency in the sector. Also, the Banks/Financial Institutions
that cannot offer the advantages instantly to the ARCs because of conceivable Balance Sheet concerns
should support the determination endeavors of the ARCs. Lastly, we can say that, arrival of the ever-
increasing private players in the country into this segment would increase the efficiency of this sector
and thereby, this space will be extremely worth looking for.
REFERENCES
[1]. Abraham, R. (2017, December). All you need to know about India’s NPA crisis and the FRDI
Bill.
http://www.thehindu.com/business/Economy/all-you-need-to-know-about-indias-npa-crisis-and-
the-frdi-bill/article21379531.ece
[2]. Business Today. (2017, December). NPA Problem: India ranked 5th in bad loans in world, EU’s
four tumbling economies top list.
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https://www.businesstoday.in/current/policy/npa-problem-india-ranking-bad-loans-economies-
with-huge-npa-bank-recapitalisation/story/266898.html
[3]. Kothari, V., Ghosh, A. (2017, February). NPA problem: Economic survey stresses centralized
AMC approach.
https://www.moneylife.in/article/npa-problem-economic-survey-stresses-centralised-amc-
approach/49644.html
[4]. Care Ratings. (2018, May). NPAs in Banks.
http://www.careratings.com/upload/NewsFiles/Studies/NPA%20Update%20March%202018.pd
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[5]. Kumar, G. R. (2017, October). Understanding the NPAs and their impact.
http://www.thehansindia.com/posts/index/Civil-Services/2017-10-11/Understanding-the-NPAs-
and-their-impact/332611
[6]. Reserve Bank of India. (2017, April). Securitisation and Reconstruction of Financial Assets and
Enforcement of Security Interest Act, 2002-Section 3 (1) (b)-Requirement of Net Owned fund
(NOF) for Asset Reconstruction Companies.
https://www.rbi.org.in/scripts/NotificationUser.aspx?Id=10949&Mode=0
[7]. Chandra, N., Mishra, A. (2017, April). India: The Viewpoint: ARCs and Stressed Assets: A
Glimpse of a Better Tomorrow.
http://www.mondaq.com/india/x/587264/Financial+Services/The+Viewpoint+ARCs+Stressed+
Assets+A+Glimpse+Of+A+Better+Tomorrow
[8]. Majumdar, S. (2017, April). Time for bigger, stronger ARCs after new RBI reforms.
http://www.forbesindia.com/article/special/time-for-bigger-stronger-arcs-after-new-rbi-
norms/46659/1
[9]. Business Line. (2017, April). With rules tightened, further consolidation seen in ARC space.
https://www.thehindubusinessline.com/money-and-banking/with-rules-tightened-further-
consolidation-seen-in-arc-space/article9634518.ece
[10]. Alekh, A. (2018, February). RBI new Bad Loan rules may improve prospects of loan recovery.
https://www.livemint.com/Industry/CWkPdmf8FvDbt13vfttKdK/RBI-new-bad-loan-rules-may-
improve-prospects-of-loan-recover.html
[11]. Bhagwati, J., Khan, M. S., Bogathi, R. R. (2017, April). Can Asset Reconstruction Companies
(ARCs) be part solution to the Indian debt problem?
http://icrier.org/pdf/Working_Paper_338.pdf
[12]. Manuj, H. K. (2017, March). The bad loans problem: An Approach to a solution.
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[13]. Stress test: RBI sees gross NPAs at 12% by March.
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capital/1221731/
[14]. Rishikesh R. (8th October, 2018). Impact of Increase In Non-Performing Assets In Bank–
Comparative Analysis of Public Sector And Private Sector Banks In India.
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levels.
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with-highest-npa-levels-2470313.html
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351 ISBN: 978-93-5351-069-5

https://www.thehindubusinessline.com/opinion/finally-a-good-strategy-for-bad-
loans/article8410025.ece
[19]. Ernst & Young. (2016, July). ARCs-at the crossroads of making a paradigm shift.
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paradigm-shift/$FILE/EY-ARCs-at-the-crossroads-of-making-a-paradigm-shift.pdf
[20]. Ganatra, R. M. (2016, September). Asset Reconstruction Companies in India at an Inflection
point.
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point/48200.html
[21]. Rebello, J. (2014, March). ARCs face funding challenges with NPA supply at record.
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challenges-with-NPA-supply-at-record.html
[22]. First Post. (2014, August). New RBI norms to help orderly development of ARCs, predict
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[23]. Pallonji, S. (November, 2016). Details of NPA figures of public, private sector banks.
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banks/article16670548.ece
ISBN: 978-93-5351-069-5 352

PCM094
POLICY HOLDER’S AWARENESS ON LIFE INSURANCE SERVICES:
WITH SPECIAL REFERENCE TO VAPI CITY
Viral P. Vora Dr. Munira Habibullah
Assistant Professor, Professor,
GIDC Rajju Shroff Rofel Institute of - Department of Business and- Industrial
Management Studies, (BBA Programme), Vapi Management, VNSGU, Surat
viral_vr@yahoo.co.in munirahabibullah@gmail.com
9374225898 9898229119
Abstract:
The insurance industry is considered as one of the key sector in an economy for its growth and
development. The insurance sector is growing rapidly and gaining vital position in the economy by
covering the life risk of millions. Indian insurance sector is one of the largest in the world with 360
million policies likely to increase at 12-15% CAGR over the next 5 years. Present paper is an attempt
to ascertain the awareness level of insurance policy holders of Vapi city. In this research 200 customer’s
opinion were studied and interpreted.
Keywords: Life Insurance, Policyholder’s Awareness, Life Insurance Policies, Insurance Premium.
“If a child, a life partner, or a parent depends on you and

Your income, You need life insurance.”
– Suze Orman
PREAMBLE
Wherever there is uncertainty, there is risk. The risk cannot be evaded. The risk is uncertainty of the
financial loss. We don’t have any control on uncertainties. An individual is exposed to countless
vulnerabilities in day to day life and it will surprise one to note how many of these can actually be
protected. This makes it necessary that we should think in favour of an instrument that helps in
scattering such risk. It is in this view that we think about insurance. Insurance is a form of risk
management device which is mainly used to safeguard the risk of life.
Life Insurance is a contract between the policy holder and the insurance company for payment of a sum
of money to the person assured (or his/her nominee) on the happening of the event induced against.
Usually the contract provides for the payment of an amount on the date of maturity or at specified dates
at periodic intervals or at unfortunate deaths, if it occurs earlier before maturity date. Thus, the main
aim of buying life insurance is to provide financial protection to family in case of unfortunate death of
a person. Modern insurance plans, however, doesn’t limit upto providing only death benefits. They are
now seen as a medium or long-term tax saving tools as well as one of the most important investment
tools to achieve some specific financial goals.
RATIONAL OF THE STUDY:
Insurance being an integral part of financial sector – should be measured on the two basic
considerations, viz, Insurance Penetration and Insurance Density which is the ratio of premium
underwritten in a given year to the total population. India’s insurance density has increased to $59.7 in
2016-17 from $11.5 in 2001 with life insurance density of $46.5. Comparative figures for average
insurance density for World ($353), Malaysia ($452.2), Thailand ($323.4) and China ($337.1) were
higher than India. While comparative figures for Insurance Penetration for World (3.47%), Malaysia
(4.77%), Thailand (5.42%) and China (4.77%) were also higher than India (2.72%). Further, the study
also reveals that in last five years there has been serious decline in the proportion of financial savings
in insurance funds between 2011-12 and 2015-16. Further, various studies in this regards also shows
353 ISBN: 978-93-5351-069-5

that it is difficult to sell insurance in India due to financial complexity, low financial literacy and lack
of awareness among the customers. The present study is an attempt in this regard.
MEANING OF INSURANCE
Insurance means a promise of compensation for any potential future losses. It provides financial
protection reimbursing losses during crisis. A life insurance policy provides financial security to family
in the unfortunate event of death or disability, partial or full, of a policy holder.
INSURANCE PRODUCT
Life insurance companies offer a variety of products covering various types of risks. But most
individuals are not aware of the value that insurance, as an option, could add to their lives. Today, there
are many distinctions to these basic insurance policies and insurance policies cater to an extensive
diversity of needs. All other life insurance policies are built around these basic insurance policies by
mixture of various other features. Mainly there are 2 types of insurance viz. Life Insurance & General
Insurance. Life insurance provides protection against the risk of life while risk apart from life covers
under General Insurance.
Types of life insurance products:
➢ Term Insurance Policy

➢ Whole Life Policy
➢ Endowment Policy
➢ Money Back Policy
➢ ULIPs
➢ Annuities & Pension
Importance of life insurance:
➢ Covers a risk of life

➢ Encourages Savings
➢ Provides security against adverse financial condition
➢ Provides tax benefit
➢ Provides financial security after retirement
➢ Financial planning for a specific need such as Child Education, Marriage can be possible
➢ Provides good return on investment with security.
➢ Loans can be available on policy.
CURRENT STATUS OF INSURANCE INDUSTRY
India’s insurance sector is expected to grow even quicker than the country’s overall economic growth,
opening up new business avenues across the industry. India's life insurance sector is one of the biggest
in the world with about 360 million policies which are expected to increase at a Compound Annual
Growth Rate (CAGR) of 12-15% over the next five years. The insurance industry plans to climb
penetration levels to 5% by 2020.
Government’s policy of insuring the uninsured has gradually pushed insurance penetration in the
country and increase in insurance schemes. In FY19 (up to August 2018) premium from new life
insurance business has increased by 6.20% (Y-O-Y basis). Demographic factors such as growing
middle class, young insurable population and growing awareness regarding insurance need for
retirement and protection planning the overall insurance industry is expected to grow further rapidly
and is expected to reach at US$ 280 billion by 2020.
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LITERATURE REVIEW
Dr. Nayak Sudhansu Sekhar and Dr. Sahu Anil, (2016), conducted a study on “An awareness of
Indian life insurance customers: A study.” The main objective of this study is to measure the awareness
of customers about life insurance products and services. Primary data were collected through
questionnaire from 85 customers to complete the study. ANOVA test is used to test the hypothesis. The
study outcome reveals that neither the urban nor rural people are aware about life insurance.
Respondents were unaware about pure life insurance plan and term plan. Study results also reveals that
socio economic factors like income, occupation, education has greater impact on creating awareness
amongst respondents.
Narender S. and Sampath L. (2014) conducted a study to measure “Consumer Awareness towards
life insurance sector in India.” The objective of study was to make the customer aware and to know the
satisfaction of the customer using life insurance policy. To conduct study, 100 respondents were
selected from Hyderabad city. The outcome shows that the customers’ major financial need in future is
their children’s education and marriage expenses. Most of the people prefer life insurance because of
security for their family purpose. Majority customers are satisfied with the products provided by
insurance company.
Dr. Thirupathi T., (2014), has undergone “A study on the awareness level of LIC policy holders in
Salem District.” The study was conducted to assess the policy holders’ awareness about Life Insurance
Corporation of India and to analyse the factors influencing policy holders in their preference of
insurance company. Primary data were collected through field survey of 160 LIC holders by using
questionnaire. The outcome of the study reveals major respondents prefer private insurance sector
because they provide banking facility as well as other value added services. Respondents mostly prefer
Endowment plan and Child plan whereas they were majorly influenced by agents.
Banne Ashok S. and Bhola Sarang S. (2014) conducted a study to measure “Awareness of life
insurance among sample customers.” The study is aimed at measuring awareness about life insurance
products among LIC customers. The outcome of the study reveals that respondents’ priority of buying
life insurance is for some specific need life chid marriage followed by necessity of life, Risk of persons’
death etc. Study also reveals that the major source of information for policy holder is individual agents
followed by television advertisement.
Chaudhari Sarathi Partha, (2014), conducted a study for “Identification of the significant factors
influencing customers’ awareness about the products of LIC of India.” The aim of this study is to
identify the significant factors that make them aware about the different products of LIC. The study was
conducted in Burdwan district of West Bengal. 221 respondents were surveyed to draw conclusion. The
outcome shows that majority customers are aware with insurance, specially ‘Money Back Plan.’ While
agent plays the major role of influencing and for creating awareness in the mind of customers followed
by advertisement and peer group members.
C. Ramalakshmi and Dr. L. P. Ramalingam (2014), undergone “A study on awareness about micro
– insurance with special reference to LIC in India.” The objective of the study is to analyse the
awareness of policyholder about micro-insurance product. The required data are collected from 370
respondents via personal interview. The study outcome shows that majority of respondents from rural
and urban areas are aware about micro insurance, particularly Jeevan Madhur product of LIC. The major
sources of information for customers are LIC agents followed by friends and relatives and Self-Help
Group. The study also concludes that there is no significant relation between socio-economic variables
and period of awareness.
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Statement of problem:
The study aims to measure the policy holder’s awareness on life insurance services with reference to
Vapi city.
Objective of study:
1. To study the concept of Insurance in India.
2. To overlook the current status and future scenario of insurance industry in India.
3. To know the awareness level of customers towards various charges, benefits and
criteria associate with insurance services.
Research design:
• Descriptive study is used to complete the study.
Data collection method:
• Primary and secondary data were used to complete the study.
Data collection tool:
• Secondary Data was collected from various Journals, publications and websites.
• Primary Data was collected through Structured Questionnaire.
Sampling size
• 200 respondents were selected as a sample size.
Sampling method
• Convenient Sampling (Non-Probability Method)
Data Analysis method
• Reliability Test, T-test and ANOVA were used to analyze collected data.
Research hypothesis
1) H0: There is no significant relationship between Gender of customer and Awareness of
Insurance Services.
2) H0: There is no significant relationship between Marital Status of customer and
Awareness of Insurance Services.
3) H0: There is no significant relationship between Age of customer and Awareness of
Insurance Services.
4) H0: There is no significant relationship between Education Qualification of customer
and Awareness of Insurance Services.
Limitation of the Study:
1. The study is limited to Vapi city only.
2. Respondents hesitate to provide information regarding personal questions like their
family income, savings/expenditures, number of policy they have etc.
3. The data collection was done through structured questionnaire. The drawback of
questionnaire as data collection tool may be reflecting in data obtained from the
banking customers.
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TESTING OF HYPOTHESES
Reliability test:
Before testing hypotheses and arriving at conclusion, Reliability test was carried out on SPSS. The test
statistics and results are as follows:
Table: 1 Reliability Statistics:

Cronbach’s Alpha N of Items
0.913 7
(Source: Results from Primary data by SPSS)
Reliability test was used to measure internal consistency. For Reliability test result any vale more than
0.7 considered as reliable. (According to Sahu, Jaiswal and Padey) The alpha coefficient for the seven items is
0.913 signifying that the data are highly consistent.
In order to test the hypotheses formulated for the study, T-test and ANOVA was carried out on SPSS.
The test statistics and results are presented as follows:
T-test
Table: 2 Relationship between Gender and Awareness of Insurance services:

Sr. Variable T- df Accepted/Rejected
No Test
Value
1 Various Insurance Products 0.014 199 H0 is Rejected
2 Various Charges 0.001 199 H0 is Rejected
3 Additional Benefits 0.000 199 H0 is Rejected
4 Tax Benefits 0.000 199 H0 is Rejected
5 Maturity Benefits 0.001 199 H0 is Rejected
7 Various Criteria (Mix-Max Term, Age, Premium 0.000 199 H0 is Rejected
etc.)
Above table shows the relationship between Gender and awareness level of customers towards various
insurance services. The significant value 0.05 is more than P value (T-test Value), hence H0 is rejected.
It shows that there is a significant relation between Gender and awareness regarding Various Insurance
Products, Various Charges levied on Insurance, Tax Benefits on Insurance, Maturity Benefits in
Insurance, Nomination Facility with Insurance, Additional Benefits Available with Insurance Product
and Various Criteria viz., Min & Max term, Age, Premium etc. involve in Insurance.
Table: 3 Relationship between Marital Status and Awareness of Insurance services:

Sr. Variable T-test df Accepted/Rejected
No Value
1 Various Insurance Products 0.848 199 H0 is Accepted
3 Additional Benefits 0.810 199 H0 is Accepted
5 Maturity Benefits 0.002 199 H0 is Rejected
7 Various Criteria (Mix-Max Term, Age, Premium etc.) 0.001 199 H0 is Rejected
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Above table shows the relationship between Marital Status and awareness level of customers towards
various insurance services. The significant value 0.05 is less than P value (T-test Value), hence H0 is
accepted. It shows that there is no significant relation between Marital Status and awareness regarding
Various Insurance Products, Various Charges for Insurance, Additional Benefits Available with
Insurance Product and Tax Benefits on Insurance.
While the significant value 0.05 is more than P value (T-test Value), hence H0 is rejected. It shows that
there is a significant relation between Marital Status and Maturity Benefits in Insurance, Nomination
Facility with Insurance, and Various Criteria viz., Min & Max term, Age, Premium etc. involve in
Insurance.
ANOVA
Table: 4 Relationship between Age and Awareness of Insurance services:

No Value
5 Maturity Benefits 0.056 199 H0 is Accepted
7 Various Criteria (Mix-Max Term, Age, Premium etc.) 0.067 199 H0 is Accepted
Above table shows the relationship between Age and awareness level of customers towards various
insurance services. The significant value 0.05 is less than P value (ANOVA Value), hence H0 is
accepted. It shows that there is no significant relation between Age and awareness regarding Various
Insurance Products, Various Charges levied on Insurance, Tax Benefits on Insurance, Maturity Benefits
in Insurance, Additional Benefits Available with Insurance Product and Various Criteria viz., Min &
Max term, Age, Premium etc. involve in Insurance.
While the significant value 0.05 is more than P value (ANOVA Value), hence H0 is rejected. It shows
that there is some significant relation between Age and Nomination Facility with Insurance.
Table: 5 Relationship between Education Qualification and Awareness of Insurance services:

No Value
5 Maturity Benefits 0.327 199 H0 is Accepted
7 Various Criteria (Mix-Max Term, Age, Premium 0.782 199 H0 is Accepted
etc.)
Above table shows the relationship between Education Qualification and awareness level of customers
towards various insurance services. The significant value 0.05 is less than P value (ANOVA Value),
hence H0 is accepted. It shows that there is no significant relation between Education Qualification and
awareness regarding Various Insurance Products, Various Charges for Insurance, Tax Benefits on
Insurance, Maturity Benefits in Insurance, Nomination Facility with Insurance, Additional Benefits
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Available with Insurance Product and Various Criteria viz., Min & Max term, Age, Premium etc.
involve in Insurance.
CONCLUSION
Insurance not only covers the risk of life but also provide financial security to a policy holder and his/her
family. Insurance sector is the fastest growing sector in India. Insurable population is expected to touch
74 million in 2020. The country is 15th largest market in the world in terms of premium volume. Despite
of this, according to IRDA report, insurance penetration is very low in India as compare to other
developed countries because of unawareness or partial awareness. But the recent trend shows the
increase in awareness due to increase in education, income and favourable government initiatives and
introduction of various schemes like PMJJBY, PMSBM etc. The study result reveals that respondents
are well aware with various insurance services and majority services doesn’t have any relationship with
gender, while Educational Qualification has some relation with Tax Benefits, Maturity Benefits and
Nomination Facilities.
REFERENCES
[1]. Dr. Nayak Sekhar Sudhansu and Dr. Sahu Anilkumar, 2016, “An awareness of Indian life
insurance customers: A study, Indian Journal of Applied Research, Vol. 6, Issue 2, pp. 591-
594.
[2]. S. Narendra and L. Sampath, 2014, “Consumer awareness towards life insurance sector in
India”, Abhinav International Monthly Referred Journal of Research in Management and
Technology, Vol. 3, Issue 3, pp. 45-51.
[3]. Dr. T. Thirupati, 2014, “A study on the awareness level of LIC policy holders in Salem
District”, Asia Pacific Journal of Research, Vol. I, Issue XIII, pp. 80-89.
[4]. S. Banne Ashok and S. Bhola Sarang, 2014, “Awareness of life insurance among sample
customers”, International Multidisciplinary Research Journal, Vol. 4, Issue 7, pp. 1-12.
[5]. Choudhuri Sarathi Partha, 2014, “Identification of the significant factors influencing
customers’ awareness about the products of Life Insurance Corporation of India, Vol. 1, Issue
1, pp. 16-25.
[6]. Dr. P. L. Ramalingam and C. Ramalakshmi, 2014, “A Study on awareness about micro-
insurance with special reference to LIC of India, Vol. 2, Issue 9, pp. 240-248
[7]. IRDA Annual Report 2016-17.
[8]. https://timesofindia.indiatimes.com/business/india-business/insurance-penetration-in-india-
has-risen-to-3-49-economic-survey-says/articleshow/62696220.cms
[9]. https://www.ibef.org/industry/insurance-sector-india.aspx
[10]. https://www.ibef.org/industry/insurance-presentation
[11]. https://iedunote.com/what-is-insurance
[12]. http://agieducation.org/arc/downloads/research/Volume4.pdf
[13]. https://timesofindia.indiatimes.com/business/india-business/insurance-penetration-in-india-
has-risen-to-3-49-economic-survey-says/articleshow/62696220.cms
[14]. https://economictimes.indiatimes.com/industry/banking/finance/sbi-in-talks-to-sell-5-in-life-
insurance-subsidiary/articleshow/55361009.cms
359 ISBN: 978-93-5351-069-5

PCM053
AMBUSH MARKETING: EMERGING TRENDS FOR GEN-Z
Mayuri Neve
Academic Associate,
Indian Institute of Management, Ahmedabad.
mayurin@iima.ac.in
Abstract
Here comes the new wave of an ever online generation that’s a boon for Omni retail. However, ask them
about the phenomenon of Ambush Marketing and they would shrug their shoulders saying come again-
what’s that. It seems like digitalization has one more side effect, to say it lightly. Increasing incidences of
Ambush marketing practices by firms in diverse sectors, pose threat to the official sponsors. More so in the
digital world, where it is convenient for the ambushers to create websites or content to be floated on the
web around a popular event and generate a good amount of traffic to their web page or draw attention to
their products. Gen-Z, the generation that was born between mid-nineties to mid two thousands, have
drastically low awareness of the ambush marketing activities carried out by firms around major events
such as sports or entertainment or in their advertising. Gen-Z is more relevant to study in this regard as
they are online for majority of time and more interested in sports and events as compared to their elders
and hence more prone to digital ambushing or any other form of ambushing; also, they are going to be in
the mainstream buying within just a few years’ time, therefore, formulating strategies as per their buying
behaviors, their perceptions of the advertisements, attitudes, preferences would be of prime concern to the
marketing organizations.
Keywords: Gen-Z, Ambush Marketing, Online, Sports, Events.
INTRODUCTION
Ambush Marketing is defined in various ways by an array of researchers over decades. It is usually defined
as any act of engaging in activities that lead to benefits to the ambusher’s that come from associating
themselves to an event of which they are not the official sponsors or in simple words they haven’t paid the
sponsorship money. Since a long period of time ambushers are seen engaged in ambushing activities to
avoid huge sponsorship money and gain free publicity for their company. However, this depends hugely on
ethical behavior of companies.
Digitalization brings vast opportunities for advertisers and ambushers alike. Today it is easy for the
ambushers to create websites/videos/content for nuts and float it on the web which has the potential to go
viral in turn getting easy awareness for the company’s products or services.
Gen-Z is the generation which was born between mid-nineties to mid-two thousands. This generation is
heavily exposed to advertising and ambushing vis-à-vis the previous generations. Advertisers are finding
new avenues to reach this ever online generation. New business models are emerging due to this behavior
of Gen-Z. Some examples of these new business models as well as emerging trends and changing strategies
by the marketers to capture the huge market opportunity of Gen-Z are discussed in this paper.
IMPORTANCE OF GEN-Z
David Randall in his article in mid-2016 published by time.com’s Money said that a wide range of
companies discussed their long term plans with their investors for how to charm the Gen-Z which is
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expected to be 40% of the total workforce of U.S. by the year 2020 according to Pew Research and finally
surpass the millennials and baby boomers.1 The article further states by emphasizing the importance of Gen-
Z that many major firms have mentioned Gen-Z in their earnings calls and their presentations to the
investors since the beginning of the year which is much more than the earlier mentions by taking together
all companies combined in the past six years.1
EMERGING TRENDS OF AMBUSHING FOR GEN-Z AND POTENTIAL
Coca-Cola, who is an Olympic sponsor since 1928, targeted teens with its largest ever social media
campaign during the 2016 Olympics. One of the posts included a popular teen influencer who had millions
of followers. The Coca-Cola Brazil campaign saw engagement of millions of teens which was a large share
of Brazil’s teenager population and a significant percentage of engagement with these teens was made on
mobile.2 Ambushers can run similar campaigns to get traction and this has huge potential in terms of gaining
brand recognition with low costs.
Few examples of ambushing on Pinterest are as follows3-
1. An advertisement in which Pepsi Can was wearing a Coke cape as a Halloween costume.
2. Miss-spelling the official sponsor’s brand name.
3. Athletes wearing costumes that hint the logos of the ambushers.
4. Billboard wars in which ambushers place their bill board just next to their competitors and write
that “sorry we can’t show our LOGO” but pointing that 100 m from this place is an eatery.
5. Use of Olympic rings by Audi resembling their own rings on their vehicles.
6. Non sponsor brands ramp up their pre, during and post event sports marketing. E.g. Subway
featured an ad saying “Train Hard. Eat Fresh”
7. Abercrombie & Fitch made a few people stand in the public, wearing A&F T-shirts behind Barack
Obama while he was delivering his speech during the Presidential elections time.
What makes Gen-Z different from the previous generations is that it has grown up with mobile phones and
internet which makes them prone to using their phone to shop, study, entertainment, connect with friends
etc.
Raymond (2012) in his article says referring to the Gen-Z that “technology is part of their DNA”. The
article further states that “they simply don’t remember the world before the internet”. Generation Z
communicates with friends through social media and shares nearly every experience and knowledge they
come across. Also he says that, Gen-Z is not very brand loyal, but they are more interested in a product
they hear about on social media than a product promoted through a marketing campaign.4
Social media has become a perfect avenue for ambushing to teens as they are very much active on it and
share every moment of their life on it. Facebook live is very popular and used by many brands to provide
real time experience. People feel that they are part of an ongoing popular event watching it live on
Facebook. Some content posted on social media is only available for 24 hours making it a craze and a must
watch and not to be missed. Live contents that are long are cut short to one minute or several minutes’
videos to be able to be viewed quickly afterwards and become viral. Here comes an opportunity for
ambushers to create some phenomenon around an event or so to be watched live and get free publicity.
Teens increasingly shop online. A few ideas are listed below which can be/are being used for ambushing
digitally to Gen-Z:
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Natural-language processing – Marketers use this technology to target the not so well educated Gen-
Z. Examples include coolies at railway stations who use voice chat to communicate with their families.
Gen-Z doesn’t like to type, therefore, voice operated apps, chats, browsers etc. go well with them.
Social media, Videos and Video blogs or Vlogs - By using innovative social media campaigns,
ambushers can get free exposure.
In a survey conducted by Eptica - a leading European technology company specializing in intelligent

platforms for digital customer experience - in 2017 (as stated on socialmediatoday.com), “they found that
72% of consumers believe that chat tools drive greater loyalty”. The website further stated that “even more
significant to note is how many more people prefer chat compared to previous years – 65% of consumers
say they are happier using chat than five years ago. Even with terrible experiences, people find chat
functions helpful. This just means that chat is on the rise”.5
Experts at the Advertising Week – a premier conference for Marketing - said that Gen-Z has $44 bn direct
purchasing power referring to a research by IBM Brand Voice, National Retail Federation and Forbes.6, 7
According to the article published on marketingdive.com, a topic that surfaced at Advertising Week in 2017
was Gen-Z, that how to engage this generation which is estimated at a whopping 25% of the U.S.
population.6
At the conference it became clear that the traditional ways of doing segmentation must be stopped now and
a drastic change is necessary in that, however they also admitted that it will put strain on budgets.6
Sara Spivey, CMO of Bazaarvoice – a digital marketing company, said in the same conference that
according to a research three fourth of the Gen-Z members are either very strong or strong influencers of
decisions of family which means that they are independent decision makers rather than an inert member of
the family.6
Another panelist in the same conference said that kids are at the front of the table while buying a car or a
household and they have a voice in the purchase decision which was not the case for any previous
generation. According to the panelists this might stem out of two main reasons, easy access to internet
connected mobile devices which act as a source of huge information and the behavior of their parents with
them as being their friends rather than being authority figures.6
According to an article published on forbes.com, influencers on social media are very significant and vital
drivers of consumption and content is also changing accordingly. Therefore, it becomes very easy for
members of the Gen-Z to consume the content swiftly across various devices and channels. According to
the same article referring to Kara Alter, Head of Brand at Shimmur, a Gen-Z focused media company, “not
only are social influencers a driving force of new media consumption, but they're beginning to take center-
stage in mainstream productions as well. Companies like Netflix, YouTube Red, Fullscreen, and
AwesomenessTV are investing in original series and films starring social influencers.”8
The article further states that, Gen Z’s use over-the-top (OTT) services more than TV. They watch TV, but
not as much as sites like Netflix and YouTube. As per Trifecta Research, 59% of video consumption by
Gen-Z is done via OTT services, as compared to 29% for TV. 70% of Gen-Z watches more than two hours
of YouTube every day, as opposed to millennials for which still TV and cable are used together with OTT
services for media consumption.8
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Bodo Herzog and Gerd Nufer (2014) state in their paper that “the phenomenon of ambush marketing is not
new, but in recent years it has become significantly more sophisticated” and they concluded that Google
provides new insights for the analysis of ambush marketing.9
Ambushers create a buzz around their brand on social media or they spark some physical ambushing which
goes viral on internet by means of Google searches for the same. There are incidences when companies did
some physical ambushing which turned viral digitally. Ambushers can just spark a conversation on social
media and encourage sharing to get free publicity.
Therefore, the idea is that the businesses that will adapt accordingly will win.
Conversations, engagements, participation - A survey conducted by SocialChorus found that as large

as 91% of millennials trust their friends for product recommendations.10 A company accomplished
engagement with teenagers by providing free passes to eight teenagers to their park. Facebook fans could
see them from home and vote on the activities of these teenagers such as what they had to do, which rides
they had to ride, what food to eat and which games to play. Within just a few days, the campaign resulted
in more than 5,60,000 impressions, over 28,000 engaged teenagers and over 5,000 Facebook stories. 11
Ambushers can do similar campaigns which can gain them free publicity within a matter of few days.
CONCLUSION
Ambushers engage in ambushing activities for various reasons such as minimizing advertising costs, gain
brand recognition with very less expenditure etc. which contributes to increase in ROMI (Return on
Marketing Investment). Increasingly ambushers are targeting Gen-Z to catch them in their early life stage
so that they can become loyal customers of the product in their life. Gen-Z is important to study in this
regard as they are going to be the mainstream buyer group in few years and hence strategizing accordingly
is important for the companies today. However, proper laws should be framed to tackle the phenomenon of
Ambush Marketing.
REFERENCES
[1]. http://time.com/money/4348414/generation-z-marketing/
[2]. https://www.campaignlive.com/article/coca-cola-targeted-teens-during-2016-olympic-
games/1406187
[3]. https://www.pinterest.com/tinnaosp/ambush-marketing
[4]. https://www.woodworkingnetwork.com/best-practices-guide/plant-production-software/here-
comes-generation-z
[5]. http://www.socialmediatoday.com/news/why-chat-is-becoming-critical-for-b2c-brands-
infographic/507095/
[6]. https://www.marketingdive.com/news/why-gen-z-might-signal-the-end-of-demographic-
targeting-as-we-know-it/506796/
[7]. https://www.forbes.com/sites/ibm/2017/01/12/move-over-millennials-generation-z-is-the-retail-
industrys-next-big-buying-group/#66fc96a82f0a
[8]. https://www.forbes.com/sites/nelsongranados/2017/06/20/gen-z-media-consumption-its-a-
lifestyle-not-just-entertainment/#79e5c18718c9
[9]. Herzog, Bodo. (2014). Analyzing the Effectiveness of Ambush Marketing With Google Search
Data. Journal of Advances in Management and Applied Economics. 4. 43-58.
[10]. https://www.personadesign.ie/millennial-branding-creating-brands-to-appeal-to-teens-and-young-
adults/
[11]. https://www.impactbnd.com/blog/clever-facebook-campaign-ideas-from-big-brands
363 ISBN: 978-93-5351-069-5

PCM089
A STUDY ON EXAMINING ROLE OF CREATIVE ACCOUNTING
PRACTICES IN INDIA WITH REFERENCE TO PERSPECTIVE OF
MANAGEMENT STUDENTS
Dr. Apurva A. Chauhan
Assistant Professor
Naran Lala School of Industrial Management & Computer Science
Navsari, Gujarat State, India
drapurvachauhan@gmail.com
Abstract
Investment decisions in financial sector are largely based on financial statements disclosed by
company. Company must ensure that all material information disclosed are true, fair and
follows relevant accounting standards. However, it is observed that in this competitive era,
companies are trying to find out loopholes in accounting rules in order to assist management
in accomplishing personal goals which is known as creative accounting. Companies use the
financial reports to present the message that they want investors to see with the help of creative
accounting. Recognizing premature revenue, big bath accounting, Using cookie jar revenue,
manipulating inventory are few of the creative accounting techniques. Present study has identified this
problem and focused on examining management students’ perspective towards Creative accounting.
The study is descriptive in nature and it is based on primary data collected from 150 management
students regarding their perception of creative accounting. It attempts to know how management
students are considering creative accounting: do they consider it ethical or unethical? Whom they feel
responsible for creative accounting? Etc. The data has been analyzed using various statistical tools
using SPSS. The study will be important for investors as they will know about how companies
manipulate the statements and it will also be helpful to education fraternity as they would come to know
about future manager’s perspective on creative accounting.
Key words: Creative accounting, financial statement manipulation, investment decision , management
students perspective.
INTRODUCTION
What is creative accounting?
The financial statements prepared by accountants of joint stock companies serve as a basic data for
investors while making investment decision. Apart from shareholders, other stakeholders such as
employees, creditors, suppliers, government authority etc also refers financial statements for their
respective interests. It is responsibility of accountant to make sure that all material information about
which an average prudent investor ought to reasonably be informed and which will not mislead the
users of information, must be disclosed fully, fairly and in very clear terms.
It is observed that due to many reasons, the books and ledgers presented by accountancy may have
errors. Auditors have to make sure that financial statements of company are as per accounting standards.
Now it is clear that auditors can only check for the compliance of a company's books to generally
accepted accounting principles, auditing standards and company policies.
Nowadays many entities are finding new and innovative ways of running the business and one of the
new ways is creative accounting as this assist management in accomplishing personal goals. In creative
accounting, the preparers of accounts and reports try to find out the loopholes in accounting rules to
reflect what the management wants to tell the stakeholders. Managers may choose to exploit their
privileged position by managing financial reports in their own favor which is known as Creative
ISBN: 978-93-5351-069-5 364

Accounting (CA). According to K. Naser, “Creative accounting is the transformation of financial

accounting figures from what they actually are to what preparer desires by taking advantage of the
existing rules and/or ignoring some or all of them”.
Role of creative accounting in business scandals:
1. Recognizing Premature or Fictitious Revenue:

In this practice, companies recognize their revenue either before its actual occurrence or they record
revenues which are fictitious i.e., recording revenue for a non-existent sale.
2. “Big Bath” Accounting:
Big bath technique of CA is most commonly used in corporate restructuring where companies tend
to write of as many cost or loss in present duration so that the future performance of company looks
better.
3. Using Cookie Jar Reserves:
This technique refers to “over-provisioning for accrued expenses when revenues are high, so that
profits can be brought down to a level that is safe to maintain in the future.” It also includes failure
to provide all the accrued expenses to show larger profits during tougher times when needed.
4. Manipulating Inventory:
This CA technique includes manipulation of inventory by firm either by showing wrong quantity
or by showing wrong valuation.
5. Problems with Cash-flow Reporting or income statement:

Another way for companies to communicate a higher earning power is “reporting higher and more
sustainable cash flow.” It also includes the “practice of communicating a different level of earning
power using the format of the income statement” rather than through the manner in which
transactions are recorded.
OBJECTIVE OF STUDY
• To examine the role of creative accounting in business scandals.
• To study management students perspective towards creative accounting.
• To extract various factors affecting creative accounting practices.
Research design: Descriptive research design is used in the present study. Descriptive study is a fact-
finding investigation with adequate interpretation. Mainly designed to gather descriptive information
and provides information for formulating more sophisticated studies.
Sampling method: Simple random sampling is used to collect the data from the respondents
Sample unit: Management students from Navsari city
Sample size: 150 respondents
Data collection method: Data is collected through questionnaire.
LITERATURE REVIEW
(Bhasin, 2015) Studied Creative Accounting Practices in the Indian Corporate Sector. The study stated
that financial statements of a company does not provide true and fair view due to creative accounting
practices. Data was collected from preparers and users of financial statements. Majority of respondents
stated that CA affects financial statements, CA is illegal, Managers manipulates the statements and they
generally don’t trust financial statements. Respondents stated that Creative accounting benefits
manipulator and it’s difficult to detect CA. It was recommended that effective rules and regulation of
accounting, audit and Corporate Governance practices should be put in places within the corporate-
sector to prevent the occurrence of Creative Accounting.
365 ISBN: 978-93-5351-069-5

(Yadav, 2014) studied opinion of accountants, university teachers about various corporate governance
factors that has an impact on creative accounting. The study states that corporate governance also plays an
important role in creative accounting. The study has identified six factors which affects creative
accounting and corporate governance namely Involvement of outside directors, Internal Control
Mechanism, Product and Market Condition, Audit Standard, Goodwill of the firm and Capital market
Techniques. The study stated that effective audit standards can reduce creative accounting practices.
(Ms Rameesha Kalra, 2014) attempted to examine whether creative accounting is boom or curse by
taking instances from India. The study states that Creative accounting practices may include
misdirecting funds, overstating revenues/assets or understating expenses/liabilities. Enron, Satyam,
Reebok are just a few companies who have been shaken by accounting scandals. The study revealed
that creative accounting is the deliberate attempt to gain undue advantage to management by showing
false position of the firm. The study found that survival in the tough competitive environment and
increasing pressure of performing well have become the main motivator of adopting creative accounting
practices. The study suggested that few measures such as zero tolerance policy, course on ethics,
employee engagement and so on can be used to control creative accounting practices.
(Ismael, 2017) examined the Impact of Creative Accounting Techniques on the Reliability of Financial
Reporting. Data has been collected through a well-structured questionnaire from certified auditors and
accounting instructors in some universities. The result of the study shows negative relationship between
creative accounting techniques and the reliability of financial reports and positive relationship between
the roles of statutory auditors in creative accounting practice and the reliability financial reports. It
further depicts a positive relationship between the commitment to ethical standards and the reliability
financial reports. The study concluded that active corporate governance principles can be used to control
the practices of creative accounting by using independent non-executive directors.
ANALYSIS
The data has been collected from 63 % MBA students (95 students) and 55 % BBA students ( 55
students) who have heard about creative accounting.
Chart 4.1 shows respondents trustworthiness towards financial statements of company. It can be seen
in chart that 37% of respondents stated that financial statements are untrustworthy, 23% stated that
financial statements are completely untrustworthy. 21% respondents stated that financial statements are
trustworthy and 10 % stated that statements are completely trustworthy.
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Chart 4.2 represents the reasons of using creative accounting according to respondents. 28 %
respondents stated that companies uses CA to attract investment, 27 % respondents stated that CA is an
art of making financial statements more attractive, 25 % respondents stated that CA provides benefits
to respondents and 20 % respondents stated that strong competition is the reason of using CA.
Chart 4.3 depicts respondents’ opinion regarding how easy or hard it is to detect creative accounting in
financial statements. It can be seen that 46 % respondents stated that it is hard to detect CA, 17 %
respondents stated that it is easy to detect CA.
Chart 4.4 depicts that 61 % respondents think we need more accounting regulations to control CA.
367 ISBN: 978-93-5351-069-5

Chart 4.5 reveals that 65 % of respondents agree that we should completely trust auditors comment for
financial statement of company. And 35 % of respondents stated that auditors comment cannot be
trusted completely.
Chart 4.6 represents that majority of respondents (31 %) strongly agree that Profitability of firm affects
CA. 37% respondents are strongly agree that Cost of production affects CA. 35% respondents are
strongly agree that Audit system of firm should be efficient to reduce CA. 31% respondents are strongly
agree that CA is affected by standards of audit firm and 37% respondents are strongly agree that Rules
should be more strict to reduce CA.
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Chart 4.7 shows that 32% respondents are strongly agree that Penalties or other punishment should be
made to reduce CA. 27% respondents are agree that proper remuneration to managers reduces CA.
29% respondents agree that Transparency in internal functioning enhances CA. 33% respondents agree
that Firms having good market image tends to be less attracted towards CA. 24 % respondents are
strongly agree that Firms planning to expand in future does not involve in CA to maintain their image.
Chart 4.8 shows that 27% respondents are agree that Competition in market affects CA. 25%
respondents disagree that Market price of product affects CA. 23 % respondents are neutral regarding
Flexibility in using the methods of accounting in valuation helps in lowering CA.29% respondents
strongly agree that Lower cost of borrowing from financial institutions helps in reducing CA by
369 ISBN: 978-93-5351-069-5

managers. 31% respondents agree that Internal targets set up by higher management leads to CA. 26%
respondents are neutral regarding firms use CA as a defense technique against hostile takeover by
showing fewer assets in balance sheet. 27% respondents agree that Companies Smooth out results to
give an impression of stability or sustained improvement by using CA.
Ho: Correlation matrix is an identity matrix

H1: Correlation matrix is not an identity matrix
KMO and Bartlett's Test

Kaiser-Meyer-Olkin Measure of Sampling Adequacy. .785
Bartlett's Test of Sphericity Approx. Chi-Square 119.131
df 136
Sig. .001
It can be seen from table that the KMO measure is 0.785 which is more than 0.5 which means the
sample size taken for the study is appropriate for factor analysis.
It can be seen from the table that the value of the significance for Bartlett’s test of Sphericity is 0.001
which is less than 0.05. So null hypothesis is rejected and alternative hypothesis is accepted. It means
that present correlation matrix is not an identity matrix.
Statements Item to
Fact correlate
or
1 Profitability of firm affects CA. 0.8036
Cost of production affects CA. 0.8394
Audit system of firm should be efficient to reduce CA. 0.5323
CA is affected by standards of audit firm. 0.8377
Rules should be more strict to reduce CA. 0.7929
2 Penalties or other punishment should be made to reduce CA. 0.7865
Internal system of organization 0.8078
Transparency in internal functioning enhances CA. 0.6523
3 Firm having good market image tends to be less attracted towards CA. 0.5645
Firms planning to expand in future does not involve in CA to maintain their 0.5661
image.
Companies Smooth out results to give an impression of stability or sustained 0.5123
improvement by using CA.
4 Competition in market affects CA. 0.5364
Lower cost of borrowing from financial institutions helps in reducing CA by 0.5423
managers.
Factor 1 includes the variables which are related with profit and cost of firm. This factor is labeled as
“Firms Profitability”. Factor 2 includes variables related to audit system, standard of audit firm, rules
of audit firm and transparency in internal functioning. This factor is labeled as “Audit standard”. Factor
3 is labeled as “Goodwill of firm” as it includes variables regarding company image. Factor 4 is labeled
as “Market condition” as it includes variables regarding competition in market and lower cost of
borrowing.
CONCLUSION
Creative accounting is one of the most common ways of manipulating financial statements by not
following accounting standards or by identifying loophole in standard and manipulating the amounts in
ISBN: 978-93-5351-069-5 370

financial statements. There can be various reasons which lead the firm to adopt creative accounting and
represent financial statements differently. Present research has identified this problem and focused on
examining factors affecting the adoption of creative accounting. Present research depicts the opinion
of management students towards creative accounting.
The analysis shows that majority of respondents feel financial statements are untrustworthy and it is
difficult to detect creative accounting in statements. Majority of respondents stated that companies
indulge in CA for attracting investment within firm. Respondents stated that more accounting
regulations have to be made to control CA. Present study has used 17 variables to identify the factors
which are responsible for CA using principal component analysis and it has extracted 4 factors namely
firms profitability, audit standard, goodwill of the firm and market condition.
It was observed in the study that majority of respondents trusted the comments of auditors regarding
reliability of financial statements. So, it is suggested that company should have auditors from well
established entity and it should allow auditors to work independently. Investors should also collect
proper data regarding company before finalizing their investment pattern. Institutional investors while
performing corporate restructuring should check the physical existence of asses which are written in
balance sheet. Lastly, the present study would like to conclude that it is not possible to completely
eliminate CA, however companies should try to reduce the negative impact on stakeholders.
REFERENCES
[1]. Al-Dalabih, F. A. (2017), "The Practice of Creative Accounting on the Jordanian Banking
Sector: A Case Study in the Northern Region", Australian Academy of Accounting and Finance
Review , 3 (3).
[2]. Bhasin, D. M. (2015)," Creative Accounting Practices in the Indian Corporate Sector: An
Empirical Study",International Journal of Management Sciences and Business Research , 4
(10).
[3]. Dr. Prerna Jain, D. A. (2015),"Role of creative accounting in financial scandals: An exploratory
study of some high profile companies", International Journal of Applied Financial Management
Perspectives , 4 (3).
[4]. Dr. Syed Zulfiqar Ali Shah, D. S. (2011),"Creative Accounting: A Tool to Help Companies in
a Crisis or a Practice to Land Them into Crises", International Conference on Business and
Economics Research, 16. Singapore.
[5]. Ismael, A. Y.(2017)," The Impact of Creative Accounting Techniques on the Reliability of
Financial Reporting with Particular Reference to Saudi Auditors and Academics", International
Journal of Economics and Financial Issues , 7 (2).
[6]. Laura Maria Popescu, I. A.-N. (2013),"Detecting Creative Accounting Practices and their
Impact on the Quality of Information Presented in Financial Statements", Journal of Knowledge
management,Economics and Information Technology , 3 (6).
[7]. Ms Rameesha Kalra, M. M. (2014), "Creative Accounting: Boom Or Curse – Instances From
India", Indian Journal Of Management Science (IJMS) , 5 (2).
[8]. Rajput, D. M. (2014)," Creative Accounting: Some Aspects", International Journal of Business
and Administration Research Review , 2 (4).
[9]. Raju, D. K. (2014),"Critical Analysis Of The Creative Accounting", Elk Asia Pacific Journal
Of Finance And Risk Management , 5 (4).
[10]. Syed Zulfiqar Ali Shah, S. B. (2011),"Use or Abuse of Creative Accounting Techniques",
International Journal of Trade, Economics and Finance , 2 (6).
[11]. Yadav, B. (2014),"Creative Accounting: An Empirical Study from Professional Prospective",
International Journal of Management and Social Sciences Research (IJMSSR) , 3 (1).
371 ISBN: 978-93-5351-069-5

PCM048
A STUDY ON RECENT BUYBACK IN INDIA & THEIR IMPACT ON
SHARE PRICES
Brijesh Patel Shreya Panchal Krishna Bhatt
Student, Student, Assistant Professor,
ITM Universe Vadodara ITM Universe Vadodara ITM Universe Vadodara
bjpate262@gmail.com pshreya196@gmail.com gor_krishna@yahoo.com
Abstract
In India, share buybacks were introduced in 1998 and have received attention of all the major
companies. This paper empirically examines the announcement period price reaction of a sample of 15
buybacks announced by companies listed in the Bombay Stock Exchange and National Stock Exchange
of India Ltd. for the period beginning April 2018 to October 2018. The sample is selected using Random
sampling method. The study uses the Market Model-Event Study Methodology with event window of 41
days (20 days prior to announcement and 20 days’ post announcement) and announcement date (A
date, t0) as the event date, to examine the market reaction. The findings indicate that there is no impact
of buyback announcement on market (The P – value is 0.579).
Keywords: Buyback, Market Model, Event study, stock returns
INTRODUCTION
Share capital represents owner's contribution in the business. It is most significant part of a company.
The share capital of a company has to be subscribed by one or more persons. After the share of a
company has been allotted to the subscriber, the subscriber has no right over the money gone as
proceeds of the shares subscribed. All that the shareholder has is the right to vote at the general meeting
of the company or the right to receive dividend or right to such other benefits which may have been
prescribed. The only option left with the shareholder in order to realise the price of the share is to
transfer the share to some other person.
But there are certain provisions in the Company Act which allows the shareholders to sell the shares
back to the company which is often termed as buy back of shares. Buy back of shares can be understood
as the process by which a company buys its share back from its shareholder or a resort a shareholder
can take in order to sell the share back to the company.
Reasons for buyback

• To boost Earning Per Share (EPS)
One of the common reasons why companies go for share buyback is to boost earnings per share
(EPS), because share buyback reduces outstanding shares in the market.
• Reward shareholders:
Another common reason for companies to go for a share buyback is to distribute excess cash to
shareholders because the tender offer is usually more than the current price.
• Undervalued shares:
At times when the company feels the shares are undervalued, a share buyback is used to pump
up the stock price, which acts like a support or new base for the stock. A buyback reassures
investors that the company has confidence in itself and is determined to work towards creating
value for shareholders.
• Lack of growth opportunities:
This is a controversial point, but quite relevant, especially in the case of IT industry, which has
quite a lot of cash on the books but has fewer growth opportunities.
• Tax advantage:
Share buyback makes sense for companies, because of tax arbitrage opportunities, where the
programme delivers a higher value to shareholders compared to a dividend distribution.
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Methods of share buyback
• Fixed price Tender offer:

A company may approach shareholders with a formal tender offer, whereby they have the
option to submit (or tender) potion or all share within a certain period at a pre-set, generally at
premium. Tender offer is preferred when the buyback is large. If the shareholders tender more
shares than the specified, the company has discretion to purchase the whole or a part of the
excess shares or company may accept the share on a pro-rata basis.
• Open Market buy back:
Here company announces maximum buy price and minimum buy price buyback price, while
the actual price is market determined. This option companies generally uses when the size of
buy back is relatively small. The company's prime objective here is not to manipulate the price
but to distribute the excess cash to shareholders instead of dividend.
OBJECTIVES
1. To study the AAR movement, pre-announcement of buyback and post-announcement of

buyback of shares by 15 companies listed on BSE & NSE.
2. To analysis whether buyback announcement has got any significant impact on AAR of
companies.
The objective of the study is to investigate the impact of buyback on the share price performance of
sample of 15 companies. The time period selected for the study is April 2018 to October 2018. The
announcement date and closing share prices of selected sample have been taken from
www.moneycontrol.com. The share price data is collated for a total 41 trading days, 20 days prior to
the buyback announcement, the share price on announcement date and 20 days post to the buyback
announcement date. In this study, the market model event study methodology has been used to measure
the effect of buyback announcement. The study undertakes to determined Average Return (AR) and
Average Abnormal Return (AAR) associated with the buyback around the announcement date.
Research hypothesis
H0: There is no significant difference in AAR of companies pre-announcement and post-announcement

of buyback.
H1: There is significant difference in AAR of companies pre-announcement and post-announcement of
buyback.
LITERATURE REVIEW
Mishra (2005) investigated share buybacks in India, which took place in the period 1999 till 2001. The
announcement of a buyback resulted in a rise in the stock price. This was a short-term phenomenon.
The prices of shares had no sustainable basis to stay higher than before the announcement. After the
buyback, the price of a share decrease below the price before the announcement of the buyback. The
study concludes the buybacks were not successful in India and that a buyback could not ensure a
sustained increase of the share prices.
Arora (2012) studied Indian capital market and analyse announcements of the underlying stock on
Bombay Stock Exchange. Taking a comprehensive sample of 115 announcements during a period of
2000-2009, an attempt had been made to understand the dynamics of buy backs in relation to effect on
liquidity of the stocks in the market. This study tried to comprehend both short and long term impact of
buy back announcements on liquidity. The results of the study confirmed the presence of some
relationship between buy back and liquidity.
373 ISBN: 978-93-5351-069-5

Purohit et al (2012) analyzed financial event buy back of shares with an aim to evaluate the impact of
its announcement on stocks listed on National Stock Exchange S&P CNX 500 (index). The present
study could not find evidence of abnormal returns associated with the announcement of buy back of
shares in the Indian capital market. In this paper mode of buy back has also been analyzed. No
significant impact of mode of buyback has been seen from analysis. Market reacted positively but
insignificantly in case of buyback through open offer.
Ekanayake and Samson (2012) examined the information signalling effects of on market buy back
announcements. If the signal was considered positive (negative) by the market, the price of the
repurchasing company's shares would increase (decrease) immediately after the announcement. If there
is no information content in the announcement, the price will remain the same. In this study, signalling
effect of share buyback announcements was examined using most recent Australian data. The daily
Abnormal Returns (AR) and Cumulative Abnormal Returns (CAR) during the event period were
computed. The results strongly supported the information signalling hypothesis of share buy backs.
Australian market generally considers announcement of on market share repurchases as signalling of
insider information that shares were currently under-priced.
A research by Dr. L.C. Gupta, Naveen Jain and Anil Kumar (2006) examined the effect of share
buyback on share prices. They differentiate between announcement effect and actual post buyback
effect. A comparison was made for share prices at different time period; pre-buyback, closing prices on
the opening day and on the closing day of the buyback offer. They conclude that share buyback
exercised a positive pull on the share price and the buyback company’s shares often moved upwards
when the general market movement was downwards.
Kaur and Bal winder (2003) examined the Buy Back of Shares announcements on stock repurchase
announcements. The study period ranges from 1999 to 2004 and sample of 83 events, based on Bombay
Stock Exchange. It also used Event Methodology for 21 days’ event window 10 days before and after
share repurchase announcements. The study focused on Signalling, Undervaluation, Cash Flow and
Leverage hypothesis. It observed that the mean abnormal returns are 2.22 percentage on day and
significant at 1 percent level of significance. The result showed that the market reaction to buy back
announcement has been positive during the study period. The average abnormal return and cumulative
average abnormal returns recorded were 2.22 and 8.82 percentage respectively. The average abnormal
return and cumulative average abnormal return are positive and statistically significant at 5 percent level
of significance. The study showed that the average abnormal return whole time positive except the 6
days out of 21 days. The cumulative average abnormal return is positive and significant on the
announcement day. The study supported the Signalling and Leverage Hypothesis. The average
abnormal return has been positive and statistically significant at 5 per cent level of significance.
Purohit, Satija & Chattwal (2012) explored the impact of buyback of shares on movement on stock
prices. It had used the event methodology to see the impact of announcement of buy back of shares. It
used data of 45 companies listed on National Stock Exchange for study period ranges from 2006 to
2010. The study used two hypotheses i.e. buyback of shares announcement has no significant influence
on the stock prices of companies in India and it investigated the impact of buyback of shares on the
stock price behaviour in India. The study observed that the stock market efficiency is not concerned
with direction of change in the stock prices rather it is concerned with magnitude of changes. The study
found that average abnormal return is 0.014 percentage, which is statistically insignificant on
announcement day. The result of the study indicates that the buyback of shares is treated as positive
signal for the investors. It also further reported for the investors buyback of shares do not lead to a long
term permanent improvement in valuation of shares. The study terminated that the market reacted
positively but insignificant in case of buy back through open market. The results hold that stock market
efficient in semi strong form.
Submathi & Manuelpinto (2014) analyzed the effect of Buy Back of Shares on stock prices in India.
The study period was 2012 to 2014 and sample of 56 companies listed on Bombay stock Exchange.
The study examined the reaction of share repurchase pre and post announcement of Buy back of shares.
ISBN: 978-93-5351-069-5 374

It also analyzed the mean price of share before 10 days and after 10 days’ announcement of Buy Back
of shares in India during the study period. The study found that the only J.K Laxmi Cement Ltd has
been maximum increased share price during the study period. It concluded that the increased in share
price has been also increased shareholder’s wealth or decrease in share price leading to a decrease in
shareholder’s wealth.
Harris and Ramsay (1995) examined share buyback for the period 1989-93 in Australia. They find that
the announcement of share buybacks is associated with a positive abnormal price performance, the
effect is not statistically significant.
A study by Dr. Ishwar in Nov (2010) on the stock price responses to 106 buyback announcements in
India revealed that the share buyback announcements have not provided any additional information to
the market. The absence of any change in the movement of stock price reaction to buyback reveals that
market anticipates the information provided by these announcements and incorporates this before the
announcement.
India has few cases of buyback announcements and academic studies. Gupta (2006) finds significant
CAR of 12.89% for 46 buybacks for 61-day event period. The announcement day average abnormal
return (AAR) is 1.68%, significant at 1% level. Mohanty (2002) analyses 12 buybacks and finds an
AAR of around 0.56% on the announcement day and an overall CAR of 11.26% for 61-day event
period. Mishra (2005) finds that the positive announcement day returns are not sustained on long-term
basis and market price in post-offer period falls to the pre-offer level. Kaur and Singh (2003) and
Thirumalvalvan and Sunitha (2006) too analyse the market reaction to buybacks in India.
It may be observed from the above review literature that buy back announcements in some studies
showed positive returns and in some, negative returns. There was a mix response with respect to buy
back announcement. So, the need was felt to fill this gap and achieve the objectives of the study.
ANALYSIS & FINDINGS

Table1: List of companies and date of announcement of buyback
Name of company Date of announcement
AkzoNobel India Ltd 06-Apr-18
Jagran Prakashan Pvt Ltd 26-Apr-18
Indiabulls Real Estate Ltd. 18-May-18
DB Cor Ltd 27-Jun-18
Weizmann Forex 04-Jun-18
TCS 12-Jun-18
HCL Technologies 12-Jul-18
Just Dial 21-Jul-18
Mphasis Ltd 07-Aug-18
Navneet Education Ltd 20-Aug-18
L&T 23-Aug-18
Redington India Ltd 17-Sep-18
KIOCL Ltd 18-Sep-18
NLC India 09-Oct-18
NALCO 12-Oct-18
Source: www.moneycontrol.com
375 ISBN: 978-93-5351-069-5

Table 2: Share prices of 15 companies of announcement date and around the announcement date [t-20 to t+20]
COMPANY NAME
EVENT Indiabulls
Jagran HCL Navneet
AkzoNobel Real DB Cor Weizmann Mphasis Redington KIOCL NLC
WINDOW Prakashan TCS Technolo Just Dial Educatio L&T NALCO
India Ltd Estate Ltd Forex Ltd India Ltd Ltd India
Pvt Ltd gies n Ltd
Ltd.
ISBN: 978-93-5351-069-5
-20 1756.1 172.85 200.55 263.7 1058.8 1716.78 936.75 560.95 1131.5 111.3 1324 93.15 178.05 74.15 69.85
-19 1830.45 172.85 195.35 259.6 1046.25 1741.2 947.4 545.8 1147.65 111.9 1320.7 95.6 180.1 74.65 69.7
-18 1851.85 172.45 193.7 260.35 1024.6 1746.95 933.7 551.85 1167.8 118.7 1305.95 92.8 172.65 73.8 70.15
-17 1813.45 171.95 196.95 259.25 1041.5 1745.9 922.2 533.4 1214.3 115.05 1311.45 89.95 169.35 73.15 69.95
-16 1793 168.95 205.8 252.95 1009.05 1751.03 911.95 542.4 1204.4 109.9 1295.35 90.55 166.5 71.4 68.05
-15 1771.55 171.4 203.85 258.25 1006.3 1778.38 904 554.9 1152.95 110.45 1302.3 91.55 172.15 69.95 68.7
-14 1771.9 173.55 199.3 259.1 1011.35 1754.45 906.5 530.35 1136.8 111.6 1298 92.25 174.45 70.95 65.75
-13 1762.4 173.65 215.2 259.25 988.45 1747.55 908.35 568.7 1148 111 1282.4 100.9 167.4 72.45 65.1
-12 1763.3 172.8 212 259.9 999.3 1801.85 909.3 576.6 1162.35 119.6 1290 103.4 170.9 69.9 65.85
-11 1769.2 171.3 205.5 259.35 1001 1792.9 918.95 566.15 1127.4 117.35 1290.45 104.05 169.4 69.35 66.75
-10 1762.8 170.95 206.8 258.65 985.8 1751.03 910.05 570.3 1171.2 118.1 1295.3 105.05 169.65 69.85 64.8
376
-9 1772.2 167.95 208.2 262.75 946.45 1761.75 926.9 592.45 1175 118.45 1298.25 105.15 171.65 69 60.6
-8 1805.75 168 209.5 263.4 904.9 1757.05 925.3 588.8 1125.35 117.4 1284.7 103.25 172.4 67.1 62.1
-7 1789.55 157.2 204.06 264.15 855.85 1741.05 937.65 584.95 1121.2 117.05 1264.65 101 174.1 67 69
-6 1789.55 158.55 198.09 262.9 796.1 1732.45 925.4 585.5 1108.3 120.2 1269.05 105.5 177.6 67.3 69.1
-5 1789.55 158.05 196.35 259.75 836.55 1721.6 936 571.1 1151.75 118.45 1253.25 109.25 181.25 66.55 65.1
-4 1807.15 161.9 196.25 258.05 918.9 1725.75 945.4 569 1204.9 118.1 1231.65 104.25 176.05 68.6 61.1
-3 1805.55 163.25 185.08 253.95 848.85 1735.55 961.25 586.7 1178.75 122.5 1240.15 111 188.75 73.25 61.2
-2 1938.9 162.85 208.65 245.65 679.1 1747.1 979.1 570.95 1199.85 123.3 1323.7 110.15 226.5 72.05 66.7
-1 1937.35 163.8 210.95 245.7 638.1 1749.7 995.05 592 1175 123.7 1322.55 111.8 233.9 72.35 66.95
EVENT DAY 1909.85 163.75 205.7 251.45 562.85 1781 1005.3 579.7 1190.3 127.1 1352.05 106.7 229 73.95 66.95
Table1 Continues on next page…..

1927.2 165 185.2 255.1 503.5 1824.1 984.85 555.7 1149.55 126.3 1342.9 104.4 184.35 81.85 66.7
2 1923.35 170.4 191.6 257.6 553.85 1787.55 974.1 562.5 1150.7 128.7 1356.1 103.45 170.1 82.75 67.1
3 1917.8 170.4 189.75 261.85 533.55 1840.05 981.15 557.15 1153.05 128.25 1355.6 96.7 168.1 84.1 65.9
4 1918.95 167.9 185.25 263.05 529.35 1829 989.55 568.25 1168.45 130.4 1351.55 100.25 167.7 84.65 67.05
5 1917.4 168 189.15 263.45 516.7 1824.5 983.95 572.25 1163.25 136.3 1346.55 100 167.7 85.1 67.2
6 1912.5 167.5 191.95 265.1 514.05 1822.45 996.15 571.5 1187.35 137 1369.55 99.9 167.45 84.95 67.3
7 1914.7 166.7 189.2 261.15 526.55 1819.35 1003.05 560.15 1186.9 137.3 1363 96.7 157.7 84.2 67.3
8 1905.8 167 187.3 277.75 517.25 1809.8 992.5 559.2 1198 136.9 1369 93.9 155.1 84.05 66.3
9 1925.35 166.5 188.1 279.75 506.05 1819.25 964.35 549.6 1197.4 132.75 1359.3 91.95 159.55 79.9 67.5
10 1922.25 165.9 184.7 281.7 500.05 1852 952.45 558.25 1218.95 130.6 1348 91.55 157.45 78.8 68.85
-12 1763.3 172.8 212 259.9 999.3 1801.85 909.3 576.6 1162.35 119.6 1290 103.4 170.9 69.9 65.85
-11 1769.2 171.3 205.5 259.35 1001 1792.9 918.95 566.15 1127.4 117.35 1290.45 104.05 169.4 69.35 66.75
-10 1762.8 170.95 206.8 258.65 985.8 1751.03 910.05 570.3 1171.2 118.1 1295.3 105.05 169.65 69.85 64.8
-9 1772.2 167.95 208.2 262.75 946.45 1761.75 926.9 592.45 1175 118.45 1298.25 105.15 171.65 69 60.6
-8 1805.75 168 209.5 263.4 904.9 1757.05 925.3 588.8 1125.35 117.4 1284.7 103.25 172.4 67.1 62.1
-7 1789.55 157.2 204.06 264.15 855.85 1741.05 937.65 584.95 1121.2 117.05 1264.65 101 174.1 67 69
Table -6 1789.55
is in continuation of158.55 198.09
the previous page. 262.9 796.1 1732.45 925.4 585.5 1108.3 120.2 1269.05 105.5 177.6 67.3 69.1
-5 1789.55 158.05 196.35 259.75 836.55 1721.6 936 571.1 1151.75
Table 2: Share prices of 15 companies of announcement date and around the announcement date [t-20 to t+20] 118.45 1253.25 109.25 181.25 66.55 65.1
-4 1807.15 161.9 196.25 258.05 918.9 945.4
1725.75 COMPANY 569
NAME 1204.9 118.1 1231.65 104.25 176.05 68.6 61.1
-3 1805.55 163.25 185.08
Indiabulls 253.95 848.85 1735.55 961.25 586.7 1178.75 122.5 1240.15 111 188.75 73.25 61.2
EVENT Jagran HCL
-2 1938.9
AkzoNobel 162.85 208.65
Real 245.65
DB 679.1
Cor Weizmann 1747.1 979.1 1199.85 Navneet
570.95 Mphasis 123.3 110.15
1323.7 Redington 226.5
KIOCL 72.05
NLC 66.7
WINDOW Prakashan TCS Technolo Just Dial Educatio L&T NALCO
-1 1937.35
India Ltd 163.8 210.95
Estate 245.7
Ltd 638.1
Forex 1749.7 995.05 592 1175
Ltd 123.7 111.8
1322.55 India Ltd 233.9
Ltd 72.35
India 66.95
Pvt Ltd gies n Ltd
Ltd.
EVENT 1756.1
-20DAY 1909.85 172.85
163.75 200.55
205.7 263.7
251.45 1058.8
562.85 1716.78
1781 936.75
1005.3 560.95
579.7 1131.5
1190.3 111.3
127.1 1324
1352.05 93.15
106.7 178.05
229 74.15
73.95 69.85
66.95
-19 1830.45 172.85 195.35 259.6 1046.25 1741.2 947.4 545.8 1147.65 111.9 1320.7 95.6 180.1 74.65 69.7
-18
1 1851.85
1927.2 172.45
165 193.7
185.2 260.35
255.1 1024.6
503.5 1746.95
1824.1 933.7
984.85 551.85
555.7 1167.8
1149.55 118.7
126.3 1305.95
1342.9 92.8
104.4 172.65
184.35 73.8
81.85 70.15
66.7
-17
2 1813.45
1923.35 171.95
170.4 196.95
191.6 259.25
257.6 1041.5
553.85 1745.9
1787.55 922.2
974.1 533.4
562.5 1214.3
1150.7 115.05
128.7 1311.45
1356.1 89.95
103.45 169.35
170.1 73.15
82.75 69.95
67.1
-16
3 1793
1917.8 168.95
170.4 205.8
189.75 252.95
261.85 1009.05
533.55 1751.03
1840.05 911.95
981.15 542.4
557.15 1204.4
1153.05 109.9
128.25 1295.35
1355.6 90.55
96.7 166.5
168.1 71.4
84.1 68.05
65.9
-15
4 1771.55
1918.95 171.4
167.9 203.85
185.25 258.25
263.05 1006.3
529.35 1778.38
1829 904
989.55 554.9
568.25 1152.95
1168.45 110.45
130.4 1302.3
1351.55 91.55
100.25 172.15
167.7 69.95
84.65 68.7
67.05
-14
5 1771.9
1917.4 173.55
168 199.3
189.15 259.1
263.45 1011.35
516.7 1754.45
1824.5 906.5
983.95 530.35 1136.8
572.25 1163.25 111.6
136.3 1298
1346.55 92.25
100 174.45
167.7 70.95
85.1 65.75
67.2
6
-13 1912.5
1762.4 167.5
173.65 191.95
215.2 265.1
259.25 514.05
988.45 1822.45
1747.55 996.15
908.35 571.5
568.7 1187.35
1148 137
111 1369.55
1282.4 99.9
100.9 167.45
167.4 84.95
72.45 67.3
65.1
7
-12 1914.7
1763.3 166.7
172.8 189.2
212 261.15
259.9 526.55
999.3 1819.35 1003.05
1801.85 909.3 560.15
576.6 1186.9
1162.35 137.3
119.6 1363
1290 96.7
103.4 157.7
170.9 84.2
69.9 67.3
65.85
8
-11 1905.8
1769.2 167
171.3 187.3
205.5 277.75
259.35 517.25
1001 1809.8
1792.9 992.5
918.95 559.2
566.15 1198
1127.4 136.9
117.35 1369
1290.45 93.9
104.05 155.1
169.4 84.05
69.35 66.3
66.75
377
9
-10 1925.35
1762.8 166.5
170.95 188.1
206.8 279.75
258.65 506.05
985.8 1819.25
1751.03 964.35
910.05 549.6
570.3 1197.4
1171.2 132.75
118.1 1359.3
1295.3 91.95
105.05 159.55
169.65 79.9
69.85 67.5
64.8
10
-9 1922.25
1772.2 165.9
167.95 184.7
208.2 281.7
262.75 500.05
946.45 1852
1761.75 952.45
926.9 558.25 1218.95
592.45 1175 130.6
118.45 1348
1298.25 91.55
105.15 157.45
171.65 78.8
69 68.85
60.6
11
-8 1917.3
1805.75 166
168 176
209.5 283.85
263.4 490.6
904.9 1858
1757.05 963.7
925.3 563.55
588.8 1255.6
1125.35 129.7
117.4 1347.1
1284.7 91.5
103.25 154.5
172.4 82.85
67.1 69.15
62.1
12
-7 1938.9
1789.55 165.45
157.2 172.15
204.06 275.1
264.15 482.3
855.85 1842.7
1741.05 947.2
937.65 569.6
584.95 1268.85
1121.2 130.7 1347.5
117.05 1264.65 89.85
101 151
174.1 80.75
67 68.2
69
13
-6 1917
1789.55 166.15
158.55 177.95
198.09 253.9
262.9 530.35
796.1 1847.75
1732.45 964.8
925.4 575.2
585.5 1248.3
1108.3 128.1
120.2 1336.8
1269.05 89
105.5 153.7
177.6 81.2
67.3 69.15
69.1
14
-5 1912.8
1789.55 165.6
158.05 177.8
196.35 253.7
259.75 503.75
836.55 1851.35
1721.6 978.25
936 574.65
571.1 126.3
1247.75 118.45
1151.75 1329.65
1253.25 88.1
109.25 158.15
181.25 82.25
66.55 68.2
65.1
15
-4 1915.75
1807.15 165.2
161.9 173.5
196.25 266.15
258.05 496.75
918.9 1874.05
1725.75 962.8
945.4 565.75
569 1260.7
1204.9 125.55
118.1 1352.25
1231.65 89.05
104.25 155.15
176.05 81
68.6 69.5
61.1
16
-3 1926.7
1805.55 163.5
163.25 172.4
185.08 263.25
253.95 499.7
848.85 1866.15
1735.55 965.45
961.25 580.45
586.7 1260
1178.75 124.75
122.5 1358.85
1240.15 88.25
111 160.85
188.75 81.55
73.25 69.3
61.2
17
-2 1926.7
1938.9 163.3
162.85 173.85
208.65 262.7
245.65 497.6
679.1 1880.3
1747.1 956.9
979.1 573.65 1247.95
570.95 1199.85 125.25
123.3 1344.75
1323.7 88.3
110.15 158.5
226.5 81.6
72.05 70.9
66.7
18 1928.4 164.85 172.6 263.45 510.6 1912.95 967.81 574.35 1268.2 122.95 1327.9 88.55 162.65 81.3 70.1
-1 1937.35 163.8 210.95 245.7 638.1 1749.7 995.05 592 1175 123.7 1322.55 111.8 233.9 72.35 66.95
19 1919.35 163.75 171.2 267.35 493.85 1883 964.9 572.9 1238.25 120.8 1332.9 87.4 158.3 81.2 70.65
20 1918.05
EVENT DAY 1909.85 164.1
163.75 170.8
205.7 258.05
251.45 504.35
562.85 1875.1
1781 957.75
1005.3 584.3
579.7 1245.3
1190.3 119
127.1 1329.7
1352.05 86.45
106.7 156.3
229 81.25
73.95 70.3
66.95
21 [ For
Getting 1919.15 165.1 170.25 249.75 503.4 1979.9 966.3 567.5 1238.9 117.35 1318.35 86.15 156.9 81.2 69.6
1 1927.2 165 185.2 255.1 503.5 1824.1 984.85 555.7 1149.55 126.3 1342.9 104.4 184.35 81.85 66.7
Average]
2 1923.35 170.4 191.6 257.6 553.85 1787.55 974.1 562.5 1150.7 128.7 1356.1 103.45 170.1 82.75 67.1
Source: www.moneycontrol.com
3 1917.8 170.4 189.75 261.85 533.55 1840.05 981.15 557.15 1153.05 128.25 1355.6 96.7 168.1 84.1 65.9
4 1918.95 167.9 185.25 263.05 529.35 1829 989.55 568.25 1168.45 130.4 1351.55 100.25 167.7 84.65 67.05
ISBN: 978-93-5351-069-5
5 1917.4 168 189.15 263.45 516.7 1824.5 983.95 572.25 1163.25 136.3 1346.55 100 167.7 85.1 67.2
6 1912.5 167.5 191.95 265.1 514.05 1822.45 996.15 571.5 1187.35 137 1369.55 99.9 167.45 84.95 67.3
7 1914.7 166.7 189.2 261.15 526.55 1819.35 1003.05 560.15 1186.9 137.3 1363 96.7 157.7 84.2 67.3
8 1905.8 167 187.3 277.75 517.25 1809.8 992.5 559.2 1198 136.9 1369 93.9 155.1 84.05 66.3
9 1925.35 166.5 188.1 279.75 506.05 1819.25 964.35 549.6 1197.4 132.75 1359.3 91.95 159.55 79.9 67.5
Table3: AAR of 15 companies [Day wise]

Event Window AAR of 15 companies
-20 -0.44%
-19 0.06%
-18 0.48%
-17 0.94%
-16 -0.41%
-15 0.35%
-14 -1.22%
-13 -1.15%
-12 0.49%
-11 -0.10%
-10 0.05%
-9 0.58%
-8 0.49%
-7 0.06%
-6 -0.13%
-5 -0.39%
-4 -0.92%
-3 -1.52%
-2 -0.43%
-1 0.71%
EVENT DAY 2.89%
1 -0.81%
2 0.47%
3 -0.58%
4 -0.40%
5 -0.55%
6 0.72%
7 0.12%
8 0.58%
9 0.02%
10 -0.27%
11 0.79%
12 -0.46%
13 0.16%
14 -0.18%
15 -0.40%
16 -0.03%
17 -0.55%
18 0.73%
19 0.16%
20 0.09%
ISBN: 978-93-5351-069-5 378

From the above statistics, we can see that the significance value (P value i.e. 0.579) is greater than 0.01 i.e. P > 0.01 at 1% level of significance.
Here we fail to reject the null hypothesis and conclude that there is no significant difference in AAR of companies pre-announcement and post-
announcement of buyback.
379 ISBN: 978-93-5351-069-5

Limitation of the study
1. Time period for study is less.

2. Number of trading days consider for this study is less.
3. This study does not consider CAAR.
CONCLUSION
The study conducted reveals that there is no market reaction with buyback announcement. The study
done for 15 BSE & NSE listed companies and Abnormal Return associated with the buybacks is
computed for the trading days around the event date for the sample stock during the April 2018 to
October 2018. The share prices indifferent to the market announcements of buybacks in short run.
However, the results are true for the select sample of companies and during the period considered for
the study. It cannot be generalized for other stock or BSE/NSE companies.
REFERENCES
[1]. Mishra, A. K. (2005). An empirical analysis of share buybacks in India. ICFAI Journal of
Applied Finance., 11 (5), 5-24
[2]. Thirumalvalavan & Sunitha (2006). Share price behaviour around buyback and dividend
announcements in India. Paper presented at Indian Institute of Capital Markets 9th Capital
Markets Conference Paper.
[3]. Gupta, L. C. (2006). Corporate practices regarding buyback of shares and its regulation in India.
Society for Capital Market and Research, 1-84.
[4]. Hyderabad, R.L. (2009) . Price performance following share buyback announcements in India.
Vision- The Journal of Business Perspective, 13 (1), 59 - 78.
[5]. Ishwar, P. (2010). Stock price responses to the announcement of buyback of shares in India.
Indian Journal of Commerce and Management Studies, 1(1), 14-29.
WEBSITES
[1]. https://eprawisdom.com/
[2]. https://www.lawctopus.com/academike/buy-back-shares/
[3]. https://www.caclubindia.com/forum/buyback-of-shares-under-new-companies-act-2013-
387587.asp
[4]. https://economictimes.indiatimes.com/markets/stocks/news/good-or-bad-top-five-reasons-
why-companies-go-for-share-buyback/articleshow/57267018.cms
[5]. https://www.scmspune.ac.in/chapter/Chapter%206.pdf
[6]. https://eprawisdom.com/jpanel/upload/articles/1139pm12.Karamjit%20Kaur%20&%20Prof.
Neelam%20Dhanda.pdf
[7]. http://shodhganga.inflibnet.ac.in/bitstream/10603/3493/9/09_chapter%202.pdf
[8]. http://krishikosh.egranth.ac.in/bitstream/1/96460/1/Simardeep%20Kaur.pdf
[9]. http://krishikosh.egranth.ac.in/
[10]. http://www.goforthelaw.com/
[11]. http://www.iracst.org/
[12]. https://ideas.repec.org/
[13]. http://www.ijmra.us/
[14]. http://www.deakin.edu.au/
[15]. https://www.inderscienceonline.com/doi/abs/10.1504/AAJFA.2011.041633
ISBN: 978-93-5351-069-5 380

PCM129
ARE INDEPENDENT DIRECTORS REALLY INDEPENDENT?
Somya Chaturvedi
Student,
somya.chaturvedi8@gmail.com
Abstract
Corporate governance has gained prominence and has become a vital thought for economic specialists
round the globe in past 10-15 years. Government and financial specialists have all commenced
requesting for good governance practices implementation from all companies especially after the huge
exposure over various frauds that are taking place in corporate world. Businesses had been growing at
a bigger stake and to make certain the shareholders interest in these big organizations remains; the
idea of Independent Directors came into existence. Essentially, the whole constructing of corporate
governance is concern to practicability and reasonableness of independent directors. Freedom in the
Board generates a base to assure that Board satisfies its duty impartially and considers administration
accountable to organization. Independent directors are considered to be the watchdogs. They are
needed to save minority investors as well as to bring objectivity and required expertise which
guarantees that company is being run according to the laws and to the greatest advantage of its
stakeholders.
However this is occurring in reality is an important question as can be discovered from the corporate
scandals of Satyam Computers and Tata v/s Mistry case. Hiring people with close proximity as
Independent directors, non-attendance of meetings, non-disclosure of their remunerations, suggestions
given by them not being taken into consideration and their abrupt removal raises extreme objections
over the independency of Independent directors. So whether the independent directors are really
independent or not in a country like India has been studied.
Keywords: Independent directors, shareholders, corporate governance, corporate frauds, board of

directors.
INTRODUCTION
The concept of independent directors is quite triggering. As the unprincipled exercises by a company
are increasing day by day, the necessity is felt by the government to find some measures for the
prevention and solution of corporate burglary. One of the approaches through which it can be attained
is by raising the extent of corporate governance continuously. The Companies Act, 2013 was created
with the objective of upgrading the standards of Corporate Governance rehearses and guaranteeing
straightforwardness to the minority investors. The arrangements in regards to Independent directors
have been incorporated into the 2013 Act. As there is nonstop ascent in the gauges of corporate
governance, the possibility of independent chief has picked up hugeness as of late. Furthermore, unique
examinations did by assumed schools over years have exhibited a strong relationship between
uncommon corporate budgetary accomplishment and corporate administration. The ponders driven by
the University of Pennsylvania and Harvard in past have recognized that arrangement of affiliations
which have strong money related authority rights confirmation beat strategy of relationship with poor
protection by ten to twelve percent reliably. This is a sensible inspiration driving why analysts lean
toward affiliations that are known for their prevalent corporate governance exercises. In a general sense
when we are scanning for a logically indisputable consideration of outside inspectors in our market, we
should think about the need to incorporate corporate governance best practices among our recorded
relationship after all the entire structure of good corporate association is reliant on adequacy and
appropriateness of independent directors.
381 ISBN: 978-93-5351-069-5

OBJECTIVES
a) To study the relationship between corporate governance and Independent directors.

b) To examine the issues and challenges that appear before Independent directors.
c) To find the reasons and cases where independent directors are not working so independently.
d) To find the solutions of the problems existing in the case of Independent Directors.
Research Design
The primary goal of the momentum research ponder is to pick up a comprehension about the connection
between independent directors and corporate governance by looking at the situation of independent
directors in accomplishing corporate governance. The present province of Independent directors in
India has been considers and furthermore a few recommendations are made.
Type of Research and Methodology

The current research paper is based on qualitative research aimed at gathering an in-depth knowledge
and
understanding of the topic under study and data has been incorporated through detailed study and
analysis
of information gathered from various sources.
ROLE OF INDEPENDENT DIRECTORS
The board of directors assumes a noteworthy part in the corporate administration. Shareholders in an
association chooses board of directors who are approved and engaged to manage organization and
assure that all activities are performed to the best preferred standpoint of the association. Among these
directors, the associations now are assigning directors who manage with an individual preposition.
Independent directors assume a noteworthy part in securing the interests of shareholders and
furthermore different partners as their existence in the committee of board of directors is exceptionally
critical and they are fit for limiting the decisions of the administration as the whole structure of upright
corporate administration is liable to sufficiency and reasonability of independent directors.
As demonstrated by the arrangements referenced under Companies Act, 2013 the independent directors
are relied upon to fill in as gatekeeper of the interests of investors and interchange accomplices, careful
watch hounds, inner voice managers and the ones who will execute the administrative models. Adding
to this, the depiction of Independent directors isn't there in the corporate fundamental administration.
The situation of the Independent directors is a champion among the most counterpoise positions against
the administrative control of the corporate sheets. Being an Independent official they are required to
express the resistance of legitimate arrangements, misappropriations, demonstrations of carelessness
and so forth before administrative bodies as this position has the most striking edge in regard of
corporate association and moreover presume corporate intimidation or master encroachment – clerical
infringement. As they should work straightforwardly so as to defend the enthusiasm of open, they ought
to be guided just by their interior voice rather than some other connection or concern. Further, the
independent directors are likewise required to practice most uncommon due consistency over all the
fiscal related and specialist choices of the affiliation they are associated with. An independent director
has a basic impact by routinely troublesome diverse approach decisions and techniques of the
association which are not in congruity or are against the interests of the association. They similarly
break down the working of the administration and think of them as in charge of their exercises. Because
of nonattendance of association which for the most part may inclination their decisions, their self-
sufficiency enables them to accomplish these assignments more gainfully and suitably. Regardless of
the way that they are in charge of the showings of the association, they are more disinclined to be
impacted without any other person's info eagerness for these exercises. This makes practical for them
to examine the demonstrations of the association. It is a consequence of this favored viewpoint; the
ISBN: 978-93-5351-069-5 382

independent directors are much of the time seen as "enemies" inside the board. With the movement of
time, their position has ended up being more appropriate and commendable since these independent
directors make an adjusted area in an enterprise. As indicated by the parts and commitment of
Independent Director, they have to manage two broads, and a portion of the time they expect confining
parts one, screens of controlling shareholders that work in light of a legitimate concern for minority
shareholders; second as master, cerebrum trust or "key expert to the controlling financial specialist".
The insertion of independent director regularly brings an alternate perspective, a more learned view,
and a more expert view. Opportunity, concerning boards, empowers a chief to be objective and evaluate
execution and flourishing of association with no contention of interest or undue effect of contributed
people.
This part is critical in light of the factor that, the overlap of monetary markets set up universally,
commitment breaks by directors, association disappointment, corporate world fakes found in the most
recent decade asked for incorporation of independent directors in relationship to defend investors and
accomplices premium, yet really, the approaches have been taken after just in paper, not consenting to
appealing capacity and experience required to guarantee fantastic association activities. Especially in
districts like India, minority holders appear to have limited legitimate rights and recollecting a definitive
goal to address minority monetary pro in controlled parts, independent directors can presume business
choices that disgracefully advantage the controlling investors to the shortcoming of minority theorists.
For instance, independent Directors screen all the related-party exchanges, which is in encourage hostile
situation of the controlling investors. Additionally, independent directors keep a check by controlling
money related masters through "revealing, or undermining to uncover, bigger part theorist abuse" giving
careful consideration to whether the independent directors have restricted vitality to pick basic issues
without the consent of the controlling investors.
OTHER IMPORTANCE FACTORS AS TO WHY INDEPENDENCE OF

INDEPENDENT DIRECTORS IS IMPORTANT
As independent directors are those individuals who will be unknown to the administration, a factual
examination of organization's execution will ensure great corporate lead and administration exercises
over the globe.
Impact on Financial Performance on Boards Independence

In the inevitable result of cash related crisis which happened universally, this segment of BODs have
come increasingly looked for after with rising issues of analyst activism, related hoarding trades, nice
assortment in the board, reputational danger and budgetary expert relationship, mechanical
development, corporate ethics, association assessment took after by the standard managerial changes
and continued with load from speculators. CEO duality, one individual filling the job of both, the
Chairman and CEO of affiliation, is an ordered issue in corporate association as it pulls in a singular
individual to perform both association and supervisory obligations and handles the essential master
powers. Making theories revealed that relationship without CEO duality perform better than anything
the affiliations having CEO duality as shown by (Robinson et al. 2013). Board will have confining goals
when the CEO is other than its power. Despite the way in which that association speculation says CEO
duality sets up strong, unambiguous affiliation yet as shown by connection hypothesis, duality drives
entrenchment of CEO by decreasing board checking abundancy. It was discovered that keeping CEO
and board organize parts is productive to the degree monitor returns when proprietorship by family is
low. (Braun and Sharma, 2007) said unmistakable people having the CEO and board engineering
positions is an essential association control as the risk of entrenchment of family increments.
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Connection between Corporate Governance & Independent Director

Guaranteeing corporate association can pull in gigantic capital for teaming up and that each trade an
affiliation is clear and reasonable to its collaborators and thusly, attract investigators and affirmation
energy for the affiliation having a profitable BODs. Possibility of Board is enter in guaranteeing that
the board fulfills its part and objectivity and considers the association dependable to the affiliation. The
status transversely finished areas demonstrates that closeness of independent directors is a reaction to
that.
The Impact of Independent Director on corporate Board and their flexibility in arriving of duties is
essential as it was found for the circumstance look at did on Infosys where there were 8 independent
directors out of all out 10 independent directors:
• Experience of these Independent directors and their ability can rouse related to affiliation's
execution since affiliation's having talented directors will adequately take a stab at testing
assignments and objectives, in this way building up financial specialists' wealth and extended
budgetary ace affirmation. They truly bring critical perspective that is independent and target
influencing kept up business movement.
• Increment in the pay can be connected with directors' interests and expectation to serve the
main gathering of affiliation. They in like way have adequately acknowledged a fervor as
official in various board alerted group parties which exhibited their certifiable obligation in
business musings is clearly associated with duty of a man in business work.
• The board wherein independent directors had filled in as official should exposure to the degree
bleak factor and other subordinate issues like related gathering trades, source approach,
trademark plan, ace welfare plot, business human rights methodology and real consistence, as
needs be guaranteeing phenomenal corporate presentation principles.
• Independent directors went to all Board Meetings guaranteeing the better execution of
relationship through their free examinations and decisions.
REAL FACE OF INDEPENDENT DIRECTORS IN INDIA

According to the couple of diagrams, company organization practices of Indian firms are in a need of
gigantic opportunity to hint at enhancement in the limit of independent directors. The authentic
prevention to the corporate organization in India is the standard amazing quality of huge investors that
they are "singular family administered ". Advertisers of the affiliation go about as the ruling investors'
in light of the factor that the advertisers' shareholding is spread over several associates and relatives. As
such, advertisers, as predominant investors have capacity to exchange the advantages between collect
affiliations and to pass on explicit parts of offers for their own advantages. The issue used to create in
light of the route that there were no persuading approvals to manage the minority intrigue anyway it
very well may be said this isn't the situation with regards to the present Companies Act, 2013 as there
are sure arrangements for the equivalent.
Scams are extending. After the diverse corporate traps in country hit the market as of late after the move
in renunciations by IDs, there is a raised focus on their part and duties as administrators of financial
specialists' interests. The major reason for the occasion of these traps is that most Indian affiliations are
being compelled by promoters and accordingly independent directors are only independent on paper. It
is basic that the strategy of independent directors should happen reliant on authenticity yet the
fundamental issue in India in association with independent directors is that the staggering part financial
specialists name independent directors. Discernible, in India, most of the huge undertaking's financial
specialists are either individuals or related to each other. This basic trademark among independent
directors and publicists inconvenience the valid independent factor of directors. Accordingly for these
independent directors, to keep a mind the commitment and obligation changes into a troublesome
endeavor especially in light of the way in which that they turned out inadequately different social events
dependably that are to an expansive degree stately in nature. Thusly it isn't useful for them to completely
appreciate the issues which are being looked by the board or are developing an immediate aftereffect
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of the board, as most of the enormous associations are generally blends which have hypotheses and
interests in expands fields.
Expelling the way in which that the Code for Independent Directors picked in Companies Act, 2013
underlines, beyond what many would consider possible and obligations of Independent Directors,
distinctive concerns are being raised over their chance to work and feasibly discharging their
obligations, part and duties.
It finally passes on to the issue that "Can independent directors act independently if their associations
are in the hands of the promoters?"
In any case, their part has been tended to after four independent directors of Satyam Company
surrendered and the present case of release of Chairman from the Tata Sons. After the Satyam
cataclysm, around 350 independent directors surrendered from their assignments all over India. This
was the best flag to the financial specialists that something isn't well inside the board. The renunciation
of Independent directors in uncommon degree implies that they don't feel beyond any doubt of going
toward the results of the lead of their affiliations. This may be in light of the manner in which that they
either think about unlawful lead or are not set up to impact the board to change sufficiently or in light
of how they are not responsible for the happenings of the association.
Right when specialist of Satyam Computers related with corrupting connection's books of records more
than a vital extended time allotment, it is the devotion of independent directors that is tended to for not
seeing the mutilation made in association's books. Notwithstanding the way in which that adequate
number of independent directors had their existence in Satyam's Board, their part had been inadequate
in closure these calamities occur. In addition, a few worries that were related to independent directors
were brought up in the gathering room war between Cyrus Mistry and Ratan Tata as well. Further, later
is the condition of Infosys which is for the most part alluded as a benchmark for good corporate
association rehearses in India, whose sheets go under administrative scanner however SEBI Chairman,
raised his burdens and conveyed that Auditors' board of trustees isn't working properly, independent
directors are truly not so independent and furthermore stewardship code isn't there.
Satyam Case
Eight years back, B. Ramalinga Raju admitted to rupees seven thousands crore confusion on its benefit
report, which he dodged IT association's heap up, administrators and assessors for a tremendous
extended time span, the best accounting coercion in history of corporate India in this manner named as
India's Enron, a reference to American Energy alliance that separated in context of a mammoth
accounting humiliation. It uncovered diverse aggravating certifications about lacks of when all is said
in done Country's corporate affiliation measures.
Notwithstanding Satyam being seen as India's IT pearl and won unmistakable corporate distinctions
and respected with influenced Golden Peacock Award for as a rule perfection in corporate accounting
and the Country's fourth-most conspicuous association with discernible buyers, it has caught in nation's
most detectable catch inside long connects of winning the respect. It stunned the corporates of India
and hurt its reputation with its budgetary supervisors. The deception passed on to focus diverse flaws
in corporate affiliation practices dumbfounding lead, counterfeit accounting, broken piece of screens,
unfit board, and disappointment of independent directors and non-presentation of guaranteed shares.
Tata V/S Mistry Case

The decision to remove Mr. Cyrus Mistry from the task of executive of Tata Sons has made a crisis and
has undermined the reasonable ethically unique position extended in a motivation by place of Tata in
India Inc. Independent Directors on the main gathering of IHCL (Indian Hotels Company Limited) have
constantly rested trust in Mr. Mistry. As the commitment of Board is total so the independent directors
are moreover careful with Mr. Mistry for the activities which came to fruition into mis-governance. Mr.
Cyrus consider all issues as legacy issues and hotspots. The request rises is that on what preface,
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independent directors of IHCL and Tata Chemicals have supported Mr. Mistry? It is sheltered to state
that they are careful about this present reality? If really, by then why they kept mum for these such
gigantic quantities of years and empowered issues to hold tight? For what reason are they despite
supporting Mr. Mistry when they are if everything considered responsible for issues of IHCL from year
2000 onwards? Does the decision of these independent directors to energize Mr. Mistry fulfill the
objective of good affiliation? Is their action mooring financial specialists regard? Can a disengaged
board overhaul analyst regard or it pounds the proportionate.
Corporate structure of the Group which continued under the course of Mr. J. R. D. Farewell for over 50
years and starting there Mr. Ratan Tata for over 20 years, exemplified the best corporate affiliation
practices. Mr. Mistry deliberately dismantled this since a long time prior settled the corporate structure
by considering himself to be the standard Tata Sons assigned on sheets of Tata working affiliations. It
is pertinent to express that under the Governance Guidelines Framework which Mr. Mistry himself
displayed in 2015, there is a strategy with the genuine target that all workers of a Tata association
should, after their business stops, immediately leave from Boards of all Tata affiliations where they are
filling in as Non-Executive Directors. Also, Mr. Mistry, on closure of be the Executive Chairman of
Tata Sons, should have immediately surrendered from Boards of each and every other relationship
under his own specific standards. Regardless he has picked not to do everything considered in
unfaltering burst of Governance Guidelines Framework.
RECOMMENDATIONS:
• Firstly, there is a need of "Selection Committee". Along these lines like in US and UK where
selection boards of trustees contain independent directors are mandatory by the principle stock
exchanges. This selection board of trustees would impel to work in the shadow of an outrageous
financial investor decision (with controlling contribute or affect) and the proposals would
incorporate an alteration in the voting strategy for choice of independent directors and besides
in the voting open that pick them. At the point when as a general rule, selection boards would
be unlikely to pick a confident who does not have the certain affirmation of a controlling
financial specialist. It would be a mortification after everything considered if the individual
named by the determination board fails to summon enough votes at a shareholders' social affair
on account of protection from the controlling shareholders. Absolutely, in this way,
independent selection committee would like to consult with the shareholders which are
dominant before giving their names. Such a technique is likely not going to feasibly deal with
the minority- majority agency issue in India as independent director courses of action would
continue being inside the deformity to control of the controlling shareholders. Before long, a
selection advisory committee procedure would be superior to than the present plan of direct
choices (without an independent choice process). An exhaustive and direct determination
process could restrain the effect of controlling shareholders.
• Second, time and again it has been prescribed that the panel should involve more independent
directors. Adequate depiction of independent directors on corporate boards is vital to make their
voice heard and their decision check, especially in light of promoter quality in Indian
associations. Regardless, the Company Act has given that each listed organization ought to
have no under 33% of the total number of directors as independent directors and the Central
Government may embrace the base number of independent directors if there ought to be an
event of any class or classes of open associations.
• Third, there should be minority investor participation for independent directors' selection.
Minority investor participation should be displayed via two key methods: (i) consolidated
voting by shareholders; and (ii) selection of independent directors by achieving majority in the
minority. Minority shareholders' collaboration in selection of directors when all is said in done
and independent directors, specifically, would lead to various notable advantages as a result of
following reasons:
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- Minority shareholders would get depiction on the best administrative staff, as they can't do
all things considered in the straight voting process.
- On the remote possibility that if minority shareholders pick independent directors then they
will get data about several approach decisions that are being discussed on the board.
Learning itself is an immense good position, and it is of special importance where open
disclosure of association information isn't advanced in the material ward. This bears
criticalness in India where the openness of association information is yet not as wide as it is
in the outsider economies '.
- Independent directors will be extremely independent (of administration and controlling
shareholders) and in this manner capable to the minority shareholders everything considered
directors have been picked by that supporter.
- Minority shareholders' voice will be heard and put forward in front of the board through these
independent directors- Independent directors will have inspiring powers to screen the
activities of administration and controlling shareholders against trades that make clashes of
interest.
• Fourth, rather than attending the meetings occasionally and that too in the presence of other
board of directors, all the independent directors should meet where any members from the
management will not be there so that more independently and by using their knowledge and
experience they can find out and bring forward the events of violations that are taking place in
law and issues relating to ethics in affairs in front of the shareholders.
• Fifth, it is vital to watch out for independent director ousters which are unjustifiable. Though
the government has brought norms which has tightened the removal of independent directors,
there are chances that they will still lack. Only a passing of special resolution for removal of
independent directors will not suffice rather the process of why such independent director is
being removed, on what basis such decision is being taken, whether such problems were
communicated to the concerned independent director, were the grounds justified, whether the
proofs for the same are adequate or not. So the process should be made clearer and everything
should be informed to the shareholders.
• Sixth, remuneration of Independent directors should be picked by a regulatory body like the
SEBI in light of the degree of the association or picked by institutional monetary authorities
holding a significant stake in the association.
• Seventh, the lawmaking body should draw a line between the Executive Directors and
Independent directors by portraying their parts and commitments, and separate their liabilities.
If the association does any shock or distortion the independent directors should be eventually
in danger. Independent Directors can't be held in danger for cases identifying with, for instance
in the case of bouncing of cheques. They should be just responsible for issues that ought to go
to the main gathering of an affiliation. Regardless, issues, for instance, promoters offering
repairs to speed enlistment never accomplish directors to find such information. For whatever
time span that the Independent directors show up due tirelessness, the law should exonerated
them from an extensive variety of liabilities for the exercises of the heap up or the administering
director they may not think about.
CONCLUSION
The duties of Board of Directors, as of late, has been discussed openly because of the resulting
disappointment in guaranteeing corporate administration. The investigation dissected that the freer a
board is, the better it is in bringing productivity inside the organization. They help in working of
corporate in a legitimate way, because of the reason that they don't have a materialistic relation with
organization and they will truly speak for the greatest benefits of all financial specialists and minority
shareholders.
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Taking into account everything, the goals of corporate administration can't, maybe, be as viably met
without the incorporation of independent directors in the bigger plan of things.
What’s more, as in a large number of cases, it is obvious that CEO of organization try to hide the
genuine picture of organization from potential financial specialists and its partners. Along these lines,
the individual who is proficient in comparable sort of business, who don't have any connection with
inward management of organization will act independently for advantage of its shareholders and
partners so persistent endeavors ought to be made to make them more responsible. The consideration
of independent directors means keeping a check on the management of organizations as an oversight
instrument. Their capacity to add to the board's thoughts is a special reward to voice the minority
interests.
REFERENCES
[1]. Kumar, N. (2018, January 8). An Independent Director is an Oxymoron: Nirmalya Kumar
[Article]. Retrieved from http://www.forbesindia.com/article/special/an-independent-director-is-
an-oxymoron-nirmalya-kumar/49081/1
[2]. Balasubramanian, N. (2010). Corporate Governance and Stewardship, New Delhi, Tata McGraw
Hill Education Private Limited.
[3]. Baxi, C. V. (2006). The Role of Independent Directors in Corporate Governance. Asia Pacific
Business Review, 2(2), 81–86. Retrieved fromhttps://doi.org/10.1177/097324700600200210
[4]. Aarugonda, Dr. Kotishwar. (2011). THE ROLE OF INDEPENDENT DIRECTORS IN
CORPORATE GOVERNANCE - A CRITICAL EVALUATION. ”, International Journal of
Research in Computer Application Commerce and Management. 1. 27-34.
[5]. Ahlam, S. A. (2014, August 4). How important is the role of an independent director. Retrieved
from http://www.ft.lk/article/332212/How-important-is-the-role--of-an-independent-director
[6]. Bose, I. (2009) "Corporate governance and law‐role of independent directors: theory and
practice in India", Social Responsibility Journal, Vol.5 Issue: 1, pp.94-111. Retrieved from
https://doi.org/10.1108/17471110910940032
[7]. Shrivastava, B. (2012, September 23). Are long-serving Independent Directors truly
Independent? Retrieved from
https://www.livemint.com/Companies/1fZ5yrYIGe0dFdeeb7Q2QL/Are-longserving-
independent-directors-truly-independent.html
[8]. Independent Directors Lack Teeth, Says Sanjay Nayar in a chat with M Damodaran and
Arundhati Bhattacharya. (2018, December 10). Retrieved from
https://www.bloombergquint.com/business/independent-directors-lack-teeth-says-sanjay-nayar-
in-a-chat-with-m-damodaran-and-arundhati-bhattacharya
[9]. Tomar, A. (2018, September 10). Independent Directors may face a test of fire to stay on Board.
Retrieved from https://www.dnaindia.com/business/report-independent-directors-may-face-a-
test-of-fire-to-stay-on-board-2661305
[10].Hora, N. (2017, March). Are Independent Directors Really “Independent” In Indian Companies
Dominated By Promoters? Retrieved from http://www.livelaw.in/independent-directors-really-
independent-indian-companiesdominated-promoters/
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PCM049
ARTIFICIAL INTELLIGENCE V/S HUMAN CAPITAL:
A REPLACEMENT OR A COMPLIMENT
Yashvi Modi Hitarthi Pandya
Student, Student,
Atmiya Institute of Technology and Science Atmiya Institute of Technology and Science
yashumodi171@Gmail.Com hitarthipandya07@Gmail.Com
Abstract
“Intelligent People Make Intelligent Robots.” A key mantra to be considered in today’s techno-savvy
environment, where artificial intelligence is in a competition with human capital but one thing is always
to be kept in mind that there is always a human actor behind the curtain, the idea of making robots
incepted from a human mind before that there were no any traces of the same.
This research paper aims to study whether the emergence of artificial intelligence has replaced humans
or is it a compliment? There are various pros and cons of each with the help of proper justification by
using secondary sources of data collection. Human Mind itself is a powerful weapon made up of lots of
neural networks which is shaped into a physical body known as machine s is Artificial Intelligence. In
this regard there are graphs which at large define the future of AI and its effect on the current workforce
as well as the country wise graph shows the acceleration of AI which are analyzed with the help of
PESTEL Analysis. At last there are conclusions and findings of the same.
Keywords: Artificial Intelligence, Components of Human Capital, Robots, Neural Networks,
Techno-savvy, PESTEL Analysis, Chat-Boats
INTRODUCTION
Perception of each and every human on earth is crucial to our survival. “Different Individual’s totally
different opinions” is currently turning into the key aspect in every and each enterprises. Enterprises
around the world faces lot of summons in maintaining a healthy and satisfied workforce, therefore
emergence of Artificial Intelligence is taking place in replacing human workforce. With the advances
in AI tools it is becoming tranquil for business leaders to move a step forward in this regard to increase
the productivity by replacing humans with machines. It is necessary to discern about both the terms
separately which is discussed as follows.
Artificial Intelligence
The artificial intelligence shortly termed as AI is, as a name suggests which is not natural but it is being
generated or to be more precise made using the large big data, principles, experiments, applications
which does the same work as humans undertake on daily basis. There is a common misconception that
AI and Technology are same, but they are not. Technology includes AI and is broader than that. If the
terms Artificial means which is not natural and it is being produced andz Intelligence means the ability
to acquire and apply knowledge and skills. Interestingly, it is natural intelligence i.e. humans which
makes artificial intelligence.AI is simply bringing science and art together. Recent example of “Sophia”
The Robot which is declared as a citizen by UAE Government can be considered here.Artificial
Intelligence is an approach to make a computer, a robot, or a product to think how smart human think.
AI is a study of how human brain think, learn, decide and work, when it tries to solve problems. And
finally this study outputs intelligent software systems. The aim of AI is to improve computer functions
which are related to human knowledge, for example, reasoning, learning, and problem-solving.
The intelligence is intangible. It is composed of
 Reasoning  Perception
 Learning  Linguistic Intelligence
 Problem Solving
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Human Capital
The human capital is actually the features or characteristics of a person that are productive in economic
context. It is actually referred as a bundle of skills, competencies, knowledge, personal attributes of an
individual which includes creativity that helps the organization in creating an economic value out of it.
All this needs is to be nourished well so as to avail the benefit out of it. The organization usually focuses
on the employees but not on the employee’s emotions, feelings and requirements at large. This in turns
leads to dissatisfaction and low morale among employees. The organizations need to heavily invest on
these parts which should be embodied well to create a value. The capital simply means cash or goods
invested in order to generate returns in a form of income. The human capital is the investment in human
factors at large. The concept of human capital is being increasing nowadays which is referred to as
HCMS (Human Capital Management System) and its areas are shown in the below diagram:
The above graph shows the different areas of Human capital which signifies in which area to invest
more to get better reuslts. This helps organization at large to increase results and better productivity.
OBJECTIVES:
 To give insight about various reasons of AI resulting overtaking to Human Capital.
 To know the unemployment caused due to AI in different industries.
 To explore the ground obstacles for human due to AI implemented in an organization.
 To know the reason behind organization’s expectations towards work quality which would be
delievered by AI and may not deliever by HC.
 To help the different industries in knowing that wheteher AI or Human Capital are
expenditure or investment.
 To know the long term strategically beneficial decsion for organizations which will ensure
wealth maximization.
 To estimate the future of Artificial Intelligence.
RESEARCH METHODOLOGY:
Problem Statement:
One side corporates want to hire AI & another side it is increasing unemployment in the Nations.
Sources of data:
Secondary data are the data that have already been collected by someone else before the current needs
of a researcher.Here the data collected are from the secondary sources i.e. Journals, Periodicals,
Research papers, Articles.
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LITERATURE REVIEW
Klenow and Rodriguez-Clarie (2004) 2004 based on hybrid model of growth externalities show that the
human capital and also the physical capital contribute to the financial gain variations between OECD
countries , however the impact of R&D is additional vital in explaining the financial gain variations
between countries. They demonstrate a positive relationship between the gross domestic product growth
and schooling years on OECD countries and also the indisputable fact that the distinction in data
investment could explained a big a part of financial gain distinction between countries.
Erosa and All (2010) 2010 tried to explain the importance of human capital variations in explaining the
variation of GDP per capita as a live of nation wealth. Supported the heterogeneous model of people
they highlighted that the advantages of human capital is proportional with TFP however the price of
education relieve to the value of output isn’t and therefore the lower human capital stock discourage the
physical capital accumulation. They notice that human capital accumulation powerfull amplifies TFP
variations across countries.
Hanushek (2013) 2013 showed that while not up the collage quality the performance of the developing
countries couldn’t be improved. He demonstrated that the variations between countries in regard to
economic process may be the result of the variations within the psychological feature skills measured
by international level in science and arithmetic conjointly the paper showed that an oversized proportion
of scholars with 9 years of studding area unit noncompetitive in term of international ability levels, and
this result rice an issue connected the distribution of the fund education so as to get the next quality of
human capital.
Acemoglu, Gallego and Robinson (2014) 2014 argued that these variations might be explained by the
measurements of the variable,by usual omitted and variable bias issue,employing a race model they
showed that the result of human capital on long-standing time development square measure per email
estimates after they look into through the long standing time effect of establishments that supported
mass schooling within the countries.
Daron Acemoglu and Pascual Restrepo, National Bureau of Economic Research, (2017) 2017 says that
the concerns that new technologies can render labor redundant during a framework within which task
antecedently perfomed by labor will be automatic and new versions of existing tasks, within which
labour feature acomparitive advantage, will be created during a static verison wherever capital is fastned
and technology is exogenous automation reduces emoloyment and therefore the labor share , and should
even cut back wages , whereas the creation of latest tasks has the alternatives effects , the complete
model endogenizes capital accumulation and therefore the direction of analysis towards automation and
therefore the creation of latest tasks.
Eric Brynjolfsson, Daniel Rock and Chad Syverson (2017), National bureo of economic analysis same
that we have a tendency to board associate degree age of contradiction in terms .Systems victimization
computing match or surpass human level performance additional and more domains , investment fast
advances in alternative technologies and driving soaring stock coast however measured productivity
growth has declined by over the past decade, and real financial gain has stagnated since the late nineties
for a majority of American citizens we have a tendency to describe four potential explanations for this
clash of expectations and statistics:false hopes , mis-measurement , distribution and implementation
lag.
John Boudreau, University of Southern California and Wayne Casico, University of Colorado Denver
(2017) 2017 says that whereas human capital analysis recently has developed monumental interest most
organization still realize themselves troubled to meneuver from operational coverage to analytics. The
aim of this paper is to explore why that’s the case and may be done to after that concerning the “LAMP”
model , the authors stress four parts as potential reason why HCA aren’t sufficiently being “pushed”
toward their audience , namely , logic , analysis , measure and method. Similarly , they name 5
conditions why the broader use of HCA isn’t “pulled” in by the analytics user.
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ANALYSIS PART
Top 10 countries with maximum number of Research and Publication in AI:
Artificial intelligence(AI) that is addiditionaly referred to as machine intelligence is that the intellignce
incontestable by machine in distinction to the natural intelligence displayed by humans and alternative
animals when it involves AI not all countries area quantity of analysis paper revealed each year.
China- China not too way back was a producing country however the country not will be a pacesetter
in several fronts. AI is another space of atmost importance in step with times teaching in amount
between 2011 and 2015 , china reveled over forty one , 000 paper on AI. That’s virtually double the
maximum amount because the USA number. In terms of paper reveled , the USA comes at associate
undisputed second place Infact each china and USA area unit miles off from alternative contries
between 2011 to 2015 USA revealed twenty five ,500 paper in step with constant supply USA ranks as
high country with most AI firms with over a thousand firm and USA $10 billion in working capital
USA is probably going to become associate AI super power then theres firms like IBM Microsoft ,
google , facebook and Amazon . Not solely do they publish a major quanitity of paper however they
invest heavily on AI.
Japan- Japan Stands in third place with regarding eleven 200paper revealed so this can be not stunning
with associate going population and decreasing force . AI can play an important role within the Japanese
economy. Even now , regarding fifty fifth of labor activities in japan may be machine driven with lot
of analysis into AI ,a decreasing force and a high automation potential, Japan is probably going to
continue right at the highest . Its high standing temperament to take a position in technology may prove
key. UK isn’t abundant behind Japan although in fact once it involves revealed research paper on deep
learning its already passed japan.
Germany- Germany is that the fifty country with the foremost reveled researched papers on AI between
2011-2015 the quantity stood at nearly 8000.European nation like china conjointly plan to become a
number one hub for computing German. German, like japan is additionally experiencing a operating
population decline. What additional is too contain a high automation potential powerful firm and
sensible education make it a fertile ground for AI.
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India comes when European nation on the quality of publication on AI with around eight 000 paper
.Countries like european nation france korean peninsula and italy area unit finance on AI. We tend to
saw here what countries are unit leading the AI analysis however analysis and its impact saw very little
a couple of country success at adopting the technology.
Involvement of AI in different Industries in Europe 2017:
Source: City.AI, By: Fabian
This is the graph which is clearly showing, what is the possibility of involvement of AI in all the above
sectors. The scenario in most of the sector, human capital preferred more than AI. Adaption of AI is
being preferred but there are some spots in which human efforts and their ability are more appreciable
and foremost.
Biotechnology is one of them and “any technological application that uses biological system, living
organisms, or derivatives thereof to make or modify products or processes for specifics use Any
technological application that uses biological system, living organism or derivatives thence to create or
modify product or processes for specific use
Travel-The beauty of nature is very well show-cased by a human rather than a ROBO or technology.
Hence the ratio of AI in travel is less because AI involvement in this sector is not possible.
Logistics-To deliver the goods to the owner with a safe hand and with some instructions and also does
the marketing of other goods can be handled by human very well instead of technology. Hence
involvement of AI in Logistics is less than human capital.
Insurance and Legal- The terms and conditions and the factors included in policies of Insurance and
legal formalities can quickly done by human and also tackle the situation at a time hence one can include
AI technology into it but with less proportion.
Education-In education field the interaction with the students can only be possible by the faculty.
Online methods can help students but the authenticity of delivering knowledge can only be maintain by
faculty i.e. human not technology.
Recruitment is not only done by taking interviews or asking some question, it can also be done by
observing the recruiter’s behavior their movements, by checking their social media accounts, by
inquiring about their backgrounds etc. this is the reason that graph is showing less proportion of AI
because such things are done by human with their intellectual only.
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Creativity-Who can bring the innovation, uniqueness, creativity in the product, technology,
environment; is it possible by a ROBO to do such, does it has much ability to think and bring creativity,
NO only human does and even ROBO is the creativity of humans hence for the innovation, creativity
AI is less important.
Core Algorithm-We can take calculator as an example of core algorithm, here the ratio of AI is also
little more than others after all the calculator is making work easy to humans and also it is a minute part
of AI.
Robotics is the part of AI hence here the ratio of AI is also more. Robots are the type of machine
learning. One Robot can do the human works& it can also make a new Robot in terms of misleading
the internal memory/commanded: ‘A Robot attacked on the creator of Robot’. A robot which is machine
learning which includes AI can also work as a personal assistant. So Personal Assistants including AI
at very good Ratio.
Customer services can are be given online like watching videos that how to operate a machine. Which
is done by technology, hence even human can does and can also be handled by technology.
Software development can easily do by machine learning.
Image recognition is already being carried out by technology hence the ratio of these both factor if
high in graph because such cases are very undertaken by technology itself.
There is a little drop in sales and marketing area’s ratio because how to involve a person into the
product can only be done by human. The ration is neutral because now a day’s companies are doing
online marketing hence both the factors are correct on their point.
There is the almost high ratio in Data Analyst because data analyst are the persons which are the
researchers which use high amount of algorithms which are a part of AI. So definitely the use of AI will
be highest in that sector.
Effect of AI on workforce
Source: Job Market Monitor, Posted By:Michael Cournoyer The above graph estimates the effect of
Artificial Intelligence on the human resources in the organization at large. The analysis is done
on the basis of PESTEL Analysis where,
P- Political
E- Economical
S- Social
T- Technological
E-Envrionmental
L- Legal
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The above graph is analysed on all the above factors in detail as follows:
Political-The effect of AI affecting the political factor would be very less as the political framework of
a particular nation will not use AI as the political parties is formed of its members at large which is next
to impossible to replace it by AI. Therefore, we can say that the political parties would not like to replace
their team members through AI / Rotoics.
Economical- AI is affecting largely on the economic condition of a nation with the objective of growth
& development. Countries are looking to ensure the core competence in advanced technology and for
this purpose the country need to take help of AI in making various machines which will help to increase
productivity but on other hand it will create unemployment in the developing countries at large.
Social-AI will slowly and gradually take over or replce humans which will result social imbalance due
to unemployment because a single machine can do multiple tasks at a time with high rpoductivity
without any break but this is somehow impratical for huamn. Therefore, companies would like to hire
AI & fire human from their ventures. This would result decrease in employment rate, poor standard of
living, unhappiness & dissatisfaction from nation resulting brain-drain.
Technological- Undoubtly the effect of AI is unbeatable in technology segment especifically at the

time when all nations want to be a leader to strengtehn their periffery. Nations want to strengthen their
economy with 3Ps: Production, Productivity & Profits. Therefore, currently demand of AI is
exponentially high worldwide
Enviromental- The effect of AI on environment is that the extraction of natural resources and its
optimum utilizationis possible with the help of various machines which are using Artificial Intelligence
at large. The updation in Agricultural sector that is the Drone system which replaced humans as these
drones will check the fertile land and on that particular spot it will help farmers at large. But on other
hand, industrialists must amitain environmental protection standards under Environmental protection
Act 2000.
Legal-The effect of AI is very least in the legal sector as the legal framework needs to be compulsarily
carried out by the researchers/ scientists/ manufacturers and end-users. The rules, regulations cannot be
made by the robots. The government needs to be processed by humans so the legal effect of AI is least.
Potential Of AI to increase Corporate Profitability:
Source- Business wire magazine
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Accomodation & Food service (Hotel): Today , the gathering of client knowledge , combined with
the enchancement to technology , mean that AI is used for an enormous vary of function, from basic
client service , to personlised task a lot of advanced problem solving and even for sales processes and
direct electronic commincation . Artificial Intelligence is taking part in associate move and more
necessary role within the welcome trade , primarily attributable to its ability to hold out historically
human functions at any time of the day. The doutbless implies that edifice homeowners will save
important cash , eliminate human error and deliver superior service , In specific client and service could
be a very important a part of the travel trade, with hotel typically living and dying supported the method
they treat their customer.With AI, the chances for up this facet square measure nearly endless, starting
from augmented personalization to tailored recommendation.
Construction: Artificial Intelligency is commencing to modification the method buildings square

measure designed, created and utilized when construction. AI is wherever machines exhibit their own
intelligence through exploitation alorithms to resolve issues exploitation inputted knowledge. By
harnessment AI, construction managers will employ intelligent macgines that may perform routine
tasks that were once completed by humans, like masonry. Or else, AI systems will collate and organise
data for engineers to use at intervals project coming up with and style implementation.
Wholeseller and Retailer: Just as within the retail house, shoppers within the wholesale distribution
trade have higher expectations further as heightened influence. Augmented potency, being
straightforward to try to business with and reducing errors is predominate. Wholesale distributors square
measure currently ready to produce smarter, a lot of intuitive and a lot of economical processes than
ever before. With the availability chain method efficient, resource square measure freed up for a lot of
strategic activities. Digital transformation embodies creating full use of machine learning further
because the web of things, knowledge intelligence, o lot of refined analytics, big data, blockchain, the
cloud, style thinking and connected innovation technologies.
Healthcare- the aim of AI is to create computer a lot of helpful in determination problematic care
challenges and by exploitation computers we will interpret knowledge that is obtained by identification
of varied chronic unwellness that reduces economic burden and severity of disease. Numerous machine-
controlled systems and tools like brain-computer interfaces, blood vessel spin labeling imaging, MRI,
language processing (NPL) and numerous algorithms help to reduce errors and management unwellness
progression the PC assist physicians to reduce the intra and inhume observer variability. The applying
of AI facilitates interpretation of results with high accuracy and speed.
Agriculture: once I mirrored on the long run of agriculture, I could not avoid brooding about the ability
of technology to resolve issues bedevilling this sector. Global climate change, increase and food security
issues have pushed for innovative technological solutions to farming. Artificial intelligence is rising as
apart of the solutions towards improved agricultural productivity. To exemplify, a team of researchers
developed associated AI tht may determine diseases in plants. This team used a way referred to as
transfer learning to show the AI to acknowledge crop disease and blighter injury. In their case they used
tensorFlow, a Google’s open supply libraryto make a library of AI two,756 pictures of cassava leaves
from plants in united republic of Tanzania. The success was that the AI was ready to determine a
unwellness with ninety eight accuracy.
Social service : While there are many people decrying the authoritarian nature of the Aadhar card, let’s
take a moment to revisit the plus points. Documentation will allow welfare authorities to keep an eye
on whether citizens are receiving proper water, food, shelter, sanitation - are welfare funds even
reaching those who need them or are they being embezzled by corrupt officials? Think of many NGOs,
orphanages and welfare organizations that provide a front for collecting funds, food, clothes and other
essentialswhile actually filling the pockets of the rich?Another key point is that many government
housing projects meant to provide shelter to lower income groups end up being sold by people - making
‘beggars’ richer, while remaining uninhabited and ultimately do not solve the issue. AI can track these
illegitimate transactions and ensure that welfare projects benefit those with a real need. Even this hype
about how AI will take all our jobs and cause a rise in unemployment can be perceived as an advantage
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of evolving technology rather than a consequence. How? If more and more people are laid off by the
rise in automation, ultimately the government will have to introduce the concept of Universal Basic
Income where everyone is at least provided the bare minimum to survive - this would help us alleviate
the problem of poverty and unemployment.
Transporation and Storage- computing helps corporations within the transportation business to make
sure the protection of the general public once exploitation their services. Safety of voters exploitation
conveyance in urban areas will be improved by pursuit crime information in real time. This can
additionally facilitate the police to extend their potency by patrolling and keeping the voters safe.
Autonomous vehicles Self-driving cars are the new nonsence within the transpotation sector within the
recent times. They use computing to perform and create calculated selections on the road. Self-driving
vehicles persuade be an excellent chance to scale back the quantity of accidents on highways and
increase productivity.
Manufacturing -There’s little question that the producing sector is leading the method within the
applicaton of computing technology. From important cuts in unplanned periods to higher designed
product, makers square measure applying AI-powered analytics to information to boost potency,
product quality and therefore the safety of workers. In producing in progress maintaenance of line
machinery and instrumentation represents a significant expense having a vital impact on all-time low
line of any asset-reliant production operation.
Others service - AI and machine learning to become imbedded in all told types of technology that
incorporate information and analysis. The opportunities this creates are square, measure vast, starting
from new services and breakthroughs in science, to the augmentation of human intelligence and its
convergence with the digital world. These square measure right smart uncerainities concerning AI,
together with the delegation of decision-making to machines, lack of transparency and whether or not
technological amendment can outdo the event of governance and public norms. Automation could
deeply amendment business, moving employment and therefore the delievery of public services.
Goverments and socities have to be compelled to prepare currently for its effects.
Financial: Artificial Intelligence’s greatest advances have however to return , however the mixture of
massive information with machine learning algorithms has already yielded advantages to the monetary
world daily operations. The traditional banking business is undergoing an exciting amount of disruption.
Big data, block chain, an eruption of latest competitors of all shapes and sizes. With such a lot that’s
new, we have atendency to run the danger of high however computing is already starting to amendment
the core of the monetary business. Its impact is clearly manifest in 5 areas: Credit Marketing , Research,
Personal Assistance, plus management and fraud detection.
Public Sector: Cognitive Technologies squrae measures revolutionalizing each business- and therefore
the public sector is not any exception. From new effecienties to dynamic regulation, the implications
and dramatic amendment ahead can impcat however the general public sector operates and governs.
With major amendment ahead we will assist you adopt.
Information & Communication - AI will also drive new business models and build entirley new
business oppurtunities as interfaces and efficiencies facilitate engagement that has been yet
incomprehensible, several alternatives trade verticals are remodeled through this evolution as ICT and
digital technologies support several aspects of trade operations as well as offer chains, sales and
promoting processes, product and repair delievery and support models as and example, we have
tendency to see significantly subsantial impacts within the medical and Bioinformation still as monetary
services segments force automation is a vicinity that may have an effect on many various trade verticals
as AI greatly enhances work flow, processes and accelerates the ROI for sensible work investements.
Entertainment:It cant be denied that we have a tendency too reside witrhin the decade of AI backed
recreation. The next time you sit down to watch a movie over a weekend, your streaming service might
recommend you a blockbuster based on AI Algorithms personalized to your preferences. The artistic
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movement movies would be written by AI, performned by robots and animated by a deep learning
algorithimic rule. What more? We might have associating nursuing AI algorithimic program reading
the scripts and suggesting studios to shop for the moving-picture show rights. It can well be ascertained
that artificial intelligence is the next big thing in entertainment from content consumption to digital
visualization. As content consumption evolve and re-evolve in the current highly fragmented media
landscape, media houses and digital streaming platforms should harness artificial intelligence to
improvise customer experiences for better viewing and content delivery mechanisms. By doing so, the
entertainment industry will make it easier for consumers to access content by developing new AI-related
technologies like voice control command and so on.
Professional Service –Those people within this skilled serevices trade have a choice: Disrupt or be
non- continuous. New technologies are already changing the way operations are run and have the huge
potential to drastically change the way the industry functions in the future. Companies should be ready
to embrace this or be left behind. Artificvial Intelligence and machine learning square measure simply
2 of the technologies that square measure presently havbing a big impact on today’s enterprise.And the
appetite is growing. More than one-fifth of UK businesses have already invested in AI projects so far,
with more set to follow: over 80% of UK businesses expect to invest in the coming years.
Information & Communication - AI will also drive new business models and create entirely new
business opportunities as interfaces and efficiencies facilitate engagement that has been heretofore
incomprehensible. Many other industry verticals will be transformed through this evolution as ICT and
digital technologies support many aspects of industry operations including supply chains, sales and
marketing processes, product and service delivery and support models. Workforce automation is an area
that will affect many different industry verticals as AI greatly enhances work flow, processes, and
accelerates the ROI for smart workplace investments.
Utilities- The world energy trade is facing basic shifts within the means it generates, sells and distributes
power. The pressure is on to chop carbon carbon emissions and as a result ways should be found to
manage the increasing giga watts of unpredictable, weather dependent renewable energy flowing on to
power grids. The price of electricity is additionally a priority not only for customers , however
governments keep their voters happy. In short, there’s a worldwide demand for clean, cheap, reliable
energy and AI is more and more being employed to assist meet this would like enabling the expansion
of low carbon, inexperienced electricity is associate degree. AI application with a doubtless large long
impact. Renewable sorts of electricity becausethe successors to ancient coal and gas dismissed power
plants.
FINDINGS
From this research paper it can be found out that:
 AI is largely going to affect the future human workforce.
 The unemployment would be growing with the introduction of AI in certain industries as specified
in the above analysis.
 It can be found out that different industries have different effect of AI and it should invest but should
not forget the Human importance.
 The organization focuses on wealth maximization and should achieve it with the help of both AI
and human capital.
 It can be found out that the emergence of AI is increasing in a highest pace neglecting the human
inference which should not be done.
 It can also be found that the tasks which are well handled by AI which makes humans work simpler
but more usage of it will lead to increased expenditure.
 AI has its own limitations so it cannot be said that Artificial Intelligence should only be used and
even humans have certain limitations but if both could be balanced well than the results generated
would be sustainable with long term effect.
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CONCLUSIONS
We reside in fascinating times wherever digital help schedule conferences, chat boats (defined as
computer code that provides an automatic however customized language). As we increase our
personal usage of chat boats employee will soon interact with them in the workplace as well.
As quoted by Stephen Hawking “The development of full Artificial Intelligence could spell
the End of Human Race.” We are now living in an era where natural lemon is used in finger
bowl and artificial lemon is used in making lemon juice, looking at this pace of development
there would be a time where human interference will be negligible and everything will be just
a click away. We need to understand the fact that “Every Coin Has Two Sides.”These sides
are positive as well as negative, here our aim is to maintain a balance between both and generate
outstanding results. In the same way Artificial Intelligence has its both sides and even Human
Capital has the same but the balance in both would lead in ripping wealth maximization.
As quoted by Elon Musk “With Artificial Intelligence we are summoning the Demon”
There should not be any race between AI and human capital because both of them have their
individual pros and cons which should not be forgetter. There are examples which state that
the Robot which was made by a scientist attacked the scientist himself. So at last there is no
possibility of Artificial Intelligence without humans. Rather I would say both of them should
be used equally and smartly which will create wonders.
REFERENCES:
[1] https://www.businesswire.com/news/home/20170620006519/en/Accenture-Report-
Artificial-Intelligence-Potential-Increase-Corporate
[2] https://www.timeshighereducation.com/data-bites/which-countries-and-universities-
are-leading-ai-research
[3] https://jobmarketmonitor.com/2017/09/07/the-future-of-work-artificial-intelligence-ai-
wont-replace-most-jobs-but-people-using- it-are-starting-to-replace-people-who-dont/
[4] https://www.visualcapitalist.com/economic- impact-artificial- intelligence-ai/
[5] https://medium.com/cityai/the-european-artificial-intelligence-landscape-more-than-
400-ai-companies-build- in-europe-bd17a3d499b
[6] https://becominghuman.ai/introduction-to-artificial- intelligence-5fba0148ec99
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PCM110
STRATEGIES FOR BRANDING AN ACADEMIC INSTITUTION.
Divyang Tiwari
Assistant Professor and Training & Placement Officer.
Atmiya Institute of Technology & Science, Rajkot.
divyang_divyang@rediffmail.com
9712343120.
Abstract
Today’s era has become more advanced. The companies are now focusing on building a brand which
is a powerful differentiator. As per the definition provided by American Marketing Association, a brand
is a name, sign, symbol or a combination of all which represents or gives an identity to the product or
service. This identity differentiates the product or service of a seller from other competitors. The new
era is the era where the educational institutes are also putting efforts to build their brand. The
competition has increased to an extent that now even the educational institutions are planning and
understanding how the brand can be created and they are working towards the same. Any educational
institute carries its image by building relations with its students, their parents, alumni, the faculties it
has and the staff which carries the brand of that particular institute and to make the organization
outstanding, these areas are to be concentrated more and some unique or different strategies have to
be build in order to create strong brand as major stakeholders here are promoters, students, parents
etc at large. If we consider India, the major brands of educational institutions are IIMs, IITs and other
well known private universities. But as far as branding is concerned, there are separate issues of the
branding as educational institution as compared to other sectors. This research paper points out some
of the strategic brand building areas and issues concerned in building a brand of an academic
institution.
Keywords: Branding, Education, Educational Institute Sectors, Strategic Issues.
INTRODUCTION
The education sector of our county is consisting of those uncovered market in many areas. This can be
because of lower literacy among the people, concentrated development in urban areas and increasing
rate of per capita income of the country. India focuses to establish that knowledgeable society which is
based on the theory and assumption that in order to create skilled people, it is necessary to concentrate
on higher technical education which will lead to developed and skilled people. This has resulted in
attention towards more quality and excellence in higher education. Since last 5-7 years, the growth of
educational sector in India is also increasing due to an increase in the number of private universities/
institutions in the county. The owners of the educational universities/ institutes are paying attention to
seek more and more admissions and building their brands. It becomes more difficult and more attention
is required to build a brand and then maintaining the brand to obtain better prospects at gaining profits
and therefore, these owners have adopted several measures to build their institute’s brand name. Of
course, it is true that the seats of some of the branded institutions are limited and all the qualified
students cannot take admissions in these institutes. Therefore, these aspirants look forward to those
institutions/ universities which not only provide education but also provide employment support to
them. These are one of the strong points which help the private or other institutions/ universities to
attract the students towards admissions. The students are also ready to pay high fees to the institutions
and which provide quality education. There are number of people who are having diversify businesses
have now started to open institutions which are providing them good fees and in return they are ready
to provide the quality education which the students are seeking these days. The institutions/ universities
are also collecting the information about the expectations of the students and are trying to find the best
ways to provided what is expected.
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OBJECTIVE
This research paper concentrates on suggesting different promotional strategies which an educational
institution can apply in order to create strong brand in the market. This research paper also focuses on
how the education and the related areas can be used to promote the brand of the university/ institute.
Creating a brand name is an essential matter these days for the educational institute due to increase in
competition and increase in more and more such institutes.
Over and above, the most important object of creating this research paper is to know the areas where
the promotion of the educational institution can be done and also knowing which are the modes of
promotions which may help the institutions to achieve the aim of these educational bodies.
LITERATURE REVIEW
Kapferer (1997) mentioned that “the brand is a sign -therefore external- whose function is to reveal the
unknown qualities of the product which are inaccessible to contact”. The brand served to recognize a
product and to make a distinction it from the competition. Regarding the brand management process as
related to the function of a brand as an identifier, Aaker and Joachmisthaler (2000) discuss the
conventional branding model where a brand management team was responsible for creating and
coordinating the brand’s management program. In this location, the brand manager was not high in the
company’s hierarchy; his focus was the short term financial results of single brands and single products
in single markets. According to Keller (2003), brand awareness consists of brand recognition –the
“consumer’s ability to confirm previous exposure to the brand when given a brand as a cue” and brand
recall -the “consumer’s ability to retrieve the brand form memory when given the product category, the
needs fulfilled by the category, or a purchase or usage situation as cue”. On the other hand, “brand
image is created by marketing programs that link strong, favorable, and unique associations to the brand
in the memory”.
ESSENTIALS FOR EDUCATIONAL BRAND
It is essential for any educational institution to first develop a brand and then promote the same
to attract the students from different corners of the world. The principles of branding are
universal and they are applicable to each and every organization whether they are business or
educational. It is very important for the organization to define its brand and then know the
objective of the same and also knowing the reason why the brand is created and what are the
efforts in the same. The brand of the educational institution is also reflected by the name it
carries, the quality of education, the quality of faculties and staff it carries and also the culture
and resources available for students, educational assistance, value added courses and many more factors
like campus, infrastructural facilities, quality of students and their track record in getting jobs, assistance
in placement of the students after completing their studies. For education institutes, the product is the
education and the prospective customer is the student. An educational institute, to be reputed, must
focus on the following very basic issues:
• Curriculum and Teaching Pedagogy.

• Technology-enabled education.
• Promising state of art Infrastructure.
• Well-qualified Faculty.
• Proper Accreditation and Affiliation.
• Maximum Courses under one roof.
• Proper Industry linkage.
• Scholarships/Fellowships offered to students/faculty.
• Student and faculty exchange plan.
• Career Counseling and Placement services.
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• Developing soft-skills such as communication and inter-personal skills

• Research and Innovation.
It is but obvious that the financial health of an educational institution is reliant upon the returns
generated from student in the form of fees and other charges. The competition in the higher education
sector has increased than ever before. These days educational institute try to win on price, quality,
service, and status. Now due to online education and the increasing mobility of students, it has become
difficult for the institutes to get the students for even the survival of the institutes. Hence, there should
be more and more attention of promoting the educational institution as well as developing and
improvement the existing resources in accurate method whether they are tangible or intangible.
MEASURES ADOPTED TO BUILD BRAND:
In today’s cut throat competition, the branding of the educational institute is also very much necessary.
It is effortless for an educational institution having great brand image, to attracting best faculty
worldwide, worthy students and reliable staff. The branding of an educational institute involves serious
planned implications as the lives of its students, parents, alumni, faculty, and other supporting staffs are
closely tied to it. Brand building should not be limited to implementing a new logo or a tagline; in fact,
successful brand building should take a holistic vision of the institute and benefit from on its strengths
and distinctive qualities. Various well known measures adopted to make the brand have been discussed
as under:
• Promoting on National Television: The educational institutes have started spending very much
on advertising and promotional activities. Such advertisements are not restricted to
newspapers/journals of repute only, rather these institutions have started giving their
advertisements on a number of national TV Channels like Aaj Tak, NDTV India, Star Plus, Zee
TV to name a few. In Gujarat a few private universities have been promoting their brand by means
of TV, radio, newspapers, Internet and a variety of other options existing in the current era of
technology. More or less all such educational institutions have established the exceptional
means/methods to determine the effectiveness of their advertisement through various media. We
have been observing that the advertisements of private universities like Lovely Professional
University, Amity University and many more who are situated in different parts of India are
promoting themselves in this manner. Promotion of the institutions in the national television will
not only increase the mass of the communication but also will help in building of the brand as these
promotional advertisements occupy huge investment.
• Celebrity Endorsement: Celebrity endorsement is one of the few institutions to promote thei
brand image. There are many institutes who undergo several contracts with the celebrities and use
their name to build the institutional brand. Some of the examples are Anil Kumble branding
Manipal Education Group, Super star Shahrukh Khan is invited as a guest in one of the institutions
in India to host their annual day, Harsha Boghle is invited every year in the convocation of IIM-
A. Use of celebrities will not only help in making the promotion but also this manner the celebrity’s
image might reflect in the working or the culture of the institute.
• Infrastructure and teaching methodology are one of the best areas where the promotion can be
done. These are the short term promotional methods which help in fetching the admissions in the
small duration only and not round the year. There are several parents who consider and rely on the
feedbacks of the pass out students of the institute and they also consider word of mouth
communication in taking admission in any institute
• Social Media and Digital Marketing: The modern era is also now constantly using the latest
technology of marketing the organizations. The digital marketing is increasing at a greater level
and is being the strong medium of promotions. There are various means where the students are
accessing the information of the institute and communicate to all the people also. That is why the
institutes are also concerned for admission assistance online, through website and other such areas
such as face book, twitter, etc to attract the students. Social media is such a medium where the
students are spending most of the time and this might be used as a strong tool to market the brand.
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• Social Welfare: There are several institutions who have commenced social welfare measures to
create promotion of their institute. Some of the measures are organizing blood donation campus,
help to poor and visit to orphanage, various scholarship test and other such measures.
• Alumni: Alumni is one of the strongest network in building a brand of the institute. It is also one
of the cheapest manners of promotion for the institute. Alumni are the strong measure of building
the brand as well as promoting the institute. Many alumni are situated at different corners of the
world. They already work in companies; build their own business, etc which indirectly help to
build the image of the institute. Connecting with these alumni and maintaining strong relations will
help in establishing a good promotional idea. Developing a web portal for the alumni and the
students is one of the best ideas.
• Another manner of promotion of the educational institute is to effectively use the internet services.
The internet and its access has been reaching to several people including the common man.
Therefore, the institute should first seek to it that what are the internet and the related areas where
they can develop a strong base to promote their brand. The promotion and the development in the
internet promotion should also seek for feedback so that there are proper steps to position the brand
of the institute.
• The efforts put by the institute towards the quality of research and academic related activities
should also be communicated to the society. The facilities for research and the resources should be
communicated to the students and the society so that they can understand how much the institute
is concerned for its development. Apart from concentrating on issues like research and other
resources like academic progress, infrastructure, etc. the institute should also try to attach with the
students emotionally and try to build the trust by knowing the student’s and their parents about the
expectations. The emotional trust will attract the students.
• The educational institutions and the universities must also take some measures to make the
environment green and free from pollution, it should be pedestrian friendly, some of the different
and outstanding measures to build the brand should be noted to apply. These measures will try to
engage not only students but also the staff and faculty towards working in the better workplace and
will give sustainable efforts.
• The institute should also try to focus on those areas where they can give their best. The posters,
direct email, radio, web portals are the best areas where maximum coverage can be taken. Also the
institute/ university should work on the communication methods and parent feedback and working
in those areas towards improvement.
• The institutions should also involve the students in building their brand. The institute should also
release internal internship policies where the student can directly participate in the promotional
activities of the institute and they can contribute latest and strategic information to the institute.
Also the students will be able to get an opportunity in participating in the core areas of the working
which might encourage and motivate towards working in different conditions before they possess
their degrees.
• The institute should also promote and project the real time stories of their alumni. The alumni
should also be promoted and the position of the student in the world should be projected which
will lead to motivation of the students and can directly affect the promotion of the institute.
• Create an effective tour with celebrity through audio, video, and graphics, online campus tours can
provide prospective students with a personal know-how that identifies the exceptional offerings
and background of the institution. All designed to give potential students a look at what group on
campus are like.
• Mark your milestone. Promotional pieces include a mixture of print resources, apparel and
merchandise, television spots, and an anniversary website. Other actions include a traveling
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historical present, a black-tie fundraiser, and alumni/community events across the country and
around the world. Educational Institutions/Universities can give their vehicles a facelift.
• Get a cute mascot. A familiar visual is another way for people to keep in mind. Educational
Institutions/Universities must rely more on their strengths and they must convey to the students
what they had promised previously. They must try to take benefit of the opportunity but it must
not contradict with their providing quality education.
FINDINGS
It is obvious that the numbers of educational institution are growing and with this growth, the
competition is also increasing. The institute/ university is identified by the result and the impressions
of the students which they carry out in the world and apart from that, the marketing of the institute is
also important these days as it might also help in maintaining the name and fame of the institute to be
heard in the market. From the above mentioned points, the educational institutions are promoting their
brand and make a strong position in the market. There are many ways of promoting the educational
institutions but the most important measures are described above.
CONCLUDING REMARKS:
It is obvious that every organization whether business or education should always focus on
brand promise rather than brand promotion. A brand promise and its fulfillment will always
lead to greater promotion of the brand as brand promotion without a brand promise is
ineffective. The institutions which draw several promises should also fulfill the promise and
generate their brand image. One of the practices to promote the brand is through campaigns.
These days, the students are smart and the fake data of the achievements of the educational
institutions will not show any progress in promoting the brand of the institute rather it will
degrade it. The image of the institute is equally built by the students and hence, the institute
should always look forward to know the expectations of the students and then work on it and
this will lead to automatically generate good brand image.
REFERENCES
[1]. Altbach, P., & Knight, J. (2007). “Internationalization of higher education: motivations and
realities.” Journal of Studies in International Education, 11(3/4), 290-305.
[2]. Brown, J., & Goonawardana, S. (2006). “Brand Harmonization in the International Higher
Education Market.” Journal of Business Research, 60, 942-948.
[3]. Gumport, P. (2000). “Academic Restructuring: Organizational Change and Institutional
Imperatives.” Higher Education, 39, 67-91.
[4]. Hart, S. & Murphy, J. (1998). “Brands: The New Wealth Creators”. London: Macmillan Press.
[5]. Parry, G. (2003). “Mass Higher Education and the English: Wherein the Colleges?” Higher
Education Quarterly, 57 (4), pp. 308-337.
[6]. Rossiter, J. R. & Percy, L. (1991). “Advertising and Promotional Management”. McGraw-Hill,
NY.
[7]. Stanton, G. (2009). “A view from Within the English Further Education Sector on the Provision
of Higher Education: Issues of Verticality and Agency”, Higher Education Quarterly, 63 (4), pp.
419-433.
[8]. Stensaker, B. (2005). “Strategy, Identity and Branding – Re-inventing Higher Education
Institutions.” City University Higher Education Seminar Series
[9]. West, C. (2008). “Building Education Brands.” International Educator. Retrieved March.
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Segment II
Management
Theme:

Part – II
Abstracts of Papers
Presented during the Conference
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PCM018
A STUDY ON CORPORATE GOVERNANCE & CSR –THE
PERFORMANCE EVALUATOR OF THE COUNTRY
Lecturer Lecturer
Abstract
CSR is described as contribution of business towards sustainable development and is defined as the
development for current and future needs. CSR is associated with many elements such as corporate
sustainability, corporate responsibility and corporate stewardship.
Corporate governance acts as a bridge between economic and social goals. The framework of
corporate governance helps to use resources and requires accountability. This paper will highlight the
performance of organization in terms of CSR.
Keywords: Corporate sustainability, accountability, responsibility, corporate and responsiveness,

business ethics of the organization
PCM030
A STUDY ON THE LGB MODEL OF MEASURING THE CSR
ACTIVITY
Adwitiya Acharya Ayona Pillai
Assistant Professor Student
GIDC Rajju Shroff Rofel Institute of GIDC Rajju Shroff Rofel Institute of
Management Studies Management Studies
Abstract
Givers and takers should ensure to balance the ecosystem as the resources taken must be correctly
utilized to provide benefit to the society together we all shall grow and ensure that the benefit reaches
the masses community development has been always the core of the business goals to ensure growth of
the society. Since the amendment of Companies Act 2013, it has ensured that companies remain
committed to the objective of development of society and all the resources are appropriately utilized
and reach to every corner of the society needed. The present study aims to measure “from inputs to
impact”- of the community investment project through LBG model /toll of measuring CSR. It is
auniversal standard for measuring CSR activity by breaking down an activity into input (what it has
given), the output (what happened) and the impacts achieved (what changes it brought).
Keywords: CSR, LBG MODEL

JEL classification code: M14
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PCM040
LEADERSHIP, DOES GENDER MATTERS?
Ms. Alfiya Vhora
Assistant Professor
Parul Institute of Management and Research.
Parul University, Gujarat, India.
vohraalfiya88@gmail.com
9409612647
Abstract
Leadership defines as to lead someone or to direct someone on the basis of their performance in the
Organization. Leadership plays a vital role not only in educational sectors but also in all organizational
level. Leadership style of working rely on gender that how they working with others, how they solve the
problems, how to get maximum performance from others all together depends on leader and their style
of leadership. Successful leadership has a lot to do with style – but different styles work better in
different situations with different performance outcome. Whether men and women behave differently in
leadership roles is a much-debated issue. Although there is harmony that woman, face more barriers
to become women leaders than men specifically in conservative societies. Therefore, this paper has two
objectives. First, different leadership styles adopted by different leaders on top level of management
and achieved success. Second, to know leadership does gender matters according to the leaders.
Keywords: Gender, Leadership style, male, female.
PCM044
TECHNOLOGY ORIENTED ENTREPRENEURIAL BRICOLAGE
STRATEGY AND SUSTAINABILITY ORIENTATION FOR
SUSTAINABLE ENTERPRISE PERFORMANCE OF STARTUPS
Dr Brijesh S
Symbiosis Centre for Information Technology (SCIT),
Symbiosis International University (SIU).
brij.jesh2002@gmail.com
9225501920
Abstract
This paper aims to study and empirically investigate the role of entrepreneurial bricolage (EBR),
technology orientation (TOR) and sustainability orientation (SOR) in the sustainable enterprise
performance (SEP) of startups in India. The hypothesized conceptual framework for this study
integrates the entrepreneurial bricolage theory, upper echelon theory (UET) and resource based view
(RBV) theories along with two additional constructs namely technology orientation and sustainability
orientation. A primary survey was conducted using a structured questionnaire. The responses were
collected from 285 sample respondents from 425 startups and the data was analyzed using the partial
least squares-structural equation modeling (PLS-SEM) technique. The findings from this study suggest
that technology and sustainability orientations have positive influence on sustainable enterprise
performance. Entrepreneurial bricolage (create new things with resources “on hands”) plays a
significant mediating role between entrepreneurial as well as technology orientation and sustainable
enterprise performance in the context of Indian startups. This cross-sectional study has a geographic
limitation as it was conducted in Pune city and its suburbs in the state of Maharashtra. As this study
was carried out in the context of a developing country like India, caution needs to be exercised while
generalizing the findings of this study to other regions, countries and cultural contexts. This study
suggests the significance of technology and sustainability orientations in the long term sustainable
enterprise performance to the budding entrepreneurs who have strong entrepreneurial orientation and
deploy bricolage strategy to start their new business ventures. This study has a novel contribution as it
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empirically validates the role of multiple constructs such as entrepreneurial, technology and
sustainability orientations along with bricolage creativity in the resource constrained startup
environment in a developing country like India.
Keywords: Entrepreneurship, Bricolage, Technology Orientation, Sustainability Orientation,
Startups.
PCM045
IMPACT OF GREEN ACCOUNTING REPORTING ON SOCIAL
WELFARE
Dr.Sarika Srivastava Darshil Shah
Assistant Professor Research Scholar
Graduate School of Management Gujarat Technological University
Gujarat Technological University staydarshil@gmail.com
ap2_cgbs@gtu. edu.in
Abstract
Development of the society at a consistent rate though good, made some major destruction in the
environment, led to diminution of natural resources, infected the terrain and that too resulted in the
change of the climate health i.e. green house effect. Green accounting is made requisite across the
globe by several countries and also they have divulged the environmental information for the reference
of interested parties, through which the observation is made of how they adopt this practices and at
what pace the participation is done for the betterment of the society at large.
Even though Indian corporates have to abide by the norms with regards to environmental protection,
but still there is no guidelines or policies framed at any of the Corporate, state or National Level, for
ensuring the level of acquiescence to environmental norms. This study was taken out with a view of how
the major environmental parameters reported by indian corporates as segment of their Environmental
reporting practice. The study evaluated the relationship between Green Accounting Report and
Sustainable development.
Keywords: Green Accounting, Green Reporting, Social Responsibility, Green Accounting
Parameters.
PCM050
HR POLICIES: ADVANTAGEOUS WITH
MARKETING 4 P’S OR NOT?
Smith Patel Rinkal Solanki
Student Student
Atmiya Institute of Technology and Science Atmiya Institute of Technology and Science
smith1995patel@gmail.Com rinkalsolanki347@gmail.com
Abstract
HR department is an integral part of any company or an institution so they not only have to focus on
deciding the policies related to it but to reinvent it day by day. With this objective, the companies can
try to improve the functioning of the department by involving it with the marketing perspective. Within
this, there comes the marketing 4P’s which can be integrated with HR. As the process and model for
both fields is quite similar in many ways. This paper attempts to study the impact of the marketing
concepts on the HR strategy. The study aims to check whether “HR policies” can be advantageous with
marketing 4P’s or not? The finding of the study supports it is advantageous and useful.
Keywords: HR department, HR policies, Marketing 4P’s
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PCM052
THE ROLE OF ADVERTISEMENT CREATIVITY FOR BRAND
MANAGEMENT
Sukriti Sharma
Assistant Professor
Deepjyoti College of Commerce,Bharuch
sharmasukriti85@gmail.com
8980587066
Abstract
Consumer goods are important in every people’s lifestyle in the society. The reason behind is the
availability of brand which has been increased which are very famous not only at national level but
also at international level. Advertisement plays a key role into different media selection. Now, every
marketer measures the power of Advertisement while deciding Consumer Preferred Brand.
Advertisement is such a tool which not only attracts new customers but also retains the same. The
present. This study shows the role of Advertisement while preferring Brand in market. Advertisement is
a weapon to overcome the severe of Competition. This paper outlines a conceptual approach of
creativity in advertisement called “Brand” as a centre, targeting group of customers.
Keywords: Advertisement, Brand Preference, Consumer goods
PCM062
EMPLOYEE ATTRITION IN EDUCATIONAL INSTITUTE
Praci Vishal Notani
Tolani Motwane Institute of Management Studies
w.roshni@gmail.com
08460667005
Abstract
Educational Institutes re confronting a quick development high open door challenge. Human capital is
the encapsulation of their business development which makes it basic for the organization to manage
this enduring issue of wearing down. Whatever be the purpose behind workers leaving the activity, it's
an issue of worry for the foundation to deflect turnover and assemble Brand unwaveringness for
themselves in this aggressive market condition. High steady loss rates bring about heightening
enrollment and part of time associated with new worker change in accordance with the workplace and
along these lines upgrade their spirit. The present examination plans to investigate the purposes behind
whittling down in instructive foundations.
Keywords: employee turnover, educational institute, attrition
PCM067
RELATIONSHIP BETWEEN RESEARCH AND DEVELOPMENT
CAPABILITIES AND FIRMS’ PERFORMANCE
Dr. Dhiren Jotwani
Institute of Management, Nirma University
dnjotwani@gmail.com
Abstract:
Research and Development (R&D) forms an integral part of any company’s product development
strategy and future performance prospects. The review of literature has thrown light on a number of
significant R&D capabilities a firm must possess to operate successfully. It becomes very crucial in
industries where continuous research is an essential component of business growth. With this
background, the present study empirically investigates a sample of SMEs which are actively engaged
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in formal R&D activities; all firms belonging to the electronics industry. Assessing specific R&D
capabilities, the impact of the same have been analysed on firms’ profitability in business operations.
The major contribution of this paper is to take further the understanding of behavior of SMEs in terms
of estimated investment in R&D and its importance, looking at the uncertainty and competition facing
the modern businesses, especially the SMEs.
Keywords: Research and Development, Small and Medium Enterprises, Firms Profitability
PCM078
“EXPLORING ZAMBIAN FMCG MARKET; OPPORTUNITIES AND
CHALLENGES: AN EXPLORATORY STUDY”
Dr. Ankita Srivastava
Associate professor
Oakbrook Business School
ankita.srivastava@oakbrook.ac.in
7738300603
Abstract
The consumer market relates to purchasers who buy merchandise and enterprises for utilization as
opposed to resale. In any case, not all purchasers are indistinguishable in their preferences,
inclinations and purchasing propensities because of various qualities that can recognize certain
shoppers from others. These specific shopper attributes incorporate different statistic, psychographic,
behaviorialistic and geographic qualities. Economic liberalization entails an economic system that
allocates resources in the economy through market forces and not through central planning or any
other control system. Supply and demand determine market prices. The globalization of business is a
genie that can't be returned in the jug. The eventual fate of business is worldwide. More than ever,
organizations can enter showcases abroad about boundary free. Each culture has its own high-volume
shopping seasons that organizations outside that district probably won't get it. A standout amongst the
most imperative cross-fringe contrasts to perceive is buyer conduct. This, as well, will shift by area.
What publicizing, for instance, will be effective in different nations? What informing and web based life
stages are imperative? The present examination is an endeavor to investigate the Zambian Consumers
Market, openings and difficulties. The examination is exploratory in nature.
Keywords: Consumer market, Zambia, FMCG market, Opportunities and Challenges
PCM088
CHALLENGES OF ROBOTICS PROCESS AUTOMATION IN
BUSINESS PROCESS MANAGEMENT INDUSTRY
AM0096 AM0126 AM0127

Mr. Sumit Mishra Dr. Sree Devi K K Dr. Badri Narayanan M K
PhD Research Scholar Assistant Professor Professor
School of Management School of Management School of Management
Hindustan Institute of Hindustan Institute of Hindustan Institute of
Technology & Science Technology & Science Technology & Science
sumit.mishra@live.com sreedevi@hindustanuniv.ac.in mkbadri@hindustanuniv.ac.in
Abstract
Business Process Management (BPM) Industry has evolved through various models in last two decades
and is currently going through a major transformation phase with the current focus on Digital
Operations through use of Robotics Process Automation (RPA) and Artificial Intelligence (AI) to
automate the manual processes.
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Everything around customer’s life is going digital with a seamless user experience and this has created
customer needs and demands for the digital age. The impact of digital transformation is so rampant
that there is not a single exception across various industry verticals which are not experimenting with
RPA & AI to automate their internal processes so that they can cater to the ever-growing needs and
demands of the customers in the digital age. It would not be an exaggeration to say that companies
which are not preparing for digital strategy to improve customer experiences will eventually lose their
competitive advantage.
While customer’s needs and demands are growing exponentially in the digital age, companies are still
smitten by legacy technologies and non-standard internal processes that are not yet nimble and agile
enough for the digital transformation.
These constraints have created a greater opportunity for few product companies like Blue Prism,
Automation Anywhere, UI Path, KRONOS system etc. to launch their automation capabilities in terms
of BOTS (Software RoBOTS) which are claimed by them to make these legacy technologies and non-
standard internal processes to work smart without much of human interventions using BOTS.
BPM industry which serves many organizations in managing their internal business processes are also
increasingly looking at adoption of RPA and AI to make a digital operation differentiation to their
customers.
While it is easy to say “Go digital” but in reality adoption of digital operation is not without challenges.
This research paper is focused on RPA challenges through a likert survey questionnaire launched with
a focused group of RPA practitioners (N = 101) and statistically validated with methods like
Cronbach’s Alpha and hypothesis testing.
Keywords: Digital Operations, Automation, RPA Challenges, BPM
PCM120
BEHAVIOR-BASED SAFETY- ASSESSING HUMAN FACTORS AND
INFLUENCING BEHAVIOR: A REVIEW
Sujata Sinha Dr.Ashutosh Muduli
Research Student Professor, Pandit Deendayal Petroleum
Sujata.rnc@gmail.com University
9631260262 Ashuhrm@gmail.com
9586779779
Abstract
Management of "human factors" is increasingly recognised as having a vital role to play in the control
of risks. Successful management of human factors can reduce error and improve safety in the
workplace. In this paper, we will discuss the various aspects of human factors contributing to safety
management at the workplace. The available literature has been reviewed to explore the various human
factors, understand the causes of human error/failure, give inputs to manage /influence human
performances and provide solutions to related problems. It also discusses the causes of human failures
from an intended & unintended perspective and input to mitigate those.
Keywords: Human factor, human failures safety management etc.
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PCM124
NON-BANKING FINANCIAL COMPANIES: THE CHANGING
LANDSCAPE
Shraddha M. Bhagat
Student,
shraddhabhagat117@gmail.com
Abstract
“A robust banking and financial sector are critical for activating the economy and facilitating
higher economic growth.”
In the recent past, it has been witnessed that the growth of Indian Economy has been accelerating with
multifaceted developmental approaches. Amongst all, one of the major approaches has been towards
Financial Inclusion across the country. Financial inclusion has globally been considered as a critical
indicator of development and well-being of the society. In order to enhance and support this agenda of
the government to extend financial inclusion throughout the country, Non-Banking Financial
Companies (NBFCs) have assumed a basic job in invigorating the development of Indian economy by
rising as a key lender to the organizations, particularly to the eager for credit MSME area. Non-Banking
Financial Companies (NBFCs) have become home to an increasingly huge number of domestic
businesses as well as individuals who encountered various challenges in sourcing credit from traditional
banking institutions. Looking at the current scenario, the banking system seems to be plainly obliged
as far as growing their loaning exercises and, in this manner, the job of NBFCs have turned out to be
much increasingly critical in the centre advancement of framework, transport, business age, open doors
for riches creation and intensifying money related help to fiscally more fragile segments of the general
public.
Taking the above-mentioned aspects into consideration, the current research article mainly focuses its
attention on analysing the changing landscape of NBFCs in India, the regulatory framework of NBFCs,
regulatory convergence between Banks and NBFCs, current scenario of Non-Performing Assets (NPAs)
under NBFCs, interest rate policy, challenges faced by the NBFC sector and future growth prospects of
NBFCs in India.
Keywords: Financial Inclusion, Non-Banking Financial Companies, Banks, Non-Performing

Assets, etc.
PCM125
MARKET SEGMENTATION AND CUSTOMER FOCUS
STRATEGIES: A TOOL TO VALUE CHAIN MANAGEMENT
Hiren M. Patel
Student
hirenpatel5676@gmail.com
Abstract
Today, in this hyper-aggressive business world, each and every business entity is endeavouring day and
night to gain supremacy over others and few of them effectively got that predetermination. If we look at
the present-day business, it is tied in with winning the stiff battle of competition with the variety of
business entities and proceeding with rolling out right improvements in those weapons at the opportune
time. Market segmentation and customer focus strategies are absolutely two sharp weapons amongst
those and can contribute significantly to ensure immense and quick development. This article mainly
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focuses its attention on discovering the contribution of these two strategies towards an effective value
chain management. The findings under the current research article recommend that market
segmentation inhibits organizations to segment the entire market in a successful way and in this manner
hugely helps in delivering expanded and tweaked products and services. In addition to this, customer
focus strategies provide assistance to the firms in incredible approach to centre around particular
clients and thereby, develop compelling business sector and client driven value chain.
Keywords: Market segmentation, Customer Focus Strategies, Value Chain Management.
PCM127
HOW TO FIGHT WITH NPA’s
Bhavesh Chandavani
Student,
bhaveshchandavani@gmail.com
Abstract
As to increase the overall economy various loans had been provided to various entrepreneurs so that
they can create business and employment in the country itself. This is what is responsible for the steady
growth in economy, projects like make in India and various funding scheme for business. But this has
given rise to a severe problem that is NPA, NPA’s are those assets, which stop performing for banks
and don’t generate any income for banks, thus when payments of a preforming asset become overdue
for more than 90 days it is considered as non-performing asset. This ever increasing numbers of NPA
has created an alarming state that these would results as losses and these huge losses will be more than
the revenue generated by the genuine loans given to the business and the entrepreneurs. And the whole
idea of increasing the overall growth of the economy will not be attained. Like one of the great
businessman of India Mr.Vijay Mallya and his idea of kingfisher airlines had been promoted and
supported by various banks and their money, Mr.Vijay Mallya couldn’t repay these loans on time so
instead of declaring him as NPA he was further supported by banks and these results more and more
debts of kingfisher airlines which they eventually couldn’t repay. So this shows that there is dire need
of a full proofed lending system which declares the NPA by the given guide lines these will surely help
in reducing the magnitude of these debts to a larger extend.
Keywords: non-performing assets (NPA), banking, kingfisher, vijay mallya, credit/loans.
PCM138
IMPACT OF GLOBAL OPENNESS ON INFLUENCE INTENTION TO
BUY FOREIGN PRODUCTS
Dr. Krishnaba Vaghela Mr. Ashwin Jadeja Ms. Richa Shreevastava
Assistant Professor Research Scholar Research Scholar
(GSMS, GTU) (Mevar University) (Gujarat University)
Krishna_parmar09@yahoo.com ashwinmba89@gmail.com richashreevastava@gmail.com
Abstract:
Consumer’s intention to purchase a product is a result of a multiple complex factors ranging from their
personality to mood; brand name to the word of mouth; rational judgment to emotional attachment and
the list goes on. As globalization is on roll and companies of countries all over the world are trying to
make their mark in foreign markets, the managers often want to know the psyche of consumers to serve
them with better offerings. As India is witnessing multitude of foreign companies covering the highly
potential market of the speedily developing nation, this research paper adds to the better understanding
of Indian consumers in terms of their intention to buy foreign products.
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In earlier researches Variables like Consumer Ethnocentrism (CE), Perceived Product Judgment
(PPJ), Attitude Towards foreign Product (ATP), Country of Origin (COO) were identified by various
researchers which directly or indirectly influence Intention to Buy (ITB) foreign products. Some of the
variables have been already proved by various researchers in different context though Structural
Equation Model (SEM). In this present study researchers have tried to explore the impact of Global
Openness to accept or reject any brand with its influence intention to buy through proven model.
Moderating effect global openness and Multigroup analysis were performed though AMOS software to
find out the moderating effect.
Keywords: Foreign products Purchase intention, Ethnocentrism, Cultural similarity, Structural

Equation Modelling (SEM), Global Openness, Country-of-origin.
PCM139
IMPACT OF PERCEIVED TRUST, PERCEIVED SECURITY AND
PRIVACY POLICY IN ONLINE PURCHASE INTENTION
Dr. Krishnaba vaghela Dr. Kedar Bhatt
Assistant Professor, Assistant Professor
Graduate School of management Studies
Shree Chimanbhai Patel Inst Of Mgt. & Research,
(GSMS),
Ahmedabad, Gujarat, India Ahmedabad, Gujarat, India
Email: ap2_cme@gtu.edu.in. Email: bhattkedar06@gmail.com
Abstract
Consumer across the globe has shown a shift from in-store buying to online buying. From buying
groceries to furniture, from apparel to accessories, and beauty products and jewelry to ticketing – e-
commerce has greatly empowered the Indian consumer. However, consumer’s adoption of online
purchase is greatly affected by his perceptions about security of his information due to impersonal
nature of online shopping environment. Customers’ perceptions of the security of e-payment systems
have become a major factor in the evolution of electronic commerce in markets. It is of prime
importance for e-payment service providers to develop systems that are deemed as secure and
trustworthy. Thus, it is important to assess effects of consumer’s perception of trust, security and
privacy on their online purchase behavior. This paper examines the impact of perceived trust, perceived
security and Privacy on online purchase intention of the users. Questionnaire consisting scales for the
independent and dependent variables was developed for collection of data about consumer’s
perception.
Keywords: Perceived Trust, Privacy, Security and Online Purchase Intention.
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Segment III
Pharmacy
Theme:
Part – I
Full Papers
Sponsored By
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PCP005
EXTRACTION, ISOLATION AND IDENTIFICATION OF BIO ACTIVE
FLAVONOIDS AND PHENOLIC COMPOUND FROM OCIMUM
BASILICUM SEED
Dr. Nisha Parikh
Associate professor
Arihant school of pharmacy & BRI
parikhnisha83@gmail.com
___________________________________________________________________________
Abstract
Seed of Ocimum basilicum L. belong to family Lamiaceae commonly known (Takhmaria). It
is widely used in drinks in India and Asian countries. Seed of plant shows antimicrobial
activity, invitro antioxidant, aphrodisiac, diuretic and anti dysenteric actions. Based on
chemical investigation of methanolic extract of Ocimum basilicum seed, isolation and
identification of two phenolics compounds gallic acid and catechin, and one flavonoid
apigenin were isolated by column chromatography using toluene–acetone–formic acid as a
solvent. The structure of isolated compounds were characterised and confirmed by M.P.,
U.V, IR, MS, 1H- NMR and 13C-NMR spectral data. From methanolic extract of Ocimum
basilicum seed presence of these three compounds has been reported first time.
Keywords: Ocimum basilicum L, Apigenin, Catechine, Gallic acid
1. INTRODUCTION
Extraction is the first crucial step in the analysis of medicinal plants, because it is necessary
to extract the desired chemical components from the plant materials. It is required for further
separation and characterization.4
Phytochemistry reports thousands of newer organic molecules or compounds every year.
Pharmacological testing, modifying, derivatizing and research on these natural products
represent a major strategy for discovering and developing new drugs.1 Moreover, plant
secondary metabolites present chemical and pharmaceutical properties interesting for human
health.3
Secondary metabolites are chemical compounds produced by plants. They have very
important role in growth, photosynthesis, reproduction and other primary processes are not
known yet. Most of the secondary metabolites of herbs and spices have therapeutic as well as
commercial importance and find their application in a number of pharmaceutical compounds.
Flavonoid and phenolic compounds are the most important groups of secondary metabolites
and bioactive compounds in plants.2
Phenolics and flavonoids possess diverse biological activity like antiulcer, anti-inflammatory,
antioxidant, cytotoxic, antispasmodic, antidepressantic, antidiabetic activities.
Plant Ocimum basilicum (O. basilicum), especially the seed, has been reported to possess a
wide range of medicinal properties which, has prompted a comprehensive investigation of
seed of O. basilicum. A number of compounds have already been isolated (but this is the first
report to isolate flavonoid and phenolic compound from O. basilicum seed. The purpose of
this study was to isolate the most important group of phytochemical class i.e. flavonoids
using column chromatography techniques and was characterized through various
spectroscopic techniques like (IR, 1H & 13C NMR and MS).
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2. EXPERIMENT
2.1 Equipments and Instruments

Sihmadzu Aux 120 analytical balance (Gottingen, Germany), UV cabinet with dual
wavelength UV lamp 254 nm and 366 nm (Camag ),Water bath, (Janki Impex, Pvt. Ltd.,
Ahmedabad, India), A UV-Visible spectrophotometer UV1800; Shimadzu, Kyoto, Japan)
with wavelength accuracy of ± 0.5 nm, a pair of 10 mm matched quartz cells with 2 mm
spectral width, Rotary Evaporator model RE301 (MRS scientific, UK.), Melting point
apparatus, H305/0162, (Janki Impex, Pvt. Ltd., Ahmedabad, India.), Fourier Transform
Infrared Spectroscope, FT/IR- 4600 (Jasco, Japan.), Water, Q-TOF Micro mass pectrometer
(New Delhi. India.), Bruker advance II NMR spectrometers (Bruker Ltd. Switzerland).
2.2 Chemicals, Reagents and Materials

Apigenin, Catechin, and Gallic Acid (>98% pure) were procured from (Sigma-Aldrich
(India), fast blue B salt MS (S.D. fine chemicals, mumbai (India), silica gel 60-120#
(spectrochem Pvt. Ltd, mumbai, India), pre-coated with silica gel 60 F254 with (0.2 mm)
layer thickness aluminum sheet for HPTLC plates (20 x 20 cm, merck, Germany), petroleum
ether, cholofrom, ethyl acetate, toluene, formic Acid, acetone, methanol AR grade (S.D. fine
Chemicals, Ahmedabad), All the glass wares including round bottom flask, soxhlet assembly,
column, conical flask, volumetric flask, funnel, test tubes, pipettes, measuring cylinder,
beaker etc. were of Glass A borosil glass, whatman no.41 filter paper and muslin cloth was
used as filtering and straining media.
2.3 Extraction Procedure

100 gm of O. basilicum seed (air- dried powdered) sample were defatted by refluxing four
using 250 mL petroleum ether (60-80°C). Successive solvent extraction of the O. basilicum
seed using soxhlet apparatus with solvents in their progressive order of polarity for 4 h and
filtered through whatman filter paper No 41. Overall procedure was performed three times to
get complete extraction of the powder.Vacuum-assisted rotary evaporator is used for dring of
all combined extracts. Residue was weighed. All the dried extract was stored in an air- tight
container in refrigerator. From all extract, extractive value of methanolic extract is more.
Methanolic extract showed the higher amount of phenolics and flavonoid content. So dried
methanolic extract used for further separation isolation, and characterization of
phytoconstituents from O. basilicum seed.
2.4 Separation of Phytoconstituents Using Column Chromatography

In order to isolate the bioactive compound from the crude extracts, they were further
fractionated using column chromatography silica gel (40 g, 60-120 #, Spectrochem Pvt. Ltd.)
as stationary phase. A cleaned and dried column (60 X 3cm) was aligned in a vertical
position. A clean and dried beaker was placed under the column outlet. The column was
partially filled with petroleum ether. A loose plug of cotton which had been washed with
petroleum ether was tamped down in to the bottom of the column. A small layer of clean
white sand was placed over the cotton wool by pouring sand in to the column. The column
was tapped gently to level the surface of the sand. The column was then filled with slurry of
silica gel prepared in hexane. The solvent was allowed to pass slowly from the column. From
the dried extract obtained as per section 2.3, 5 gm of extract was loaded on a glass column
(60 X 3 cm) packed with silica gel (40 g, 60-120#), as a stationary phase. The extract was
dissolved in a minimal quantity of methanol and adsorbed on to silica gel. When the sample
adsorbed to the silica gel, small amount of sand was poured to cover sample. The mobile
phase was poured continuously to the top of the column by aid of a funnel. The bottom outlet
ISBN: 978-93-5351-069-5 420

of the column was opened. All the fractions were collected in separate test tube. Colum was
eluted with Toluene: Acetone: Formic acid system (5:4:1) until fraction were not showing
any spot on TLC. Total 50 fractions were collected and each fraction was checked by TLC
technique. Similar RF value containing fractions were mixed together, allowed to evaporate
to remove solvent. These fractions were grouped together according to their homogeneity,
judged from the TLC analysis.
2.5 Purification of Compounds

Dried residue of similar RF value containing compounds fractions was suspended in 50 mL of
ethyl acetate. The extraction procedure with ethyl acetate was carried out three times.
Combined extract were evaporated to its 1/4 volume (30 mL) on electric water bath and semi
solid mass obtained which keep aside for 5- 6 h which developed crystals. Recrystallization is
carried out to obtain pure crystals using methanol and pure crystal assigned as compound
OB- I, OB-II and OB-III.
2.6 Identification and Characterization of the Isolated Phytoconstituent using M.P, UV,
FT-IR, Mass, NMR Spectroscopy
Pure crystals obtained as per section 2.5 is designated as OB-I, OB-II and OB-III. The
structure of a purified compound can be determined using information from various
spectroscopic techniques. The isolated and purified crystals of OB-I, OB-II and OB-III was
analysed by melting point and different spectroscopic techniques like UV, FT-IR, Mass, 1H
and 13C NMR spectroscopy for characterization and structural confirmation.
2.6.1 Melting Point

By using melting point apparatus melting point of OB-I, OB-II and OB-II were checked
using.
2.6.2 UV Spectroscopy
To determine lamda maxima, methanolic solution of OB-I, OB-II and OB-III was prepared
scanned in UV-Visble region from 200-400 nm.
2.6.3 FT-IR Spectroscopy
In the range of wave number 400 - 4000 cm-1 the FT-IR spectra of OB-I, OB-II and OB-III
was recorded
2.6.4 Mass Spectroscopy
Electrospray interface with in positive ionization mode analysis was performed. The In the
range of 50-500 m/z. mass to charge (m/z) ratio was recorded .The parameters for capillary
and Radio frequency voltage were 80 V, with nebulizer gas as air at a pressure of 35 psi and
curtain gas as nitrogen at a pressure of 10 psi.
2.6.5 NMR Spectroscopy
Each sample of OB-I, OB-II and OB-III has been taken and dissolved in DMSO. For OB-I,
OB-II and OB-III 1H NMR and 13C NMR spectra were recorded.
3. RESULT AND DISCUSSION
3.1 Separation of Phytoconstituents by Column Chromatographic Method

Total fifty fractions were collected and each fraction was checked by TLC technique. Similar
RF value containing fractions were mixed together, allowed to evaporate to remove solvent.
These fractions were grouped together according to their homogeneity, judged from the TLC
analysis. Among all the fractions collected, the fractions from 9-12, 22-27 and 44-49 gave a
three different compound with RF value of 0.72, 0.65 and 0.28 respectively and assigned as
421 ISBN: 978-93-5351-069-5

compound OB-I, OB-II and OB-III. TLC profile of isolated compound by column
chromatography is as shown in Table 1.
Table: 1 TLC profile of isolated compound by column chromatography
Test
Sr. No No. of Spots RF Values % yield
Tube No.
1 9-12 1 0.72 2
2 22-27 1 0.65 1.6
3 44-49 1 0.28 1.4
Table: 2 Summarized results of spectral analysis of OB-I, OB-II, OB-III.
Parameter OB-I OB-II OB-III

M.P. 346-348 °C 176 -178 °C 258-261 °C
UV (λmax) 340 nm 279 nm 271 nm
IR (cm-1) 3319, 2923 1456, 1650, 3321,3392,1650,1515, 3461,3328,1693,1539,
1116 cm-1. 1471, 1384,1240, 1467, 1373, 1238,
1164, 1107, 1080, 1164, 852 cm-1.
1026, 835 cm-1.
1
H NMR(δ) (400 MHz, DMSO-d6) 400 MHz, DMSO 400 MHz, DMSO- d6
12.91 (s, 1 H, 5-OH) δ: 2.35 (1H, dd, H-4), 6.98(s, 2H, H-2 and
10.43 (s, 2 H, 7-OH/4’- 2.67 (1H, dd,, H-4), H-6).
OH) 3.81 (1H, H-3), 4.50
7.85 (dd, 2 H, H-2’, 6’) (1H, d, H-2), 5.70
6.94 (dd, 2 H, H-3’, 5’) (1H, H-8), 5.90 (1H,
6.64 (s, 1 H, H-3) H-6), 6.59 (1H, H-
6.43 (d, 1 H, H-8) 6′), 6.70 (1H, H-5′),
6.19 (d, 1 H, H-6) 6.73 (1H, H-2′).
13
C NMR(δ) 13
C NMR (100 MHz, 100 MHz, DMSO 167.45 (C-1),
DMSO-d6) 27.8 (C-4), 66.2 (C- 145.67 (C-3 and C-5),
181.59 (C-4), 163.99 (C- 3), 137.93 (C-4),
7) 163.62 (C-2), 161.48 80.9 (C-1), 93.78 (C- 120.37 (C-2),
(C-5)157.24 (C-9), 8), 108.66 (C-3 and C7)
128.03 (C-2, 6) 121.19 95.03 (C-6), 98.9 (C-
(C-3, 5), 115.81(C- 4a), 114.4 (C-2′),
1),103.73 (C-10), 102.72 115.0 (C-5′), 118.4
(C-3) 98.76 (C-6), 93.75 (C-6′), 130.5 (C-1′),
(C-6) 144.7 (C-3′, 4′), 155.3
(C-8a), 156.1 (C-5),
156.4 (C-7).
MASS [M+H]+ 271.38 m/z: 290 [M+]+ 170 [M+]+
ISBN: 978-93-5351-069-5 422

Figure 1 Structure of Apigenin Figure 2 Structure of Catechin
Figure 3 Structure of Gallic acid
3.2 Results of Identification and Characterization of Isolated Compound OB-I, OB-II,

OB-III using Melting point, UV, FT-IR, Mass, NMR spectroscopy
Results obtained from of M.P., UV, IR, Mass and NMR spectra of the isolated compound
OB-I, OB-II and OB-III are reported in Table 2.
By comparison with the reported data, the compounds were identified as apigenin (4, 5, 7-
trihydroxyflavone) Figure 1, Catechin (2R, 3S)-2-(3,4-dihydroxyphenyl)-3,4-dihydro-2H-
chromene-3,5,7-triol) Figure 2, Gallic acid (3,4,5-trihydroxybenzoic acid) Figure 3.
4. CONCLUSION
Chemical investigation of methanol extract of O. basilicum seed reveals presence of

phenolics and flavonoid compounds. Column chromatography method has been developed
for separation of phytoconstituents from methanolic seed extract of O. basilicum. After
isolation and identification of two phenolics compounds gallic acid, catechin, and one
flavonoid apigenin separated by column chromatography using toluene–acetone–formic acid
as a solvent. The structures of these compounds were confirmed by M.P., UV, IR, MS, 1 H-
NMR and 13C-NMR spectral data. Above three compounds are reported first time from seed
of O. basilicum.
5. REFERENCES
1. Kasture., Veena S. et al. (2009). “Antioxidant and Antiparkinson Activity of Gallic Acid Derivatives.”
Pharmacologyonline.1(0), 385–395.
2. Liu, Rui et al. (2013). “Synthesis and Biological Evaluation of Apigenin Derivatives as Antibacterial
and Antiproliferative Agents.” molecules. 18(9), 11496–11511.
3. Raskin I., Ribnicky DM., Komarnytsky S., (2002). “Plants and human health in the twenty – first
century.” Trends in Biotechnology. 20(12), 522- 531.
4. Sasidharan S., Y Chen., D Saravanan. (2011). “Extraction, Isolation and Characterization of Bioactive
Compounds from Plants’ Extracts.” African Journal of Traditional, Complementary and Alternative
Medicines. 8(1), 1–10
423 ISBN: 978-93-5351-069-5

PCP006
REVERSAL OF NEUROINFLAMMATION AND OXIDATIVE STRESS
BY POLY HERBAL FORMULATION AGAINST EXPERIMENTAL
MODEL OF LIPOPOLYSACCHARIDE- INDUCED ANXIETY AND
DEPRESSION
Ms. Krishna Shah Dr. Sunita Goswami
Research student Associate professor
L.M. College of Pharmacy L.M. College of Pharmacy
shahkrishna046@gmail.com sunitalmcp@yahoo.com
Abstract
Neuroinflammation, oxido-nitrosative stress and altered level of neurotrophins are involved

in the pathogenesis of anxiety and depressive illness. Tensnil syrup contains extracts of
garmarogor, devdaru, shankhavali, pitapapapdo, brahmi, jatamansi, nagarmoth, kadu, tagar,
himaj, draksha, ashwagandha. These plants are rich source for alkaloids, flavanoids, tannins,
terpenoids, phenolics, coumarins and these compounds have been shown to possess anti-
oxidant, anti-inflammatory, anti-stress, anxiolytic and neuroprotective activities. The present
study was performed to investigate the effect of with poly herbal formulation (PHF) on
lipopolysaccharide (LPS) – induced anxiety and depressive – like behavior in mice.
Treatments (PHF (600 mg/kg; p.o.) and fluoxetine (20 mg/kg, p.o.)) were daily administered
for 14 days, and challenged with saline or LPS (0.83 mg/kg, i.p.) on 14th day. Pretreatment
with formulation significantly ameliorated the anxiety – like behavior as evident from the
results of an elevated plus maze and locomotor activity. LPS – evoked depressive – like
effect produced by forced swim test and learning – memory deficiency by Morris water maze
test were also prevented. Pretreatment with formulation also ameliorated LPS – induced
neuroinflammation by attenuating TNF – α, IL- 6, IL - 1β levels along with decrease in
oxidative stress via its potential to increase reduced glutathione concentration and reduction
in lipid peroxidation and nitrite levels. Besides, BDNF (a neuroprotective factor) and
quinolinc acid (neurotoxin) significantly increased and decreased respectively in PHF treated
animals. These results highlight the neuroprotective potential of formulation in LPS –
induced anxiety and depressive illness model which showed usefulness of formulation in the
treatment of psychiatric disorders associated with inflammation and oxidative stress.
Keywords: Neuroinflammation, LPS, oxidative stress
1. INTRODUCTION
Depression is a mental disorder, which encompasses emotion, cognition, and physical

symptoms with considerable morbidity and mortality (Sahoo & Khess, 2010). Traditional
pharmacognosy isolates single active principles which may be self-defeating because overall
biological effects rely on synergistic interactions between plant components. Tensnil Syrup, a
PHF (Poly Herbal Formulation), contains extracts of garmarogor, devdaru, shankhavali,
pitapapapdo, brahmi, jatamansi, nagarmoth, kadu, tagar, himaj, draksha, ashwagandha. These
plants have been reported to be used in nervous system disorders as they calm down the
brain, produce quality sleep (Kulkarni & Dhir, 2008), and remove toxins from brain
(Lakshmi, Sudhakar, & Anisha, 2014).
ISBN: 978-93-5351-069-5 424

2. OBJECTIVES
Objective of the present study includes studying reversal of neuro-inflammation and

oxidative stress by polyherbal formulation in an animal model of chronic unpredictable mild
stress.
3. RESEARCH METHODOLOGY
3.1. Drugs and chemicals:

Tensnil Syrup was supplied by the manufacturer, Cadila Pharmaceutical Private Limited.
Fluoxetine was provided by pharmACE laboratory, Ahmedabad. All other chemicals were of
analytical grade.
3.2. Animals:
Adult male Swiss albino mice were used for study. The animals were housed and
acclimatized for two weeks under controlled environment (Temperature - 22 ± 1◦C and 12 h
light/dark cycles) prior to experimentation, and the same conditions were maintained
throughout the experiment. Standard laboratory animal feed and water were provided ad
libitum. All the experiments were conducted between 9.00 and 17.00 h, in accordance with
the Institutional Animal Ethics Committee (IAEC) (LMCP/Pharmacology/Ph.D/17/15).
Twenty four male swiss albino mice weighting 30–40 g were obtained. After 2 weeks of
acclimatization, the mice were randomly divided into four groups (6 mice in each): control,
LPS exposed, LPS + Fluoxetine 20 mg/kg, LPS + PHF 600 mg/kg.
3.3. Drug treatments:

On the day of administration fresh solutions of LPS and fluoxetine were prepared from 1
mg/ml stock solutions. The dose of PHF – 600 mg/kg was selected based on previous studies.
Herbal formulation was orally administered once daily for 14 days prior to, and on the same
day of LPS injection. LPS was dissolved in sterile, endotoxin free normal saline (0.9% w/v
NaCl) and injected intraperitoneally at the dose of 0.83 mg/kg of body weight.
3.4. Experimental Design:

Animals were randomly divided into four experimental groups (n = 6) for behavioral and
biochemical assessment. The group I was served as a vehicle control group while Group II
served as a LPS control group. The group II was treated with saline (p.o.) for 14 days and
then challenged with LPS (0.83 mg/kg, i.p.). Group III and IV were treated orally with
fluoxetine 20 mg/kg and PHF – 600 mg/kg respectively, for 14 days and then challenged with
LPS. Anxiety-like behavior was assessed by elevated plus maze and photoactometer 3 h,
post-LPS or saline challenge. Depressive-like behavior and memory function were assessed
using forced swim test and morrison water maze test after 24 h of post-LPS challenge
respectively. Blood samples were collected from the retroorbital for the estimation of serum
proinflammatory cytokines (TNF-α, IL-1β and IL-6), corticosterone, quinolinic acid and
levels of oxidative and anti-oxidant enzymes. Then, the mice were killed by decapitation. The
skull was opened, and the brain was dissected out on an ice plate for analysis of nerve growth
factor (BDNF – Brain Derived Neurotropic Factor).
425 ISBN: 978-93-5351-069-5

4. LITERATURE REVIEW
In India, the lifetime prevalence of anxiety and depression is 24.4% and 18.5%, respectively,
and co-morbidity of anxiety with depression is high about 87%. (Sahoo & Khess, 2010)
Several experimental studies have shown that oxido-nitrosative stress is involved in the
pathophysiology of depression and anxiety. The observed effects include lipid peroxidation,
reduced glutathione level and reduction in the level of antioxidant enzymes. (Arora &
Chopra, 2013) Therefore, targeting oxidative and nitrosative stress with strong antioxidants
can be a beneficial approach to provide protection against depression. In some cases adverse
events associated with anti-depressant treatments are withdrawal symptoms at
discontinuation, resistance, tolerance phenomena and unfavorable long-term outcomes. (Fava
& Offidani, 2011). Poly herbal formulation (PHF) has certain advantages such as to reduction
in dose, suitability, and ease of administration (Bhushan, Sardana, & Bansal, 2014; Little,
2009; Modak, Dixit, Londhe, Ghaskadbi, & Devasagayam, 2007). The multitarget responses
of herbal drugs are proven to be beneficial in chronic conditions and so forth, and also in
restoring the health status (Morphy, Kay, & Rankovic, 2004).So there is a scope for the
development of such treatment which works not only behavioural defects of the depression
and anxiety but also useful for removal of toxins from brain and produces calming effect.
5. ANALYSIS PART
5.1. Behavioral paradigms:

Forced swim test (FST)(Porsolt, Anton, Blavet, & Jalfre, 1978): The mice were taken to a
separate room and were immediately placed in a cylinder (45 cm high, 20 cm diameter) filled
to 30 cm depth and maintained at 25 ± 1°C for the duration of 5 minutes.
Locomotor activity (Terzin, 1968): Each mouse was placed in infrared light-sensitive
photocells using a digital photoactometer. The mice were observed for a period of 5 min and
the values were expressed as counts per 5 min.
Elevated plus maze(Lister, 1987): EPM consisted of two open arms (30×5 cm), two enclosed
arms (30×5 cm), and a connecting central platform (5×5 cm) and elevated 38.5 cm above the
ground. At the beginning each mouse was placed in the central zone, facing one of the close
arms. An arm entry was defined as a mouse having entered an arm of the maze with all four
legs.
Morrison water maze test (Wenk, 2004): Mice were lifted by the base of the tail and gently
placed into the water, facing the edge of the pool. If the mouse found the platform before the
60 sec cut-off, allowed the mouse to stay on the platform for 5 seconds then return it to its
home cage. If the mouse did not find the platform, placed the mouse on the platform and
allowed it to stay there for 20 sec before returning it to its home cage. Whole trial was
repeated for all mice. Each trial was begun with a different platform location and starting
direction. For each day and each mouse, average the 5 trials were given and single path
length and escape latency and time spent in the platform quadrant for each subject was tested.
5.2 Serum corticosterone measurement (Katyare & Pandya, 2005): Estimation of

corticosterone was done by spectrophotometer according to the method of Katyare and
Pandya.
5.3 Cytokines estimation (O'Connor et al., 2003): ELISA kits for TNF-α, IL-6, IL-1β
(Krishgen Biosystem, CA, USA) were used for the estimation of proinflammatory cytokines.
ISBN: 978-93-5351-069-5 426

5.4 Serum quinolinic acid estimation (Odo, Inoguchi, & Hirai, 2009): Serum quinolinic
acid estimation was performed according to the method of Junichi, Masahiko and Akihito
using fluorometric method.
5.5 Oxido-nitrosative stress parameters:

Reduced glutathione(Ellman, 1959): The reduced glutathione was measured as per the
method of Ellman. The serum was precipitated with 4% sulfosalicylic acid and supernatant
giving yellow color with 5, 5′-dithiobis-(2-nitrobenzoic) acid (DTNB was measured
immediately at 412 nm.
LPO (Wills, 1966): The lipid peroxidation was measured according to method of Wills. The
amount of MDA was measured by reacting it with thiobarbituric acid and measured at 532
nm.
Nitrite level (Lowry, Rosebrough, Farr, & Randall, 1951): Plasma nitrite levels were
measured by using the method of Green et al.
5.6 Nerve growth factor (Mello et al., 2013): BDNF

BDNF levels were measured using commercial enzyme-linked immunosorbent assay
(ELISA) kits (BOSTER Immunoleader, Boster Biological Technology Co., Ltd., CA, USA.)
6. FINDINGS
Forced Swim Test (FST):

LPS-challenged mice exhibited a marked increase (P < 0.001) in immobility time in FST as
compared to vehicle-treated control group which indicated depressive-like behavior.
Fluoxetine & PHF (600 mg/kg) significantly (P < 0.05) alleviated the LPS-induced
depressive behavior as evident from reduced immobility time in FST paradigms (Fig: 1).
Forced swim test
200
Duration of immobility (sec.)
*
** **
# #
150
100
50
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Statistical analysis was performed by two way ANOVA followed by bonferroni multiple
comparison test. Results are presented as Mean ± SEM with n=6. * indicates p < 0.001 as
compared to normal control group with disease control group on day 15. ** indicates p < 0.01
as compared to normal control group with fluoxetine treated group on day 15. *** indicates p
< 0.05 as compared to normal control group with PHF – 600 mg/kg treated group on day 15.
# indicates p < 0.05 as compared to disease control group with fluoxetine and PHF – 600
mg/kg treated groups on day 15.
427 ISBN: 978-93-5351-069-5

Locomotor activity:
LPS treated rats showed significant reduction in locomotor index (P < 0.001). Fluoxetine &
PHF – 600 mg/kg pretreatment produced a significant increase in the locomotor index (P <
0.01) (Fig: 2).
Locomotor activity
150
Locomotor index (counts/5 min.)
# #
100 *
50
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Day 0 Day 14
compared to normal control group with disease control group on day 14. # indicates p < 0.01
as compared to disease control group with fluoxetine and PHF – 600 mg/kg treated groups on
day 14.
Elevated plus maze:

LPS treatment induced an anxiogenic effect that was evident by reduction in the open arm
time (P < 0.001) in EPM test when compared with vehicle-treated control group. Fluoxetine
& PHF (600 mg/kg) pretreated rats showed significant increase in time spent (P < 0.01) in the
open arm as compared to LPS - treated group (Fig: 3).
Elevated Plus Maze
100
Time spent in open arm (sec.)
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Day 0 Day 14
as compared to normal control group with fluoxetine treated and PHF – 600 mg/kg groups
on day 14. # indicates p < 0.05 disease control group with fluoxetine and PHF – 600 mg/kg
treated groups on day 14.
Morrison water maze test (MWM)Time spent in target quadrant was measured in the
MWM to evaluate the LPS –induced memory status in mice. Time spent in target quadrant of
LPS challenged group was significantly reduced than that of control group (P < 0.001). Drugs
pre – treatments significantly increased time spent in target quadrant as compared to disease
group (P < 0.05) (Fig: 4).
After drugs treatment, time of Fluoxetine and PHF groups was significantly increased as
compared to disease group (P < 0.05) (Fig: 4).
ISBN: 978-93-5351-069-5 428

Morris water maze test

150
Time spent in target qurdent (sec.)
100 **
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Day 0 Day 15
as compared to normal control group with fluoxetine treated group on day 15. $ indicates p <
0.05 as compared to disease control group with fluoxetine and PHF – 600 mg/kg treated
group on day 15.
Serum concentration of corticosterone and quinolinic acid

LPS treatment significant rise in serum corticosterone and quinolic acid levels in the disease
control group as compared to the normal control group. Treatment with fluoxetine (20 mg/kg)
and PHF (600 mg/kg) showed significantly lowered levels of both the markers. Moreover,
serum concentration of quinolinic acid in PHF - 600 mg/kg treated animals lowered
significantly (p < 0.05) as compared to the standard treatment (fluoxetine) (Fig: 5, 6).
200
Serum Corticosterone (ng/ml)
*
Statistical analysis was performed by one way ANOVA
followed by tukey’s multiple comparison test. Results
Corticosterone (ng/ml)
150
are presented as Mean ± SEM with n=6.

100
*
# *
* indicates p < 0.001 as compared to normal control
50
#
$ group with disease control, fluoxetine treated and PHF
– 600 mg/kg treated groups. # indicates p < 0.001
0 disease control group with fluoxetine treated and PHF -
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mg/kg treated group.
Serum Quinolinic Acid (pg/ml)

15
Statistical analysis was performed by one way
ANOVA followed by tukey’s multiple comparison
Quinolinic Acid (pg/ml)
10 test. Results are presented as Mean ± SEM with n=6.

* indicates p < 0.001 as compared to normal control
*
#
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5
groups. ** indicates p < 0.001 as compared to normal

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fluoxetine treated group with PHF – 600 mg/kg
treated group.
Cytokines estimation
LPS treated animals showed significant (p < 0.001) rise in neuroinflammation markers,
namely TNF – α, IL – 6, IL – 1 as compared to the normal group. PHF (600 mg/kg) treatment
significantly (p <0.001) attenuated the increased levels of TNF – α, IL – 6, IL – 1β when
compared with the LPS-induced disease control group (Fig. 7, 8, 9).
429 ISBN: 978-93-5351-069-5

TNF- (pg/ml)
150
*
followed by tukey’s multiple comparison test. Results are
presented as Mean ± SEM with n=6.
TNF- (pg/ml)
100
* indicates p < 0.001 as compared to normal control group

**
50
#
**
#
with disease control group. ** indicates p < 0.01 as
compared to normal control group with fluoxetine treated
group.# indicates p < 0.001 as compared to disease control
group with fluoxetine and PHF – 600 mg/kg treated groups.
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PH
No
Di
xet
uo
Fl
Groups
IL-6 (pg/ml)
50
*
40
IL-6 (pg/ml)
30 **
#
*indicates p < 0.001 as compared to normal control group
20 with disease control group. ** indicates p < 0.05 as
compared to normal control group with fluoxetine treated
10
group. # indicates p < 0.01 as compared to disease control

0 group with PHF– 600 mg/kg treated group.
l
g
l
g
tro
ro
g/k
g/k
nt
0m
m
Co
Co
20
60
e
al
as
-
m
F-
ne
se
r
PH
No
ti
Di
xe
uo
FL
Groups
Oxido-nitrosative stress parameters

LPS treatment significant rise in oxidative stress in the disease control group when compared
with the normal group. Treatments with fluoxetine (20 mg/kg) and PHF (600 mg/kg)
significantly ameliorated the level of reduced glutathione as compared to that of disease
control group. Further higher level of lipid peroxidase and nitrite content were observed in
the disease control group that was also attenuated significantly (p < 0.05) the lipid peroxidase
level and nitrite level as compared to LPS treated animals (Fig: 10, 11, 12).
Reduced Glutathione
0.20
Serum reduced glutathione (µM/ml)
0.15
*
*
##
$
0.10 *
#
with disease control, fluoxetine treated and PHF – 600 mg/kg
0.05 treated groups. # indicates p < 0.01 as compared to disease
control group with fluoxetine treated group. ## indicates p <
0.00
0.001 as compared to disease control group with PHF -600
l
/kg
l
/kg
tro
ro
nt
mg
mg
on
Co
mg/kg treated group. $ indicates p < 0.05 as compared to

eC
20
00
l
ma
-6
as
-
ne
se
r
F
No
eti
Di
PH
x
fluoxetine treated group with PHF – 600 mg/kg treated group.

uo
Fl
Groups
ISBN: 978-93-5351-069-5 430

Lipid peroxidase levels

15
(nM/ml) Statistical analysis was performed by one way ANOVA
10
* presented as Mean ± SEM with n=6.
LPO (nM/ml)

with disease control treated group. ** indicates p < 0.01 as
**
5
#
***
# compared to normal control group with fluoxetine treated
group.*** indicates p < 0.05 as compared to normal control
0 group with PHF – 600 mg/kg treated group. ## indicates p <
l
g
l
g
ro
tro
0.001 as compared to disease control group with fluoxetine

g/k
/k
nt
mg
on
m
Co
eC
00
20
l
ma
-6
as
e-
se
r
F
No
and PHF -600 mg/kg treated groups.

Di
eti
PH
ox
u
Fl
Groups
6
Nitrite levels (M/ml)
*
Nitrite (M/ml)
4
**
#
***
# * indicates p < 0.001 as compared to normal control group
with disease control group. ** indicates p < 0.01 as compared
2
to normal control group with fluoxetine treated group. ***
indicates p < 0.05 as compared to normal control group with
0
PHF – 600 mg/kg treated group. # indicates p < 0.001 as
/kg
l
/kg
l
tro
tro
compared to disease control group with fluoxetine and PHF –

mg
mg
n
on
Co
eC
20
00
l
ma
-6
as
e-
se
tin
r
F
No
Di
PH
xe
uo
600 mg/kg treated groups.

Fl
Groups
Nerve growth factor

Furthermore, BDNF level was significantly reduced (P < 0.001) after 24 h of LPS
administration as compared to the normal control group as shown (Fig. 13). PHF - 600 mg/kg
(P < 0.001) significantly prevented the LPS - induced BDNF depletion as compared to
disease control group.
300
Brain Derived Neurotrophic Factor
**
# ##
BDNF (pg/g wt of tissue)
*
200
100 with disease control group. ** indicates p < 0.001 as compared
to normal control group with fluoxetine treated group. #
0
indicates p < 0.01 as compared to disease control group with
fluoxetine group. ## indicates p < 0.001 as compared to
l
kg
l
kg
ro
ro
g/
g/
nt
nt
m
Co
Co
20
00
e
al
-6
as
e-
m
disease control group with PHF -600 mg/kg treated group.

se
in
r
F
No
Di
PH
xet
uo
Fl
Groups
7. CONCLUSION
There are many perpetrator interacting pathways that are involved in the pathogenesis of
depression due to its complexity and heterogeneity. Depressive illness is closely associated
with chronic inflammatory pathway, which is manifested by elevated levels of
proinflammatory cytokines, chemokines, and adhesion molecules in the periphery and central
431 ISBN: 978-93-5351-069-5

nervous system response (Slavich & Irwin, 2014). There are ample evidences that central or
peripheral injection of LPS (a potent immune activator) induces oxidative stress,
neuroinflammation, depressive and anxiety-like behavior in rodents (Bassi et al., 2012;
Biesmans et al., 2013).
This work aimed to assess the antidepressant-like effect of PHF on mice exposed to LPS and
to explore the underlying mechanism of this effect. LPS is a very well-known endotoxin that
can cause anxiety and depressive-like behavior in rodents after central or peripheral
administration (Jangra, Lukhi, Sulakhiya, Baruah, & Lahkar, 2014). LPS elicits the
production of proinflammatory cytokines (IL-β, IL-6, TNF-α) and reactive oxygen species
(ROS) that eventually leads to peripheral as well as systemic inflammation (Biesmans et al.,
2013). Oxidative stress and inflammatory mediators generate a vicious cycle that further
depletes the neurotrophic factor such as BDNF, nerve growth factor (NGF), and
neurotrophin-3 (NT-3) levels in the cortex and hippocampus. Exaggerated oxidative stress,
neuroinflammation, and the resulted depletion of neurotrophic factors in the brain eventually
manifest the development of anxiety and depressive-like behavior (Guan & Fang, 2006). Our
results are in line with the previous studies that suggested oxidative stress,
neuroinflammation, and BDNF depletion play a key role in the pathogenesis of anxiety and
depressive illness.
Our behavioral tests results showed that LPS-challenged mice exhibit anxiety and depressive-
like behavior at 3 - and 24 - h post - LPS administration, respectively. Elevated plus maze test
and photactometer test are the behavioral paradigms frequently used to assess the anxiety
behavior in rodents. We found a significant reduction in the open arm time and number
locomotor index in the photoactometer test which clearly indicated the anxiety-like behavior
by LPS-challenged mice. Depressive-like behavior in LPS-treated group revealed by marked
reduction in the immobility time in FST as compared to vehicle-treated control group. Our
behavioral test results are in concordance with the previous experimental studies (Li, Zhao,
Qu, Fu, & Ma, 2015; Sah, Tirkey, Kuhad, & Chopra, 2011). The reported experiments also
explore the effects of peripheral LPS administration on learning and memory processes as
measured by the Morrison water maze test by evaluating time spent in target quadrant. The
results from this study suggest that LPS disrupts learning and memory processes in
accordance with previous study (Sparkman, Martin, Calvert, & Boehm, 2005). Treatments
were significantly restoredup the learning and memory task. The observed anxiety and
depressive-like behavior in behavioral paradigms may be accompanied by the elevation of
corticosterone, quinolinic acid, cytokines, oxidative stress and as well as by BDNF depletion
by LPS administration.
LPS - treated mice showed a significant increase in TNF - α, IL - 6, and IL - 1β which might
be responsible for the neuroinflammation, and neurobehavioural changes. The current
findings are parallel with the earlier reports within LPS induces neuroinflammation is
responsible for behavioural alterations (Sah et al., 2011). Further, PHF (600 mg/kg) pre-
treatment significantly attenuated the increased level of TNF - α, IL - 6, and IL - 1β probably
via inhibition pro-inflammatory cytokines.
It has been reported that the hypothalamic–pituitary–adrenal (HPA) axis could be activated
by inflammatory cytokines which leads to abnormally high glucocorticoid levels in blood and
plays an important role in the pathophysiology of depression. LPS-induced hyperactivity of
HPA axis led to increase in plasma corticosterone levels which is supported by observations
from other studies (Wan et al., 1993). Treatment with PHF reduced hyperactivity of HPA
ISBN: 978-93-5351-069-5 432

axis in mice, as indicated by significant reduction of plasma corticosterone levels in LPS

challenged mice.
In addition, based on the differential expression of relevant metabolic enzymes, KYN is

favorably converted to kynurenic acid (KA) in astrocytes and quinolinic acid (QUIN) in
microglia (Schwarcz & Pellicciari, 2002) which in turn inhibits the release of glutatmate and promotes
glutamate release through activation of N-methyl-D-aspartate (NMDA) receptors receptors
(Dantzer, 2017). QUIN also activates and ⁄ or kills astrocytes and this amplifies the
inflammatory response in the brain. Our results also implied that serum QUIN levels raised in
the LPS – treated mice, while neuroprotective like effects of PHF was accompanied with the
decreases of QUIN levels.
Numerous studies illustrate the role of oxidative stress and neuroinflammation in the
pathogenesis of depression. LPS induces pro-inflammatory cytokines release and activates
microglia causing a marked increase in the production of reactive oxygen species, nitrites and
peroxides, which may further lead to inflammation, lower antioxidant status, and
consequently cause neurobehavioural alterations (Chung et al., 2010). In the current study,
marked oxidative damage in LPS - treated mice after 24 h was significantly attenuated by
pre-treatment of PHF. The results are in line with the previous findings that prevent oxidative
stress by restoring antioxidant enzyme activity namely reduced glutathione alongwith
reduction of the levels of nitrite and lipid peroxidase.
In addition to all above, BDNF is a neurotrophin and highly expressed in the mammalian
brain and plays a prominent role in neurogenesis, neural regeneration, synaptic transmission,
and synaptic plasticity. Numerous preclinical and clinical studies indicated the key role of
BDNF in the pathophysiology of anxiety and depression. A previous report demonstrated that
peripheral administration of BDNF exerted anti - anxiety and anti - depressant action in mice.
Moreover, there are numerous reports that shows therapeutic actions of antidepressants
mediated through the BDNF (Zhang, Yao, & Hashimoto, 2016). In the present study, we
have observed a significant reduction in the level this neurotrophins after 24 h of LPS –
challenged to mice. Treatments significantly restored up this and there by showed
neuroprotective potential of the formulation.
In conclusion, the present study demonstrated that PHF treatment could significantly mitigate
behavioural deficits, elicited by LPS administration. Up regulation of BDNF levels along
with the reduction in oxidative stress was observed with this polyherbal formulation. Further,
treatment also significantly attenuated the LPS - induced increase in serum levels of TNF - α,
IL - 1β, IL - 6, corticosterone, quinolinic acid. Thus, this study provides new insight into the
anti-depressant effects of this polyherbal formulation with multiple targets of
depressionrevealing novel therapeutic strategies for depression.
Acknowledgements:
This research was financially supported by GUJCOST: Minor Research Project. We are
gratefully acknowledging Cadila Pharmaceutical Private Limited for providing the drug
sample (Tensnil Syrup). We are also thankful to the department of pharmacognosy at L.M.
College of pharmacy and K.B.I.P.E.R. College, Gandhinagar, for providing facility to carry
out this research.
433 ISBN: 978-93-5351-069-5

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lipopolysaccharide (LPS) administration. J Psychiatr Res, 47(10), 1521-1529. doi:
10.1016/j.jpsychires.2013.06.008
19. Modak, M., Dixit, P., Londhe, J., Ghaskadbi, S., & Devasagayam, T. P. (2007). Indian herbs and herbal
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10.3164/jcbn.40.163
20. Morphy, R., Kay, C., & Rankovic, Z. (2004). From magic bullets to designed multiple ligands. Drug
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21. O'Connor, K. A., Johnson, J. D., Hansen, M. K., Wieseler Frank, J. L., Maksimova, E., Watkins, L. R.,
& Maier, S. F. (2003). Peripheral and central proinflammatory cytokine response to a severe acute
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23. Porsolt, R. D., Anton, G., Blavet, N., & Jalfre, M. (1978). Behavioural despair in rats: a new model
sensitive to antidepressant treatments. Eur J Pharmacol, 47(4), 379-391.
24. Sah, S. P., Tirkey, N., Kuhad, A., & Chopra, K. (2011). Effect of quercetin on lipopolysaccharide
induced-sickness behavior and oxidative stress in rats. Indian J Pharmacol, 43(2), 192-196. doi:
10.4103/0253-7613.77365
25. Sahoo, S., & Khess, C. R. (2010). Prevalence of depression, anxiety, and stress among young male
adults in India: a dimensional and categorical diagnoses-based study. J Nerv Ment Dis, 198(12), 901-
904.
26. Schwarcz, R., & Pellicciari, R. (2002). Manipulation of brain kynurenines: glial targets, neuronal
effects, and clinical opportunities. J Pharmacol Exp Ther, 303(1), 1-10.
27. Slavich, G. M., & Irwin, M. R. (2014). From stress to inflammation and major depressive disorder: a
social signal transduction theory of depression. Psychol Bull, 140(3), 774-815.
28. Sparkman, N. L., Martin, L. A., Calvert, W. S., & Boehm, G. W. (2005). Effects of intraperitoneal
lipopolysaccharide on Morris maze performance in year-old and 2-month-old female C57BL/6J mice.
Behav Brain Res, 159(1), 145-151. doi: 10.1016/j.bbr.2004.10.011
29. Terzin, A. L. (1968). Measurement of the locomotor activity of mice. British Journal of Experimental
Pathology, 49(2), 107-118.
30. Wan, W., Janz, L., Vriend, C. Y., Sorensen, C. M., Greenberg, A. H., & Nance, D. M. (1993).
Differential induction of c-Fos immunoreactivity in hypothalamus and brain stem nuclei following
central and peripheral administration of endotoxin. Brain Res Bull, 32(6), 581-587.
31. Wenk, G. L. (2004). Assessment of spatial memory using the radial arm maze and Morris water maze.
Curr Protoc Neurosci, Chapter 8, Unit 8 5A. doi: 10.1002/0471142301.ns0805as26
32. Wills, E. D. (1966). Mechanisms of lipid peroxide formation in animal tissues. Biochem J, 99(3), 667-
676.
33. Zhang, J. C., Yao, W., & Hashimoto, K. (2016). Brain-derived Neurotrophic Factor (BDNF)-TrkB
Signaling in Inflammation-related Depression and Potential Therapeutic Targets. Curr
Neuropharmacol, 14(7), 721-731.
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PCP007
EFFICACY AND SAFETY OF TENELIGLIPTIN AS ADD ON
THERAPY TO GLIMEPIRIDE/METFORMIN IN INDIAN PATIENTS
WITH TYPE 2 DIABETES MELLITUS
Mr. Vinendrasinh M. Parmar Dr. Sunita S. Goswami

Research Scholar Associate professor
L.M. College of Pharmacy L.M. College of Pharmacy
vinendra_15890@yahoo.com sunitalmcp@yahoo.com
___________________________________________________________________________
Abstract
Background: Diabetes mellitus, a chronic metabolic non-communicable disease (NCD) has

attained epidemic proportions worldwide. Teneligliptin is a novel, highly selective dipeptidyl
peptidase-4 (DPP-4) inhibitor. The aim of present study is to investigate the efficacy and safety
of teneligliptin add on therapy in patients with type 2 diabetes mellitus(T2DM) who are
inadequately controlled by stable metformin/glimepiride mono-therapy in India. Materials
and Method: Clinical study protocol was approved by safety, Health and welfare Ethics
committee, registered under DCGI (Reg. no: ECR/274/Inst/GJ/2013/RR-16). T2DM patients
(male/female) whose glycated haemoglobin (HbA1C) >7% were randomized to receive
following group treatment viz. 1.Metformin/glimepiride plus add on teneligliptin 20 mg and
group 2. Metformin / Glimepiride for 24 week. Predesigned case report form (CRF) was used
to collect information from the prescribing physicians regarding the efficacy and safety of
teneligliptin. Efficacy variables included change in plasma blood glucose (fasting and
postprandial) and glycated haemoglobin (HbA1C) from baseline to week 24. Treatment-
emergent adverse events (TEAEs) were assessed. Results: A total 120 type 2 diabetes patients
were analysed (group 1: add on teneligliptin to standard or stable therapy) and (group 2:
standard or stable therapy metformin/glimepiride). Teneligliptin as add on therapy with
metformin/glimepiride significantly reduced plasma glucose (fasting and postprandial
conditions) concentration as compared to standard-therapy. Mean levels of HbA1c are
significantly lower in teneligliptin group when compared with the metformin/glimepiride
mono-therapy (p<0.05). Conclusion: Add on therapy with teneligliptin was found superior
over metformin/glimepiride standard-therapy in reducing plasma glucose concentration
(fasting and postprandial) and HbA1c levels significantly in patients with T2DM. Thus, add
on therapy with teneligliptin was found effective and well tolerated throughout the study period
in Indian patients with type 2 diabetes mellitus who are inadequately controlled with mono-
therapy.
Key words: Dipeptidyl peptidase-4 inhibitor, Teneligliptin, and type 2 diabetes mellitus
___________________________________________________________________________
ISBN: 978-93-5351-069-5 436

1. INTRODUCTION
Diabetes mellitus, a chronic metabolic non-communicable disease (NCD) has attained

epidemic proportions worldwide.(Unnikrishnan, Anjana, & Mohan, 2016) Type 2 diabetes
mellitus (T2DM) is characterized by hyperglycemia resulting from decreased insulin secretion
and increased insulin resistance.(Nikhra, 2018) Diabetes mellitus is one of the most challenging
health problems of the 21stcentury. The global prevalence of diabetes is estimated to increase,
from 4% in 1995 to 5.4% by the year 2025.( a Ramachandran, Snehalatha, & Viswanathan,
2002) As per the International Diabetes Federation (IDF), It is estimated that the total number
of people with diabetes in 2010 to be around 50.8 million was rising to 87.0 million by 2030.(A.
Ramachandran et al., 2010)(Aschner, 2017) India may afflict up to 69.2 million diabetes
patients the country with largest no of diabetes people.(Gupta, Raghavan, Sen, & Kothari,
2017)
T2DM is a chronic disease which requires lifelong medical care and attention for multiple risk
reduction and treatment approach beyond glycemic control. Optimal management of diabetes
requires an organized, systematic approach and the involvement of a coordinated team of
dedicated health care professionals working in an environment where patient centred high-
quality care is a priority.(Riddle et al., 2018) Treatment objective must be the prevention of
short-term and long-term complications associated with diabetes. Additionally, patient
education and support are important aspects.(Sharma et al., 2016) Metformin is the widely
prescribed by physician in India, but It is contraindicated in renal impairment and cause lactic
acidosis.(Guidelines, 2005)Sulphonylureas (SUs) are widely used because of their low price
and their well-established efficacy and safety. However, Sulphonylureas require some attention
because of the risk of hypoglycaemia and weight gain.(T. Kadowaki & Kondo, 2014) A variety
of newer agents now available for treatment of type 2 diabetes gives further choice of treatment
options. Gliptins are largely weight neutral and their protective effect on β-cell function is a
major benefit.(A. Ramachandran et al., 2010) Dipeptidyl peptidase-4 (DPP-4) inhibitors are
target both fasting and post prandial glucose concentrations by improving β-cell sensitivity to
glucose. They work by increasing levels of active glucagon-like peptide-1 (GLP-1), thereby
promoting insulin secretion, in a blood glucose-dependent manner, and hence decreasing
glucose levels while minimizing the risk of hypoglycaemia.(Y. Kim et al., 2018)Meta-analyses
have suggested that DPP-4 inhibitors may be more potent in reducing glycated haemoglobin
(HbA1c) levels in Asian T2DM patients than in non-Asian patients.(Y. G. Kim, Hahn, Oh, Park,
& Cho, 2014).
There are some difference in the structural and pharmacokinetic properties of DPP-4
inhibitors.DPP-4 inhibitors classified in three classes based on their binding subside of DPP-4
molecule i) vildagliptin and saxagliptin (class-I) form interactions with core S1 and S2 subsites,
ii) alogliptin and linagliptin (class 2) form interactions with core S1’ and S2’ subsites in
addition of S1 and S2 subsites, iii) sitaglipton and teneligliptin (class 3) form interactions with
S1, S2, and S3 extensive subsites.(Mohammed, Ahmed, & Banu, 2016)Teneligliptin has a
unique “J-shaped” chemical structure of five consecutive rings and peptidomimetic(Kishimoto,
2013)due to unique structure demonstrated that the key interaction occurs between the phenyl
ring on the pyrazole (Anchor Lock Domain) and the S2 extensive subsite of DPP-4 to enhance
the potency of the drug but also increases its selectivity.(Yoshida et al., 2012) Metabolism of
437 ISBN: 978-93-5351-069-5

teneligliptin is majorly mediated through CYP3A4, a cytochrome P450 isoenzyme, and flavin-
containing monooxygenase (FMO1 & FMO3).(Nakamaru et al., 2014)Teneligliptin
metabolizes in the liver and eliminates in faeces via the bile, and little is excreted via kidney.
teneligliptin is well tolerated by subjects with renal impairment or (ESRD) end stage renal
disease.(Kishimoto, 2013)
We hypothesized that Teneligliptin could be one of the adjuvant therapy along with gold
standard antidiabetic medication, which may led to improvement significantly in the
effectiveness of gold standard therapy in diabetes treatment and also decrease the financial
burden to the patients along with good safety profile. Based on the above facts, the proposed
clinical study is designed to evaluate efficacy and safety of Teneligliptin, as add on treatment
in patients who are inadequately controlled by stable metformin/glimepiride mono-therapy in
India.
2. MATERIALS AND METHODS
2.1 Ethics:
Prior to initiate the clinical study, the protocol, informed consent form and relevant essential
documents were approved by institutional ethics committee; Safety, Health and welfare Ethics
committee, registered under DCGI (Reg. no: ECR/543/Jivraj/Inst/GJ/2013/RR-2016). The
study was conducted according to the Ethical principles of Declaration of Helsinki; Good
Clinical Practices guidelines issued by the Central Drugs Standard Control Organization
(CDSCO), Ministry of Health, Government of India; Ethical guidelines for biomedical research
on human participants, Indian Councils of Medical Research (ICMR), New Delhi; and
International conference on harmonisation of technical requirements for registration of
pharmaceuticals for human use guideline for Good Clinical Practices.
2.2 Study design and procedure:

A prospective, randomized, open label, comparative, add on treatment of teneligliptin 20 mg
to assess the efficacy and safety of adding teneligliptin to conventional treatment (metformin/
glimepiride). Metformin and glimepiride (Conventional therapy) are most commonly
prescribed anti-diabetic treatment in Indian population. This study is conducted at Jivraj Mehta
hospital, Ahmedabad from Dec 2017 to September 2018.
2.3 Eligibility criteria:

All patients were explained the procedure clearly and written informed consent from each
participant was obtained before their participation in the study. The study included male and
female subjects with T2DM aged >18 years at screening. All had HbA1c levels of >7.0%, a
body mass index (BMI) of 20.0–35.0 kg/m2 (both inclusive), and eligible subjects were
receiving add on teneligliptin treatment. Patients with any of the following were excluded:
serious disease such as kidney, liver, and cerebral stroke, treatment for arrhythmias or history
of sever heart disease, taking DPP-4 inhibitor other than teneligliptin and insulin as antidiabetic
medication, history of alcohol consumption, pregnant female, and severe diabetic
complication.
ISBN: 978-93-5351-069-5 438

2.4 Intervention:
Enrolled patients were randomized in 1:1 in two groups to receive following treatment viz.
group 1. Metformin/glimepiride plus add on teneligliptin and group 2. Metformin/Glimepiride
for 24 week. The teneligliptin 20 mg once daily dose remained stable from baseline to 24
weeks, simillarly glimeperide 2 mg/ metformin 500 mg per day dose was set and remain
unchanged throughout the study period. Collection of patient’s demographics data, physical
and clinical examination, laboratory assessments were documented in predesigned case report
form (CRF) that was used to collect information from the prescribing physicians regarding the
efficacy and safety of teneligliptin 20 mg.
The primary efficacy end point was the change in HbA1C from baseline to 24 weeks. Secondary
efficacy endpoints include change in FBG (fasting plasma glucose) and PPBG (post prandial
blood glucose) from baseline to 24 weeks. During the clinical study period, we monitored
possible adverse events (AEs), laboratory values, vital sign and physical examination results.
Safety was measured by recording adverse event, including symptomatic assessment by
Naranjo causality scale for adverse event.(Mohapatra, Dutt, Khanduri, Mishra, & Janmeja,
2011)The incidence of AE in terms of number per patient was calculated based on the number
of events, the number of patients and the total observation period.(T. Kadowaki & Kondo,
2014)
2.5 Statistical analysis:

The primary end point, difference in mean HbA1c from baseline to 24 week was assumed 0.5%
and the standard deviation (SD) of 0.9% for each treatment group. Based on a power of 80%
and a type I error rate of alpha= 0.05 (2-tailed), a sample size of at least 50 patients per group
was required to detect a clinically significant difference between both the groups. Considering
dropout rate of 15 %, total sample size will be approx. 60 patients. (Takashi Kadowaki et al.,
2017a)Categorical data was presented as absolute number/percentage of patients while
quantitative data was presented as mean ± standard deviation (SD). Within group comparison
was performed using paired t test based on the distribution of data. Missing data was handled
using Mean substitution or Last observation carried forward (LOCF) method. P value of less
than 0.05 was considered as statistical significant difference. Data were calculated using
GRAPH PAD prism version 5.0.
3. RESULTS
A consort diagram presented the disposition of patients chart shown in figure 1. Out of 164
screened patients, 120 eligible patients were enrolled in this clinical study. Out of 120
randomized patients, Treatment A (add on teneligliptin 20 mg) 51 patients completed study,
similarly 55 patients in treatment B (conventional therapy) completed study. 50 patients in each
group was analysed as per sample analysing plan (SAP). Demographic and clinical
characteristic of patients of both the treatment groups have been demonstrated in table 1. At
the baseline, there was no significant difference between the two groups regarding age, gender,
height, bodyweight, body mass index, and duration of disease. Male patients 23 and 27 female
patients were randomized in treatment A group and 26 male and 24 female patients were
439 ISBN: 978-93-5351-069-5

randomized in treatment B group. The mean age in treatment A was 51.69±12.67 and
50.95±15.05 in treatment B.
Fig.1- Patient disposition chart:
Screened
N=164 Subjects not included in the study n=44
Not meet inclusion criteria=26
Consent withdraw=08
Not provide blood report=06
Other reason=04
Randomized
N=120
Treatment B
Treatment A
Glimepiride/metformin
Teneligliptin 20 mg+
n=60
Glimepiride/metformin
n=60
Subject discontinued n=9 Subject discontinued n=5

Loss to follow-up=5 Loss to follow-up=3
Consent withdraw=2 Consent withdraw=2
Blood report=2
Completed n=55
Completed n=51 Sample analyse plan
Sample analyse plan SAP=50 SAP=50
Excluded=01 Excluded=05
ISBN: 978-93-5351-069-5 440

Table-1: Demographic and clinical characteristic

Patient characteristic Treatment A Treatment B
(N=50) (N=50)
Demographic
Gender(Male/Female) 23/27 26/24
Age 51.69±12.67 50.95±15.05
Height 156.57±7.25 159.04±8.89
Body Weight 63.85±8.97 50.95±15.05
Body mass index (BMI) 29.28±4.15 27.54±4.17
Disease duration 4.07±2.12 3.48±1.72
Treatment A: Metformin/glimepiride plus add on teneligliptin 20 mg and Treatment B:
Metformin/glimepiride. n=number of patient, SD= standard deviation, BMI= body mass index.
Blood glucose levels (fasting and post prandial) were comparable in both the treatment group
before the start of study drug treatment (at baseline), There was gradual reduction in fasting
and post prandial blood glucose levels over a period of 24 weeks in both the treatment groups
as observed from the reduction (p<0.05) trend in the blood glucose levels from baseline. In
both the treatment groups, reduction in blood glucose levels (fasting and post prandial) was
statistically significant when compared with the baseline (within group comparison). Between
groups comparison showed that reduction in blood glucose levels (fasting and post prandial)
was significantly greater in treatment A group at 24 weeks when compared to treatment B
(p<0.005 at each time point) [table-2].
Table-2: Blood glucose levels (fasting and post prandial) at baseline and over the period
of 24 weeks after study drug treatments
Parameters Treatment A Treatment B
(N=50) (N=50)
Baseline blood glucose
Fasting blood glucose 181.88±56.33 167.20±48.35
Post prandial blood glucose 261.39±68 239.61±72.77
End of 24 weeks blood glucose
Fasting blood glucose 139.78±35.10 144.62±35.72
Post prandial blood glucose 209.88±52.67 210.17±56.25
Metformin/glimepiride. Values are expressed as Mean± standard deviation. * p<0.05 from baseline by
paired t test (within group comparison). Between groups comparison was done using un-paired t test.
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Fasting blood glucose level: Teneligliptin + Metformin / Glimepiride

300
200
FBG *
100
0 k
k
ee
ee
w
w
0
24
Treatment Duration
Fig.2- Change in fasting blood glucose level

Data are presented as Mean ± Standard deviation (n=50). * P*<0.05 from baseline by paired
t test (within group comparison).
Fasting Blood Glucose level: Metformin/ Glimepiride
250
200
*
150
FBG
100
50
0
k
k
ee
ee
w
w
0
24
Treatment Duration
Fig. 3- Change in fasting blood glucose level

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Post prandial blood glucose level: Teneligliptin + Metformin/ Glimepiride

400
300
*
PPBG
200
100
k
k
ee
ee
w
w
24
0
Treatment Duration
Fig. 4- Change in post prandial blood glucose level

Post prandial blood glucose level: Metformin/ Glimepiride

400
300
*
PPBG
200
100
0
k
k
ee
ee
w
w
0
24
Treatment Duration
Fig. 5- Change in post prandial blood glucose level

At baseline, HbA1C levels among both the treatment group were comparable. There was
gradual reduction in HbA1C over period of 24 week in both the treatment groups. Between
groups comparison showed that reduction in HbA1C was significantly greater in treatment A
as compared to treatment B (table - 3).
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Table-3: Haemoglobin A1C (HbA1C) at baseline and over the period of 24 weeks after
study drug treatments
(N=50) (N=50)
Baseline Haemoglobin A1C (HbA1C)
HbA1C 10.92±2.06 9.93±1.07
End of 24 weeks Haemoglobin A1C (HbA1C)
HbA1C 9.68±1.91* 9.28±1.74
Treatment A: Metformin/glimepiride plus add on teneligliptin 20 mg and Treatment B: Metformin/glimepiride. Values are expressed as Mean±
standard deviation. * p<0.05 from baseline by paired t test (within group comparison). Between groups comparison was done using un-paired
t test.
Heamoglobine A1 C(HbA1C): Teneligliptin + metformin/ Glimepiride
15
*
10
HbA1C
0
k
k
ee
ee
W
w
O
24
Treatment Duration
Fig.6- Change in Haemoglobin A1 C level

Data are presented as Mean ± Standard deviation(n=50). * P*<0.05 from baseline by paired
Haemoglobi A1 C (HbA1C): Metformin/ Glimepiride

15
10
HbA1C
0
k
k
ee
ee
w
w
24
o
Treatment Duration
Fig.7- Change in Haemoglobin A1 C level

ISBN: 978-93-5351-069-5 444

The change in difference between both the treatments for the change in blood glucose level
(fasting and post prandial), and HbA1C from baseline was statistically significant. (table- 4).
The mean change of HbA1C in add on teneligliptin group was 1.23±0.14 while 0.64±0.04 in
mono-therapy (glimeperide/metformin). Mean change in fasting and post prandial blood
glucose level were 42.10±21.30 and 51.51±15.67 respectively in teneligliptin add on therapy
treatment. While mean change in fasting and post prandial blood glucose level were
22.57±12.62 and 29.43±16.56 respectively in mono-therapy (metformin/ glimepiride).
Table-4: Change in blood glucose levels (fasting and post prandial) and HbA1C from
baseline to 24 weeks after study drug treatments
(N=50) (N=50)
Haemoglobin A1C (HbA1C)
Baseline (HbA1C) 10.92±2.06 9.93±1.74
End of 24 weeks 9.68±1.91 9.28±1.74
@
Change in HbA1C 1.23±0.14 0.64±0.04
Fasting blood glucose (FBG)
Baseline (FBG) 181.88±56.33 167.20±48.35
End of 24 weeks (FBG) 139.78±35.10 144.62±35.72
#
Change in Fasting 42.10±21.30 22.57±12.62
Post prandial blood glucose (PPBG)
Baseline (PPBG) 261.39±68 239.61±72.77
End of 24 weeks (PPBG) 209.88±52.67 210.17±56.25
$
Change in post prandial 51.51±15.67 29.43±16.56
Metformin/glimepiride. Values are expressed as Mean± standard deviation. * p<0.05 from baseline by
paired t test (within group comparison). @ @ indicate change in HbA1C from the baseline to 24 weeks;
# # indicate change in Fasting blood glucose (FBG) from the baseline to 24 weeks; $ $ indicate change
in Post prandial blood glucose (PPBG) from the baseline to 24 weeks
Safety assessment:
The main adverse effect (AE) reported in both the treatment groups was hypoglycaemia and
constipation throughout the study. The incidence of hypoglycemic symptoms 4% in
teneligliptin group (table-5). There was no serious drug related adverse event or death was
observed, adverse events were assessed using Naranjo causality assessment scale (table-6).
445 ISBN: 978-93-5351-069-5

Table-5: Summary of adverse events:
Adverse event Treatment A Treatment B % (A) % (B)

(AE) N=50 N=50
Hypoglycemia 2 1 4 2
Constipation 5 4 4 8
Abdominal Pain 6 3 4 6
Acidity 2 6 4 12
Tingling 1 3 4 6
Tiredness 2 2 4 4
Weakness 2 2 4 4
Pain 3 2 4 4
Body ache 1 3 4 6
dry skin 3 1 4 2
Itching 2 2 4 4
Burning sensation 1 1 4 2
Gidiness 1 1 4 2
Table-6: Naranjo causality assessment:

Adverse event (AE) Score Scale
Hypoglycemia 9 Definite
Constipation 9 Definite
Abdominal Pain 5 Probable
Acidity 5 Probable
Tingling 5 Probable
Tiredness 4 Possible
Weakness 4 Possible
Pain 4 Possible
Body ache 4 Possible
dry skin 0 Doubtful
Itching 0 Doubtful
Burning sensation 0 Doubtful
Giddiness 0 Doubtful
4. DISCUSSION
In this clinical study, we evaluated the efficacy and safety of newly developed DPP-4 inhibitor,
teneligliptin in patients with type 2 diabetes mellitus that was not adequately controlled by
ongoing conventional therapy (metformin/ glimepiride) monotherapy. The objective for the
present study was to assess the effect of adding teneligliptin to conventional therapy stable
metformin/ glimepiride medicine to improve glycaemic parameters. Both medications have
ISBN: 978-93-5351-069-5 446

pharmacodynamic effects which have the potential to provide better control of blood glucose
than that of either medicine alone.
Metformin is the widely available in clinical practice, but it causes side effect like
gastrointestinal and lactic acidosis.(Guidelines, 2005)Sulphonylureas are widely used because
of their low price and their well-established efficacy and safety. Teneligliptin is usually given
20 mg once daily in real life prescribing practice.(Bajaj, 2018)
The potential effect of teneligliptin in management of hyperglycemia and obesity has been
established in preclinical studies.(Takeda et al., 2018) Teneligliptin is reported to improve
glucose intolerance and synergistically increased plasma aGLP-1 levels in ZDF rats, a widely
used genetic model of obese T2DM.(Oguma et al., 2015)Another preclinical study reported
that, teneligliptin is a potent, competitive, and long-lasting DPP-4inhibitor that improves post
prandial hyperglycemia and dyslipidemia by both single and repeated administrations in male
wistar rat.(Fukuda-Tsuru, Anabuki, Abe, Yoshida, & Ishii, 2012)Teneligliptin differs from
other DPP-4 inhibitors with regards molecular structural, selectivity to DDP-4 enzyme, and its
elimination pathway.(Ahmad, 2007)
Teneligliptin has been reported to lower HbA1C levels when used alone and in combination
therapy.(T. Kadowaki & Kondo, 2014) However, present work clearly demonstrated that once
daily dose of teneligliptin to add on therapy of glimepiride/ metformin stable dose significantly
reduced glycated haemoglobin, HbA1C level when it was compared with metformin/
glimeperide stable monothrapy at 24 weeks from baseline. This finding is supported by
previously reported clinical study, wherein, mean reduction in HbA1c after 16 weeks of
treatment with teneligliptin in Japanese patients.Further, they have suggested that teneligliptin
improves insulin sensitivity and post-meal plasma glucose in subjects with impaired glucose
tolerance.(Takashi Kadowaki et al., 2017b)
We also observed gradual reduction in blood glucose levels (fasting and post prandial) in both
the treatment groups. Mean change in fasting and post prandial blood glucose levels were
42.10±21.30 and 51.51±15.67 respectively in teneligliptin add on therapy treatment. While
mean change in fasting and post prandial blood glucose level were 22.57±12.62 and
29.43±16.56 respectively in mono-therapy (metformin/ glimepiride). Moreover, our study
results were found consistent with the previous clinical reports, where efficacy of teneligliptin
as add on treatment to glimeperide treatment decreased HbA1c, fasting and post prandial blood
glucose level at 12 weeks and the same study was expanded to 52 weeks.(T. Kadowaki &
Kondo, 2014)(Bryson, Jennings, Deak, Paveliu, & Lawson, 2016)Our clinical study suggested
that the addition of teneligliptin 20 mg to stable therapy (metformin/glimepiride) significantly
improved the efficacy of stable therapy, possibly due to synergistic action.
The primary efficacy endpoint was the comparison of change in HbA1c form baseline to week
24 for both the active treatment group. HbA1c is the most widely accepted measure of overall,
mid-term and long-term blood glucose control in type 2 diabetes mellitus.(Riddle et al., 2018)
Our study results support the previous clinical study to reduce HbA1C level in combination of
teneligliptin with metformin, and combination with that of insulin to reduce HbA1C level and
there by showing synergistic effect.(Takashi Kadowaki et al., 2017b)(M. K. Kim et al.,
2015)The mean change of HbA1C in add on teneligliptin group was 1.23±0.14 while 0.64±0.04
in mono-therapy (glimeperide/metformin).
447 ISBN: 978-93-5351-069-5

Glycated hemoglobin (HbA1c) levels in blood are one of key marker to know glycemic control.
In our study, tenligliptin significantly decreased hemoglobinA1c in patients with T2DM. We
also observed that teneligliptin as adjuvant therapy was found to be effective in improving
glycemic control in type 2 diabetes mellitus. Hence, results of our study showed that the
combination of teneligliptin and standard therapy of anti-diabetic class of drug significantly
improved glycemic control by decreasing HbA1c as compared to the mono-therapy, this was
possibly due to synergistic action.
4.1 Safety assessment:

The adverse events were assessed using Naranjo causality assessment (table-6). Clinical
symptomatic assessment was done for other AE like, abdominal pain, acidity, and tingling
considered as probable; tiredness, weakness, and body ache considered as possible; itching,
burning sensation, and dizziness considered as doubtful by Naranjo AE assessment
scale.(Bajaj, 2018)According to one meta analysis, there was 50% chance of hypoglycemic
symptoms when DPP-4 inhibitor was added to sulfonylurea, compared with placebo added to
a sulfonylurea.(Salvo et al., 2016)Selecting a class of antihyperglycemic agents for
combination therapy,individual patient characteristic, glucose-lowering efficacy,risk of
hypoglycemia, body weight gain, andcardiovascular benefits associated with the drugs
arepreferentially considered.(Moon et al., 2017)Another network meta-analysis result
suggested that DPP-4inhibitors appear to be a tolerable option for patients with T2DM with
low incidence of gastrointestinal AE compared to other combination.(Wu et al., 2017)
Our study support the long term clinical efficacy and safety study of teneligliptin along with
standard therapy in diabetic patients, and suggested synergistic effect of teneligliptin when
given along with standard therapy as add on treatment. Thus, the combination of the DPP-4
inhibitor with metformin has been proposed as first or second line therapy for type 2 diabetes
mellitus as an alternative to the classical metformin-sulphonylurea combination therapy.
5. CONCLUSION
Our study demonstrated teneligliptin, as add on therapy was found well tolerated and effective
in T2DM patient population. Both the study drugs have comparable safety profile and
tolerability. Tenligliptin concomitant treatment with glimepiride/ metformin was found
superior over glimepiride/ metformin mono-therapy in reducing plasma blood glucose level
(fasting and post prandial) and thereby significantly improving glycemic control.
Acknowledgment: The authors acknowledge guidance of Dr. Parag Shah MD, DM, DNB
(Endocrionology) without whose support this work would not have been possible. We are very
thankful to Dr. Shubha Desai, Head research Department, and staff of research department
Jivraj Mehta Hospital and Bakeri medical research centre, Ahmedabad for extending required
help and research facility for the present study.
ISBN: 978-93-5351-069-5 448

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ISBN: 978-93-5351-069-5 450

PCP011
FORMULATION AND EVALUATION OF MICROSPONGE LOADED
CONTROLLED RELEASE TOPICAL GEL OF MOMETASONE
FUROATE
Ms. Niyati Shah Dr. Hitesh Jain*

Pioneer Pharmacy College Pioneer Pharmacy College
hitesh-hitachi@rediffmail.com
Dr. D.B.Meshram*
Principal
Pioneer Pharmacy Degree College
dbmeshram@yahoo.com
__________________________________________________________________________
Abstract
Aim: Aim of present work was to formulate and evaluate Microsponge Loaded Controlled
Release Topical Gel of Mometasone Furoate.
Experimental work:In present study Mometasone Furoate microsponge preparation was
prepared by Quassi emulsion solvent diffusion technique using Eudragit RS100. Optimized
batch (F8) of Mometasone furoate microsponge was characterized for DSC, SEM, FTIR and
BET analysis. The drug release data of optimized batch was fitted into different release
kinetic models. The optimized batch of microsponge was further formulated as gel
formulation for topical delivery. The prepared gel was evaluated for pH, spreadability,
viscosity and diffusion studies and skin irritation study. The drug release data of best
microsponges loaded gel formulation was fitted into different kinetic models. The optimized
microsponge loaded gel batch (F10) was subjected for the short term stability study at 40 ±
2°C for 30 days.
Result: On the basis of various characterization, batch F8 was selected for the topical gel
formulation. DSC study showed the melting behavior of drug present into microsponge. SEM
studies showed that optimized microsponge was uniformly spherical and porous in nature.
The drug release from optimized microsponge formulation follows zero order release kinetic.
The microsponge loaded gel formulation release the drug in controlled manner for 8 hrs.
Conclusion: Mometasone Furoate was successfully encapsulated into Microsponge by Quasi
Emulsion solvent diffusion technique using Eudragit RS100 as polymer for enhancement of
solubility, drug release data and controlling the release rate upto 8 hrs. After stability study
no physical changes and almost same drug release with Mometasone Furoate microsponge
gel was observed.
Keywords: Microsponge, Mometasone Furoate, Control release gel, Quassi Emulsion

Solvent Diffusion method.
__________________________________________________________________________________
1. INTRODUCTION
The Microsponge Delivery System (MDS) is a patented polymeric system consisting of

porous microspheres. They are tiny sponge like spherical particles that consist of a myriad of
451 ISBN: 978-93-5351-069-5

interconnecting voids within a non-collapsible structure with a large porous surface through
which active ingredient are released in a controlled manner. Mometasone Furoate is a topical
corticosteroid used in treatment of Inflammation, Atopic Dermatitis and Psoriasis.
Microsponge of Mometasone Furoate was prepared and characterized for parameters such as
particle size, Encapsulation Efficiency, % Drug loading and % CDR was found out A
Microsponge gel was prepared using the optimized batch and various parameters such as ph,
spreadability, viscosity and Diffusion studies were prepared..[1-2]
2.1 Materials
Mometasone Furoate was obtained as a gift sample from Olcare Laboratories Pvt, Ltd., All
other ingredients used were of Analytical grade.
2.2 Method of Preparation

Preparation of Microsponges by Quassi Emulsion Solvent Diffusion Method:
Drug, polymer and plasticizer were dissolved in organic solvent. The mixture was added into
aqueous solution drop wise. It was stirred till the removal of organic solvent. Prepared
microsponge were subjected to filtration, washing and drying.[3-4]
Table: 1 Composition of Microsponge prepared by 32factorial design
Ingredients F1 F2 F3 F4 F5 F6 F7 F8 F9
Mometasone
500 500 500 500 500 500 500 500 500
Furoate(mg)
EudragitRS 100(mg) 50 50 50 100 100 100 150 150 150
Dichloromethane(ml) 10 10 10 10 10 10 10 10 10
Polyvinyl Alcohol(mg) 100 150 200 100 150 200 100 150 200
Glycerol(ml) 1 1 1 1 1 1 1 1 1
Water(ml) q.s. 100 100 100 100 100 100 100 100 100
Source: Composition of micro sponges
2.3 Characterization of Microsponge
2.3.1 Production yield:

The production yield of the micro particles was determined by calculating accurately the
initial weight of the raw materials and the last weight of the microsponge obtained.
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2.3.2 Loading efficiency:

The loading efficiency (%) of the microsponges was calculated according to the following
equation:
Loading Efficiency=Amount of drug in microsponges/ Weight of microsponges*100
2.3.3 Encapsulation Efficiency:

A sample of dried microsponges equivalent to 10 mg was taken in to mortar and pestle and
add little amount of phosphate buffer of pH 7.4 and allowed to stand for 24 hours. Then
content was transferred in to 100 ml volumetric flask and volume was made upto to 100 ml
with phosphate buffer of pH 7.4. The solution was filtered through whatmann’s filter paper.
From the resulting solution 1 ml in to 100 ml was taken in volumetric flask and then volume
was made upto 100 ml with phosphate buffer of pH 7.4. Drug content was determined by
UV spectrophotometer at 249nm. The entrapment was calculated by using following
formula.
Encapsulation Efficiency=% Drug loading/ Theoretical loading*100
2.3.5 Particle size:

Particle size of prepared micro sponges was determined by optical microscopy..
2.3.6 In-vitro drug release study:

In vitro release rate studies of microsponges were carried out by filling equivalent amount of
microsponge in capsules & as per basket method specified in USP. They were placed in pH
7.4 phosphate buffer solution for 8 hrs at 37 °C and rotated at 50 rpm. Mometasone furoate
amount in withdrawn samples was determined by spectrophotometrically at 249 nm. [5-8]
2.3.7 Release Kinetics

In order to investigate the mode of drug release from microspheres the release data are
analyzed with the following mathematical models: zero-order , first-order, Higuchi and
Korsmeyerpeppas model. [9]
2.4 Characterization of Optimized batch of microspheres by using different techniques:

2.4.1 Characterization of Optimized microsponges by using different techniques:
1. FTIR:FTIR spectra of the pure Mometasone Furoate, a physical mixture of
Mometasone Furoate and polymer at a ratio (1:1), and selected microsponge formula
were recorded in potassium bromide disc using a Bruker FTIR spectrometer to
ascertain compatibility.
2. Differential Scanning Calorimetry:
DSC was done to evaluate the crystalline state of a drug. Thermal analysis of drug
was done. Accurately weighed samples (5mg) were loaded into aluminum pans and
sealed. All samples were run at a heating rate of 100 C/min. over a temperature range
0-350 0C in the atmosphere of nitrogen.
3. Scanning Electron Microscopy: The surface structure of microsponges was
examined using scanning electron microscopy (SEM- JSM 5610 LV) technique. The
prepared microsponges were coated with gold palladium under an argon atmosphere
at room temperature, and then SEM images were recorded at the required
magnification.
Porosity: Porosity of optimized Microsponges was done using Brunauer–Emmett–Teller
apparatus and pore size and cumulative pore area was found out.
453 ISBN: 978-93-5351-069-5

2.5 Formulation of Microsponge Gel:
Pre soaking of Carbopol for about 24 hours. Slowly add required quantity of microsponge
into it.Add preservatives.Stir for about one hour.Add triethanaloamine drop wise to the
above solution. Formulation of gel. [10-14]
Table: 2 Formulation of microsponge gel
Ingredients F19 F20 F21 F22
Microsponge (mg) eq to 100 eq to 100 eq to 100 -
Mometasone
- - - 100
Furoate(mg)
Triethanolamine(ml) 2 2 2 2
Carbopol(%) 0.5 1 1.5 1
q.s. to make q.s. to make q.s. to make q.s. to make

Distill Water
100 ml 100 ml 100 ml 100 ml
Source: Formulation of microsponge gel
2.6 Characterization of microsponge gel:
pH determination: 2.5 gm of gel was accurately weighed & dispersed in 25 ml of purified

water. The pH of the dispersion was measured using pH meter.
Spreadability: For the determination of spreadibility excess of sample was applied in

between 2 glass slide & was compressed to uniform thickness by placing 1000 gm weight for
5 minute. Weight 50 gm was added to pan. Time required to separate the two slides i.e the
time in which the upper glass slide move over the lower plate was taken as measure of
spreadability.
S= (m×l)/t
S= Spreadability
m = Weight tied to upper slide.
l = Length moved on upper glass slide
t = Time taken
Viscosity measurement: Viscosity of prepared formulation was determined using Brook

field viscometer with spindle no 64 at 10 -50 rpm at temperature 37±0.50C. Spindle was
lowered perpendicularly into gel placed in a beaker taking care that the spindle does not
touch the bottom of beaker. The spindle was rotated at different speed & reading was
recorded after 30sec when the gel level stabilized.
In vitro Drug Release: Drug diffusion rate from different gel formulations were studied by
Franz diffusion cell using cellophane membrane as a barrier. Diffusion membrane was
immersed in receptor compartment having phosphate buffer pH 7.4 as diffusion medium,
maintained at 37±2oC for 8 hr for equilibrium. Diffusion cell was assembled on magnetic
stirrer along with diffusion membrane, which separates donor and receptor compartments.
Gel (2g) was kept on membrane in donor compartment. The contents were stirred using
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magnetic stirrer at 50 rpm and aliquots each of 5 ml were withdrawn from the release
medium at time intervals of 0, 0.5, 1, 2, 3, 4,5, 6, 7, 8 hours. Withdrawn samples were
replaced by equal volumes of same fresh medium. Absorbance of these samples was
measured spectrophotometrically at 249nm by UV-Visible double beam spectrophotometer.
Cumulative release (%) of MOF from different gel formulations was calculated.[15-18]
Skin irritation test

The present study was employed in the three groups of rats (𝑛 = 6) to evaluate skin irritation
of Mometasone Furoate loaded microsponge gel . The area on the back of each rat was
shaved prior to the experiment. The first group of the rat was applied with microsponge gel
and the second group was applied with base. The remaining group of rats was considered as
a control group. The 0.5 g of each test product was placed on each area (25 × 25 mm) for 30
minutes. Finally treated skin area of rats was washed off by tap water and checked for any
kind of irritation.[19-22]
Stability studies of gel: Stability study was conducted for prepared microsponge
formulation gel as per ICH guidelines, kept at 40 ± 2°C with RH of 75% for a period of 30
days in stability chamber. Formulation was evaluated after one month period for pH, drug
content and drug release. [23]
3. RESULTS AND DISCUSSION:
1) Characterization of Microsponge
Table: 3 Characterization of Microsponge
Production Encapsulation Drug

Formulation Particle size loading(%)
Yield(%) Efficiency(%)
±SD (n=3) ±SD (n=3)
±SD (n=3) ±SD (n=3)
298.12±0.21 58.02±0.23 79±0.46 81.60±0.1
F1
256.94±0.1 63.4±0.11 64.8±0.23 78.52±0.57

F2
284.57±0.56 50.2±0.51 53.8±0.38 62.8±0.59

F3
226.78±0.32
78.3±0.57 74.2±0.59
F4 75.43±.038
232.64±1.2
75.2±0.21 78.6±0.61 65.81±0.22
F5
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245.12±0.24 82.6±0.32 68.4±0.64

F6 89.64±1.02
268.18±0.62 84.10±0.12 65.4±1.02 91.68±0.58

F7
248.22±0.58 92.8±0.24 94.6±0.24 94.06±1.02

F8
289.36±0.22 88.63±0.18 68.4±0.57 86.24±0.57

F9
Source: Characterization of microsponges batches F1 to F9.
Graph 1: In vitro drug release of F1-F3
F1-F3
100
80
% CDR
60
F1
40
F2
20
0 F3
0 2 4 6 8 10
Time(hours)
F4-F6
100
80
% CDR
60
F4
40
20 F5
0 F6
0 2 4 6 8 10
Time(hours)
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F7-F9
100
80
60
%cdr
F7
40
20 F8
0 F9
0 2 4 6 8 10
Time(hours)
Graph 4: Release kinetics
Zero Order
y = 10.497x + 3.614
100 R² = 0.9793
80
% CDR
60
F17
40
20 Linear (F17)
0 Linear (F17)
0 2 4 6 8 10
Time(hours)
Analytical Techniques to study optimized Microsponge Formulation:

Graph 5 FTIR of Mometasone Furoate
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Graph 6 FTIR of optimized formulation
Figure 1: SEM of optimized formulation
Figure 2 DSC of pure Mometasone Furoate
DSC
mW
0.00
-5.00
-10.00
0
19.72 x10
min
-15.00
193.71 0C
x10
0
-14.31 x10
mW
100.00 200.00 300.00

Temp [C]
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Fig 3: DSC of optimized batch
DSC
mW
0.00
-2.00
-4.00 0
29.25 x10
min
286.13 0 x10
C
0
-3.49 x10
mW
23.13 0x10
min
0
226.57 x10
C
0
-4.57 x10
mW
-6.00
100.00 200.00 300.00

Temp [C]
Table 4: Porosity parameters using BET Analyzer:
Surface Area (m2/g) 0.3755
Cumulative Volume (cm3/g) 0.004166
Pore Diameter (A°) 443.770
Table 5: Evaluation Parameters for microsponge loaded Mometasone Furoate gel:
Spreadability Viscosity
Batch No pH (Centipoise)
(gm.cm/sec)
F10 6.84 26.14 3987
F11 6.86 23.56 4016
F12 7.20 28.12 3462
Fig 5: In-Vitro Drug Release of various batches of gel
120
100
80 F20
% CDR
60 F19
40 F21
20
0
0 2 4 6 8 10
Time(hours)
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Fig 6 Comparison with simple gel and Marketed Formulation
Comparison with simple gel and

marketed formulation
100
80
% CDR
60
F1
40
20 F2
0 F3
0 2 4 6 8
Time(hours)
6.11 Release Kinetics:

Fig 7: Zero Order Graph for gel
Zero Order y = 10.051x + 17.385

R² = 0.9392
120
100
80
60 F20
40 Linear (F20)
20
0
0 2 4 6 8 10
6.12 Skin Irritation Test:
A) Control group A) Control group

Day 1 Day 7
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B) Placebo( Carbopol 934) B) Placebo( Carbopol 934)

Day 1 Day 7
C) Test gel C) Test gel

Day 1 Day 7
No skin irritation was observed in case of both Placebo and Test gel
Figure 8: Stability Study of F12 batch of gel:
Stability studies
120
100
80
% CDR
60
Before
40
20 After
0
0 2 4 6 8 10
Time(hours)
4. CONCLUSION
Microsponge are designed to deliver a pharmaceutically active ingredient efficiently at

minimum dose and also to improve solubility, reduce side effects, and modify drug release
profiles. For most drugs, conventional methods of drug administration are effective, but some
drugs are unstable or toxic and have narrow therapeutic ranges. Some drugs also possess
solubility problems. In such cases, a method of continuous administration of therapeutic
agent is desirable to maintain fixed plasma levels. Mometasone furoate has very short half-
life, very low aqueous solubility. By formulating microsponge CDDS, dosing frequency and
toxicity level reduced. Its adverse effects can be overcome by encapsulation of the active
ingredient.
The different polymers used for preparing preliminary batches of microsponge were Eudragit
S100, EudragitRS100, and Ethyl cellulose. FTIR studies showed that drug and excipients
461 ISBN: 978-93-5351-069-5

were compatible with each other. No interaction was found between drug and polymer. The
prepared microsponges were evaluated for production yield, % Loading Efficiency,
Encapsulation Efficiency, particle size and in vitro drug release study. Further the
microsponges were optimized using 32 factorial designs. Further optimized batch was
evaluated for molecular properties by SEM, DSC, FT-IR and BET analysis. The optimized
microsponge then incorporated into the controlled release gel. These gels were evaluated for
pH, spreadability, viscosity and in-vitro diffusion studies and kinetic modeling. From the
results of above evaluation studies, formulation F19 was optimized and kept for stability
studies carried out at 40°C ± 5°C and 75 % RH ± 5 % RH for 1 month in order to know the
influence of temperature and relative humidity on for pH, spreadability, viscosity and in-vitro
dissolution studies. These studies showed that it is stable formulation. The study conclusively
demonstrated that Mometasone Furoate can successfully encapsulated into Microsponge by
Quasi emulsion solvent diffusion technique using EudragitRS100 to obtain controlled action
upto 8 hours. The prepared optimized Microsponge formulation was then formulated into gel
to get controlled release of drug upto 8 hrs. Drug release kinetics of this formulation
correspond best to zero order release model and r2 was found to be 0.9392. After stability
study no physical changes & almost same drug release with Mometasone Furoate was
observed. Hence, the formula F19 was stable.
5.REFERENCES
1. Osmani R, Aloorkar N, Kulkarni A, Harkare B and Bhosale R, “A new cornucopia in topical drug
delivery: microsponge technology.” Asian J Pharm Science.2014, 4, 48-60.
2. Mandava S and Thavva V, “Novel approach: microsponge drug delivery system.” International
Journal of Pharmaceutical Science and Research, 2012,3(4), 967-980.
3. Charde M, Ghanawat P, “Microsponge A Novel New Drug Delivery System: A Review.”
International Journal of Advances in Pharmaceutics,2013,2(6), 63-69
4. Nanda S, Kaur M, “Microsponge drug delivery system: an overview”. World Journal of Pharmacy
and Pharmaceutical Sciences, 2010,2( 3),1032-1043.
5. Jain N, Sharma P, “Recent advances on microsponge delivery system”. International Journal of
Pharmaceutical Sciences Review and Research,2011,8,2,214-21
6. Pradhan S, “Microsponges as the versatile tool for drug delivery system”. International Journal of
Research in Pharmacy and Chemistry, 2011, 1(2),61-68
7. Nalla C, Gopinath H, Debjit B, Williamkeri I and Reddy TA, “Modified release dosage
forms.” J. Chem. Pharm. Sci.2013, 6(1), 13-21.
8. Debjit B, Gopinath H, Pragati BK, Duraivel S and Sampath KP, “Controlled release drug delivery
systems.” The Pharm. Inn.2012, 1(10), 24-32.
9. Jelvehgari M, “Formulation and evaluation of control release gel of Benzoyl peroxide”, International
Journal of Pharmaceutics.2012,2,1,105-108Cristina A, Barros G, Maria A, “Development, stability
and in vitro permeation studies of gels containing mometasone furoate for the treatment of dermatitis
of the scalp.” Brazilian Journal of Pharmaceutics.2010,46,101-104
10. Kumari K, Sara U, “Formulation and evaluation of Topical Hydrogel of Mometasone Furoate using
Different Polymers.” International Journal of Pharmaceutical and ChemicalSciences.2013,2(1),89-
100
11. Rekha.U, Manjula B, “Formulation and evaluation of microsponge for topic drug delivery of
mometasone furoate.” International Journal of Pharmacy and Pharmaceutical
Sciences.2011,34(1),133-137
12. Runnsjo A, Gari H, Engblom J, “Topical administration of Mometasone Furoate- A Combined
Impedance Spectroscopy and In Vitro Drug Diffusion Study.” Journal of Analytical and
Pharmaceutical Research.2015,1(1),1-8
13. Aldawsari H and Badr-Eldin S, “Microsponges as promising vehicle for drug delivery and targeting:
Preparation, characterization and applications.” Afr. J. Pharm. Pharmacol.2013, 7, 873-881
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14. Hussain Hamid, Juyal Divya, Dhyani Archana, “Microsponges: An Overview.” International Journal
of Drug Delivery Technology2014, 4, 58-66.
15. Jain N, Sharma P and Banik A, “Recent advances on microsponge delivery system.” International
Journal of Pharmaceutical Sciences Review and Research, 2011, 8(2), 13-17
16. Baykara T¸ omog l, Nurs¸G and Tansel C, “Preparation and in vitro evaluation of modified release
ketoprofen microsponges.” Il Farmaco. 2003, 101-106.
17. Mahajan A, Jagtap L, Chaudhari A, Swami S and Mali P, “Formulation and evaluation of
microsponge drug delivery system using Indomethacin.” International Research Journal of Pharmacy.
2011, 2(10), 64-69.
18. Dash S, Padala N and Chowdhury P, “Kinetic modeling on drug release from controlled drug delivery
systems.” Actapoloniae pharmaceutical and Drug Research, 2010, 67(3), 217-223.
19. More BH, Sakharwade SN, Tembhurne SV and Sakarkar DM, “Evaluation for skin irritancy testing of
developed formulations containing extract of Butea monosperma for its topical application.”
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20. Djerrou Z, Riachi F, “Irritancy Potential and sub acute dermal toxicity study of Pistacia Lentiscus fatty
oil as a topical traditional remedy” Afr J Tradit Complement Altern Med.2013,10,3,480-489
21. Mishra A, Ghosh A, and Chattopadhyay P, “Evaluation of skin irritation of herbal O/W sunscreen
cream on rat model,” Journal of Pharmaceutics and Cosmetology,2011,1,220–226.
22. R. L. Campbell and R. D. Bruce, “Comparative dermatotoxicology. I. Direct comparison of rabbit and
human primary skin irritation responses to isopropylmyristate,” Toxicology and Applied
Pharmacology, vol. 59, no. 3, pp. 555–563, 1981.
23. Jain N, Sharma P, “Recent advances on microsponge delivery system”. International Journal of
Pharmaceutical Sciences Review and Research,2011,8,2,214-21
463 ISBN: 978-93-5351-069-5

PCP012
EFFECT OF CASSIA ANGUSTIFOLIA AND RAPHANUS SATIVUS
LEAF EXTRACTS ON HEPATIC FUNCTION IN HIGH FAT DIET FED
AND DIABETIC RATS
Ms. Deepti K. Jani Mr. Kaushal P. Jani

Assistant Professor GTU Ph.D. Scholar
Babaria Institute of Pharmacy GTU
deeptikjani@gmail.com kaushaljani81@gmail.com
Dr. Sunita Goswami

Associate Professor
L.M. College of Pharmacy
sunitalmcp@yahoo.com
Abstract
High intake of dietary fat increases fatty acid uptake by the liver, that leads to liver
inflammation and injury. Another point of concern is increase in oxidative stress due to
hyperglycemia in diabetes mellitus, that results in hepatic dysfunction. Cassia angustifolia
and Raphanus sativus have been reported to possess anti-diabetic, anti-oxidant, and
antihyperlipidemic activities. However, there is not enough information of these herbal
medicines on hepatic function of rats with metabolic disorders. Therefore, the current study
was planned to screen herbal extracts of Raphanus sativus and Cassia angustifolia on hepatic
function in high fat fed and diabetic rats. Qualitative phytochemical investigation was done as
per standard procedures. Quantitative phytochemical investigation was done using
gravimetric method and HPLC analysis. Sprague–Dawley rats were fed on their respective
diet (high fat/ normal pellet diet) for 16 weeks and thereafter, all the rats were divided into
seven groups for high fat diet model and into eight groups for streptozotocin and high fat
diet-induced diabetes model. Treatment duration was 07 weeks for high fat diet models and
03 weeks for diabetes model. Parameters studied in these models were body weight, food
intake, alanine aminotransferase, aspartate aminotransferase, liver weight and liver
histopathology. Qualitative phytochemical investigation revealed the presence of flavonoids,
glycosides, tannins, carbohydrates and saponins, while quantitative analysis revealed
presence of rutin and myricetin in Raphanus sativus extract and presence of sennoside and
rutin in Cassia angustifolia extract.Treatment groups showed significant decrease in body
weight, food intake, alanine aminotransferase and aspartate aminotransferase. Significant
improvement was observed in liver histopathology in extract treated groups. It is concluded
that Cassia angustifolia and Raphanus sativus leaf extracts significantly ameliorated liver
function.
Key words: Diabetes, High fat diet, Cassia angustifolia,Raphanus sativus, Hepatic
__________________________________________________________________________
1. INTRODUCTION
Diabetes and obesity are the most common cause of liver disease (1,2). Hyperglycemia with
insulin resistance in diabetes can destroy the hepatocytes (3,4), while in obesity excessive fat
accumulation in the liver is associated with hepatic steatosis (5). Hyperglycemia and hepatic
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steatosis can contribute to increased morbidity and mortality among patients of metabolic
disorders (1,4).
Hyperlipidemia, hyperglycemia, insulin resistance and oxidative stress contribute to the liver
disease in the patients of metabolic disorders(6). Cassia angustifolia is used traditionally as
anti-inflammatory and in obesity (7), while Raphanus sativus is used for liver problems and
in inflammation (8). Both plants have been reported to possess anti-hyperlipidemic (9) and
anti-oxidant(10,11) activities.
3. OBJECTIVES
 To study the effect of Cassia angustifolia and Raphanus sativus extracts on the
hepatic function of diabetic rats.
 To study the effect of Cassia angustifolia and Raphanus sativus extracts on the
hepatic function of high fat diet fed rats.
4. EXPERIMENTAL WORK
Aqueous extract of Cassia angustifolia (CAE) and hydroalcoholic extract of Raphanus

sativus (RSE) was used in this study at the dose levels of 400 mg/kg and 800 mg/kg, orally.
Qualitative phytochemical investigation was done as per standard procedures(12), while
quantitative phytochemical investigation was done using gravimetric method(13) and HPLC
analysis. Sprague–Dawley rats were fed on their respective diet (high fat/ normal pellet diet)
for 16 weeks and thereafter, all the rats were divided into seven groups for high fat diet model
and into eight groups for streptozotocin and high fat diet-induced diabetes model. Treatment
duration was 07 weeks for high fat diet models and 03 weeks for diabetes model. Parameters
studied in these models were body weight, weight gain, food intake, alanine aminotransferase
(ALT), aspartate aminotransferase (AST), liver weight and liver histopathology (14,15).
Qualitative phytochemical analysis of the extracts showed presence of flavonoids, glycosides,

saponins and/or tannins. Quantitative analysis by gravimetric analysis, indicated presence of
flavonoids: 5.2%, cardiac glycosides: <2%, saponins: 24.52% and tannins: 2.91% in RSE and
glycoside: 2.62%, flavonoids: 4.62%, saponins: <2% in CAE. HPLC method, indicated
presence of rutin: 0.12 % and myricetin: 0.03% in RSE and Sennoside A: 0.73 %, Sennoside
B: 1.55%, and rutin: 0.15 % in CAE. Significant decrease in body weight and food intake was
observed in extracts treated groups as compared to HFD group in high fat diet model (Table
1). Decreased body weight and food intake in extract treated groups are beneficial to reduce
progression of liver disease associated with high fat diet intake. In high fat model, both RSE
and CAE reduced AST level (Table 1). In diabetic rats, treatment with RSE reduced serum
AST and ALT level (Table 2). Flavonoids, glycoside and saponins, present in both extracts,
resulted in the amelioration of liver enzymes. Histopathology of liver in high fat fed model
(Figure 1) revealed that a high degree of steatosis was developed in the HFD group, whereas
no histological abnormalities were seen in the NPD group. Microvesicular steatosis was
observed in all groups fed with HFD. Treatment groups showed regenerating hepatocytes,
mild intracytoplasmic vacuolation and mild pigmentation. Significant decrease in
microvesicular steatosis was observed in RSE4, RSE8, CAE4 and CAE8 groups as compared
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to the HFD group. Histopathology of liver in diabetes model (Figure 2) revealed that a high
degree of steatosis and structural changes were developed in the HFD+STZ group. Steatosis
was observed in all groups fed with the HFD. Congestion, vacuolation and cytoplsmic
degeneration was observed in HFD+STZ group. Significant amelioration in structure and
steatosis was observed in RSE4, RSE8, CAE4 and CAE8 groups as compared to the
HFD+STZ group. All section showed vacuolation in periportal cell, congestion and RBCs
except NPD and NPD+STZ group. RSE and CAE treatment significantly reduced excess fat
deposition in the liver as indicated by liver histopathology.
Table 1: Effect of R. sativus and C. angustifolia extracts on the study parameters in

high fat diet model
Parameters
Relativ
Initial Final Food
Body e
Groups body body intake AST ALT
weight organ
weight weight (g/rat/d (U/L) (U/L)
gain (g) weight
(g) (g) ay)
%
225.00±4 245.00 ± 20.00±1 10.37±0 139.14±1 36.61± 2.78±0.
NPD .65 5.77 .83 .09 2.72 3.25 19
272.50±7 323.33±7 50.83±4 10.61±0 338.62±3 43.33± 2.93±0.
HFD .04z .60z .73z .08 0.83z 3.45 19
RSE4 (400 273.33±7 293.33±7 20.00±4 10.31±0 191.19±1 40.18± 2.58±0.
mg/kg, p.o.) .26 .49a .47c .01a 3.86c 4.88 13
RSE8 (800 275.00±7 286.67±6 11.67±5 10.20±0 371.19±4 41.88± 2.82±0.
mg/kg, p.o.) .30 .15b .58c .05b 4.13 3.24 13
CAE4 (400 263.33±5 295.00±5 31.67±1 10.27±0 167.67±7 57.28± 3.15±0.
mg/kg, p.o.) .73 .77b .67a .08a .12c 7.28 17
CAE8 (800 265.00±2 291.67±5 26.67±3 10.28±0 213.55±1 76.41± 3.45±0.
mg/kg, p.o.) .89 .27c .07b .03a 3.67b 9.22b 15
Atorvastatin, AT 260.83±3 305.00±4 44.17±3 10.50±0 244.50±7 53.74± 2.98±0.
(10 mg/kg, p.o.) .00 .28 .27 .07 .87 4.97 22
Values are expressed as Mean ± SEM (n= 6), analyzed by One way ANOVA followed by Bonferroni Test.
zdenotes P< 0.001 vs. NPD, a denotes P< 0.05, b denotes P< 0.01 and c denotes P< 0.001 vs. HFD.
Table 2: Effect of R. sativus and C. angustifolia extracts on the study parameters in

diabetes model
Groups Parameters
Initial Final Body Food AST ALT Relati
body body weight intake (U/L) (U/L) ve
weight weight gain (g) (g/rat/d organ
(g) (g) ay) weigh
t%
NPD 221.67± 233.33± 11.67±1. 9.59±0.0 148.83± 47.52±4. 2.99±
8.63 8.82 67 4 4.00 09 0.32
NPD+STZ 230.83± 240.83± 10.00±2. 10.25±0. 150.70± 51.47±1. 3.44±
2.39 2.01 89 04 8.77 67 0.12
HFD+STZ 245.00± 265.00± 20.00±1. 19.90±0. 188.35± 59.67±2. 3.55±
3.16 3.42
x 83 13
z 11.87y 13x 0.10
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RSE4 (400 242.50± 259.17± 16.67±4. 19.62±0. 144.59± 46.22±0. 3.59±

mg/kg, p.o.) 2.50 5.97 22 18 5.62b 94b 0.32
RSE8 (800 245.00± 271.67± 26.67±3. 21.11±0. 132.48± 45.62±1. 3.18±
mg/kg, p.o.) 3.42 5.73 07 25 7.68c 54b 0.22
CAE4 (400 244.17± 266.67± 22.50±2. 20.14±0. 199.54± 60.48±2. 3.11±
mg/kg, p.o.) 8.51 8.63 50 69 5.08 72 0.24
CAE8 (800 243.33± 263.33± 20.00±1. 19.98±0. 186.53± 62.68±2. 3.36±
mg/kg, p.o.) 7.60 7.38 83 18 5.48 19 0.12
Metformin, 239.17± 255.00± 15.83±2. 18.38±0. 135.16± 46.76±1. 3.39±
MET (100 4.73 5.48 01 09b 5.52c 53b 0.50
mg/kg,
Values arep.o.)
expressed as Mean ± SEM (n=6), analyzed by One way ANOVA followed by Bonferroni Test.
x denotes P< 0.05 and zdenotes P< 0.001 vs. NPD, b denotes P< 0.01 and c denotes P< 0.001 vs. HFD+STZ.
NPD HFD RSE4 RSE8
Figure 1: Effect of Raphanus. sativus and Cassis angustifolia extracts on the histology of
liver in CAE4 high fat diet model (H&E staining, 100× magnification, red arrow=fat depots, black
arrow=nucleus, green arrow= congestion, yellow arrow=binucleated hepatocyte, blue arrow= mitotic
figure
Figure 2: Effect of Raphanus. sativus and Cassis angustifolia extracts on the histology of liver in
diabetes model (H&E staining, 100× magnification), red arrow =fat depots, black arrow=nucleus, green
arrow= congestion, yellow arrow=binucleated hepatocyte
467 ISBN: 978-93-5351-069-5

6. CONCLUSION
It is concluded that Cassia angustifolia and Raphanus sativus leaf extracts significantly
improved liver function, due to their antihyperlipidemic and antioxidant actions as well as
presence of bioactive constituents like flavonoids, glycosides, saponins and tannins.
7. REFERENCES
1. Tolman KG, Fonseca V, Dalpiaz A, Tan MH. Spectrum of liver disease in type 2 diabetes and
management of patients with diabetes and liver disease. Diabetes Care. 2007, 30(3):734-43.
2. Fabbrini E, Sullivan S, Klein S. Obesity and nonalcoholic fatty liver disease: Biochemical, metabolic,
and clinical implications. Hepatology. 2010, 51(2):679-89.
3. Tilg H, Moschen AR, Roden M. NAFLD and diabetes mellitus. Nature Reviews Gastroenterology and
Hepatology. 2017, 14(1):32-42.
4. Mohamed J, Nazratun Nafizah AH, Zariyantey AH, Budin SB. Mechanisms of diabetes -induced liver
damage: The role of oxidative stress and inflammation. Sultan Qaboos University Medical Journal.
2016, 16(2):e132-41.
5. Arslan N. Obesity, fatty liver disease and intestinal microbio ta. World J Gastroenterol. 2014, 20(44),
16452-63.
6. Loria P, Lonardo A, Anania F. Liver and diabetes. A vicious circle. Hepatology Research. 2013, 43(1),
51-64.
7. Umadevi M, Kumar KPS, Bhowmik D, Duraivel S. Senna - A Medical Miracle Plant. J Med Plants
Stud. 2013, 1, 41-47.
8. Singh P, Singh J. Medicinal and Therapeutic Utilities of Raphanus Sativ us. Int J Plant, Anim Environ
Sci. 2013, 3(2):103–5.
9. Jani Deepti K. GS. Ameliorative effect of Raphanus sativus and Cassia angustifolia in Experimentally
Induced Hyperlipidemia and Cardiovascular Risk Reduction. Int J PharmTech Res. 2017;10(4):273–9.
10. Ahmed SI, Hayat MQ, Tahir M, Mansoor Q, Ismail M, Keck K, et al. Pharmacologically active
flavonoids from the anticancer, antioxidant and antimicrobial extracts of Cassia angustifolia Vahl.
BMC Complement Altern Med [Internet]. 2016;16(1):460.
11. Beevi SS, Narasu ML, Gowda BB. Polyphenolics profile, antioxidant and radical scavenging activity
of leaves and stem of Raphanus sativus L. Plant Foods Hum Nutr. 2010;65(1):8– 17.
12. KR KP. Preliminary phytochemical screening. In: Practical Pharmacognosy . 21st ed. Nirali Prakashan;
2011. p. 25.1.
13. Senguttuvan J, Paulsamy S, Karthika K. Phytochemical analysis and evaluation of leaf and root parts of
the medicinal herb, Hypochaeris radicata L. for in vitro antioxidant activities. Asian Pac J Trop Biome d
[Internet]. 2014;4:S359– 67.
14. Metwally FM, Rashad HM, Ahmed HH, Mahmoud AA, Abdol Raouf ER, Abdalla AM. Molecular
mechanisms of the anti-obesity potential effect of Moringa oleifera in the experimental model. Asian
Pac J Trop Biomed. 2017; 7 (3), 214-221.
15. Srinivasan K, Viswanad B, Asrat L, Kaul CL, Ramarao P. Combination of high -fat diet-fed and low-
dose streptozotocin-treated rat: A model for type 2 diabetes and pharmacological screening. Pharmacol
Res. 2005;52(4):313–20.
ISBN: 978-93-5351-069-5 468

PCP013
TO STUDY THE ANTI-MICROBIAL ACTIVITY OF GENTAMICIN
SULPHATE CREAM CONTAINING COW GHEE
Ms. Niyati Shah Dr. Hitesh Jain*

Pioneer Pharmacy College Pioneer Pharmacy College
Dr. D.B.Meshram*
Principal
________________________________________________________________
Abstract
When taken orally, many drugs are destroyed by the liver. Drug administration through the
skin often provides a slower, more controlled alternative route for release into the blood
stream. The objective of the present investigation is to evaluate whether combination of cow
ghee and antibiotic produces any synergistic effect on release characteristics of the
formulation with antibacterial effect. Nine different formulations F1 to F9 of gentamicin
sulphate cream containing varying proportion of drug and cow ghee were prepared. Fatty
acids are the most important constituents of ghee. The nature of fatty acids changes on
storage presumably due to oxidation. The fatty acids are known to exert antimicrobial
activity. The prepared cream formulations show good potency, homogeneity, smooth texture
extruadability and did not show any sign of change in colour, odour and phase separation.
The pH of all the formulations was in between 4.5 to 5.5, which lie in the normal pH range of
the skin. The cream containing ghee d id not show any rancidity during the storage of
formulations. The antimicrobial activity of cream containing ghee was more as compared to
the traditional preparation and gave better results. The antimicrobial activity of drug was
maximum with formulation containing 75 % cow ghee. Thus ghee can be successfully
incorporated in the development of anti-microbial cream formulations.
___________________________________________________________________________
1. Introduction
The mechanism by which drugs penetrate the skin and enter the blood stream is not trivial, as
the skin behaves as a natural barrier.Delivering medicine to the general circulation through
the skin is seen as a desirable alternative to taking it by mouth.Antimicrobial therapy is
clearly beneficial for recoveries from skin infections as well as preventing diseases
progression1 . Topical antibiotics can play an important role in prevention and treatment of
many primary cutaneous bacterial infections. Commonly seen in dermatological practice like
localized superficial infections due to surgery, injury and abrasion2 . Topical antimicrobial
helps in preventing entry of microorganism into wound, which leads to fast healing of
wound3 .
In Ayurveda ghee is a foundational ingredient, it imparts the benefits of the best essential
fatty acids without the problems of oxidized cholesterol, trans- fatty acids or hydrogenated
469 ISBN: 978-93-5351-069-5

fats. It is also resistant to free radical damage and is both salt and lactose free. It contains
butyric acid, a fatty acid with antiviral and anti-cancer properties.4 Ghee is oil that can bond
with lipid-soluble nutrients and herbs to penetrate the lipid-based cell walls of the
body.Ghee's rate of absorption is 96%, the highe st of all oils and fats.However, in the
indigenous Ayurvedic system of medicine, ghee is used in the preparation of a number of
formulations for treating allergy, skin, and respiratory diseases and is considered to induce
many beneficial effects on human health5 Gentamicin is a complex mixture of broad spectrum
aminoglycoside antibiotics produced by the fermentation of Micromonospora purpurea6 . GS
is an important antibacterial agent for the treatment of a wide variety of Gram negative bacilli
and Gram positive cocci infections.7,8 The present work aims to evaluate whether
combination of ghee and antibiotic produces any synergistic effect on release characteristics
of the formulation.
2. Material and methods
Gentamicin sulphate was obtained as a gift sample from Zyg Pharma Indore and all other
ingredients were used of analytical grade.
2.1 Method of preparation9
 Oil phase: Cetostearylalcohol, cetomacrogol 1000, soft paraffin, liquid paraffin, ghee and
chlorocresol were melted in a fat melting vessel at 70 ºC.
 Aqueous phase: Purified water heated to 70 ºC.
 The two phases were mixed together at 70 ºC temperature.
 Drug phase: Gentamicin sulphate, sodium metabisulphite, monobasic sodium phosphate
and purified water were mixed in separate vessel.
 Drug solution mixed into the cream base at 50 ºC and homogenized for 30 minutes.
Table no. 1: Composition of Gentamicin sulphate cream containing cow ghee
Ingredients
F1 F2 F3 F4 F5 F6 F7 F8 F9
Gentamicin sulphate (%) 0.1 0.1 0.1 0.1 0.1 - - - -
% % % % %
Cow ghee (%) - 10 25 50 75 10 25 50 75
White soft paraffin (%) 10 10 10 10 10 10 10 10 10
Liquid paraffin (%) 4 4 4 4 4 4 4 4 4
Cetomecrogol 1000 (%) 1.8 1.8 1.8 1.8 1.8 1.8 1.8 1.8 1.8
Cetostearyl alcohol (%) 10 10 10 10 10 10 10 10 10
Chlorocresol (%) 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1
Sod. Metabisulphite (%) 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1
Monobasic sod. 0.3 0.3 0.3 0.3 0.3 0.3 0.3 0.3 0.3
Phosphate (%)
Purified water qs (ml) 100 100 100 100 100 100 100 100 100
2.2 Evaluation of cream formulations 10-16
 The prepared creams were evaluated for their physical properties like pH, Viscosity,
Spreadability and Extrudability.
ISBN: 978-93-5351-069-5 470

 Determination of free fatty acid value

2g cream weighed into a 200 ml flask of borosilicate glass fitted with a reflux condenser.
Add 25 ml of 0.5 M Ethanolic potassium hydroxide and a little pumice powder and boil
under reflux on a water bath for 30 min. Add 1 ml of phenolphthalein solution and titrate
immediately with 0.5 M HCl (a ml). Repeat the operation omitting the substance being
examined (b ml).
Saponification value = 28.05 (b-a)/ w
 Anti-bacterial activity
% potency of prepared formulations was determined by using cup plate assay
methodusing S. epidermidis organism.
 In vitro release studies

In vitro release studies were carried out for plane Gentamicin cream, 10 %, 25 %, 50 %
and 75 % ghee containing drug by using the Franz diffusion cell. Cream formulation (2
gm) was taken on the egg membrane and tied securely to one end of the tube; the other
end was kept open to ambient conditions. The receptor compartment filled with
phosphate buffer pH 7.4 (16 ml) and stirred at 100 rpm at 37 ºC ± 1ºC for 8 hours.
Samples of 2.0 ml were withdrawn at 1 hour intervals and mixed with 2 ml of
isopropanol (to avoid the precipitation of the products formed) and 2 ml of o-
phthaldialdehyde reagent. The concentration of gentamicin sulphate was estimated by
measuring the absorbance at 332 nm.
 Stability of formulation
The various cream formulations were kept at 40º C for 45 days and evaluated for
following parameters.
 Physical stability
Creams formulations were evaluated in terms of physical like phase separation and
change in colour, odour, consistency and rheological parameters.
 Chemical stability
Cream formulations were evaluated in terms of free fatty acid released as it may turn
rancid on storage due to presence of ghee, % potency and for antimicrobial potential.
3. Results and Discussion
Table no.2: Evaluation of physical test parameters for F1-F9
Formulation pH Viscosity Spreadabilit Extrudabilityvalu Free

(±SD, y e (gram) fatty
n=3) value (g/sec) (±SD, n=3) acid
(±SD, n=3) value
(±SD,
n=3)
F1 5.38±0.01 27034.95 1.66±0.001 630±2.19 7.02±0.
5 – 089
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27581.08
F2 5.26±0.01 28414.98 1.36±0.011 660±3.92 11.23±0
1 – .053
28989.02
F3 5.09±0.00 31016.70 1.07±0.009 700±1.16 21.06±0
9 – .013
31643.30
F4 4.91±0.02 34749.00 0.93±0.004 720±1.11 37.9±0.
9 – 019
35451.00
F5 4.77±0.00 38600.00 0.80±0.010 740±5.63 54.75±0
2 – .003
39379.90
F6 5.32±0.02 28739.70 1.50±0.009 650±3.58 15.61±0
1 – .026
29320.30
F7 5.18±0.01 31590.90 1.00±0.004 700±1.48 23.86±0

6 – .051
32220.10
F8 4.96±0.03 35640.00 0.84±0.001 710±4.02 36.5±0.

9 – 020
36360.00
F9 4.80±0.04 38908.00 0.76±0.002 740±2.89 50.54±0

2 – .39
39592.00
All the formulations were evaluated for their physical properties and all the parameters are in
acceptable range.
3.1 Anti-bacterial activity
Table no. 3: Antimicrobial activity of formulation F1-F9
Formulation Zone of inhibition (Average diameter, mm)

code (±SD, n=3)
Standard Standard Test Test

High Low High Low
F1 25.0± 0.20 22.5± 0.17 24.6± 0.08 22.6± 0.30

F2 25.0± 0.15 23.2± 0.10 25.4± 0.02 23.3± 0.05
F3 23.2± 0.40 21.6± 0.60 23.2± 0.15 21.8± 0.60
F4 20.6± 0.33 18.6± 0.24 21.2± 0.40 19.3± 0.25
ISBN: 978-93-5351-069-5 472

F5 22.6± 0.52 20.9± 0.32 23.3± 0.63 21.9± 0.42

F6 --- --- 12.5± 0.12 12.1± 0.15
F7 --- --- 13.6± 0.11 12.6± 0.10
F8 --- --- 14.7± 0.10 13.7± 0.06
F9 --- --- 19.5± 0.06 17.2± 0.13
Table no. 4:% Potency of formulation F1-F5
% Potency Formulation code

(±SD, n=3) F1 F2 F3 F4 F5
102.80±1.03 103.27±0.09 109.64±0.89 129.12±1.05 145.49±0.64
From the result of antimicrobial study and % potency, formulation F5 containing 75 % ghee
as a base shows better result in comparison with other formulations
45
40
% Drug release
35
30
25
20
15
10
5
0
0 2 4 6 8 10
Time in hrs
Figure no.1:In vitro drug release for F1
50
45
% Drug release
40
35
30
25
20
15
10
5
0
0 2 4 6 8 10
Time in hrs
Figure no.2: In vitro drug release for F2
473 ISBN: 978-93-5351-069-5

60
% Drug release
50
40
30
20
10
0
0 2 4 6 8 10
Time in hrs
Figure no.3: In vitro drug release for F3
70
60
% Drug release
50
40
30
20
10
0
0 2 4 6 8 10
Time in hrs
Figure no. 4: In vitro drug release F4
80
70
% Drug release
60
50
40
30
20
10
0
0 2 4 6 8 10
Time in hrs
Figure no. 5: In vitro drug release for F5
ISBN: 978-93-5351-069-5 474

80
70
% Drug rel ease

F1
60
50 F2
40 F3
30
F4
20
F5
10
0
0 2 4 6 8 10
Time in hrs
Figure no.6: In vitro drug release for F1to F5
The % drug release of different formulation was found to be 40.05 % to 72.26 %. The highest
drug release was shown by formulation F5 containing 75 % ghee as a base
3.2 Stability study:
Table no. 5: Evaluation of physical test parameters for F1-F9 at 40º C
Formulation Viscosity Spreadability Extrudability Free fatty

value (g/sec) value (gram) acid value
(±SD, n=3) (±SD, n=3) (±SD, n=3)
F1 26752.77–27293.23 1.87±0.021 618±4.25 8.41±0.08
F2 28215.40–28785.18 1.50±0.096 642±1.02 12.62±1.12
F3 30688.02–31307.98 1.25±1.01 687±2.69 23.84±0.56
F4 34501.50–35198.50 1.15±0.060 700±0.09 42.07±0.04
F5 38293.20–39066.80 0.93±0.015 725±0.10 61.71±1.21
F6 28314.00–28886.00 1.66±0.093 638±2.01 16.83±0.05
F7 31333.50–31966.50 1.25±0.049 685±1.60 26.64±0.07
F8 35333.10–36046.90 1.07±0.072 695±1.14 43.47±1.01
F9 38407.05–39182.95 1.00±0.069 720±2.02 56.1±0.06
Table no. 6: Antimicrobial activity of different formulations at 40º C
S.N. Formulation Zone of inhibition (Average diameter, mm)

code Standard Standard Test Test
High Low High Low
1. F1 23.9± 0.09 21.8± 0.09 23.7± 0.05 21.9± 0.05
2. F2 23.9± 0.05 21.9± 0.06 24.0± 0.05 21.9± 0.05
475 ISBN: 978-93-5351-069-5

3. F3 24.7± 0.21 22.4± 0.21 24.9± 0.21 22.6± 0.24

4. F4 24.0± 0.05 22.7± 0.06 24.4± 0.10 23.1± 0.13
5. F5 23.8± 0.05 21.8± 0.13 24.7± 0.25 22.9± 0.17
6. F6 --- --- 12.2± 0.15 11.6± 0.10
7. F7 --- --- 14.2± 0.08 12.9± 0.21
8. F8 --- --- 16.2± 0.15 14.5± 0.19
9 F9 --- --- 19.6± 0.08 17.5± 0.20
Table no. 7: % Potency of different formulations at 40º C

% Potency Formulation code
F1 F2 F3 F4 F5
(±SD, n=3)
101.89±0.09 102.53±0.09 105. 35±0.08 122.80±1.10 140.16±0
.09
4. DISCUSSION AND CONCLUSION
 The present work aims to evaluate whether combination of ghee and antibiotic have any
synergistic effect on antimicrobial activity. As a result of the discovery of newer
antibiotics and related chemotherapeutic agents, use of cow’s ghee went into total
obscurity.
 Fatty acids are the most important constituents of ghee. The nature of fatty acids
changes on storage presumably due to oxidation. The fatty acids are known to exert
antimicrobial activity.
 The prepared cream formulations show good potency, homogeneity, smooth texture
extruadability and did not show any sign of change in colour, odour and phase
separation.
 A comparative study of viscosity and spreadibility showed that as viscosity of the
formulations increases, spreadability decreases and vice versa.
 The pH of all the formulations was in between 4.5 to 5.5, which lie in the normal pH
range of the skin.
 The cream containing ghee did not show any rancidity during the storage of
formulations.
 The antimicrobial activity of cream containing ghee was more as compared to the
traditional preparation and gave better results. The antimicrobial activity of gentamicin
was maximum with formulation containing 75 % ghee.
 Ghee can be successfully incorporated in the development of antimicrobial cream
formulations.
5. REFERENCES
1. Blondeau JM. The role of fluoroquinolones in skin and skin structure infections. Am J Clin Dermatol
2002; 3 (1): 1-5.
2. Benner MW, Bencon RM, James WD. Eds., In: Topical Antibiotics in Dermatology. 5th ed. Mc Graw Hill
Co., New York; 2001. p. 199.
3. Saleem MA. Antimicrobial and wound healing activity of prepared gatiflo xacin topical gels. Indian d rugs
2006; 43(4): 292-295.
4. Sserunjogi M L, Abrahamsen RK, Narvhus J. Cu rrent knowledge of ghee and related products. Int. Dairy
Journal 1998; 8:677-688.
ISBN: 978-93-5351-069-5 476

5. Singh S, Ram BP. Effect of ripening of cream, manufacturing temperature, and packaging material on
flavour and keeping quality of ghee. Journal of Food Science and Technology 1978; 15: 142-145.
6. Weinstein MJ, Luedemann GM , Oden EM , Wag man GH. Gentamicin, a new broad -spectrum antibiotic
complex. Antimicrob Agents Chemother 1963; 1: 1-11.
7. Sande MA, Mandel GL, Rall TW, Nies AS, Taylo r P.The pharmaco logic al basis of therapeutics, 8th ed.
New York: Pergamon Press; 1990. P.1098-1116.
8. Ito Y, Kusawake T, Ishida M, Tawa R, Shibata N, Takada K. Oral solid gentamicin preparation using
emulsifier and adsorbent. Journal of Controlled Release 2005; 105: 23–31.
9. Niazi SK. Fo rmulat ion of Semisolid Drugs: In Handbook of Pharmaceutical Manufacturing Formu lations,
Semisolid Products. CRC Press, New York. Vol. IV, 2004. p. 163.
10. Sahoo SK, Samal A R, Mallick AA, Patra S, Senapati PC, Barik BB. Estimat ion and evaluation of
secnidazole gel. The Indian Pharmacist April 2006; 73-76.
11. Fang JY, Huang YB, Wu PC, Tsai YH. Transdermal iontophoresis of sodium nonivamide acetate II:
Optimization and evaluation on solutions and gels. International Journal of Pharmaceutics 1996; 145:175-
86.
12. Nae NH, Reichert WW. Rheological properties of lightly cross linked carbo xy poly mer in aqueous
solution. Rheological Acta.
13. Kim JY, Song JY, Lee EJ, Park SK. Rheological properties and microstructure of carbopol gel network
system. Colloid Polym Sci 2003; 281: 614-623.
14. Multimer M N, Reftkin C, Hill JA, Cyr GN. Spreadibility study of gel formu lations. J A m Pharm Assoc Sci
1956; 45: 101-105.
15. Prasad V, Dorle AK. Evaluation of ghee based formulat ion for wound healing activity. Journal of
Ethnopharmacology 2006; 107: 38-47.
16. Shinde AJ, Bhise SB, Jarag RJ, Jadhav NR. Preparation of cream containing Tridax procu mbens, Curcu ma
longa and Azadirachta indica and its evaluation for wound healing property. The Indian Pharmacist
November 2005; 107-110.
477 ISBN: 978-93-5351-069-5

PCP014
FORMULATION AND EVALUATION OF SUSTAINED RELEASE
MICROSPHERES OF ACEBROPHYLLINE
Mr. Swetal Dindod Dr. Hitesh Jain

Student Associate Professor
Pioneer Pharmacy Degree College Pioneer Pharmacy Degree College
Dr. D. B. Meshram
Principal
dbmeshram@yahoo.com
___________________________________________________________________________
Abstract
Objectives: Aim of present work is to formulate and evaluate Sustained release microspheres
of Acebrophylline for treatment of Asthma.
Experimental work: In present investigation, attempt was made to prepare sustained release
microspheres of Acebrophylline with different polymer ratio using Ionic gelation method.
Optimized batch of microspheres was characterized for DSC and SEM analysis. The drug
release data of optimized batch was fitted into different release kinetic models. The optimized
batch of microspheres was subjected for the short-term stability study at 40 ± 2°C with RH of
75% for a period of 1 month.
Result and Discussion: Sodium alginate (2%) concentration, Eudragit RS-100 (1:2) ratio gave
highest sustainable property and CaCl2 (2.5%) concentration had a good cross-linking property.
This observation done on the basis of production yield, entrapment efficiency and In vitro
release study. The drug release from optimized microspheres formulation follows first order
release kinetic. DSC study showed the melting behaviour of drug present into microspheres.
SEM studies showed that optimized microspheres were spherical and rough surface.
Conclusion: Drug: Polymer ratio and Volume of CaCl2had significant effect on % Entrapment
efficiency and Drug release. Non Fickian diffusion was the mode of drug release from
Acebrophylline- loaded microspheres. After stability study nophysical changes & almost same
drug release was observed in microspheres.
Keywords: Sustained Release, Acebrophylline, Microsphere
__________________________________________________________________________
1. INTRODUCTION
The goal in designing sustained or sustained delivery systems is to reduce the frequency of the
dosing or to increase effectiveness of the drug by localization at the site of action, reducing the
dose required or providing uniform drug delivery.[1]So, sustained release dosage form is a
dosage form that release one or more drugs continuously in a predetermined pattern for a fixed
period of time, either systemically or to a specified target organ.[2, 3]
Microspheres are small spherical particles, with diameters 1 μm to 1000 μm. They are spherical
free flowing particles consisting of proteins or synthetic polymers which are biodegradable in
nature. [4]
ISBN: 978-93-5351-069-5 478

Acebrophylline, chemically designed as ambroxol theophylline-7- acetate, is a compound with

potent bronchodilator, mucosecretolytic, and anti-inflammatory activity. It is used to treat
bronchial asthma and chronic obstructive pulmonary disease. It improves the therapeutic
efficacy by reducing the dosing frequency and benefits, especially in the case of patients with
nocturnal bronchial asthma. [5, 6]
The objective of present study is to formulate and evaluate sustained release microspheres of
Acebrophylline in the treatment of Asthma with different polymer ratio using Ionic gelation
method.

2.1 Materials
Acebrophylline was obtained as a gift sample from Kores India, Ltd., Sodium alginate was a
gift sample from Signet Chemical Co,India. All other ingredients used were of Analytical
grade.
Method of preparation
2.2 Preparation of microspheres by ionic gelation method
Specified quantity of sodium alginate was dissolved in sufficient quantity of distilled water to
form a homogeneous polymer solution, and then Specified quantity of polymer was added to
it and uniformly mixed with the help of magnetic stirrer. Lastly the drug Acebrophylline was
added to polymer solution and mixed to form a smooth viscous dispersion,the resulted
dispersion was added dropwise into 5% CaCl2 solution by using 20G needle. The Droplets
retained in CaCl2 solution to complete curing the reaction & to produce spherical rigid particle.
Then it was Filtered and Dried. [7]
Composition table for optimization of cacl2 concentration:
Table: 1 Composition table for optimization of CaCl2 Concentration

Ingredients Ionic-Gelation
B1 B2 B3 B4 B5 B6 B7 B8 B9
ACB: Eudragit RS 100 1:1 1:2 1:3 1:1 1:2 1:3 1:1 1:2 1:3
Sodium Alginate (%) 2 2 2 2 2 2 2 2 2
Calcium chloride (%) 2.5 2.5 2.5 5 5 5 7.5 7.5 7.5
(ACB - Acebrophylline)
479 ISBN: 978-93-5351-069-5

2.3 Evaluation Study

1) Particle size analysis:
Particle size distributions of the microspheres are determined by optical microscopy
usingcalibrated ocular eyepiece. Product dispersed in light liquid paraffin and a smear of the
dispersion is observed under compound microscope. The size of 100 microspheres is measured
in each case against a calibrated eyepiece in micrometer. [8]
2) % Practical yield
The yield of microspheres was determined by comparing the whole weight of microspheres
formed against the combined weight of the copolymer and drug. [9]
Mass of microspheres obtained
% Practical yield = ---------------------------------------------- X 100

Total weight of drug and polymer used
3) Drug entrapment efficiency:

Microspheres equivalent to 20 mg of the drug were taken for evaluation. The amount of drug
entrapped was estimated by crushing the microspheres and extracting with aliquots of 6.8
Phosphate buffer repeatedly. The extract was transferred to a 100 ml volumetric flask and the
volume was made up using 6.8 PB. The solution was filtered and the absorbance was measured
after suitable dilution spectrophotometrically at 271 nm against 6.8 Phosphate buffer as a blank.
The amount of drug entrapped in the microspheres was calculated by the following formula,
[10]
Calculated drug content

% Drug Entrapment = ______________________ x 100
Theoretical drug content
4) Drug Loading wascalculated by the following formula, [11-12]
Weight of drug in microspheres

% Drug Loading = ____________________________ x 100
Weight of microspheres
5) In Vitro drug release studies:

In Vitro drug release studies were performed using USP dissolution test apparatus (Type 1).
The dissolution studies were performed in 900ml of dissolution medium which is stirred at 50
rpm at 37±0.5°C following a pH progression method. i.e. pH 1.2 for first 2h, pH 6.8 for rest of
studies. Aliquots were withdrawn periodically and replaced with fresh medium.[13]
6) Release Kinetics
ISBN: 978-93-5351-069-5 480

In order to investigate the mode of drug release from microspheres the release data are analyzed
with the following mathematical models: zero-order, first-order, Higuchi and
Korsmeyerpeppas model.
7) Optimization of Microspheres by using 32factorial design method

Table: 2 Optimization using factorial design method
Variables -1 0 +1 Responses
X1= Concentration of Numeric 1 2 3 Y1= Entrapment

Eudragit Rs100 (%) Efficiency (%)
X2= Concentration of Numeric 2.5 5 7.5 Y2= Drug release (%)

CaCl2 (%)
2.4 Characterization of optimized batch of microspheres by using different techniques:

Scanning electron microscopy: The surface structure of microspheres was examined using
scanning electron microscopy (SEM- JSM 5000) technique. The prepared microspheres were
coated with gold palladium under an argon atmosphere at room temperature, and then SEM
images were recorded at the required magnification.
Stability Study Stability study was conducted for prepared microspheres formulation batch
B2 as per ICH guidelines, kept at 40 ± 2°C with RH of 75% for a period of 30 days in stability
chamber. The optimized batch of microspheres were placed in USP type-1 flint vials and
hermetically closed with bromo butyl rubber plugs and sealed with aluminum caps.
Formulation was evaluated after one-month period for entrapment efficiency and drug release.
3. RESULTS AND DISCUSSION

3.1 Characterization of Microsphere
Table: 3 Characterization of microspheres batches B1 to B9
Entrapment
Mean Size* Production Drug Loading*
Batch no Efficiency *
(μm± S.D.) Yield (%) (% ± S.D.)
(% ± S.D.)
B1 74.6±0.15 88.2 81.3±1.18 28.3±0.2
B2 84.3±0.20 95.0 87.6±1.21 24.7±0.03
B3 98.5±0.20 89.6 86.4±2.39 17.5±0.04
B4 73.4±0.05 81.2 79.8±1.12 38.4±0.05
B5 80.3±0.26 88.1 81.2±2.28 28.8±0.04
B6 88.8±0.36 93.1 85.7±2.70 22.2±0.01
B7 73.5±0.30 85.0 77.2±2.76 29.4±0.02
B8 79.6±0.32 91.8 80.6±2.12 21.7±0.07

B9 87.8±0.65 94.6 83.2±1.40 17.6±0.1
481 ISBN: 978-93-5351-069-5

4. DISCUSSION
From the above evaluation study, it was concluded that the increase in Eudragit RS100
concentration, Particle size and Drug entrapment efficiency was increased. As concentration
of CaCl2 was increased, % entrapment efficiency of decrease. It indicated that as the
concentration of CaCl2 it formed rigid structure and cracks created on the surface of
microspheres because of this entrapment efficiency decrease.
In-vitro drug release study (Batch B1-B9)
Figure 1: In-vitro drug release of Figure 2: In-vitro drug release

batch B1-B3 of batch B4-B6
B1-B3 B4-B6
120 150
100
80 100
% CDR
% CDR
60 B1 B4
40 B2 50
B5
20
0 B3 0 B6
0 10 20 0 10 20
Time (hr) Time (hr)
Figure 3: In-vitro drug release of batch

B4-B6
B7-B9
100
80
60
% CDR
B7
40
B8
20
B9
0
0 5 10 15
Time (hr)
From the above evaluation study, it was concluded that with increase in Eudragit RS100,
concentrations, sustained release pattern was obtained. As the concentration of CaCl2 increase
drug release decrease. So, CaCl2 (2.5%) concentration was optimized based on entrapment
efficiency and % CDR.
ISBN: 978-93-5351-069-5 482

Release kinetic profile of optimized batch

Figure 4: First order Model Figure 5: Peppas Model
First order
y = -0.165x + Peppas
2.2952 y=
2.5 2.5
R² = 0.9237
Log % of drug remaining
2 0.8066x
Log % CDR
2
log % of +log %
1.5 drug 1.5 cdr
1.1902
1 remaining 1 R² =…
0.5 Linear
0.5 Linear (log
% of drug 0 (log %
0
remaining) 0 2 cdr)
-0.5 0 10 20
Time (hr) Log Time
Optimization of microspheres by using 32factorial design method
Table: 4 Layout of Optimization
Variables -1 0 +1 Responses
X1= Concentration of Numeric 1 2 3 Y1= Entrapment
Eudragit Rs100 (%) Efficiency (%)
X2= Concentration of Numeric 2.5 5 7.5 Y2= Drug release (%)
CaCl2 (%)
Figure 6: Contour plot showing the effect of Eudragit RS100 (X1) and CaCl2 (X2) on
response Y1 (% Entrapment Efficiency)
483 ISBN: 978-93-5351-069-5

Figure 7: Response surface plot of % Entrapment Efficiency (Response Y1)
Polynomial equation of % entrapment efficiency (response y1)

Coded equation: % EE= +79.72+1.42*A-2.38*B
Actual equation: % EE= +81.65556+2.83333*EUDRAGIT RS100-0.953333* CACL2
Figure 8: Contour plot showing the effect of Eudragit RS100 (X1) and CaCl 2 (X2) on
response Y2 (% Drug release)
Figure 9: Response surface plot of % Drug release (Response Y2)
ISBN: 978-93-5351-069-5 484

Coded Equation: Drug release = +96.39-2.72*A-3.62*B

Actual Equation: Drug release = + 109.07778-5.45000*Eudragit RS100-1.44667* CaCl2
Figure 10: Overlay plot of Eudragit RS100 & CaCl2
Characterization of optimized batch of microspheres by using DSC AND SEM:

Differential scanning calorimetry
The DSC thermogram of prepared formulation B2 shows sharp endothermic peak at 197.55°C.
Figure 11: DSC Thermogram of B2Figure 12: DSC Thermogram of Acebrophylline
DSC
mW DSC
0.00 mW
0.00
-2.00
-4.00
-10.00
-6.00
-8.00
0min
6.93 x10
77.15 0Cx10
0
-7.76x10
mW 0min
20.08 x10 22.08 0min
x10
0C
217.39 x10
197.55 0Cx10
-10.00 0
-18.14 x10
mW
0
-9.18x10
mW -20.00
100.00 200.00 300.00 100.00 200.00 300.00

Temp [C] Temp [C]
485 ISBN: 978-93-5351-069-5

Scanning electron microscopy of optimized batch

Figure 13: SEM of optimized batch B2 (At Figure 14: SEM of optimized
100 X) batch B2 (At 35 X)
From the above figures it was observed that microspheres were spherical and roughsurface; the
rough surface was due to the higher concentration of drug uniformly dispersed at the molecular
level in alginate matrices.
Comparison of marketed formulation with optimized formulation
Figure 15: Comparison of in-vitro dissolution of the optimized batch and marketed
tablet
Comparision of release
profile
120
100
80
% CDR
60
B2
40 Marketed tablet
20
0
0 5 10 15
Time (hr)
ISBN: 978-93-5351-069-5 486

Stability study
Figure 16: in vitro drug release of B2 after stability study
120
100
80
% CDR
60
Initial
40 After 1 month
20
0
0 5 10 15
Time (hr)
From results, it was observed that the formulation showed no significant change in %
Entrapment Efficiency and % drug release. So, the prepared formulation was found to stable at
accelerated conditions for 1 month.
5. SUMMARY AND CONCLUSION
In the present study, an attempt was made to design and characterize sustained release
microspheres formulation which intentionally delayed the drug absorption from therapeutic
point of view in the treatment of asthma. Microspheres were prepared by Ionic gelation and
evaluated for various properties like entrapment efficiency, production yield, and drug release.
On the basis of entrapment efficiency and production yield formulation B2 was found
optimized. SEM study observed that microspheres were spherical and rough surface.From the
stability studies, it was observed that there were no significant changes in the In vitro release
study of optimized B2 formulation, and therefore the formulation is stable.
6. REFERENCES
1. Srivastava S, Paswan S and Dutta AS, (2012). Sustained Release Drug Delivery System Potential. The
Pharma innovation,1, 48-60.
2. Ratnaparkhi MP and Gupta JP, (2013). Sustained Release Oral Drug Delivery System – An Overview.
International journal of pharma research & review, 2, 11-21.
3. Joshi A and Dashora K, (2014). A Review- Modified Release Drug Delivery System and Its
Significance. Current Research in Biological and Pharmaceutical Sciences, 3, 1-6.
4. Mali RR, Govel V and Gupta S, (2015). Novel Study in Sustained Release Drug Delivery System: A
Review. Int. J. Pharm. Med. Res, 3, 204- 205.
5. Johnsan D, Sabapathy L and Duraikannu A, (2015). Review on Microsphere. American Journal of Drug
Discovery and Development, 4, 153- 179.
6. Walker R., and Whittlesea C. Clinical Pharmacy and Therapeutics;5 th edition Elsevier publisher, UK,
2012, pp 412
7. Khanam N, Alam I, Sachan AK and Gangwar SS, (2012). Fabrication and Evaluation of Propranolol
Hydrochloride Loaded Microspheres by Ionic-Gelation Technique. Der Pharmacia Lettre, 4(3), 815-
850.
8. Sahoo P, Dinda Sand Kanungo S, (2014). Formulationand Evaluation of Valacyclovir Mucoadhesive
Microsphere. World Journal of Pharmaceutical Research, 3(3), 4372- 4382.
487 ISBN: 978-93-5351-069-5

9. Rajesh K, Pravallika P, Venkata T, Naga P, Bai J and Jyothi A, (2011). Formulation and Evaluation of
Controlled Release Microspheres of Acyclovir Sodium. International Journal of Innovative
Pharmaceutical Research, 2(1), 98- 101.
10. Sheikh A, Siddhi AR, Gawai N, And Shaikh SR, (2013). Formulation and Pharmaceutical Evaluation
of Mucoadhesive Microsphere of Clarithromycin and Omeprazole. Research Journal of Pharmacy and
Technology, 6(5), 1-5.
11. Raval J, Naik D Amin K and Patel P, (2014). Controlled Release and Antibacterial Studies of
Doxycycline Loaded Poly Microspheres. Journal of Saudi Chemical Society,18, 566 – 573.
12. Biswal I, Dinda A, Mohanty S and Dhara M, (2011). Influence of Drug/Polymer Ratio on The
Encapsulation Efficiency of Highly Hydrophilic Drug. Asian Journal of Chemistry, 23(5), 1973 – 1978.
13. Gupta S, Parvej N, Bhandari A and Sharma P, (2015). Microspheres Based on Herbal Actives: The
Less Explored Ways of Disease Treatment. Egyptian Pharmaceutical Journal, 14 (3),148-157
ISBN: 978-93-5351-069-5 488

PCP015
DESIGN AND DEVELOPMENT OF SUSTAINED RELEASE BILAYER
FLOATING TABLET OF LABETALOL HYDROCHLORIDE
Hiral Bariya Hitesh Jain D. B. Meshram

Student* Associate Professor* Principal*
hiralbariya8@gmail.com *Pioneer Pharmacy Degree College dbmeshram@yahoo.com
______________________________________________________________________________
Abstract:
Objectives:
The objective of the present study is to formulate the Gastro-retentive floating bilayer tablets
containing Labetalol Hydrochloride, containing immediate release layer and sustained release
layer which would provide initial dose of drug and remain in stomach and/or Upper part of GIT
for prolonged period of time in a view to maximize solubility of drug which is necessary for its
absorption.
Experimental Work:
The floating bilayer tablets of Labetalol Hydrochloride were prepared by direct compression
Method using 32 factorial design. For this, super disintegrating agent Ludiflash and sustained
release polymer Polyox WSR 303 were used in various concentrations. Sodium bicarbonate was
used as a floating effervescent agent. The prepared formulations were evaluated for hardness,
friability, weight variation, swelling index, floating lag time, floating Time, % CDR etc. Finally,
the optimized batch was subjected for stability studies.
Result & Discussion:

From the result obtained, showed that Immediate release layer release the dose of Labetalol
Hydrochloride within 30 minutes. The factorial batches were formed by taking concentrations of
Polyox WSR 303 and Sodium bicarbonate as independent variables and floating lag time and %
CDR as dependent variables. From the formulated factorial batches, batch containing 22% Polyox
WSR 303 and 12.5% sodium bicarbonate showed the lowest lag time of 24 sec and the highest %
CDR at 12 hr of 99.70%. The results of stability studies showed that there are no physicochemica l
changes in the formulation. Conclusion:
From the results obtained, it was concluded that the optimized formulation containing Polyox
WSR 303 and sodium bicarbonate showed better swelling properties with desired drug release
properties and floating behaviour. Hence Polyox WSR 303 is a potential polymer candidate for
formulation of sustained release floating effervescent tablets.
Keywords: Labetalol Hydrochloride, Floating, Polyox WSR 303, Polyox WSR 1105
______________________________________________________________________________
489 ISBN: 978-93-5351-069-5

1. INTRODUCTION
The bilayer tablet is a concept which is composed of different layers. The system allows the
incorporation of more than one drug into the dosage form. Formulation of layers from differe nt
polymers allows manipulation over more than one rate-controlling polymer, thus enabling
different types of drug delivery of one or more drugs. 1 Floating Bilayer drug delivery system is
combined principle of bilayer tablet as well as floating mechanism. Floating Bilayer tablet is
suitable for sequential release of two drugs in combination, separate two incompatible substances
and also for sustained release tablet in which one layer is immediate release as initial dose and
second layer is maintenance dose.2 Floating drug delivery systems have a bulk density less than
gastric fluids and so remain buoyant in the stomach without affecting the gastric emptying rate for
a prolonged period of time. While the system is floating on the gastric contents, the drug is released
slowly at the desired rate from the system.3
2. MATERIALS AND METHOD
Labetalol Hydrochloride is obtained as a gift sample from Mercury Laboratories Pvt Ltd,
Vadodara. All other excipients were used of analytical grade.
2.1 Formulation of Bilayer Tablet

Development of bilayer tablet of Labetalol was carried out in three stages. Two layers (Immediate
release layer and sustained release layer) were formulated separately using different concentratio n
of polymers in different ratios. Bilayer tablet was prepared on rotary tablet compression machine.
First the sustained release layer is pre compressed on compression machine manually and the
immediate release layer is loaded on top of pre compressed layer and punched.
Table: 1 Formulation Composition of Bi-Layer Floating Tablets.
Materials S1 S2 S3 S4 S5 S6 S7 S8 S9
(mg)
Immediate release layer
LBT HCl 83 83 83 83 83 83 83 83 83
Ludiflash 12 12 12 12 12 12 12 12 12
PVP K-30 5% 5% 5% 5% 5% 5% 5% 5% 5%
MCC 87 87 87 87 87 87 87 87 87
Mg. Stearate 4 4 4 4 4 4 4 4 4
Talc 4 4 4 4 4 4 4 4 4
Total Weight
200 200 200 200 200 200 200 200 200
(mg)
ISBN: 978-93-5351-069-5 490

Sustained release layer

LBT HCl (mg) 207 207 207 207 207 207 207 207 207
Polyox WSR 303

22 22 22 25 25 25 28 28 28
(%)
Sodium
7.5 10 12.5 7.5 10 12.5 7.5 10 12.5
Bicarbonate (%)
PVP (%) 5 5 5 5 5 5 5 5 5
MCC 47 37 27 35 25 15 33 23 13
Magnesium
1 1 1 1 1 1 1 1 1
Stearate (%)
Talc (%) 1 1 1 1 1 1 1 1 1
Total weight (mg) 400 400 400 400 400 400 400 400 400
Tablet Weight
600 600 600 600 600 600 600 600 600
(mg)
2.2 Evaluation Parameters:
1. Pre-Compression Parameter: 4-9
Angle of repose:
In this method weighed 10 gm of bulk powder, passed it through sieve no 40 mesh size .then
allowed to flow under gravity though funnel and angle of incline of the formed. The angle of repose
was assayed by measuring the height (h) and having a fixed base i.e. radius (r).
Angle of Repose θ = tan –1 h/r
Bulk Density: It is the ratio of total mass of powder (m) to the bulk volume of powder.
Dt=m/Vo
Tapped Density: It is the ratio of total mass of powder (m) to the tapped volume (Vi) of powder.
Dt = m/Vi
Compressibility index: It was determined by taking tapped density and bulk density. Which has
been put in the formula given below and determined compressibility index.
Compressibility Index= Tapped density – bulk density / tapped density x 100
491 ISBN: 978-93-5351-069-5

Hausner’s Ratio:-It was determined by taking Tapped density and it divided by Bulk density by
using following formula.
Hausner’s Ratio= Tapped density / Bulk density
2. Post-compression parameter:
Hardness: Monsanto hardness tester was used for the determination of the hardness. The tablet to
be tested was held between a fixed and moving jaw and reading of the indicator adjusted to zero.
The force applied to the edge of the tablet gradually increased by moving the screw knob forward
until the tablet breaks.
Weight variation: 20 tablets were selected randomly from the lot and weighed individually to
check for weight variation.
Friability: The friability of the tablet was determined using Roche Friabilator. It is expressed in
percentage (%). 10 tablets were initially weighed (W initial) and transferred into the Friabilator.
The Friabilator was operated at 25 rpm for 4 minutes. The tablets weighed again (W final) and
friability was calculated using formula
% Friability = (WO -Wf/ WO ) X 100

Where WO = initial weight, Wf = final weight
2.3 For Sustained release layer:
Floating time: The test for buoyancy was usually performed in simulated gastric fluid mainta ined
at 37C. The floating time was determined by using USP dissolution apparatus containing 900 ml
of 0.1 N HCl as the testing medium maintained at 37C. The time for which the dosage form floats
is termed as the floating or floatation time. 10
Floating Lag Time: The in vitro buoyancy determined by the lag time. Tablet was placed in a 100
ml beaker containing 0.1 N HCl. The time required for a tablet to rise to the surface for floating is
determined as the lag time.11
Swelling index: The swelling index of tablets was determined by 0.1 N HCl (pH 1.2) at room
temperature. The swollen weight of the tablets was determined at predefined time intervals. The
swelling index was calculated by the following equation.12
Swelling index (S.I) = {(Wt‐Wo)/Wo} x 100

Where, S.I. = swelling index
Wt = Weight of tablet at time
Wo = Weight of tablet before immersion
In-vitro drug release studies: In-vitro dissolution studies of floating tablets of Labetalol HCl was
carried out in USP dissolution test apparatus-II, employing a paddle type apparatus at 100 rpm
using 900ml of 0.1 N HCl as dissolution medium at 37±0.5ºC. One tablet was used in each test.
ISBN: 978-93-5351-069-5 492

At predetermined time intervals 5ml of the sample was withdrawn by means of a syringe. The
volume withdrawn at each interval was replaced with same quantity of fresh dissolution medium
maintained at 37±0.5ºC. The withdrawn samples were filtered through membrane filter & analyzed
by using UV spectrophotometer.13
Uniformity of drug content : Ten tablets were weighed and powdered in a mortar. Accurately
weighed tablet powder samples equivalent to 10 mg of Labetalol hydrochloride tablets was
transferred to a 10ml volumetric flask, and the drug was extracted into 10ml methanol. This
solution was filtered through a Whattman No.1 filter paper and collected in to a 10ml volumetr ic
flask. The solution was suitably diluted and the absorbance is measured at 302 nm. The estimatio ns
were carried out in triplicate.14
Stability Study: A study was carried out to assess the stability of Labetalol Hydrochloride bilayer
floating tablet. The optimized formulation was subjected to the accelerated stability studies
according to ICH Guidelines (40 + 20 C and 75 + 5 % RH) for a period of 1 month in a stability
chamber. Samples were evaluated at 1st and 31st day for In vitro drug release.15
3. RESULTS AND DISCUSSIONS:
Table: 2 Pre-Compression Parameters of Bilayer Tablet

Batc Bulk Tapped Compressibilit Hausner's Angle of
h y
Density(gm/cm3 Density Ratio Repose (θ)
) (g/cm3 ) Index (%)
IR SR IR SR IR SR IR SR IR SR
S1 0.35 0.45 0.48 0.52 18.75 13.46 1.23 1.16 33.3 28.8
±0.035 ±0.076 ±0.04 ±0.04 ±0.57 ±0.67 ±0.02 ±0.04 8 0
1 4 5 5 ±0.1 ±0.3
4 7
S2 0.34 0.38 0.39 0.44 12.82 13.10 1.15 1.15 28.5 26.3
±0.025 ±0.070 ±0.01 ±0.06 ±0.78 ±0.80 ±0.02 ±0.03 2 4
2 4 8 5 ±0.5 ±0.7
8 6
S3 0.38 0.40 0.48 0.46 20.83 12.09 1.26 1.14 27.3 27.7
±0.032 ±0.043 ±0.09 ±0.08 ±0.40 ±0.57 ±0.05 ±0.08 9 8
3 0 0 6 ±0.2 ±0.6
8 2
S4 0.33 0.38 0.40 0.43 17.50 11.74 1.21 1.13 28.6 29.0
±0.052 ±0.025 ±0.01 ±0.03 ±0.83 ±0.97 ±0.06 ±0.07 7 4
4 2 3 8 ±0.4 ±0.4
3 6
S5 0.38 0.37 0.47 0.44 19.15 15.91 1.24 1.19 29.6 25.6
±0.069 ±0.074 ±0.09 ±0.08 ±0.16 ±0.37 ±0.08 ±0.04 3 8
6 9 6 4 ±0.6 ±0.7
4 2
493 ISBN: 978-93-5351-069-5

S6 0.37 0.38 0.46 0.45 19.57 16.00 1.24 1.19 30.2 29.7
±0.015 ±0.090 ±0.01 ±0.08 ±0.78 ±0.96 ±0.03 ±0.05 2 4
7 3 7 3 ±0.7 ±0.3
6 9
S7 0.33 0.39 0.41 0.45 19.51 12.44 1.24 1.14 27.5 27.5
±0.029 ±0.072 ±0.02 ±0.08 ±0.83 ±0.46 ±0.07 ±0.03 7 1
3 7 9 2 ±0.7 ±0.2
7 4
S8 0.37 0.37 0.46 0.42 19.57 11.90 1.24 1.14 26.4 28.8
±0.032 ±0.055 ±0.02 ±0.08 ±0.77 ±0.75 ±0.03 ±0.04 4 3
8 9 7 6 ±0.8 ±0.4
8 5
S9 0.31 0.37 0.40 0.44 22.50 15.91 1.29 1.19 25.4 29.4
±0.080 ±0.019 ±0.05 ±0.03 ±0.68 ±0.24 ±0.06 ±0.03 7 0
7 7 0 9 ±0.0 ±0.3
9 3
Table: 3 Post- Compression Parameters of Bilayer Tablet

Batch Hardness Weight % Drug Content Lag Floating
(kg/cm )2 variation Friability (%) time time (hrs)
±SD n=3) (mg)(n=20) (n=6) (n = 10) (Sec)
S1 5.9 ± 0.022 600.04 ± 0.12 0.57 99.54±0.05 30 >12
S2 5.8 ± 0.053 600.12 ± 0.30 0.51 98.78±0.35 27 >12
S3 5.9± 0.045 600.23±0.552 0.76 98.39±0.29 24 >12
S4 5.6 ± 0.025 599.13±0.764 0.63 97.46±0.12 47 >12
S5 5.5 ± 0.014 600.23±0.252 0.57 99.51±0.18 41 >12
S6 5.7± 0.035 601.56±0.664 0.61 98.12±0.32 35 >12
S7 6.0±0.076 600.29±0.077 0.65 99.09±0.54 58 >12
S8 5.8±0.037 599.78±0.036 0.77 98.78±0.06 49 >12
S9 6.1±0.067 602.09±0.083 0.84 97.20±0.81 38 >12
ISBN: 978-93-5351-069-5 494

Figure 1 In- Vitro Drug Release of Formulation S1-S3.
Bilayered Tablet S1-S3

150
100
% CDR S1
50
S2
0 S3
0 2 4 6 8 10 12 14
Time (hrs)

100
80
60
% CDR S4
40
20 S5
0 S6
0 2 4 6 8 10 12 14
Time (hrs)

100
80
60
% CDR S7
40
20 S8
0 S9
0 2 4 6 8 10 12 14
Time (hrs)
495 ISBN: 978-93-5351-069-5

Figure 4 Contour Plot Showing the Effect of Polyox WSR 303 &Sodium bicarbonate On Lag
Time
Design-Expert® Software
Factor Coding: Actual R1 lag time (sec)
R1 lag time (sec) 12.5
Design Points
58
24
11.5
X1 = A: Polyox W SR 303
X2 = B: Sodium Bicarbonate
B: Sodium Bicarbonate
10.5 40
30
9.5
50
8.5
7.5
22 23 24 25 26 27 28
A: Polyox WSR 303
Figure 5 Response Surface Plot of Floating Lag Time (Sec)
Factor Coding: Actual
R1 lag time (sec)
Design points above predicted value
Design points below predicted value
60
50
R1 lag time (sec)
40
30
20
12.5 28
11.25 26.5
10 25
8.75 23.5
B: Sodium Bicarbonate A: Polyox WSR 303
7.5 22
Figure 6 Contour Plot Showing Effect of Polyox WSR 303 & Sodium Bicarbonate On %
CDR At 12th Hour:
Factor Coding: Actual R2 %CDR (hrs)
R2 %CDR (hrs) 12.5
Design Points
99.7 95
74.89
11.5
90
B: Sodium Bicarbonate
10.5
85 80
9.5
75
8.5
7.5
22 23 24 25 26 27 28
A: Polyox WSR 303
ISBN: 978-93-5351-069-5 496

Figure 7 Response Surface Plot (3d) Showing the Effect of Polyox WSR 303 & Sodium
Bicarbonate on % CDR at 12th Hour
R2 %CDR (hrs)
Design points below predicted value
100
95
90
R2 %CDR (hrs)
85
80
75
70
12.5 28
11.5 27
10.5 26
25
9.5 24
B: Sodium Bicarbonate 8.5 23 A: Polyox WSR 303
7.5 22
Figure 8 Stability Study of Optimized Batch:
Stability studies
150
100
% CDR
50 Initially
After 1 month
0
0 2 4 6 8 10 12 14
Time (hrs)
4. SUMMARY AND CONCLUSION:
The tablets were formed by taking various concentration of polymers as a release retarding agent
and sodium bicarbonate as an effervescent. Pre-compression and Post compression Parameters of
Bilayer tablets are within limits. 32 Factorial design was employed to study the effect of Polyox
WSR 303 & Sodium bicarbonate on response parameters. From the formulated factorial batches,
S3 batch Containing 22% Polyox WSR 303 & 12.5% Sodium bicarbonate showed the lowest lag
time of 24 sec and the highest % CDR at 12th hr of 99.70%.The results of stability studies showed
that there are no change in drug release.
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5. REFERENCES
1. Arigela B., Nadikatla A.,et al.,(2015). Formulation and Evaluation of Mucoadhesive Buccal Tablets of
Labetalol Hydrochloride. Euro J Pharma Med Res, 2(5), 1819-1839.
2. Brahmbhatt H., Eldose A.,et al.,(2015). Formulation and Characterization of Floating Drug Delivery
System of Tolperisone Hydrochloride. Inventi Rapid: Pharm. Tech,3, 1-7.
3. Kanajam NS., Rao MU.,et al.,(2014).Bilayer drug delivery systems – a review of novel approach. Int. J.
Res. Rev. Pharma. App. Sci,4(1), 944-95.
4. Kumar A., Felix V.,et al., (2014).Formulation and Evaluation of Bilayer Floating Tablet Co ntaining
Antihypertensive Drug. Int.J.Pharma. Res. Rev, 3(12),1-12.
5. Shahi S., Madkar V.,et al.,(2014). Development and Evaluation of Bilayer Floating Tablets of Diltiazem
HCl. Int J Pharm Pharma Sci, 6(2), 62-65.
6. Suribabu B., Raghavamma S., et al., (2014).Formu lation and Evaluation of Bilayer Floating Tablets of
Ciprofloxacin Hydrochloride. Asian J Pharma Tech Inn, 2 (7), 60-69.
7. Pundir S., Badola A., et al.,(2013). Sustained release matrix technology and recent advance in matrix drug
delivery system: A review. Int. J. Drug. Res. Tech, 3 (1), 12-20.
8. Biswas M., Gupta R., et al ., (2013). Formulation and In-Vitro Evaluation of Gastro retentive Floating
Drug Delivery System of Ritonavir. Turk. J. Pharm. Sci, 10(1), 69-86.
9. Arun D and Venu G., (2012).A review of novel approach in bilayer tablet technology. Int. J. Pharm. Bio.
Chem. Sci, 1, 01-08.
10. Sahu A., Verma A., et al.,(2012).Preparation of hydrophilic swelling controlled-release floating matrix
tablets containing HPMC and chitosan. Int. J. Pharm. Pharma. Sci, 4(1), 406–411.
11. Sarfaraz M., Keerthi P.,et al.,(2012).Formulation and In-Vitro Evaluation of Bilayer Floating tablets of
Tramadol Hydrochloride. Int. J. Drug Dev. Res,4 (3), 335-347.
12. Chaudhari S., Bawaskar M., et al.,(2012). Formulation and Evaluation of Bilayer Floating Tablet of
Carvedilol Phosphate. J Drug Deli Ther, 2(5), 9-19.
13. Chandira R., Palanisamy P., et al.,(2012). Formulation and evaluation of bilayered floating tablets of
Metformin Hydrochloride. Int Res J Pharma , 3(2), 257-266.
14. Kumar VG., (2011).Formulat ion and Evaluation of Bilayered Tablets of Cefixime trihydrate and
Dicloxacillin sodium. Int. J. Pharm. Res, 3, 613-618.
15. Muscle K., Payghan S., et al.,(2011).Fo rmulat ion, evaluation and development of bilayer tablet. Int. J.
Pharma. Res. Dev, 3, 80-87.
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PCP016
FORMULATION AND EVALUATION OF CONTROLLED-RELEASE

FLOATING MATRIX TABLETS OF METOPROLOL TARTRATE
Ms. Shweta Nehate Dr. Hitesh Jain
shwetanehate95@gmail.com hitesh-hitachi@rediffmail.com
Dr. D. B. Meshram
Principal
dbmeshram@yahoo.com
__________________________________________________________________________
Abstract
Metoprolol tartrate has a short elimination half-life, a narrow absorption window and is
mainly absorbed in proximal areas of GIT. The purpose of this study was to develop a gastro
retentive controlled release drug delivery system with swelling, and floating properties by
Direct Compression Method. Seven tablet formulations were designed using hydroxyl propyl
methylcellulose (HPMC K15M) and sodium alginate (Na alginate) as release-retarding
polymer(s) and sodium bicarbonate (NaHCO3) as a gas former. Swelling ability, floating
behavior, and drug release studies were conducted in 0.1 N HCl at 37 ± 0.50C. The tablets
showed acceptable physicochemical properties. Formulation F1 shows Peppas as best fit
model and formulation F2-F7 shows matrix as best fit model. Drug content uniformity,
friability and hardness are all in the acceptable range. Optimized formulae F7 containing 20%
HPMCK15M, 8% Sodium Alginate and 20% sodium bicarbonate were stored at 400C/75%
RH for 3 months according to ICH guidelines and showed better physical stability.
Keywords: Metoprolol tartrate, gastro retentive, controlled release, direct compression,

floating system
___________________________________________________________________________
___________________________________________________________________________
1. INTRODUCTION
The real challenge in the development of an oral controlled-release drug delivery system is
not just to sustain the drug release but also to prolong the presence of the dosage form within
the gastrointestinal tract (GIT) until all the drug is completely released at the desired period
of time [1] Garg and Gupta classified the gastroretentive dosage forms into four main classes:
(i) floating systems, (ii) expandable systems, (iii) bioadhesive systems and (iv) high density
systems. [2] Floating systems are of two types: (A) effervescent systems, depending on the
generation of carbon dioxide gas upon contact with gastric fluids, and non-effervescent
systems. The latter systems can
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be further divided into four sub-types, including hydrodynamically balanced systems,

microporous compartment systems, alginate beads and hollow microspheres/microballons.
Metoprolol tartrate (MT) is a β1-selective adrenergic blocking agent.[3] When MT
conventional tablets are administered with food rather than on an empty stomach, peak
plasma concentrations are higher and the extent of absorption of the drug is increased.[4] The
maintenance of a constant plasma level of a cardiovascular drug is important in ensuring the
desired therapeutic response. Since the half-life of MT is ~3 to 4 hours, 2 multiple doses are
needed to maintain a constant plasma concentration for a good therapeutic response and
improved patient compliance. It has also been reported that MT absorption in the duodenum
and jejunum is directly proportional to the dose availability. [5] A gastric floating drug
delivery system. The GFDDS is able to prolong the retention time of a dosage form in the
stomach, thereby improving the oral bioavailability of the drug.
2.1 Materials
MT was a gift from Cipla India Pvt Ltd (Goa, India). Methocel k15000 cP was gift sample
from Colorcon Asia Pvt Ltd (Goa), India. Low viscosity sodium alginate was purchased from
SD Fine Chemicals Ltd. (Mumbai, India). Other materials were from analytical grade.
2.2 Methods
Tablets containing 50 mg of Metoprolol Tartrate (MT) were prepared, according to the design
depicted in Table 1, by direct compression. The respective powders, namely MT, release
retarding polymer(s), a gas-forming agent (NaHCO3), Avicel PH102 was passed through
sieve no. 20, separately. Mixing of powders was carried out using a pestle and mortar for 10
min. Aerosil and Talc were then added to the mixed powders. Mixing was continued for
another 3min. Finally, 250 mg of each mixture were weighed and fed manually into the die of
a single punch tabletting machine (Cadmach, Ahemadabad,India) , equipped with 8mm
concave punches. to produce the desired tablets. The hardness of the tablets was adjusted at 5
kg/cm2 using a Monsanto hardness tester (Monsanto Chemical, St. Louis, MO) (6)
Table: 1 The composition, in milligrams, of the Metoprolol Tartrate floating tablets.

Formulatio Dru HPMCK15 Sodium Sodium AvicelPH1 Tal Aerosi
n g M Alginat Bicarbona 02 c l
Code e te
F1 50 50 05 25 119 5 1
F2 50 50 10 25 109 5 1
F3 50 50 15 25 104 5 1
F4 50 50 20 25 99 5 1
F5 50 50 25 25 94 5 1
F6 50 50 20 37.5 86.5 5 1
F7 50 50 20 50 74 5 1
Total unit weight of Tablet- 250mg
2.3. In vitro evaluation of the prepared tablets

2.3.1. Tablet weight variation
Twenty tablets were randomly selected and accurately weighed. Results are expressed as
mean values ± SD. (7)
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2.3.2. Tablet thickness

A Vernier caliper (For-bro Engineers, Mumbai, India) was used to determine thickness of 10
randomly selected tablets. Results are expressed as mean values ± SD. (8)
2.3.3. Drug content uniformity

Ten tablets were individually weighed and crushed. A quantity of powder equivalent to the
mass of one tablet (250 mg) was extracted in 100 ml of 0.1N HCl. The solution was filtered
through a cellulose acetate membrane (0.45 lm). The drug content was determined by UV
spectroscopy (1700-PC Double beam spectrometer, Shimadzu, Kyoto, Japan) at a wavelength
of 275 nm after a suitable dilution with 0.1 N HCl.(9)
2.3.4. Tablet friability

According to the BP specifications [10], 10 tablets were randomly selected and placed in the
drum of a tablet friability test apparatus (FAB-2, Logan Instruments Corp., NJ, USA). The
drum was adjusted to rotate 100 times in 4 min. The tablets were removed, dedusted and
accurately weighed. The percent weight loss was calculated.
2.3.5. Tablet floating behavior

The floating behaviour of the tablets was visually determined, in triplicate, according to the
floating lag time method described by Rosa et al. [11]. Briefly, a tablet was placed in a glass
beaker, containing 200 ml of 0.1 N HCl, maintained in a water bath at 37 ± 0.50C. The
floating lag time “the time between tablet introduction and its buoyancy” and total floating
duration ‘‘the time during which tablet remains buoyant” were recorded.
2.3.6. Tablet swelling ability

The swelling behaviour of the tablets was determined, in triplicate, according to the method
described by Dorozynski et al. [12]. Briefly, a tablet was weighed (W1) and placed in a glass
beaker, containing 200 ml of 0.1 N HCl, maintained in a water bath at 37 ± 0.50C. At regular
time intervals, the tablet were removed and the excess surface liquid was carefully removed
by a filter paper [13]. The swollen tablet was then reweighed (W2). The swelling index (SI)
was calculated using the formula (1); SI = (W2 _ W1)/W1
2.3.7. Drug release studies

Drug release studies of the prepared floating tablets was performed, in triplicate, in a USP
Dissolution Tester Apparatus, type- II (Paddle method) (VK 7000 Dissolution Testing
Station, Vankel Industries, Inc., NJ, USA) at 37 ± 0.50C. The paddles rotated at a speed of 50
rpm. The tablets were placed into 900 ml of 0.1 N HCl. Aliquots of 5 ml were withdrawn
from the dissolution apparatus at different time intervals and filtered through a cellulose
acetate membrane (0.45 lm). The drug content was determined spectrophotometrically at a
wavelength of 275 nm, as mentioned before. At each time of withdrawal, 5 ml of fresh
medium was replaced into the dissolution flask. (14)
2.3.8. Kinetic modeling of drug release profiles

The dissolution profiles of all formulae in 0.1 N HCl were fitted to zero-order, first-order,
Higuchi [15] and Korsmeyer–Peppas kinetic models [16]. The model with the highest
correlation coefficient was considered to be the best fitting one.
2.3.9. Stability studies
Stability studies were conducted according to International Conference on Harmonization
(ICH) guidelines [17]. The best formulae F7, was enclosed in polyethylene bottles and loaded
in a desiccator containing a saturated solution of sodium chloride (75% RH) [18]. The
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desiccator was kept in an oven at 40 C for 3 months. At specified time intervals, the tablets
were examined for any statistical difference in their hardness values, matrix integrity, and
floating characteristics, percent drug released using a paired Student’s t-test.
Controlled-release metoprolol tartratel floating tablets were developed using release-retarding

gel-forming polymer(s) like HPMC K15M and/or Na alginate and a gas-forming agent like
NaHCO3. The incorporation of microcrystalline cellulose “AvicelPH 102” in the designed
systems was suggested to impart superior flow and enhance powder compaction in direct
compression. Moreover, it was proved [19] that microcrystalline cellulose is capable of
swelling in contact with aqueous fluids as simulated gastric fluid leading to an increase in the
water uptake capacity, porosity of the matrix and consequently would enhance floating
abilities. In a previous work, Gambhire et al. [20] studied the influence of the tablet hardness
on: (i) the floating lag time and (ii) the release of factor with regard to buoyancy of the
tablets. Increasing the hardness (>5–6 kg/cm2) would possibly lead to prolongation of the
floating lag time by affecting the rate of the tablet penetration by the dissolution medium.
Based on these conclusions, the hardness of the floating tablets was adjusted, in the current
work, to 5 kg/cm2. The physicochemical properties of the tablets are summarized in Table 2.
Table: 2 Physicochemical properties of the prepared Metoprolol Tartrate floating

tablets
Total
Tablet Drug Tablet
Formula Tablet Floating floating
weight content friability
code thickness lagtime (s) Duratio
(mg) (%) (%)
n(h)
F1 4.97±0.05 248.19±2.94 98.03 0.54±0.10 152.53±12.50 >7
F2 5.2±0.10 241.18±3.77 99.10 0.41±0.08 132.21±7.25 >8
F3 5.03±0.05 258.33±1.50 97.70 0.34±0.12 121.11±4.75 >9
F4 5.05±0.05 248.30±3.30 98.34 0.26±0.04 100.71±6.25 >12
F5 4.93±0.10 244.13±3.10 98.04 0.32±0.05 90.17±2.35 >12
F6 5.1±0.05 253.16±2.33 98.50 0.31±0.10 60.91±4.25 >12
F7 5.08±0.10 247.04±2.56 99.10 0.29±0.04 16.00±7.50 >12
The thickness of all tablet batches ranged from 4.93 ± 0.10 to 5.2 ± 0.10 mm. All the tablet
formulae showed acceptable physicochemical properties and complied with the
pharmacopoeial specifications for weight variation, drug content and friability. The weight of
the tablets ranged from 241.18 to 258.33 mg. Drug uniformity results were found to be good
among different batches; the percentage of drug content ranged from 97.7% to 99.10%. The
percentage friability for all formulae was less than 1%, indicating good mechanical
resistance.
ISBN: 978-93-5351-069-5 502

Figure 1 Photographs taken during in vitro buoyancy study of formula F7 in 200 ml 0.1
N HCl at different time intervals
The hydration ability of the formula is important because it influences: (i) tablet buoyancy,
(ii) adhesion ability of swellable polymers as HPMC K15M and/or Na alginate in contact
with the test fluid and (iii) drug release kinetics.
Figure 2 The influence of HPMC K15M/Na alginate ratio on the Swelling indices of
Metoprolol tartrate floating tablets in 0.1 N HCl at 37 ± 0.50C (mean ± SD, n = 3)
4
F1
F2
swelling index
3
F3
F4
2 F5
F6
1 F7
0
r
hr
1h
3h
6h
9h
12
TIME (hrs)
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It could be concluded that the test medium uptake of the prepared matrices depends on the
type of polymer (Fig. 2). Formula F5 showed the highest swelling indices throughout the
study period. The maximum swelling index of this formula (3.4 ± 0.3) was achieved after 6 h.
On the other hand, significant reductions in the swelling indices were observed with the
formulae F1–F3 containing lower Na alginate ratios. The maximum swelling indices of these
formulae (1.9 ± 0.25, 2.4 ± 0.17 and 2.6 ± 0.13) were achieved after 6 respectively. Formula
F4, F6, F7 having the same ratios of polymers shows the highest swelling indices (2.8±0.28)
after 6 h. As reported by Bertram and Bodmeier [21], the ability of hydrogels to absorb water
is due to the presence of hydrophilic groups.
The in vitro testing revealed the ability of most formulae to maintain buoyant more than 12 h
(Table 2 and Fig. 1).
This suggests that the gel layers, formed by the investigated polymers, enabled efficient
entrapment of the generated gas bubbles. As shown in Table 2, the HPMC K15M/sodium
alginate ratio has a marked effect on the floating lag time of the formulae (F1–F5) prepared
with a constant NaHCO3 ratio; 10%, w/w. The lag time of formula F1, containing
HPMCK15M alone, was 152.53 s and formula f2-f5 having lag time 132.21s, 121.11s,
100.71s, 90.17s. It could be noted that as the sodium alginate polymer concentration
increases the floating lag time also increases in the above formulae. Formula f6 & f7 having
increase concentration of NAHCO3 i.e 15% and 20% and having lag time 60.91 and 16.00
sec. had significantly shorter buoyancy lag time than that formula f4. Depending on the type
and concentration of the investigated polymer(s) in the current study, variable drug release
profiles were successfully tailored. The influence of HPMC K15M/Na alginate ratio on the
release of Metoprolol tartrate from the floating tablets in 0.1 N HCl at 37 ± 0.5 _C was shown
in Fig. 3.
Figure 3 The influence of HPMC K15M/Na alginate ratio on the release of Metoprolol
tartrate from the floating tablets in 0.1 N HCl at 37 ± 0.50C (mean ± SD, n = 3).
It is clear that formulae f4 and f5 succeeded in controlling the rate of drug release for 12 h.
However, the drug release rate was dependent on the type and concentration of the
investigated polymer(s). F1-F3 shows drug release of 100.60%, 99.79%, and 95.29% in 7, 8,
and 9 hrs. F4 and F5 shows drug release of 95.88%, 92.79% in 12 hrs. Interestingly, this
effect was less predominant with those formulae containing higher HPMC K15M-Na
Alginate ratios; F3–F5. Taking into consideration the goal of the work of achieving a
ISBN: 978-93-5351-069-5 504

compromise between excellent floating behaviour (very short floating lag time and prolonged
floating duration), and sustained drug release characteristics, F4 was chosen for further
studies.The influence of the gas-forming agent NaHCO3 and concentration (10%, 15% and
20%, w/w) on the release of the drug from the floating tablets in 0.1 N HCl at 37 ± 0.5 0C was
shown in Figs.-4, respectively.
Figure 4 The influence of sodium bicarbonate ratio on the release of Metoprolol tartrate
from the floating tablets in 0.1 N HCl at 37 ± 0.50C (mean ± SD, n = 3).
An inverse relationship was observed between the investigated concentration of the gas
forming agent and the drug release rate; formulae (F7) containing the highest gas-forming
agent concentrations showed the highest drug release rates. Fitting of the release rate data to
the various models revealed that most of the formulations such as F2, F3, F4, F5, F6, and F7
follow Higuchis Model.
Table: 3 Mathematical modeling of Metoprolol Tartrate from the prepared floating

tablets.
Mathematical Models (kinetics)
r values
Formulation Best fit
F1 F2 F3 F4 F5 F6 F7
code model
Higuchi
0.4750 0.9819 0.9843 0.9884 0.9885 0.9895 0.9892 Matrix
matrix
Figure 5 Percent drug released of F7 batch before and after stability study
The significant increase in the floating lag time of formula F7, from 16.00 ± 7.50 s, when
freshly prepared, to 53.00 ± 3.5 s, after storage for 3 months at 400C under 75% RH, could
505 ISBN: 978-93-5351-069-5

indicate the possibility of reaction of NaHCO3 with moisture under the investigated
conditions.
4. CONCLUSION
Promising controlled-release floating tablets of Metoprolol tartrate were successfully

formulated by effervescent technique. Tablets containing HPMC K15M (20.00%, w/w), Na
alginate (8.00%, w/w) and NaHCO3 (20%, w/w) (formula F7) showed satisfactory results
with respect to floating lag time, total floating duration, swelling ability, and sustained drug
release rates.
5. REFERENCES
1. Prajapati S.T., Patel L.D., Patel D.M., (2008), Gastric Floating Matrix Tablets: Design and
Optimization using Combination of Polymers, Acta Pharm 58, pp. 221–229.
2. Garg R., Gupta G.D., (2008), Progress in Controlled Gastroretentive Delivery Systems, Trop. J. Pharm.
Res. 7(3), 1055–1066.
3. Kendall MJ, Maxwell SR, Sandberg A, Westergren G. (1991), Controlled Release Metoprolol. Clinical
Pharmacokinetic and TherapeuticIimplications. Clinical Pharmacokinetic. 21, pp. 319-330.
4. Jobin G, Cortot A, Godbillon J, et al. (1985), Investigation of Drug Absorption from The
Gastrointestinal Tract of Man, I: Metoprolol in Stomach, Duodenum, and Jejunum. Br J Clin
Pharmacol. 19, pp. 97-105.
5. The British Pharmacopoeia, British Pharmacopoeia Commission, HMSO, London, 2007 (electronic
version).
6. Dorozynski P., et al., The polymers for the preparation of hydrodynamically balanced systems methods
of evaluation, Drug Dev. Ind. Pharm. 30, pp 947–957.
7. Patel A.,. Modasiya M, Shah D., Patel V., (2009), Development and In Vivo Floating Behavior of
Verapamil HCl Intragastric Floating Tablets, AAPS PharmSciTech. 10, pp 310–315.
8. Rosa M., Zia H.,.Rhodes T, Dosingandtesting (1994), In-Vitro of A Bioadhesive and Floating Drug
Delivery System for Oral Application, Int. J. Pharm. 105 , pp 65–70.
9. Higuchi T., (1963), Mechanism of Sustained Action Medication, J. Pharm. Sci. 52, 1145–1149.
10. Korsmeyer R.W., Gurny R., Docler E., Buri P., Peppas N.A., (1983), Mechanism of Solute Release
from Porous Hydrophilic Polymers, Int. J. Pharm. 15 , pp 25–35.
11. Mathews B.R., (1999), Regulatory aspects of stability testing in Europe, Drug Dev. Ind. Pharm 25, pp
831–856.
12. O’Neil M.J., Smith A., Heckelman P.E., (1989), The Merck Index, 11th ed., Merck & Co., Inc.,
Whitehouse Station, NJ, (MISC-109).
13. Garg R., Gupta G.D., (2009) Preparation and Evaluation of Gastroretentive Floating Tablets of
Silymarin, Chem. Pharm. Bull. 57 (6), pp 545–549.
14. Gambhire M.N., Ambade K.W., Kurmi S.D., Kadam V.J., Jadhav K.R., (2007) Development and In
Vitro Evaluation of An Oral Floating Matrix Tablet Formulation of Diltiazem Hydrochloride, AAPS
PharmSciTech. (3) E1–E9 (Article 73).
15. United States Pharmacopeia 27 and National Formulary 22, Asian Edition, United States
Pharmacopeial convention, Inc., Rockville, 2004 (electronic version).
16. Bertram U., Bodmeier R., (2006), In Situ Gelling, Bioadhesive Nasal Inserts for Extended Drug
Delivery: In Vitro Characterization of A New Nasal Dosage Form, Eur. J.Pharm. Sci. 27, pp 62–71.
17. Peppas N.A., Khare A.R., (1993), Preparation, Structure and Diffusional Behavior of Hydrogel in
Controlled Release, Adv. Drug Deliv. Rev. 11, pp 1–35
18. Viridéna A., Wittgrenb B., Larsson A., (2009), Investigation of Critical Ppolymer Properties for
Polymer Release and Swelling of HPMC Matrix Tablets, Eur. J.Pharm. Sci. 36, 297–309.
19. Ju R.T.C., Nixon P.R., Pate l M.V., (1995), Drug Release from Hydrophilic Matrixes, New Scaling
Laws for Predicting Polymer and Drug Release Based on The Polymer disentanglement Concentration
and The diffusion Layer, J. Pharm. Sci. 84, pp 1455–1463.
20. Siepmann J., Peppas N.A., (2001), Modeling of Drug Release from Delivery Systems Based on
Hydroxypropyl methylcellulose (HPMC), Adv. Drug Del. Rev. 48, pp 139–157.
21. Kulkarni A., Bhatia M., (2009), Development and Evaluation of Regioselective Bilayer Floating
Tablets of Atenolol and Lovastatin for Biphasic Pelease profile, Iran. J. Pharm. Res. 8, pp 15–25.
ISBN: 978-93-5351-069-5 506

PCP017
THERMALLY TRIGGERED MUCOADHESIVE IN SITU GEL OF
METRONIDAZOLE BENZOATE: Β-CYCLODEXTRIN FOR
PERIODONTAL CAVITY
Ms. Hina Bagada* Mr. Jay Vyas * Dr. Mihir Raval*
Assistant Professor Student HOD
bagadahina@gmail.com *Saurashtra University rmihir@yahoo.com
mitupharmacy@gmail.com
Prof. (Dr.) Navin sheth

Honb. Vice Chancellor
GTU
navinsheth2017@gmail.com
________________________________________________________________________
ABSTRACT
The in situ gel forming is polymeric formulations having like sustained and prolonged action
with compare conventional drug delivery systems. The present work was to increase the
solubility of metronidazole benzoate making its complex with β-cyclodextrin and to develop
its mucoadhesive in situ gel as to overcome first pass effect and consequently enhance its
bioavailability. The dissolution of drug was enhanced and complete release was achieved by
its complexation by co-grinding with β-cyclodextrin (β-CD) incorporated in to the polymer ic
solution. Optimized batch was further used to formulate for in situ gel using a combination of
gellan gum and a thermosensitive polymer poloxamer 407 by applying 3 2 full factorial design.
The prepared formulation was evaluated for its gelation temperature, rheological properties and
in vitro drug diffusion for 12 hours in simulated media. Optimized formulation containing
gellan gum (0.6% w/v) and poloxamer 407 (12% w/v) was showed almost complete drug
release within 12 hours. Formulation was stable over 3 months. The study showed potential of
in situ gel formulation of drug to deliver drug release in periodontal cavities for its local and
sustained effect with minimum drug loss. It improve the quality of drug substance
Keywords: Periodontal cavity, In situ gel, Metronidazole benzoate, β-Cyclodextrin,

Gellan gum, Poloxamer 407
__________________________________________________________________________________
1. INTRODUCTION
Dental diseases are recognized as the major public problem throughout the world and these are
amongst the most widespread chronic disorders affecting the mankind [1-4]. The relations hip
between bacterial plaque and the development of periodontal disease and caries is well
established.
The objective of the present research work was to prepare in situ periodontal gel formula tio n
loaded with drug metronidazole benzoate along with thermosensitive and mucoadhes ive
polymers to ensure longer residence time at periodontal pockets. At the same time, providing
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a favorable release profile of the drug via complexation by co-grinding with cyclodextrins to
reduce side effects associated with metronidazole benzoate.
2. METHODS:
2.1 Preparation of co-grinding mixture of Metronidazole benzoate with β-cyclodextrin

A powder mixture of Metronidazole benzoate and β-cyclodextrin in molar ratio 1:1 was milled
using ball mill and samples were collected after every 1 hr till dissolution rate was enhanced.
Six small and six large balls made of stainless steel were used in ball mill. The speed was
maintained 70 rpm. Milling process was performed at room temperature. Evaluation of this
ball milling process on Metronidazole benzoate with β-cyclodextrin was find out by dissolutio n
study.
2.2 Evaluation of inclusion complex of Metronidazole benzoate

A phase solubility study was carried out in phosphate buffer pH 6.8 according to method
described by Higuchi and Connors.[5] An excess amount of Metronidazole benzoate was added
to 25 mL aqueous solutions containing increasing concentrations (0, 3, 6, 9, 12 and 15 mM) of
β-cyclodextrin. Then the suspensions were shaken on a rotary shaker at room temperature for
48 h. After equilibrium, the samples were filtered through a 0.45 μm membrane filter and
diluted. The concentration of metronidazole benzoate was determined spectrophotometrica lly
(shimadzu 1650PC ) at wavelength 318 nm.
Solubility of Metronidazole:β-cyclodextrin compare to pure drug was carried out in phosphate

buffer 6.4. The amount of drug solubilized was determined at wavelength 318 nm by UV-
spectrophotometer (Shimadzu 1650PC).
In-vitro dissolution study was performed using USP Type II dissolution apparatus at speed of
50 rpm. A weighed amount of inclusion complex equivalent to 100 mg of metronida zo le
benzoate was filled into a 900 mL phosphate buffer pH 6.8 as dissolution medium. The
temperature of the dissolution medium was maintained at 37±0.5°C. Aliquots of dissolutio n
medium (5 mL) were withdrawn at specific time intervals (5, 10, 20, 30, 40, 50 and 60 min).
The amount of sample was determined by UV- spectrophotometer (shimadzu 1650PC ) at
wavelength 318 nm. These were performed in three replicates, and calculated cumulative drug
release were used while plotting the release curves.
Characterization of Metronidazole : β-cyclodextrin inclusion complex with Fourier transform

infrared (FTIR) spectroscopy, Differential scanning calorimetry (DSC), Powder X-ray
diffraction studies, Scanning electron microscopy.
2.3 Method of preparation of in situ gel
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A dispersion of gellan gum (30 mL) was stirred at 90°C for 20 min to facilitate its hydration.
The required amounts of preservatives (methylparaben) and disodium edentate were added to
the gellan gum solution with continuous stirring at 90°C [7]. The solution was allowed to cool
at room temperature. The required amount of metronidazole benzoate inclusion complex (2%
w/v) was added to the gellan gum solution with continuous stirring until the entire amount of
drug was dissolved. A required quantity of poloxamer 407 was added into it with continuo us
and mild stirring for 5 min. The formulations were filled in 10 mL glass vials, capped with
rubber closures and sealed with aluminum caps. In their final pack, the formulations were
terminally sterilized by autoclaving at 121°C and 15 Pa for 20 min. Sterilized formulatio ns
were stored in a refrigerator (4–8°C) until use. Prepared formulations were evaluated for the
following physical parameters.
2.4 Optimization of formulation using 32 full factorial design

A 32 full factorial design (Design Expert Stat-Ease 8.0.4.1, USA), shown in Table 2, was
applied to the formulation that showed the satisfactory viscosity, mucoadhesive strength and
in vitro drug release, to see the effect of varying concentration of variables, gellan gum % w/v
(X1) and poloxamer 407 % w/v (X2) on various dependent variables, that is gelatio n
temperature, viscosity, t50.The three levels of variable Poloxamer were selected as 12% w/v,
14% w/v and 16% w/v as low, medium and high, respectively.
2.5 Evaluation parameters of in situ gel

The prepared in situ gel formulations were analyzed at wavelength 318 nm by UV-
spectrophotometer (Shimadzu 1650PC). Gel Temperature was considered as the point where
there was no flow when the test tubes were gently inverted. The viscosity determinations of
the prepared formulations were determined with the Brookfield viscometer. The measureme nts
were carried out using spindle S62 at the speed of 50 rpm in the sample and the viscosity was
measured at 5 min after the rotation of the spindle.
The in vitro gelling capacity of prepared formulations was measured by visual method. To
measure the in vitro gelling capacity
1. (+) gelation immediately, dispersed rapidly
2. (++) gelation immediately, remained for one day
3. (+++) gelation immediately, remained for extended period of 2 to 3 days
The in vitro drug release study of optimized formulation of in situ gel was determined
using a Franz-diffusion cell. FORTRAN software, developed in-house, was used. The F value
and sum of square of residuals (SSR) was used to test the applicability of the release model.
Stability studies of periodontal in situ gel were carried out to determine the effect of contents
on the stability of the drug. The accelerated stability studies were carried out by storing the
samples at different temperature (room temperature and 40±2°C) for six month.
3.1 Evaluation of Metronidazole β-CD complex:

Phase solubility MT- β-CD were carried out at 25°C by Higuchi and Connors method. Phase
solubility studies were carried out in aqueous systems at different temperatures to calculate the
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stability constants, (Kc), From Figure 1 they can be considered as AL-type diagrams suggesting
the formation of 1:1 complexes. The apparent solubility constant (Kc) obtained from the slope
of the linear phase solubility diagrams was found to be 329.68M -1 .
Solubility of the pure drug and inclusion complex prepared by co-grinding. Metronidazo le
benzoate was almost insoluble with solubility of 0.1 mg/mL. Significant increase in solubility
about six time was obtained in the complex formation due to attributed to the formation of the
complex of the drug with β-cyclodextrin.
Figure 2 Grinding mixture of metronidazole benzoate with β-cyclodextrin improved the
dissolution rate of metronidazole benzoate. Improvement in drug dissolution after grinding
with β-CD was due to reduction in particle size, solubilization effect of cyclodextrin and
conversion of drug from crystalline to amorphous form.
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FT-IR spectral data [Figure 3] could confirm that the FT IR spectrum for the complex is almost
identical to that of β-cyclodextrin alone. which suggests that these groups of the drug are
included in the cavity. Thus indicated that complex formation of Drug with β-CD
Thermogram [Figure 4] of pure drug (metronidazole benzoate) showed melting transition of

metronidazole benzoate was observed from 101°C (Onset) to 105.46°C (Endset). Which
different form the MB: β-cyclodextrin complex formation. This confirmed that complex
formation with Drug with β-CD.
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The P-XRD [Figure 5] of metronidazole benzoate revealed high intensity reflections with
characteristics sharp peaks 2 theta at 13, 16, 17, 18, 21, 27, 32 and 37. Moreover, the
crystallinity of milled drug with carrier was slightly lower than that of the pure drug. The
spectra of physical mixture of drug and β-CD also showed all the characteristic peaks of both.
SEM images in [Figure 6] represented that pure drug particles metronidazole with compare to
Physical mixture and MB: β-cyclodextrin complex. It found that smaller and non-cohesive
compared to pure drug which enhanced the dissolution of drug.
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3.2 Evaluation of In situ gel Fromation:

Different formulations of Pluronic F127 gel with or without the mucoadhesive polymers
poloxamer 188 and gellan gum using free metronidazole and Metronidazole :β-cyclodextr in
complex were prepared using the cold method. Gelation temperatures for poloxamer 188 and
poloxamer 407 gels were observed for the different concentration range of polymer and it was
found that the gelation temperature of formulation decreased with increasing concentration of
polymer shown in table 1.
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Table 1: Optimization of different polymeric ratio

Polymers Concentration (%w/v) Gelation temperature(°C)
Poloxamer 188 10 55
12 51
14 44
16 41
18 39
Poloxamer 407 12 36
14 32
16 29
18 25
A 32 full factorial design (Design Expert Stat-Ease 8.0.4.1, USA), shown in Table 2 Gellan
gum % w/v (X1) and poloxamer 407 % w/v (X2) on various dependent variables, that is
gelation temperature, viscosity, t50.
Y1 = 29.66 - 2.17 X1 – 3 X2 + 0.25 X1 X2 - 0.5 X1 2 + 1 X2 2 ……………………..(2)
Table 2: Results of experimental design batches of variables

Formulation X1 X2 Y1 (°C) Y2 (cp) Y3 (min)
F1 0.4 12 36 834.3 361.85
F2 0.4 14 31 1315.7 375.37
F3 0.4 16 29 1560 425.45
F4 0.6 12 33 975.9 453.85
F5 0.6 14 30 1792 458.52
F6 0.6 16 28 2388.4 493.16
F7 0.8 12 31 1980.2 504.05
F8 0.8 14 27 2402.7 513.86
F9 0.8 16 25 3157.8 523.51
As amount of X1 (gellan gum) and X2 (poloxamer 407) increased, there was a decreases in the
gelation temperature. The Y1 for all batches F1 to F9 showed good correlation co-efficient of
0.993681. Variable X1 has p value 0.003059 (p < 0.05) and variable X2 has p value 0.001778
(p < 0.05) .Variables which have p value less than 0.05, significantly affect the gelatio n
temperature.
Y2 = 1732.56 + 638.45 X1 + 552.63 X2 + 112.97 X1 X2 + 156.35 X1 1 – 20.7 X2 2 ……….(3)
Table 3: Summary of regression analysis

Coefficients B0 B1 B2 B13 B11 B22
Gelation temperature
FM 29.66 -2.17 -3 0.25 -0.5 1
RM 29.66 -2.17 -3 - - -
Viscosity
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FM 1732.56 638.45 552.63 112.97 156.35 -20.7

RM 1732.56 638.45 552.63 - - -
t50%
FM 461.13 63.12 20.39 -11.03 -17.82 11.06
RM 461.13 63.12 20.39 -11.03 -17.82 -
The positive X1 coefficient indicated that as the concentration of X1 (gellan gum) increased;
there was an increase in the viscosity of in situ gel. The positive X2 coefficient indicated that
as the concentration of X2 (poloxamer 407) increased, viscosity of in situ gel was increase. The
Y2 for all batches F1 to F9 shows good correlation co-efficient of 0.988135. Variable X1 has p
value 0.003628 (P < 0.05) & variable X2 has p value 0.005503 (P < 0.05). Variables which
have p value less than 0.05, significantly affect the viscosity.
Y3 = 461.13 + 63.12 X1 + 20.39 X2 – 11.03 X1 X2 – 17.82 X1 2 + 11.06 X2 2 ………..(4)
Table 4: In vitro gelling capacity
Batch code In vitro gelling capacity
F1 +
F2 +
F3 ++
F4 ++
F5 +++
F6 +++
F7 +++
F8 +++
F9 +++
The positive of both X1 and X2 coefficient indicated that as the concentration of X1 (gellan
gum) and X2 (poloxamer 407)increased; the time for the drug release from formulation also
increased. The Y3 for all batches Fl to F9 shows good correlation co-efficient of 0.997678.
Variable X1 has p value 0.000168 (p < 0.05) & variable X2 has p value 0.004715 (p < 0.05).
Variables which have p value less than 0.05, significantly affect the release profile.
Table 5: Individual and overall desirability calculation for in situ gel

Sr. No. d1 d2 d3 D
F1 1 1 0 0
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F2 0.5454 0.7928 0.0836 0.3307

F3 0.3636 0.6876 0.3934 0.4616
F4 0.7272 0.9390 0.5690 0.7297
F5 0.4545 0.5878 0.5979 0.5426
F6 0.2727 0.3311 0.8122 0.4886
F7 0.5454 0.5068 0.8796 0.6241
F8 0.1818 0.3249 0.9403 0.3815
F9 0 0 1 0
The relationships between formulation variables X1 and X2 on responses were further
elucidated using contour plots and response surface plots as shown in figure 7,8,9 From
ANOVA, R2 values for gelation temperature (Y1), viscosity (Y2) and t50% (Y3) are 0.987403,
0.976411, and 0.995362 respectively, indicating good correlation between dependent and
independent variables. The high values of correlation coefficients for gelation temperature,
viscosity and t50% indicated a good fit.
The appearance of last three formulations (F7-F9) was slightly hazy but all other formulatio ns
(F1-F6) were found clear. The pH values of all the prepared in situ gel formulations (Fl-F9)
were found in range 6.69 to 7.05, which indicated that the formulations could be used safely
without any irritation in the oral cavity. The results of the in vitro gelling capacity (table 4)
showed that an immediate gelation of the formulation was mainly dependent on the
concentration of gellan gum, while the extent of gelation was dependent on concentration of
poloxamer 407. Hence, it could be said that both the polymers were responsible for in vitro
gelling (time and extent of gelation) of the formulation. The release from various formulatio ns
could be ranked as follows at each time point: F1 > F2 > F3 > F4 > F5 > F6 > F7 > F8 > F9.
From the data of the dissolution study, it was observed that with an increase in concentratio n
of gellan gum and poloxamer 407, the rate of the drug release was reduced. lowest drug release
was observed from the formulation containing 0.8% w/v of gellan gum and 16% w/v of
poloxamer 407 whereas, a relatively faster drug release was observed for the formulatio ns
containing a combination of gellan gum (0.4% w/v) and poloxamer 407 (12% w/v). The effect
of polymer concentration on in vitro drug release from in situ gels was shown in figure 10. The
drug content in the formulation of the batches F1-F9 was in the range of 96.89 - 99.32% w/v.
The desirability function was used for optimization of the formulation. The combination of the
responses in one desirability function requires the calculation of the individual functions. A
suitable in situ gel should have an optimum gelation temperature, minimum viscosity and
maximum time require to 50% of drug release (t50%). The individual desirability for each
response are calculated and reported in table 5. Batch F4 showed the highest overall desirability
of 0.7297 as shown in table 5. Therefore, this batch was considered to be the optimized batch.
The final optimized formulation was prepared using 0.6% w/v gellan gum and 12% w/v
poloxamer 407.
In vitro release data were kinetically analyzed for establishing kinetics of drug release. Model
fitting of drug release profile of batch F4 (optimized batch) was carried out to find out the
mathematical relationship between the time and the amount of drug release and thus to
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ascertain the mechanism of drug release. Zero order model showed the best fitting as indicated
by the highest R2 value (R2 = 0.9897).
The formulation F4 was chosen for stability studies. Formulation F4 was kept at differe nt
temperatures (room temperature and 40±2°C). The samples were observed for pH, viscosity
and drug content after six month. No any significant changes were observed in pH, clarity,
viscosity, drug content and in vitro drug release of the formulation.
4. CONCLUSION
Solubility of Metronidazole was successfully increased by making its inclusion complex with
β-cyclodextrin and was formulated as in situ periodental gel. The optimized formula tio n
containing inclusion complex of drug with β-CD achieved the target flux and had suffic ie nt
mucoadhesive property to ensure appropriate residence time at the site of application.
5. REFERENCES
1. Swati, R., Sandeep, W., and Swaroop, L.: In situ gel formulation of ornidazole for the treatment of periodontal
disease. Curr. Pharm. Res. 1(1), 60-9 (2010).
2. Flotra, L.: Different modes of chlorhexidine application and related local side effects. J. Periodont. Res. 8,
41-4 (1973).
3. Greenstein, G.: Effects of Subgingival irrigation on periodontal status. J. Periodontal. 58, 827-836 (1987).
4. Pitcher, G.R., Newman, H.N., Strahan, J.D.: Access to subgingival plaque by disclosing agents using mouth
rinsing and direct irrigation. J. Clin. Perio. 7, 300-308 (1980).
5. Bhutani, S., Hiremath, S.N., Swamy, P.V.: Preparation and evaluation of inclusion complex of carvedilol. J.
Sci. Ind. Res. 66, 830-834 (2007).
6. Dabhi, M. R., Nagori, S.A., Gohel, M. C., Parikh, R. K.: Formulation and development of smart gel
periodontal drug delivery system for local delivery of chemotherapeutic agents. Drug Delivery. 17(7), 520 -
531 (2010).
7. Bilensory, E., Cirpanh, Y., Sen, M.: Thermosensitive mucoadhesive gel formulation loaded with 5-FU:
cyclodextrin complex for HPV- induced cancer. J. Incl. Phenom. Macrocycl.Chem. 57, 363–370 (2007).
8. Garala, K., Joshi, P., Patel, J., Shah, M.: Formulation and evaluation of periodontal in situ gel. Int. J. Pharm.
Inv. (2013) doi: 10. 4103/2230 - 973X 108961.
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PCP027
HERBAL TRANSDERMAL PATCH
Ms. Veedhi Rathawa Dr. Hitesh Jain

Dr. D. B. Meshram
Principal
dbmeshram@yahoo.com
________________________________________________________________
Abstract
Firstly, Herbal Transdermal Patch approved by the USFDA in December 1979 for
scopolamine to relieve motion sickness. Herbal Transdermal Patch is a topical dosage form
which deliver the drug through the semipermeable membrane. Recently, approximately 75%
drug are taken orally which is not effective as much as herbal transdermal patch, because in
conventional dosage form degradation of drug in a pH of stomach takes place. Their is
outermost layer on the patch known as “Backing layer” which protect the drug during the
wear period. By incorporating herbal drugs into transdermal patch, it enhances the
bioavailability and efficacy. The aim of transdermal drug delivery system is to deliver the
herbal drug into the body by administrating the drug in the form of patches which release the
drug through the skin for systemic effect and reduced dosing frequency. It is formulated such
that it releases the drug at a constant rate in predetermined time. This system provides less
systemic side effects leading to stronger, youthful and healthy body. It is useful for the
patient consuming tobacco and also relieve stress. It is beneficial for the patients in terms of
safety and efficacy, cheaper in cost, better patient compliance compared to conventional
dosage form. This route is self-medicated, non-invasive, avoid first pass metabolism and
achieve steady state plasma concentration readily. The outline of the review is to deliver
some herbal agents through herbal transdermal patch.
1. INTRODUCTION
The first transdermal drug delivery system was approved by FDA in 1979. The herbal
transdermal drug delivery system is describing as a self-contained, detached dosage form
which are also known as “patches”. When patches are applied to the intact skin, herbal drug
is delivered through the skin in a controlled manner to release the active ingredients at zero
order rate with minimum inter and intra patient variation. Currently, herbal transdermal patch
is one of the most favourable technique for drug application. It is more advantageous because
it avoids first pass metabolism with minimal side effects, that will improve bioavailability.(1)
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1.1 Anatomy of skin

The human skin is the outer covering of the body; it is the largest organ of the integumentary
system. It is also act as a permeability barrier for permeation and absorption of herbal drug
across the dermis layer.
There are four types of skin layers:

1) Epidermis
2) Viable epidermis
3) Dermis
4) Stratum corneum
Barrier functions of the skin: - The top layer of the skin is most important function in
maintaining the effectiveness of the barrier. Here the individual cells enclosed each other and
are tightly packed, they prevent bacteria and it maintaining water holding properties of the
skin. Stratum corneum mainly composed of the keratinized dead cell and water content is
also less as compared to other skin layers.
Principle of Herbal Transdermal Drug Permeation: - Transdermal permeation is depending on
the passive diffusion.
Properties that impact transdermal drug delivery system: -
1) Release of the medicaments from the formulation
2) Penetration through the skin layer
3)
Activation of the pharmacological response(2)
1.2 Ideal properties of Transdermal Drug Delivery System
1) Biological properties: -
The drug should be potent with a daily dose of order of a few mg per day.
The half life of the drug should be short.
The drug must not induce a cutaneous irritant or allergic response.
2) Physicochemical properties: -
It is generally accepted that the best drug candidates for passive adhesion transdermal
patches must be:
 Non-ionic
 Low molecular weight (less than 500 Daltons)
 Adequate solubility in oil and water
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 Low melting point

 Potent (ideally dose is less than 10 mg per day)
Advantages
 Herbal transdermal patch gives better patient compliance with reducing dosing
frequency.
 It avoids hepatic first pass metabolism
 Enhancement of therapeutic efficacy and maintenance of steady state plasma
level of drug occurs.
 It gives longer duration of action because drug is release in sustained release
and controlled release manner.
 Inter and intra patient variation observed.
 It is easy to terminate at any point of time.
 Self-medication is possible.
 It is also suitable for those patients who are unconscious.
 The major advantage of herbal transdermal drug delivery system ismore safe
and effective as compared to allopathic drug formulation because it contains
natural herbal ingredients.
 Painless and suitable administration.
 It is the non-invasive method.
 It improves the bioavailability.
Disadvantages
 The barrier function of skin changes from one site to another on the same
person and also from person to person with age.
 The long time adherence is difficult.(3)
1.3 Herbal Transdermal Patch:
The Herbal Transdermal Patches are medicated adhesive patch which is formulated to release
of herbal drug and active ingredients in a controlled manner over a longer period of time.
Herbal transdermal patch provides a stronger, healthy body by using herbs or natural herbal
ingredients.
Herbal transdermal patch consists of one or more herbs and used those herbs in specific
quantity, then after it will provide a more health benefits meant for treatment of diseases and
diagnosis of specific diseases. This herbal formulation is prepared by using whole plant or
parts of plant with respect to their extraction process, purification process, concentration and
distillation process.
Herbal Transdermal Therapy: - Herbal transdermal therapy is a very efficacious method from
herbology. The herbal transdermal patch depends upon i0holographic ± diagnosis. Each
herbal patch contains a different herbs or natural herbal ingredients to treat a particular health
challenges. The herbal transdermal patch is applied topically to the skin for one week
intervals and continuous delivery of drug formulation may possible. The herbal transdermal
therapy usually contains the four, one-week interval as a treatment period.(4)
1.3.1 Preparation of Herbal Transdermal Patches
1) Liner: It provides protection of patches during storage and it should be removed
before use.
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2) Adhesive: It is used to adhere the patches to the skin by adding adhesive components
into the formulation.
3) Membrane: - It is used to enhance permeation of drug and it controls drug release
from the multilayer patches.
4) Drug :- The drug reservoir contains the herbal drugs which is in direct contact with
release liner.
5) Backing: - It protects the patches from outer environments.
6) Permeation enhancers (5,6): - There are some natural permeation enhancers which are:
- Papain, Piperine, Capsaicin, Myristica fragrance.
1) Papain: - Papain is also known as Papaya proteinase, it is cysteine protease
enzyme present in papaya (Carica papaya) and Mountain papaya (Vasconcellea
cundinamarcensis).
Papain belongs to family of related proteins with a wide variety of activity,
including endopeptidase, aminopeptidase, dipeptidyl peptidase and enzymes with
both exo- and endopeptidase activity.
Papain is a proteolytic enzyme, it was studied in- vivo and in -vitro perfusion of
low molecular weight heparin (LMWH)
The combined use of LMWH and papain which results in more permeation of
drug and also gives better bioavailability.
2) Piperine: - Piperine is extracted from black pepper using dichloromethane.
Biological source of black pepper is Piper nigrum belongs to family Piperaceae.
Piperine is increases the permeation was investigated for in-vivo permeation of
aceclofenac through the human cadaver skin by biphasic mechanism, it involves
slight extraction of SC lipid and interact with SC keratin.
3) Capsaicin: - The capsaicin is an active component of chilli peppers, which are
plants belonging to the genus capsicum.
The capsaicin is a most commonly occurring capsaicinoids alkaloid belongs to
family Solanaceae. Capsaicin is used as a standard permeation enhancer through
SC.
4) Myristica fragrance: - The Myristica fragrance (fragrant nutmeg or true nutmeg) is
used as permeation enhancer because it shows good permeation or better
penetration of drug as compared to synthetic permeation enhancers.
The essential oils are used as permeation enhancers which helps in the penetration or
delivery of drug into the skin, they are easily penetrate through the skin and it is also
have better safety compared to other synthetic permeation enhancers.
Following essential oils are act as a permeation enhancer in herbal transdermal
patches such as Eucalyptus oil, Fennel oil, Turpentine oil, Cardamom oil, Black
cumin oil, Almond oil and Rosemary oil.(7)
1.3.2 General method of preparation of transdermal patch
The Transdermal Patches are prepared by solvent casting method. The polymer (for example
HPMC/ PVP) is added in a beaker containing minimum quantity of the solvent. After that
2/3rd quantity of solvent is mixed with the another polymer such as PVA with stirring at
lower rom and later at a higher speed of rpm. Then plasticizer and drug are homogeneously
mixed together and added to the above polymer containing solvents and volume is made up.
Then the thin film or layer are casted onto a fabricated glass mould or on petri plate and dried
it at 40oC in oven. The dried film is removed carefully with the help of sharp blade. Then
dried films are wrapped in butter paper and store in a closed container and in a cool place and
kept it away from light.(8,9)
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1.4 Evaluation of Herbal Transdermal Patch

1) Percentage moisture content: -
2) Thickness: -.
3) Weight uniformity: -
4) Percentage elongation break test: -
5) Flatness test: -
6) Invitro release studies: -
7) Invitro skin permeation study: -.
1.5 Uses (10-12)
1) Slim herbal patch: - This patches are 100% prepared by natural herbs. It is used to
lose weight and eliminates hunger while burning fat and also decreases appetite.
Flaxseed oil, lecithin these are the ingredients used in slim herbal patch.
2) Anti-rheumatic herbal patch: - The anti-rheumatic herbal patches are used to reduce
inflammation or pain in muscles, joints and fibrous tissues. The main ingredients used
in anti-rheumatic herbal patches are Curcuma longa and Trichoderma indicum.
3) Anti-smoking herbal patch: - This patches are designed to help for give up smoking
safely and naturally, without deposite more nicotine into the body. Main ingredients
are used in anti-smoking patches are peppermint, ginger, gentian, myrrh, eucalyptus,
liquorice root.
4) Herbal plaster patches: - Herbal plaster patches are warm, flexible, soft and pain
relieving patch. This patch is applied and the herbal ingredients are absorbed into the
skin to stimulate blood circulation. Herbal plaster patches are specially used in
chronic muscles pain, arthritis pain, joint pain, backache, shoulder pain, rheumatic
pain and fracture pain.
5) Antidiabetic herbal patch: -In antidiabetic herbal patch Momordica charantia is used
and it is used to decreases the blood glucose level.

1.6 Marketed Formulation
Herbal Active Company Use
Transdermal Patch Ingredients
Antismoking patch- Nicotine Glaxosmithkline Quit smoking
Nicoderm OQ
Transdermal SCOP Scopolamine Novartis Prevent motion
sickness
Forest sap detox foot Tourmaline, Natural Pharmacy Detoxification,
patch Chitosan, Pearl Increase oxygen
Stone, Wood intake
vinegar
Slimming patch- Hoodia Gordonni, Medex patches Weight control
Hoodia+patchTM Gaurana,
Garcinia
combogia
Praan PainplastTM Angelica dahuria, Greatline Impex Pain relief
Phizoma
zingerbis,
Chinese angelica
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2. CONCLUSION
The herbal transdermal patch will enhance the therapeutic efficacy and maintain the steady
state plasma level of drug. It is also gives the better patient compliance with reducing dosing
frequency. The major advantage of herbal transdermal patch is more safe and more effective
as compared to allopathic drug formulation. The herbal transdermal patch having the natural
herbs or natural herbal drugs. It is consisting of natural permeation enhancers that shows
maximum release which results in better bioavailability and enhanced efficacy.
3. REFERENCES
1) Nagappagari M and Bhargav E, “Transdermal drug delivery system-a review.” W JPharm Sci.2013, 3,
170-186.
2) Esselin M and Gislaine R, “Evaluation of skin absorption of drugs from topical and transdermal
formulations.” Brazilian Journal of Pharmaceutical Sciences. 2016, 52, 1-18.
3) Patil AS, Salunke SP and Wagh RD, “A review on transdermal drug delivery system.” Int J Pharma
Scholars. 2012, 1, 129-137.
4) Bhatia V, Doshi G and Yadav M, “Novel techniques in herbal drug delivery systems.” Int J Pharm Sci
Rev Res. 2014, 28(2), 83-89.
5) Kaka S and Juyal D, “Recent developments on natural transdermal penetration enhancers.”
International Journal of Pharmaceutical Sciences and Research. 2017, 2, 2-14.
6) Bavaskar K and Jain A, “The impact of penetration enhancers on transdermal drug delivery system:
physical and chemical approach.” International Journal of PharmaResearch and Review. 2015, 4(7),
14-24.
7) Das A and Ahmed A, “Natural permeation enhancer for transdermal drug delivery system and
permeation evaluation: a review.” Asian Journal of Pharmaceutical andClinical Research.2017,
10(9), 1-8.
8) Rathva S, Patel N and Shah V, “Herbal transdermal patches: a review.” International journal of drug
discovery and herbal research. 2012, 2(2), 397-402.
9) Vyas SP and Khar RK. Controlled Drug Delivery; 2 nd Edn; Vallabh Prakashan, New Delhi, 2012, pp
196-216.
10) Hardainiyan S and Vyas P, “A review on the recent innovations in transdermal drug delivery for
herbal therapy.” Journal of Biomedical and Pharmaceutical Research. 2014, 3(3), 88-101.
11) Sachan R and Bajpai M, “Transdermal drug delivery system: a review.” Int J Res DevPharm Life Sci.
2013, 3, 748-765.
12) Xuezong W, Yuxin Z and Ting L, “Effectiveness, medication patterns and adverse events of
traditional Chinese herbal patches for osteoarthritis: a systemic review.” Hindawi Publishing
Corporation.2014, 3, 1-14.
ISBN: 978-93-5351-069-5 524

PCP033
A CLINICAL STUDY TO EVALUATE EFFICACY AND SAFETY OF
SUBCUTANEOUS METHOTREXATE AND ORAL METHOTREXATE IN
PATIENTS WITH VERY EARLY RHEUMATOID ARTHRITIS
Hardikkumar Dodiya Sapan Pandya Sunita Goswami
Research Scholar Investigator Associate Professor
L. M. College of Pharmacy, Rheumatoid Arthritis Clinic, L. M. College of Pharmacy,
Ahmedabad Ahmedabad Ahmedabad
hardikdodiya15@gmail.com sapancpandya@yahoo.com sunitalmcp@yahoo.com
______________________________________________________________________________
Abstract
Subcutaneous methotrexate is more effective clinically than oral methotrexate at the same dosage
without any increase in toxicity in patients with active rheumatoid arthritis. Since no such study
has been reported from India, we undertook this study to compare and validate the clinical
efficacy and safety of SC versus oral administration of methotrexate in patients with very early
phase of rheumatoid arthritis. Fifty four methotrexate (MTX)-naïve patients with very early
rheumatoid arthritis were randomized to receive either 15 mg/week subcutaneous (SC) injection
of methotrexate (N = 27) or 15 mg/week oral methotrexate (N = 27) for 12 weeks. At week 6,
patients who did not meet the American College of Rheumatology criteria for 20% improvement
(ACR20) were switched from 15mg of oral MTX to 20 mg of oral MTX and from 15 mg of SC
MTX to 20 mg of SC MTX for the remaining 6 weeks. The primary efficacy end point was an
ACR20 response rate at 12 weeks. The secondary efficacy end points were ACR50 and ACR70
responses rate at 12 weeks. Incidences of adverse events and changes in safety parameters were
also monitored during the study in both the treatment groups. The baseline features were
comparable between the two treatment groups. At week 12, response rate of ACR20 was
clinically higher in subcutaneous MTX than oral MTX group (85% vs. 64%) but not achieved
statistical significance (p=0.15). Similarly, ACR50 response (57% versus 44%, p=0.80) and
ACR70 response (33% versus 20%, p=0.30) were not significantly different between
subcutaneous MTX group than oral MTX group. Adverse effects were relatively less in
subcutaneous MTX and most common side effects were nausea (9% vs. 22%), vomiting (9% vs.
11%), dyspepsia (4% vs. 15%) and loss of hair (4% vs. 15%). Subcutaneous methotrexate was
found more effective than oral methotrexate in patients with very early RA over 3 month’s
treatment duration.
Keywords: very early rheumatoid arthritis, disease activity score, rheumatoid factor
1 INTRODUCTION
Rheumatoid Arthritis (RA) is a chronic inflammatory disease. The prevalence of the disease is
approximately 0.5% to 0.75% of the population in India.1 Methotrexate (MTX) is the most
widely used DMARD, alone or in combination, for the treatment of rheumatoid arthritis.2 Due to
higher variability of methotrexate after higher oral doses, it shows two-thirds bioavailability as
compared to its parenteral form at these doses.3-7 Superior results as regards clinical efficacy and
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safety have been reported for IM MTX when compared with oral MTX.8 The potential benefits
of SC MTX over IM MTX are self-administration and excellent tolerability.9 Previous studies
reported that SC administration of MTX is more effective than oral at the same dosage without a
difference in adverse effects.9-11 However, this has not been formally studied in the Indian
population. The aim of the present study was to compare and validate the clinical efficacy and
safety of SC versus oral administration of MTX in patients with very early RA at a tertiary care
clinic in the Western part of India.
2 STUDY OBJECTIVES
2.1 Primary objective

The primary objective of the study was to compare efficacy of subcutaneous versus oral administration of
methotrexate in patients with very early RA.
2.2 Secondary objective

The secondary objective of the study was to compare safety and tolerability of subcutaneous versus oral
administration of methotrexate in patients with very early RA.
3 PATIENTS AND METHODS
3.1 Patient population

Fifty four patients with very early RA, diagnosed according to the American College of Rheumatology
(ACR) 2010 revised criteria were enrolled from Jun-2012 to Dec-2013.12 These patients have also
fulfilled American College of Rheumatology (ACR) 1987 criteria.1Inclusion and exclusion criteria are
mentioned in Table 1.
Table 1 Inclusion and exclusion criteria
Inclusion Criteria Exclusion Criteria

1. Male or female patients of 18-65 years of age, 1. Patients with hypersensitivity or allergic to
both inclusive methotrexate or its excipients
2. Patients fulfilling revised ACR 2010 for very 2. Patients who currently or previously treated with
early rheumatoid arthritis (symptom duration ≤ 3- biological agents
months)
3. Methotrexate-treatment naïve patients with 3.Patients treated with Disease-Modifying
Disease Activity Score in 28 joints (DAS28) ≥ 4 Rheumatoid Arthritis Drugs in the past 4-weeks
at baseline prior to randomization visit
4. Patients who were stable on stable dose of 4. Patients with impaired renal function or
Non-Steroidal Anti-Inflammatory Drugs hematopoiesis or any clinically significant illness
(NSAIDs) or Corticosteroids since last 2-weeks at within past 6-months prior to randomization
baseline
5. Patients willing to give written informed 5. History of severe liver disease as per investigator
consent and to comply with study procedures discretion
6. Patients with current or recent alcohol or drug
abuse
7. Pregnant or lactating women
Source: Patient and Methods
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3.2 Ethics committee approval

Ethics Committee (EC) approval (ECR/89/Indt/GJ/2013) was obtained prior to start any study related
analysis. All activities were performed in accordance with the ethical standards laid down in the 1964
Declaration of Helsinki and its later amendments as well as in accordance with Indian guidelines,
schedule Y, Good Clinical Practices and other applicable regulatory guidelines.
3.3 Study design

This was a 12-weeks, open-label, randomized, single-center, investigator-initiated study. Patients were
randomized into 1:1 ratio to 1 of 2 treatment groups: 15 mg of subcutaneous MTX or 15 mg oral MTX to
be taken once a week. In both arms, patients received 5 mg of folic acid 24 hours after the MTX dose.
Figure 1 illustrates schematic diagram of study procedures.
Source: Patient and Methods

Figure 1: Study procedures
3.4 Study procedure

3.4.1 Baseline investigations
All patients gave their written consent before enrolling into the study. Identity of the patients was
kept confidential. Demographic details were entered. Detailed history including smoking,
concomitant medication history for last 120 days with concurrent illness (if any) was taken.
Routine physical examination including vitals, musculoskeletal (28 swollen and tender joint
counts) was done. Laboratory investigations included complete blood counts, liver function tests,
kidney function tests, erythrocyte sedimentation rate (ESR), C-reactive protein (CRP and
rheumatoid factor. Patients were screened for HIV and pregnancy. Health Assessment
Questionnaires (HAQ), Global assessments – patients and physicians (0-100) and pain VAS was
also recorded in every patient. From these, the disease activity score 28 –ESR (DAS-28 ESR)
and disease activity score 28-CRP (DAS-28 CRP) were devised. Additional necessary
investigations were done when indicated either clinically or from blood tests.
3.4.2 Randomization visit
After completion of baseline investigations, all eligible patients had received either subcutaneous
Methotrexate (15 mg once per week) or oral Methotrexate (15 once mg per week) for 12 weeks.
3.4.3 Follow up visit (week 6)
Patients were underwent physical examination including vitals, musculoskeletal (28 swollen and
tender joint counts), laboratory investigations (complete blood cell count, liver function test,
kidney function test erythrocyte sedimentation rate, C-reactive protein) disease activity score 28
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-ESR, disease activity score 28-CRP, concurrent medication evaluation and adverse event
evaluation. Patients who did not meet the ACR criteria for 20% improvement (ACR20) were
switched from 15 mg to 20 mg respectively for both arms for remaining 6 weeks.
3.4.4 End of study visit (week 12)
Patient were again investigated for investigations such as physical examination including vitals,
musculoskeletal (28 swollen and tender joint counts), laboratory investigations (complete blood
cell count, liver function tests, kidney function tests, erythrocyte sedimentation rate (ESR), c-
reactive protein (CRP), and urine routine analysis),concurrent medication evaluation, adverse
event evaluation, disease activity score 28 -ESR, disease activity score 28-CRP, Health
Assessment Questionnaires (HAQ) and Patient Global VAS/Physician Global VAS. Additional
necessary investigations were done when indicated either investigator discretion or from blood
tests.
3.5 Assessment of efficacy and safety

The primary efficacy end point was the percentage of patients with an ACR20 response at week
12,defined as at least 20% improvement from baseline values in the swollen joint count and the
tender joint count, as well as the other 5 disease activity measures that constitute the ACR
improvement criteria: the erythrocyte sedimentation rate (ESR) or C-reactive protein (CRP)
level, the physician’s global assessment of disease activity (using a 0–100-mm visual analog
scale, where 0 = no disease activity and 100 = greatest disease activity imaginable), the patient’s
global assessment of disease activity (using a 0–100-mm visual analog scale, where 0 = no
disease activity and 100 = greatest disease activity imaginable), the patient’s assessment of pain
(0–100-mm visual analog scale, where 0 = no pain and 100 = greatest pain imaginable), and the
patient’s assessment of disability (using the disability index of the Health Assessment
Questionnaire [HAQ]) were also assessed. Secondary efficacy end points included percentage of
patients with ACR50 and ACR70 responses at week 12 (50% and 70% improvement from
baseline according to ACR criteria, respectively). Incidences of adverse events and changes in
safety parameters were also monitored during the study in both treatment groups. Efficacy and
safety analysis was performed in patients who completed 12-weeks treatment period.
3.6 Sample size justification

Sample size estimation was based on the expectation of detecting a difference in the percentage
of patients with an ACR20 response in the SC MTX and in the oral MTX groups. Braun et al.,
reported response rate of ACR20 was significantly higher in subcutaneous MTX than oral MTX
group (78% versus 70%; p<0.05). Further, Islam MS et al., also reported higher ACR20 response
rate with SC MTX (93%) when compared with oral MTX (80%). Based on this literature,
difference less than 10% has no any clinical significance. Thus, the non-inferiority margin is
selected to be δ=10%. As per literature, considering ACR20 response rate of the SC MTX 93%
and oral MTX 80%, 27 patients per arm was required to achieve an 80% power an alpha=5%.
3.7 Statistical analysis

Statistical significance was set to at P < 0.05 and p < 0.01. Efficacy and safety analysis was
performed in patients who completed 12-weeks treatment period. Statistical analysis for efficacy
and safety was performed by applying appropriate statistical test. Safety parameters were
analyzed by student t test. Statistical analysis was performed using Graph Pad Prism Software
(Version 5).
ISBN: 978-93-5351-069-5 528

4 RESULTS
A total of 54 MTX naïve patients were screened and randomized to receive either SC MTX or
oral MTX in 1:1 ratio for 12 weeks. Twenty-three patients in SC MTX and twenty-seven patients
in oral MTX completed 12-weeks treatment period. 4 patients were excluded from study in MTX
SC group (3 patients were lost to follow up and one patient had changed dose of corticosteroids
inadvertently). There is no statistical or clinical significance with respect to baseline
characteristics in both treatment groups (Table 2).
Table 2 Baseline characteristics
Oral MTX SC MTX

Parameter p-value
(N = 27) (N = 23)
Female 18 0.23919
Age (Years, Mean ± SD) 46.80 ± 12.7 42.70 ± 12.7
0.128
BMI (Kg/m2, Mean ± SD) 22.80 ± 6.5 21.90 ± 5.07
0.415
Total duration of illness(Months, Median) 3 -2.5
Physician’s assessment of disease activity 47 ± 19 57 ± 13
0.017
(Mean ± SD)
Patient’s assessment of disease activity(Mean ± SD) 54 ± 17 60 ± 12 0.076
Health Assessment Questionnaire (Mean ± SD) 1.56 ± 0.4 1.66 ± 0.6 0.23
Swollen joint count ( Mean ± SD) 4.28 ± 2.65 5.28 ± 3.19 0.135
Tender joint count (Mean ± SD) 7.20 ± 3.99 8.68 ± 5.44 0.138
ESR (Mean ± SD) 55.70 ± 37.1 58.40 ± 20.1 0.38
CRP (Mean ± SD) 22.98 ± 35.2 23.84 ± 34.5 0.46
DAS 28-CRP (Mean ± SD) 4.43 ± 0.3 4.87 ± 0.3 0.090
DAS 28-ESR (Mean ± SD) 5.30 ± 0.80 5.67 ± 0.95 0.065
Rheumatoid Factor Positive (%) 76 68 -
DAS28 = Disease Activity Score in 28 joints; HAQ = Health Assessment Questionnaire (disability
index); CRP = C-reactive protein; ESR = erythrocyte sedimentation rate.
Source: Results
At week 12, response rate of ACR20 was clinically higher in subcutaneous MTX than oral MTX
group (85% vs. 64%). However, ACR20 response rate did not achieve statistical difference
between treatment groups (p=0.15). Similarly, ACR50 response (57% versus 44%, p=0.80) and
ACR70 response (33% versus 20%, p=0.30) were not significantly different between
subcutaneous MTX group than oral MTX group (Figure 2).
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Source: Results
Figure 2: Efficacy outcomes
The mean swollen joints counts (2.05 versus 2.27, p = 0.73) were lower in the SC group than in
the oral group, as was the number of tender joints counts (2.44 versus 2.67, p = 0.97) but this
again, did not reach statistical significance. The mean HAQ score was slightly lower in the SC
group compared with the oral group at week 12 (0.95 versus 1.15), but the difference was not
statistically significant (p = 0.33). The mean DAS28-ESR was lower in the SC group than in the
oral group (3.39 versus 3.63, p = 0.59) after 12 weeks treatment. Further, mean DAS28-CRP was
also lower in the SC group than in the oral group (3.43 versus 3.64, p = 0.68) after 12 weeks.
At week 6, only 5 patients in MTX oral group and 6 patients in MTX SC group were classified
as ACR20 non-responders, and their doses were increased as per the protocol. One patient
achieved ACR20 response after changing the oral MTX dosage from 15 mg to 20 mg whereas 2
patients achieved ACR20 response after changing the dosage of SC MTX from 15 mg to 20 mg
(Figure 3).
Source: Results
Figure 3: ACR 20 response rate
Here again, the ACR20 response in SC MTX was higher when compared with oral MTX after
changing the MTX dosage from 15 mg to 20 mg. However, it was not found statistically
significant (p = 0.6374). Patients treated with SC MTX had fewer incidences of nausea,
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vomiting, anorexia, hair loss, abdominal pain and dyspepsia when compared with oral MTX
(Table 3).
Table 3 Analysis of AEs among patients
System/Organ class MTX Oral MTX SC

N= 27 N=23
(%) (%)
Gastrointestinal disorders Abdominal Pain 4 (15) 1 (4)
Diarrhoea 1 (4) 1 (4)
Anorexia 3 (11) 2 (9)
Nausea 6 (22) 2 (9)
Vomiting 3 (11) 2 (9)
Dyspepsia 4 (15) 1 (4)
Skin and subcutaneous tissue Hair Loss 4 (15) 1 (4)
disorders Dryness of Mouth 0 (0) 1 (4)
Dryness of Skin 0 (0) 1 (4)
Source: Results
The majority of AEs was rated by the investigator as being possibly related to the study drug.
None of patient has been withdrawn because of AEs in both groups. There was no statistical or
clinical significance change in weight, vital signs and laboratory parameters between the groups
and within groups (baseline visit versus end of study visit).
5 DISCUSSION
This is the first study on Indian population to compare the optimal administration of MTX in
patients with very early RA. In the present study, patients who administered with SC MTX did
not show statistically significant different ACR20, ACR50 and ACR70 responses when
compared with the oral MTX patients. This result indicated that short treatment (3 months) of
oral MTX as efficacious as SC MTX in treatment of patients who have very early phase disease
(DAS28-ESR ≥ 4). In addition, converting from 15 mg/week SC MTX to 20 mg/week SC MTX
showed higher ACR20 response (33%) clinically when compared with the converting from15
mg/week oral MTX to 20 mg/week oral MTX (20%). Further, this study reported higher
incidences of AEs in SC MTX group as compared to oral MTX. However, all AEs were not
clinically significant. Based on above results, efficacy of oral MTX was similar to SC MTX in
this study. In contrast, earlier studies reported higher ACR20, ACR50 and ACR70 responses in
SC MTX group as compared to oral MTX.9-11 Further, some exploratory studies reported that
starting therapy with SC MTX at dosage 15 mg/week showed 80% ACR20 response in patients
with very early rheumatoid arthritis. Further, this response has been increased to 90% in patients
with somewhat longer disease duration but early and more established disease. The mechanism
behind this higher response is unknown.11This study reported improvement in ACR20 response
when patients were switched to 20 mg MTX from 15 mg MTX in both groups. Previous studies
reported that majority of the population showed loss of response or decline in the response when
switched from parenteral MTX to oral MTX. These patients were again switched to parenteral
MTX but the response rate in this second course was lower as compared to first course treatment
with parenteral MTX. Thus, a switch from parenteral to oral MTX and then back to parenteral
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MTX seems to result in a loss of efficacy.9 There are certain reports has been published in
Canada and UK which recommended to change from oral to parenteral administration of MTX in
patients with an inadequate response is beneficial for cost-effective reasons.14-17. The cost of oral
versus SC administration of MTX differs from country to country, and no direct socioeconomic
comparison has yet been published.
Incidences of AEs were higher in patients treated with SC MTX as compared to oral MTX in the
study. In contrast, earlier studies reported that SC MTX showed relatively less side effects when
compared with oral MTX.9-11 Due to similar efficacy and safety of oral MTX and SC MTX in
Indian population, it would be advantageous to prescribe oral methotrexate to rheumatoid
arthritis patients living in rural settings with poor health-care infrastructure in India. However,
there are some limitations of this study such as smaller sample size, short treatment period, open
label study design and single-center study.
6 CONCLUSION
In the present study, in patients with very early rheumatoid arthritis, oral MTX had similar
efficacy and safety as SC MTX for short duration (≤ 3 months). However, there was a trend
towards better clinical improvement in SC MTX when compared with oral MTX although
statistically insignificant due to smaller sample size and short duration of treatment period.
However, these results need to be further confirmed by studies with higher sample size, larger
treatment period and multi-centric and double-blind study design.
7 REFERENCES
[1] Misra, R., Sharma, B. L., Gupta, R., Pandya, S., Agarwal, S., Agarwal, P., & Wangjam, K. (2008). Indian
Rheumatology Association consensus statement on the management of adults with rheumatoid
arthritis. Indian Journal of Rheumatology, 3(3), pp. S1-S16.
[2] Rau, R., & Herborn, G. (2004). Benefit and risk of methotrexate treatment in rheumatoid arthritis. Clinical
and experimental rheumatology, 22, pp. S83-S94.
[3] Jundt, J. W., Browne, B. A., Fiocco, G. P., Steele, A. D., & Mock, D. (1993). A comparison of low dose
methotrexate bioavailability: oral solution, oral tablet, subcutaneous and intramuscular dosing. The Journal
of Rheumatology, 20(11), pp. 1845-1849.
[4] Hamilton, R. A., & Kremer, J. M. (1997). Why intramuscular methotrexate may be more efficacious than
oral dosing in patients with rheumatoid arthritis. British journal of rheumatology, 36(1), pp. 86-90.
[5] Hoekstra, M., Haagsma, C., Neef, C., Proost, J., Knuif, A., & van de Laar, M. (2004). Bioavailability of
higher dose methotrexate comparing oral and subcutaneous administration in patients with rheumatoid
arthritis. The Journal of Rheumatology, 31(4), pp. 645-648.
[6] Herman, R. A., Veng‐Pedersen, P., Hoffman, J., Koehnke, R., & Furst, D. E. (1989). Pharmacokinetics of
low‐dose methotrexate in rheumatoid arthritis patients. Journal of pharmaceutical sciences, 78(2), pp. 165-
171.
[7] Oguey, D., Kölliker, F., Gerber, N. J., & Reichen, J. (1992). Effect of food on the bioavailability of
low‐dose methotrexate in patients with rheumatoid arthritis. Arthritis & Rheumatism: Official Journal of
the American College of Rheumatology, 35(6), pp. 611-614.
[8] Lafforgue, P. I. E. R. R. E., Monjanel-Mouterde, S. U. Z. A. N. N. E., Durand, A. L. A. I. N., Catalin, J. A.
C. Q. U. E. S., & Acquaviva, P. C. (1995). Lack of correlation between pharmacokinetics and efficacy of
low dose methotrexate in patients with rheumatoid arthritis. The Journal of rheumatology, 22(5), pp.844-
849.
[9] Braun, J., Kästner, P., Flaxenberg, P., Währisch, J., Hanke, P., Demary, W., & Guimbal‐Schmolck, C.
(2008). Comparison of the clinical efficacy and safety of subcutaneous versus oral administration of
methotrexate in patients with active rheumatoid arthritis: results of a six‐month, multicenter, randomized,
double‐blind, controlled, phase IV trial. Arthritis & Rheumatism, 58(1), pp. 73-81.
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[10] Islam, M. S., Haq, S. A., Islam, M. N., Azad, A. K., Islam, M. A., Barua, R., ... & Osmany, M. F. (2013).
Comparative efficacy of subcutaneous versus oral methotrexate in active rheumatoid arthritis. Mymensingh
medical journal: MMJ, 22(3), pp. 483-488.
[11] Vena, G. A., Cassano, N., & Iannone, F. (2018). Update on subcutaneous methotrexate for inflammatory
arthritis and psoriasis. Therapeutics and clinical risk management, 14, pp. 105-116
[12] Aletaha, D., Neogi, T., Silman, A. J., Funovits, J., Felson, D. T., Bingham III, C. O., & Combe, B. (2010).
2010 rheumatoid arthritis classification criteria: an American College of Rheumatology/European League
Against Rheumatism collaborative initiative. Arthritis & Rheumatism, 62(9), pp. 2569-2581.
[13] Arnett, F. C., Edworthy, S. M., Bloch, D. A., Mcshane, D. J., Fries, J. F., Cooper, N. S., & Medsger Jr, T.
A. (1988). The American Rheumatism Association 1987 revised criteria for the classification of rheumatoid
arthritis. Arthritis & Rheumatism: Official Journal of the American College of Rheumatology, 31(3), pp.
315-324.
[14] Van Dongen, H., van Aken, J., Lard, L. R., Visser, K., Ronday, H. K., Hulsmans, H. M., & Toes, R. E.
(2007). Efficacy of methotrexate treatment in patients with probable rheumatoid arthritis: a double‐blind,
randomized, placebo‐controlled trial. Arthritis & Rheumatism, 56(5), pp. 1424-1432.
[15] Bingham, S. J., Buch, M. H., Lindsay, S., Pollard, A., White, J., & Emery, P. (2003). Parenteral
methotrexate should be given before biological therapy. Rheumatology, 42(8), pp. 1009-1010.
[16] Alsufyani, K., Ortiz-Alvarez, O., Cabral, D. A., Tucker, L. B., Petty, R. E., & Malleson, P. N. (2004). The
role of subcutaneous administration of methotrexate in children with juvenile idiopathic arthritis who have
failed oral methotrexate. The journal of Rheumatology, 31(1), pp. 179-182.
[17] Lindsay, K., Shiela, S., Lesley, H., & Sarah, M. (2006, April). Subcutaneous methotrexate is an effective
alternative to biologic agents. Results of a review of service provided. In RHEUMATOLOGY (Vol. 45, pp.
I124-I124). Great Clarendon St, Oxford Ox2 6dp, England: Oxford Univ Press.
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PCP035
DEATIL STUDY OF SOIL ACTINOMYCETES NEAR HERBAL
MEDICINAL PLANT AZADIRACHTA INDICA AREA IN SEARCH OF
QUALITY ANTIMICROBIAL COUMPOUND
Mr. Darshit Ram* Dr. Devang Pandya
Assistant Professor Dy. Director
Noble Pharmacy College School of Pharmacy
PhD research scholar RK University
RK University devang.pandya@rku.ac.in
dramahir@gmail.com
______________________________________________________________________________
Abstract
Currently available medicines like antibiotics effects on microbes are decreases due to
development of resistance by microbes against those medicines for patient care. Object of study
is to isolate most potential group of microbes for development of antibiotics Actinomycetes from
soil near Azadirachta indica medicinal plant and study antimicrobial activity of most effective
isolate. Soil is a reservoir of diversified microorganisms and used herbal medicinal plant soil for
study. Gir Somnath, Junagadh and Rajkot regions of Gujarat used in study. Soil samples
collected near Azadirachta indica surrounded area. Serial dilution to make scattered colonies in
three different media with antifungal agent Nystatin added in media. Various methods used for
characterization of isolate like morphological microscopic, TLC, biochemical tests,
bioautography and antimicrobial activity checked by agar well diffusion. 8 isolates observed
from 3 regions. Arial mycelium colony white color was observed in 6 isolate (75 %) dominant
while in vegetative mycelium yellow (37.5 %), white (12.5 %), brown (25 %) and gray (12.5 %)
color of isolate observed. 6 isolates classified as streptomyces, 1(Micromomospora),
1(Intrasporangium) and 1(Saccharopolyspora) genus. GAI1 was most potent Actinomycetes
isolates amongst 8 isolates based on agar well diffusion showed antimicrobial activity against
different test pathogens. Antimicrobial activities observed in 5 isolates. None isolates showed
activities against Proteus vulgaris. Different optimization studies were done for GAI1 isolate.
Many ecological landscapes were still not screen for potent actinomycetes. There are tremendous
chances to developed new antimicrobial compound as quality medicine for patient care against
some resistant microorganisms.
Keywords: Mycelium, Actinomycets, Microorganisms, Antimicrobial, Medicinal
INTRODUCTION
Antibiotics having activity against resistant microorganisms are today’s need in regards to
treatment of patients against those pathogens. (1) Natural sources like soil, water, plants etc. are
important source from them by screening to discover new and useful biological agents and there
are chances of potential new of rare taxa of microbes found. (2) Some statistical data reports
states that around 60 % of antibiotics obtain from natural source are from actinomycetes
microbes. (3) Actinomycetes are rich source of many secondary metabolites from them majority
have pharmaceutical use. (4) So research in this direction is very useful in regards to develop and
ISBN: 978-93-5351-069-5 534

discover quality medicine for patient care and by this we make healthy community with wise use
of antibiotics against microbes.
Many secondary bioactive metabolites are available and half of them from this strain of microbes
that is actinomycetes. There are always needed to search novel strain of microbes from them new
bioactive compound was discovered. In today patients health was drastically affected by over
antibiotics prescription and self prescription by them these taken microbes to develop resistance
against those antibiotics. Many microbial species like Sa is one of this developed resistance
against available medicine today. The rate of microbes to resist is very fast and the rate of
discovery of novel compound is very less this is very serious problem regarding patient’s health.
Because of this situation there is need to focus on screening of undiscovered ecological area for
biologically active molecule against pathogens. (5, 6) In this research we select site of soil near
Azadirachta Indica medicinal plant and try to find novel strain and new compound from
actinomycetes isolates. This medicinal plant particularly uses anciently to treat various ill
conditions of patients and some part of this plant having antimicrobial properties also reported by
many researchers. Various parts of this plant used as antibiotic, antiviral, sedative, antifungal,
skin treatment, urinary diseases, ulcer, pest control, for hair health and many more and here try to
correlate its soil site in this work.
There are many site on earth soil is undiscovered and there are chances for rich source of
actinomycetes which have capability to produce active compound from them. Present study
exposed three unscreened ecological sites for actinomycetes screening.
LITERATURE REVIEW
Vineeta Singh et al (2016), done work on identification of actinomycetes from India and reported
its applications. Screened six soil samples four antimicrobial with 3 antifungal isolates found and
characterized. Megha Bhatt et al (2015), identify regional soil flora help in evaluation of
microflora role in various ecological cycle of earth like carbon sequestration, green house gas.
Ferial M Rashad et al (2015) reported work on antibiotic as well as antitumor producing
microbes such streptomycetes. Studied more than 500 strains of streptomyces isolates obtained
from 20 samples 56 from then shown antimicrobial activity. MIC values also states that
antimicrobial properties of them. Rita N. Wadetwar et al (2013), Streptomyces violaceorubidus
Actinomycetes species RC 1796 isolated from Chandigarh. Inoculums prepared by the use of
Streptomyces violaceorubidus fermentation were studied in different factors affecting growth of
microbes. ALT Kalyani et al (2013), Bio-surfactants, obtained by microorganisms used in
biotechnology. Isolation was done of bio surfactant from actinomycetes. 30 isolates screened in
plates 7 of them have promising activity 4 sample PLS and 3 from NDS studied compared to
SLS. Waheeda Khanam et al (2018), evaluate chemical constituents of endophytic
actinomycetes. 11 isolates used in study obtained from Ocimum basillicum one was analysed by
16S r DNA. Various analytical methods like GCMS, FTIR and UV. Sudha Sri Kesavan S et al
(2015), study garden soil of Sathyabama University in Chennai. Six soil samples collected,
diluted, plated on starch agar media. Screening states that 13 isolates had antimicrobial activity
against bacteria and fungi. Ramendra Singh Parmar et al (2016), rhizosphere soil of territory in
Chambal region of Madhya Pradesh. Pigment diffusion in ISP media ability observed.
OBJECTIVES
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To find out ecological sites in respect to soil near Azadirachta Indica medicinal plant previously
not studied. To isolate, screened and Evaluate antimicrobial activity of soil actinomycetes from
three different region of saurashtra Junagadh, Gir somnath and Rajkot districts. Detail
characterization of actinomycetes isolates showed antimicrobial activity by morphological,
microscopic and various biochemical parameters.
1 EXPERIMENTAL WORK
1.1 Sample Collection Sites
Three district region Gir somnath, Rajkot and Junagadh from Gujarat selected. Sites selected randomly
“kureshibag” nursery from Gir somnath, herbal medicinal garden from Rajkot and girnar forest from
Junagadh.
1.2 Sample Treatment
Three samples collected from soil near Azadirachta Indica plant from three different sites. Sterile glass
tubes used for sample collection with sterile stainless steel articles within 30 to 35 cm depth from surface
of soil near 1 ft surrounding area of plant. Samples air dried 2 to 3 days. Make 10−1 dilution of soil sample
with sterile water by 1:9 ratio of sample in test tube same consecutive steps used to make 10 −6 dilution of
soil in water. SCA (Starch casein agar) media, AIA (Actinomycetes isolation agar) media and Nutrient
agar media was prepared and sterilized by autoclave. Nystatin 50 μg/ml added to media. By using bent
sterile glass rod evenly spread 0.1 ml of sample volume on the surface then incubated under 37°C for 6-
14 days in BOD incubator. (7) Growth of colonies was observed with regular intervals.
1.3 Colony Study
Morphological and microscopical parameters were studied by electron microscopy and visual analysis of
colony growth. Identify actinomycetes colony and make pure culture and preserve media by adding 20 %
v/v glycerol for future use of culture and stored at 4 °C. (8)
1.4 Screening for Antimicrobial Activity
1.4.1 Primary Screening
Actinomycetes isolates were screened for antimicrobial activity. 8 Test bacteria were used obtain
from NCIP Pune. Each actinomycetes isolate streak in plate center and incubated 37°C for 8
days. After the growth of microbes fresh test pathogens streak in perpendicular direction to
bacterial growth and then all plates incubated at 37°C for 1 to 2 days. (8)
1.4.2 Preparation of Crude Extract
Isolates showed antimicrobial activity in primary screening used for fermentation of isolates and
prepare crude extract from them. Submerged type of fermentation was carried out and using
solvent crude extract was obtained. For making concentrated biomass centrifugation was done at
5000 rpm with 50 % ethyl acetate 200 ml into broth cultures continuously shaking for half an
hour and to get clear solvent and aqueous layer then separated solvent phase. (9)
1.4.3 Secondary Screening
Actinomycetes isolates having antimicrobial activity were further screened by agar well
diffusion method. Well or bore with 8 mm diameter was prepared in MHA media plates and in
developed test pathogens growth in specified conditions. Then add 100 µl of extracted microbial
suspension of isolates in well then allow to diffuse in media by incubate agar plates at 37°C for 7
to 8 days. Measure ZOI (Zone of inhibition) surrounding well. (9)
1.5 Biochemical Characterization of Isolates
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1.5.1 TLC (Thin layer chromatography)

TLC used to analyze active actinomycetes isolates. Crude form of fermented isolates in ethyl
acetate was prepared and used in TLC plates. (10) Separation based on mobile phase and
stationary phase capillary action compound travel some distance on plate and make visible under
UV chamber of light Rf value calculated by this distance in plates. Readymade silica60 F 254
TLC plates were used in this study. (11)
1.5.2 Bioautography study
It is a microbial study method for indicating antimicrobial activity in sample. Simply it says yes
or no response in sample having activity or not. TLC slide dried and put into sterile petri dish in
which nutrient agar was poured previously. And inoculated with microbial species Sa for growth.
Then incubated plates under 37°C for one day and observe result. (11, 12) Also other
characterizations of isolates were performed like culture growth in different ISP media, staining
of isolates, and various enzymatic activities of active isolates with different biochemical tests.
(13, 14)
All cultural media, chemicals, reagents, diagnostic kit used from himedia laboratories, Mumbai,
India.
1 Actinomycetes Isolates
In present study soil samples collected from three different sites near Azadirachta indica medicinal plant
and total 8 actinomycetes isolates were found from them. There were two main color of isolates observed
white in case of arial mycelium and yellow in vegetative mycelium of actinomycetes colonies. Also other
colors like cream; gray and brown were shown in one to two isolates in lesser number of isolates. Various
types of soil morphology like rough, powdery, wrinkled and leather were observed in different isolates.
2 Microscopy
Chain morphology of spore of isolates was studied by light and electron microscopy results shown in
figure 1. States that 62.5 % of isolates were belong to Streptomyces genus along with Micromomospora,
Intrasporangium and Saccharopolyspora each 12.5 %.
Figure 1: (a) light microscopy of GAI1 actinomycetes isolates 50x (b) electron microscopy of GAI1
2000x (c) Distribution of isolates based on genus percentage
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Figure 2: Zone of inhibition in mm of GAI1 actinomycete isolates (a) against Bs (b) against Pa by
agar well diffusion method
Screening study
Table 1 represents primary and secondary screening data.
Table: 1 Primary and secondary screening of Actinomycetes Isolates from Azadirachta indica soil
samples shown activity against various test pathogens in mm (mean±SD of triplicate)
Primary screening by cross streak method

Test
microb GAI1 GAI2 GAI3 RAI1 RAI2 JAI1 JAI2 JAI3
es
21.67±0. 19.33±1. 12.67±0. 18.33±1.
Bs 16.00±1 0 0 0
58 53 58 53
22.33±0. 18.33±1.
SA 19.00±1 0 0 17.00±0 0 0
58 53
PV 0 0 0 0 0 0 0 0
21.67±0. 17.67±0. 17.33±0. 19.33±2.
EC 11.00±1 0 0 0
58 58 58 08
22.67±0. 11.33±1. 18.67±1.
KA 18.00±1 19.00±1 0 0 0
58 53 53
23.67±1. 21.33±0.
Pa 20.00±1 0 18.00±1 0 0 0
15 58
3.33±0.5
St 0 3.00±1 0 0 0 0 0
8
2.33±0.5 2.33±1.5 2.33±0.5
Et 0 0 0 0 0
8 3 8
Secondary screening by Agar Well diffusion method
Test Pathogens
Isolates Bs Sa Pv Ec Ka Pa St Et
22.33±0. 2.67±0.
GAI1 21.00±1 0 22.00±0 23.00±1 24.00±1 0
58 58
20.33±0. 19.67±0. 18.33±0. 21.33±0. 3.33±0.5
GAI2 0 20.00±1 0
58 58 58 58 8
18.33±0. 18.67±1. 3.33±0.
JAI1 19.00±0. 18.00±1 0 19.00±1 22.00±0
58 15 58
It was found that 21.67 (±0.58), 22.33 (±0.58), 0, 21.67 (±0.58), 22.67 (±0.58), 23.67 (±1.15), 0 and 2.33
(±0.58) zone of inhibition in mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively for
GAI1 isolate. 19.33 (±1.53), 19.00 ((±1.00), 0, 17.67 (±0.58), 18.00 (±1.00), 20.00 (±1.00), 3.00 (±1.00)
and 0 zone of inhibition in mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively for GAI2
isolate. 12.67 (±0.58), 0, 0, 11.00 (±1.00), 11.33 (±1.53), 0, 0 and 2.33 (±0.58) zone of inhibition in mm
against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively for GAI3 isolate. 16.00 (±1.00), 18.33
(±1.53), 0, 17.33 (±0.58), 19.00 (±1.00), 18.00 (±1.00), 3.33 (±0.58) and 0 zone of inhibition in mm
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against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively for RAI1 isolate. RAI2 only showed
activity 2.33 (0.58) mm zone of inhibition against Et pathogen.
18.33 (±1.53), 17.00 (±0.00), 0, 19.33 (±2.08), 18.67 (±1.53), 21.33 (±0.58), 0 and 0 zone of inhibition in
mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively for JAI1 isolate. While JAI2 and
JAI3 not showed any activity against any test pathogens.
It was found that against Bs GAI1, GAI2, GAI3, RAI1 and JAI1 total 5 actinomycetes isolates had
showed their activity. Against Sa and Pa GAI1, GAI2, RAI1 and JAI1 isolates showed activity. Against
Pv none isolates were active. Against Ec and Ka GAI1, GAI2, GAI3, RAI1, and JAI1 5 actinomycetes
isolates had showed their activity. Against St GAI2 and RAI1 showed activity. Against Et GAI1, GAI3
and RAI2 isolates were active. It was found that GAI1, GAI2, GAI3, RAI1, RAI2, JAI1, JAI2 and JAI3
showed antimicrobial activity against 6, 6, 4, 6,1 ,5 ,0 and 0 number of test pathogens respectively.
Table: 2 Percentage distribution of antimicrobial activity of isolates in mm
ZOI Test Pathogens

in mm Bs Sa Pv Ec Ka Pa St Et
>20 12.50 12.50 0.00 12.50 12.50 25.00 0.00 0.00
15 to
20 37.50 13.04 0.00 13.04 13.04 8.70 0.00 0.00
10 to
15 12.50 0.00 0.00 12.50 12.50 0.00 0.00 0.00
<10 0.00 0.00 0.00 0.00 0.00 0.00 25.00 37.50
Amongst 8 actinomycetes isolates produced from soil near Azadirachta indica medicinal plant most
active 3 isolates selected on basis of preliminary screening for antimicrobial activity. Based on results of
primary screening three isolates were used for secondary screening for activity and it was found that
GAI1 showed 21 .00 (±1.00), 22.33 (±0.58), 0, 22.00 (±0.00), 23.00 (±1.00), 24.00 (±1.00), 0 and 2.67
(±0.58) zone of inhibition in mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively. GAI2
showed 20.33 (±0.58), 19.67 (±0.58), 0, 18.33 (±0.58), 20.00 (±1.00), 21.33 (±0.58), 3.33 (±0.58) and 0
zone of inhibition in mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively. JAI1 showed
19 .00 (±0.00), 18.00 (±1.00), 0, 18.33 (±0.58), 18.67 (±1.15), 19.00 (±1.00), 22.00 (±0) and 16.33
(±0.58) zone of inhibition in mm against Bs, Sa, Pv, Ec, Ka, Pa, St and Et pathogens respectively.
From three isolates GAI1 was most potent actinomycetes isolates produced from soil near Azadirachta
indica medicinal plant of Gir somnath district region.
3 Various biochemical tests result of analysis
3.1 Gram’s Staining

It was found that all three GAI1, GAI2 and JAI1 microorganism were gram’s positive in nature.
3.2 Growth on ISP Media
Different ISP media were studied for growth of most potent three isolates and it was found that growth of
microbes was good on ISP3 and AIA media.
Table: 3 Biochemical test results of GAI1, GAI2 and JAI1 actinomycetes isolates
Ability of isolates to utilize sugars

Sugars GAI1 GAI2 JAI1
D-glucose +++ +++ ++
sucrose +++ +++ +++
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Lactose + -- ++
Dextrose +++ ++ +++
D-Mannitol ++ + --
D-xylose -- + ++
Raffinose -- -- --
L-Rhamnose + -- +
L-Arabinose + + ++
Maltose +++ ++ ++
+++ = Very good growth, ++ = moderate growth, + = Poor growth, -- = no growth
Tests
Methyl red +ve +ve +ve
Indol -ve -ve +ve
Voges–Proskauer -ve -ve -ve
Citrate -ve +ve -ve
Hydrogen Sulphide +ve +ve -ve
Production
Enzymatic Activity
Protease +ve +ve +ve
Gelatinase +ve +ve -ve
Amylase +ve -ve +ve
Lecithinase +ve +ve +ve
Cellulose +ve +ve +ve
Urease -ve -ve -ve
3.3 Ability of Isolates to Utilize Various Sugars

It was found that GAI1 had very good ability to utilize D-glucose, sucrose, Dextrose and maltose.
Moderate growth was observed in D-Mannitol sugar source. Poor growth was observed in Lactose, L-
Rhamnose and L-Arabinose. While there were no growth observed with D-xylose and Raffinose sugar
sources. GAI2 showed very good growth for utilization of D-glucose and sucrose sugars. Dextrose and
Maltose sugars were utilize by isolates moderate growth was found. With D-Mannitol and D-xylose poor
growth was observed. While there was no growth was observed in sugar sources Lactose, Raffinose and
L-Rhamnose. JAI1 actinomycetes isolates observed very good growth for utilization of sugara like
Sucrose and Dextrose. Moderate growth was observed with D-glucose, Lactose, D-xylose, L-Arabinose
and Maltose sugar sources. And no growth was found in D-Mannitol and Raffinose sugar source.
3.4 Biochemical Tests
It was found that Indol test positive results in GAI1 and negative with other two isolates. Methyl red
positive in all three isolates. VP test negative against all three isolates. Citrate test positive in GAI2 isolate
and negative in other two isolates. Hydrogen Sulphide Production test showed positive results in GAI1
and GAI2 isolates and negative results in JAI1 isolates.
3.5 Enzymatic Activity
It was found that GAI1 enzymatic active against Protease, Gelatinase, Amylase, Lecithinase and
Cellulose and negative against urease enzyme. GAi2 showed positive results against Protease, Gelatinase,
Lecithinase and Cellulose enzymes and negative against Urease and Amylase. Jai1 showed positive
results in Protease, Amylase, Lecithinase and Cellulose. Negative results were observed in Gelatinase and
Urease enzymes.
CONCLUSION
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It was concluded from present study that soil near Azadirachta indica medicinal plant area contain
actinomycetes microorganism with diverse genus of species and streptomyces genus was most of them.
Three isolates GAI1, GAI2 from Gir somnath region and JAI1 from junagadh region were shown
maximum antagonistic activity and had capability to produce antimicrobial bioactive compound. Many
ecological regions still need to identify and studied for discovery of many important microorganism
species which have capability to produce novel bioactive compound for development of antibiotics
against resistant microbes and serve as quality medicines for patient care.
ABBREVIATIONS
EC: Escherichia Coli, ZOI: Zone of Inhibition, SA: Staphylococcus Aureus, Bs: Bacillus Subtilis, KA:
Klebsiella Aerogenes, PV: Proteus Vulgaris, ST: Salmonella Typhi, ET: Enterobacter Aerogenes, PA:
Pseudomonas Aeruginosa, AIA: Actinomycetes isolates agar, MHA (Muller hinston agar)
REFERENCES
[1] Parmar, R. S., Singh, C., Saini, P., Kumar, A. (2016). Isolation and screening of antimicrobial and
extracellular pigment producing actinomycetes from Chambal territory of Madhya Pradesh region, India.
Asian Journal of Pharmaceutical and Clinical Research, 9,157-160.
[2] Kurtboke, D.I., Wildman, H.G. (1998). Accessing Australian biodiversity. Towards an improved detection
of actinomycetes. An activity report. Actinomycetes, 9, 1-2.
[3] Takizawa, M., Colwell, R.R., Hill, R.T. (1993). Isolation and diversity of actinomycetes in the Chesapeake
Bay. Applied Environmental Microbiology, 59, 997-1002.
[4] Baltz, R. (2005). Antibiotic discovery from actinomycetes: Will a renaissance follow the decline and fall.
SIM News, 55(5), 186-196.
[5] Oskay, M., Tamer, A.U., Azeri, C. (2004). Antibacterial activity of some actinomycetes isolated from
farming soils of Turkey. African Journal of Biotechnology, 3(9), 441-446.
[6] Zulaybar, T., Papa, I., Marfori, E., Mercado, B. (2006). Proceedings of the 5th Asia- Pacific Biotechnology
Congress and the 35th Annual Convention of the Philippine Society for Microbiology, Inc. (PSM), May
13-15, Bohol, Philippines.
[7] Gurung, T.D., Sherpa, C., Agrawal, V.P., Lekhak, B. (2009). Isolation and characterization of antibacterial
actinomycetes from soil samples of Kalapatthar, Mount Everest region. Nepal Journal of Science and
Technology, 10, 173-182.
[8] Nanjwade, B.K., Chandrashekhara, S., Shamarez, A.M., Goudanavar, S.P., Manvi, V.F. (2010). Isolation
and morphological characterization of antibiotic producing actinomycetes. Tropical Journal of
Pharmaceutical Research, 9(3), 231-236.
[9] Thenmozhi, M., Kannabiran, K. (2010). Studies on isolation, classification and phylogenetic
characterization of novel antifungal Streptomyces sp. VITSTK7 in India. Current Research Journal of
Biology and Science, 2(5), 306-312.
[10] Zarai, Z., Kadri, A., Ben, Chobba, I., Ben, Mansour. R., Bekir, A., Mejdoub, H., et al. (2011). The in-vitro
evaluation of antibacterial, antifungal and cytotoxic properties of Marrubium vulgare L. essential oil grown
in Tunisia. Lipids Health Disease, 10, 161.
[11] Shirling, E.B., Gottlieb, D. (1996). Methods for characterization of Streptomyces species. International
Journal of Systematic Bacteriology, 16, 313-40.
[12] Aboshadi, M., Sidkey, N.M., Al-Mutrafy, A.M. (2010). Antimicrobial agent producing microbes from
some soils’ rhizosphere. Journal of American Society, 6(10), 915-925.
[13] Valgas, C., DeSouza, S.M., Smania, E.F.A. et al. (2007). Screening methods to determine antibacterial
activity of natural products. Brazilian Journal of Microbiology, 38, 369-380.
[14] Sharma, Mukesh. (2014). Actinomycetes: Source, Identification, and Their Applications, International
Journal of Current Microbiology Application in Sciences, 3(2), 801-832.
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PCP037
COMPARATIVE EFFECT OF THE ACETONE AND CHLOROFORM
FRACTIONS OF METHANOLIC EXTRACT OF LAGENARIA SICERARIA
(MOLINA) STANDLEY FRUITS ON MARBLE-BURYING BEHAVIOR IN
MICE: IMPLICATIONS FOR OBSESSIVE-COMPULSIVE DISORDER
Mr. Rakesh Prajapati Dr. Sachin Parmar

Asst. Professor, Asso. Professor,
Bhagwan Mahavir College of Pharmacy, Dept. of Ph’cal Sciences,
Surat Saurashtra university, Rajkot
rakeshpharma1510@gmail.com parmarsachin@gmail.com
Highlights
 By considering the side effects of allopathic drugs, herbal therapy has been an emerging
alternative approach for the treatment of neurological disorders.
 Traditional literature claims that the numbers of herbal plants are effective in the
treatment of various types of neurological disorders and ailments.
 With reference to that, Lagenaria siceraria (Molina) Standley, commonly known as
“bottle gourd” is such a plant, which is used as nerve tonic and treats the neurological
disorders due to presence of neuroactive phytoconstituents.
_____________________________________________________________________________
Abstract
Context: Obsessive–compulsive disorder (OCD) is the fourth most common mental disorder and
is diagnosed nearly as often as asthma and diabetes mellitus. Over the last decade, the inhibition
of burying of glass marbles by mice has been used as an index of anti-OCD drug action in the so-
called marble-burying test. Lagenaria siceraria (Molina) Standley (LS), commonly known as
“bottle gourd” (English), possesses several medicinal properties; little is known about its action
as a nerve tonic.
Objective: The purpose of this study was to characterize the anti-OCD (anti-compulsive)
activity of the methanolic extact of LS fruits (MLSF) and its bioactive fractions, chloroform
(CFMLS) and acetone (AFMLS) fractions of MLSF using the marble-burying behavior in mice.
Materials and Methods: The experiment was conducted in specific animal models of Swiss
albino mice to evaluate marble-burying behavior.
Results and Conclusions:
Oral administration of 100, 200 and 400 mg/kg of MLSF, CFMLS and AFMLS decreased the
total number of buried marbles. The AFMLS exhibited more significant effect than CFMLS. The
effect was comparable to that of the fluoxetine (10 mg/kg, i.p.). Fluoxetine and LS fractions do
not produce any overt motor dysfunction. Preliminary phytochemical screening of CFMLS
showed the presence of saponins, phytosterols, terpenoids and fats, while phytochemical
screening of AFMLS showed the presence of saponins, phenolic compounds, flavonoids and
tannins. The results of the study for the first time show that the plant possesses anti-compulsive
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(anti-OCD) activity, confirming the traditional claims. Future research should focus on the
identification and the mechanism of action of the constituents from this plant.
Key words: Fluoxetine, Lagenaria siceraria, marble-burying behavior, obsessive-

compulsive disorder, preliminary phytochemical screening.
1. INTRODUCTION
Obsessive–compulsive disorder (OCD) is characterized by persistent ritualistic thoughts

(compulsions) which are ego-diatomic and associated with seemingly purposeful behaviors
(compulsions)[1]. Its co-morbidity with major depression is often evident, and it is considered as
an anxiety disorder that is refractory to benzodiazepines[2]. Its lifetime prevalence rate is about
1–3%[1]. Only potent serotonin reuptake inhibitors (SSRIs) are consistently effective in patients
of OCD[3].
Marble-burying behavior of mice simulates some aspects of obsessive-compulsive behavior;

therefore, it is often used to screen anti-compulsive drugs due to high predictive and good face
validity[4]. In both natural and laboratory conditions, rats and mice spontaneously use the
available bedding material to bury unpleasant sources of discomfort present in their home
environment[5]. Burying behavior consists in forward shoving the diggable material over the
source of aversion, using the snout and forepaws in order to avoid and protect from the localized
threat[6].
This characteristic behavior, which is usually directed toward several classes of harmful and
noxious objects such as food associated with unpleasant taste, small predators such as scorpions,
dead conspecifics or electrified prod, is described as a defensive behavior reflecting the anxiety
state of animals[7,8,9]. However, whereas the defensive nature of marble-burying behavior is still
actively debated, the mouse marble-burying test has been used as a screening model for the
detection of anxiolytics.
Lagenaria siceraria (Molina) Standley (LS) syn. Lagenaria leucantha Rusby; (Family:
Cucurbitaceae) is commonly known as “Bottle gourd” (Figure 1), and is an excellent natural fruit
with all the essential constituents that are required for normal and good health of humans[10]. LS
fruits are traditionally used for their cardioprotective, cardiotonic, general tonic, aphrodisiac
properties and act as an alternate purgative and a diuretic[11,12]. It also cures pain, ulcers, fever,
and is used for pectoral cough, asthma and other bronchial disorders[11]. The fruits are edible and
considered as a good source of vitamin C, β-carotene, vitamin B-complex, pectin and also
contain highest choline level (a lipotropic factor)[10,13]. Modern phytochemical screening
methods have shown the presence of triterpenoid cucurbitacins B, D, G, H, fucosterol,
campesterol and flavone C-glycosides in it[14-18].
The purpose of the study was to evaluate anti-compulsive effects of methanolic extract and its
bioactive fractions by using behavioral test of marble burying. The extract and the fractions were
also studied for its acute toxicity effects and preliminary phytochemical screening.
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2. Materials and methods

2.1 Collection and authentication of plant material
Fresh fruits of LS were purchased from a local market of Surat, Gujarat. The plant was identified
and authenticated by Prof. P. J. Parmar, Botanical Survey of India, Jodhpur. A specimen voucher
(BMCP/DP/Herb/05) of the plant has been deposited at Department of Pharmacognosy,
Bhagwan Mahavir College of Pharmacy, Surat, for future reference.
2.2 Extraction of plant material

LS fruits were properly cleaned and cut into thin round slices and dried. The dried plant material
was then made into a coarse powder. The coarsely powdered dried fruits of LS (20 g) were
extracted with methanol by hot extraction process (Soxhlet extraction) for 4 hours. After
completion of the extraction, the solvent was removed by distillation and concentrated in vaccuo
and stored at freezing temperature. Further MLSF was fractionated with pet. ether, chloroform,
acetone and n-butanol. All the fractions and MLSF were investigated for preliminary
phytochemical screening[19] for the detection of various phytoconstituents.
2.3 Preparation of test extracts and treatments

MLSF and bioactive fractions, CFMLS and AFMLS were suspended in 1% w/v carboxy methyl
cellulose (CMC) in distilled water and administered via p.o. route. Test samples were
administered at dose levels of 100, 200 and 400 mg/kg. Control group animals received only
vehicle (1% w/v CMC) and standard group animals received reference standard drug, fluoxetine
(10 mg/kg, i.p.) (Torrent pharmaceuticals Ltd., Ahmedabad, India), a drug of choice in SSRI
category. All the drugs were freshly prepared and administered 30 minutes prior to test.
2.4 Experimental animals

Adult Swiss albino mice (25–30 g) were group housed (n = 6) under a standard 12 hour
light/dark cycle and controlled conditions of temperature and humidity (25 ± 2°C, 55–65%).
Mice received standard rodent chow (Pranav Agro Sales., Ahmedabad, India) and water ad
libitum. Mice were acclimatized to laboratory conditions for 7 days before carrying out the
experiments. All the experiments were carried out in a noise-free room between 08:00 and 15:00
hours. Separate groups (n = 6) of mice were used for each set of experiments. The animal studies
were approved (protocol approval no. 1521/ac/07/CPCSEA) by the Institutional Animal Ethics
Committee (IAEC), constituted for the purpose of control and supervision of experimental
animals by Ministry of Environment and Forests, Government of India, New Delhi.
2.5 Acute toxicity study

As per the OECD guidelines-420, the chloroform and acetone fractions were administered orally
at doses of 5, 50, 300 and 2000 mg/kg and the animals were examined for toxicity symptoms.
There was no death or any toxicity symptom, observed. So as per annexure 4, the fractions were
classified in Category 5 in GHS. Moreover, the study was also performed at doses 3000 and
4000 mg/kg, which were exceeding than 2000 mg/kg. Thus the anticipated maximum safe dose
was determined as 4000 mg/kg and so 10%, 20% and 40% of the safe dose were selected to
perform pharmacological study[20].
545 ISBN: 978-93-5351-069-5

2.6 Assessment of marble-burying behavior

The anti-compulsive effect was assessed by the widely used model of studying the marble-
burying behavior of mice[21,22]. Marble-burying behavior of mice was studied as described
previously[21,22,23]. In brief, each mouse was individually placed in plastic cage (21×38 ×14 cm)
containing 5-cm thick sawdust bedding. Twenty small glass marbles (diameter 10-12 mm) were
arranged on the bedding, evenly spaced in four rows (Figure 2). After 30 minute exposure, the
number of unburied marbles was counted. A marble covered at least two-third of its size by saw
dust was considered as “buried”.
2.7 Statistical analysis

All data were expressed as mean ± SEM (n = 6) and analyzed by one-way analysis of variance
(ANOVA), followed by Student Newman-Keuls test. The groups treated with extracts and
fluoxetine were compared with the respective vehicle group. P values <0.001 were considered
statistically significant.
3. Results
3.1 Preliminary phytochemical screening

Preliminary phytochemical screening of the test samples showed the presence of various
phytoactive constituents as per Table 1. The results showed that the chloroform and acetone
fractions were in rich in the presence of phytoactive constituents.
3.2 Acute toxicity study

Results of acute toxicity study showed that the maximum safe dose was 4000 mg/kg. Therefore
the doses selected for the pharmacological studies were 100, 200 & 400 mg/kg.
3.3 Effect on marble-burying behavior in mice

MLSF, CFMLS and AFMLS (100, 200 and 400 mg/kg, p.o.) dose dependently reduced marble-
burying behavior in mice (Table 2) and the reduction was significant (P< 0.001) as compared to
control group. AFMLS (Fig. 4) significantly reduced the marble-burying behavior than CFMLS
(Fig. 3). Fluoxetine, at a dose of 10 mg/kg, also showed significant (P<0.001) reduction in the
number of buried marbles (Table 2, Fig. 2, 3, 4).
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Table 1: Results of phytochemical screening of methanolic extract of L. siceraria fruits and

their bioactive fractions
Sr. No. Test Pet. Chloroform Acetone n-Butanol
Ether
1 Alkaloids - - - -
2 Carbohydrates - - + +
3 Phytosterols + + - -
4 Fixed oils and fats + + + -
5 Saponins - + + -
6 Terpenoids - + - -
7 Phenolic comp. & tannins - - + +
8 Proteins & amino acids - - - +
9 Gums and mucilage - - - -

10 Volatile oil - - - -
11 Flavonoids - - + +
Table 2. Effect of methanolic extract of L. siceraria fruits, fluoxetine, chloroform and

acetone fractions of the methanolic extract on marble burying behavior in mice
Treatment Group Dose (mg/kg) Total No. of marbles buried
Control -- 15.20±2.588
MLSF 100 13.0±0.316*
MLSF 200 11.0±0.316***
MLSF 400 9.2±0.374***
CFMLS 100 14.00±1.58ns
CFMLS 200 11.20±1.58**
CFMLS 400 8.40±1.140***
AFMLS 100 12.20±0.84**
AFMLS 200 9.20±1.304**
AFMLS 400 7.40±1.14***
Fluoxetine (i.p.) 10 6.20±1.643***
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Figure 1. Whole plat of Lagenaria Figure 2. Animal model for assessment

siceraia marble burying behavior marble-buying
behavior (MBT)
No.of marble buried v/s Dose of MLSF

20
Control
100 mg/kg
No. of Marbles buried
200 mg/kg
15
400 mg/kg
** Fluoxetine
10 ***
***
0
Control 100 mg/kg 200 mg/kg 400 mg/kg Fluoxetine
Dose of MLSF (mg/kg)
a
Values are expressed as mean ± SEM (n = 5). **P<0.01,
***
P<0.001; compared with control (one way ANOVA followed
by Student Newman- Keuls test).
Figure 3. Effect of methanolic extract of Lagenaria
Siceraria fruits and fluoxetine on marble-burying
behavior in micea
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No.of marble buried v/s Dose of CFMLS

20
Control
100 mg/kg

200 mg/kg
15
400 mg/kg
** Fluoxetine
10 ***
***
0
Dose of CFMLS (mg/kg)
a
Values are expressed as mean ± SEM (n = 5).
**
P<0.01, ***P<0.001; compared with control (one way
ANOVA followed by Student Newman- Keuls test).
Figure 4. Effect of chloroform fraction of

methanolic extract of Lagenaria Siceraria fruits and
fluoxetine on marble-burying behavior in micea
No.of marble buried v/s Dose of AFMLS

20 Control
100 mg/kg
200 mg/kg
15 400 mg/kg
** Fluoxetine
10 ***
***
***
0
Dose of AFMLS (mg/kg)
a
Values are expressed as mean ± SEM (n = 5).
**
P<0.01, ***P<0.001; compared with control (one way
ANOVA followed by Student Newman- Keuls test).
Figure 3. Effect of acetone fraction of methanolic

extract of Lagenaria Siceraria fruits and fluoxetine
on marble-burying behavior in micea
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4. Discussion
This is the first report to show that LS fruit can modulate the compulsive behavior. These studies
were carried out by employing an animal model, and the marble-burying behavior of mice was
considered as the marker index of compulsive behavior characteristically evident in OCD.
Marble-burying behavior is an unconditioned, specific defensive reaction in rodents, which is not
associated with physical danger and does not habituate upon repeated testing [21]. In male mice, it
is markedly attenuated by acute administration of SSRI and tricyclic antidepressants [24].
These observations suggest that the burying behavior in male mice models can be useful for
evaluation of compulsive behavior rather than anxiety [25]. Therefore, this paradigm was
employed in the present investigations. The present study revealed that LS fruit extract and its
bioactive fractions (100, 200 and 400 mg/ kg, p.o.) reduced marble-burying behavior and the
effect was comparable with that of fluoxetine (10 mg/kg, i.p.). According to pathophysiology,
OCD has been linked to abnormalities with the neurotransmitter serotonin, although it could be
either a cause or an effect of these abnormalities. Serotonin is thought to have a role in regulating
anxiety. To send chemical messages from one neuron to another, serotonin must bind to the
receptor sites located on the neighboring nerve cell. It is hypothesized that the serotonin
receptors of OCD sufferers may be relatively under stimulated. This suggestion is consistent with
the observation that many OCD patients benefit from the use of SSRIs, a class of antidepressant
medications that allow for more serotonin to be readily available to other nerve cells[26]. So, it
can be assumed that MLSF, CFMLS and AFMLS may have an identical effect to SSRI or some
inhibitory effect on serotonergic neurotransmission. Though AFMLS was found to be more
effective.
In the present study, phytochemical screening on fruits of LS revealed the presence of
flavonoids, steroids, saponins, terpenes and phenolic compounds. CFMLS showed the presence
of saponins, phytosterols, terpenoids and fats, while AFMLS showed the presence of saponins,
phenolic compounds, flavonoids and tannins. So it is believed that the mechanism of anti-
compulsive action of LS may be due to involvement of any of these phytoconstituents in
serotonergic neurotransmission.
Moreover, LS contains triterpepenoids (steroidal compounds), which are able to cross blood
brain barrier (BBB) due to their lipophilic nature. So, it can be assumed that such compounds
might also be responsible to elicit anti-compulsive action at a molecular level in central nervous
system[27].
5. Conclusion
This is the first report to show that methanolic extract of LS dose dependently attenuated marble-
burying behavior in mice, and the effect was comparable to that shown by fluoxetine, a reference
standard drug. The present study concludes that the methanolic extract of LS fruits and its
bioactive fractions viz., chloroform and acetone fractions show anti-compulsive (anti-OCD)
effect in dose-dependent manner. Phytochemical screening of the test drugs has shown the
presence of flavonoids, saponins and steroids, which may account for biological activities. In the
same way, identification and isolation of compound(s) responsible for the activity could be used
as prototype(s) to design new substances with anti-OCD action. Further major active components
and precise anti-compulsive mechanisms need to be identified.
ISBN: 978-93-5351-069-5 550

Conflict of interest statement

The authors declare they have no conflict of interest.
Acknowledgments
We are grateful to the Head, Department of Pharmaceutical Sciences, Saurashtra University,
Rajkot, Gujarat, India, for providing the facilities during the course of this study. Special thanks
to Prof. P. J. Parmar, Botanical Survey of India, for identification and authentication of the plant.
REFERENCES
[1] Rasmussen SA, Eisen JL. The epidemiology and clinical features of obsessive- compulsive disorder.
Psychiatr Clin North Am 1992;15:743-758.
[2] Bartz JA, Hollander E. Is obsessive-compulsive disorder an anxiety disorder? Prog Neuro-
Psychopharmacol Biol Psychiatry 2006;30:338-352.
[3] El Mansari M, Blier P. Mechanisms of action of current and potential pharmacotherapies of obsessive-
compulsive disorder. Prog Neuropsychopharmacol Biol Psychiatry 2006;30:362-373.
[4] Joel D. Current animal models of obsessive-compulsive disorder: A critical review. Prog
Neuropsychopharmacol Biol Psychiatry 2006;30:374-388.
[5] Archer T, Fredriksson A, Lewander T, Soderberg U. Marble burying and spontaneous motor activity in
mice: Interactions over days and the effect of diazepam. Scand Psychol 1987;28:242-249.
[6] Poling A, Cleary J, Monaghan M. Burying by rats in response to aversive and nonaversive stimuli. J Exp
Anal Behav 1981;35:31-44.
[7] Wilkie DM, MacLennan AJ, Pinel JP. Rat defensive behavior: Burying noxious food. J Exp Anal Behav
1979;31:299-306.
[8] Londei T, Valentini AM, Leone VG. Investigative burying by laboratory mice may involve non-functional,
compulsive behaviour. Behav Brain Res 1998;94:249-254.
[9] Treit D. A comparison of anxiolytic and nonanxiolytic agents in the shock probe/burying test for
anxiolytics. Pharmacol Biochem Behav 1990;36:203-305.
[10] Rahman AS. Bottle Gourd (Lagenaria siceraria)-a vegetable for good health. Natural Product Radiance
2003;2:249-250.
[11] Shinrajan VV, Balachandra I. Ayurvedic Drugs and their plant source. New Delhi: Oxford and IBH
Publishers; 1996. p. 176-7.
[12] Kirtikar KR. Indian medicinal plants. Dehradun, India: Oriental Enterprises; 2001. p. 722-3.
[13] Chopra RN, Chopra IC, Verma BS. Supplement of Glossary of Indian Medicinal plants. New Delhi:
Council of Scientific and Research; 1992. p. 51.
[14] Duke JA. Handbook of Phytochemical and Constituents of Grass herbs and other economic plants. Boco,
Raton, FL: CrC Press; 1999. p. 98-119.
[15] Evans WC, Treese GD. Pharmacognosy. London: Balliere, Tindall; 1996. p. 388-433
[16] Sonja S, Hermann S. Analysis of Curcubitacins in medicinal Plants by HPLC-MS. Phytochem Analysis
2000;11:121.
[17] Shirwaikar A, Sreenivasan KK. Chemical investigation and antihepatotoxic activity of the fruits of
Lagenaria siceraria. Ind J Pharm Sci 1996;58:197-202.
[18] Baranowska MK, Cisowski W. High Performance Liquid Chromatographic determination of Flavone C-
glycosides in some species of the Curcubiraceae family. J Chromatography A 1994;675:240-243.
[19] Khandelwal KR. Preliminary phytochemical screening. In: Practical Pharmacognosy. 6th ed. Pune: Nirali
Prakashan; 2006. p. 149-53.
[20] OECD. Guidance Document on Acute Oral Toxicity. Environmental Health and Safety Monograph Series
on Testing and Assessment 2000, No.24.
551 ISBN: 978-93-5351-069-5

[21] Njung'e K, Handley SL. Evaluation of marble-burying behavior as a model of anxiety. Pharmacol Biochem
Behav 1991a;38:63-67.
[22] Njung'e K, Handley SL. Effects of 5-HT uptake inhibitors, agonists and antagonists on the burying of
harmless objects by mice; a putative test for anxiolytic agents. Br J Pharmacol 1991b;104:105-112.
[23] Gaikwad U, Bhutada P, Wanjari M, Umathe S. LHRH antagonist attenuates the effect of fluoxetine on
marble-burying behavior in mice. Eu J Pharmacol 2007;563:155-159.
[24] Ichimaru Y, Egawa T, Sawa A. 5-HT1A-receptor subtype mediates the effect of fluvoxamine, a selective
serotonin reuptake inhibitor, on marble-burying behavior in mice. Jpn J Pharmacol 1995;8:65-70.
[25] Milla MJ, Dekeyne A, Papp M, La Rochelle CD, Macsweeny C, Peglion JL, et al. S33005, a novel ligand
at both serotonin and norepinephrine transporters: II. Behavioral profile in comparison with venlafaxine,
reboxetine, citalopram and clomipramine. J Pharmacol Exp Ther 2001;298:581-591.
[26] BBC Science and Nature: Human Body and Mind. Causes of OCD. Available from:
http://www.bbc.co.uk/science/humanbody/mind/articles/disorders/causesofocd.shtml[last accessed on 2006
Apr 15].
[27] Librowaski P, Czarapki R, Mendyk A, Jastrzebska M. Influence of new monoterpene homologous of
GABA on the CNS activity in mice. Pol J Pharmacol 2000;52:317-321.
ISBN: 978-93-5351-069-5 552

PCP039
DISSOLUTION ENHANCEMENT OF NISOLDIPINE USING POROUS
CARRIER
Ashwini Patel Dr. Manisha Lalan
Babaria Institute of Pharmacy Babaria Institute of Pharmacy
patelashwini1987@gmail.com manishlalan.bip@bitseducampus.ac.in
______________________________________________________________________________
Abstact
Nisoldipine, a calcium channel blocker is used in management of hypertension with very low
oral bioavailability (5%) due to its low dissolution rate in gastric fluid. Hence to improve its
adsorption and bioavailability, enhancement of dissolution of nisoldipine is necessary. The aim
of present study is to enhance dissolution of nisoldipine by incorporating it in porous carrier
(Neusilin US2). Drug loading was done by using two different methods like solvent evaporation
and hot melt method. Different drug and carrier ratio were explored and preliminary studies
indicated use of solubiliser like poloxamer to enhance further dissolution. Drug loaded carrier
were characterized using different techniques like FTIR, DSC, X-ray diffraction, SEM. The drug
loaded carriers were mixed with suitable excipients and compressed into tablet form. In
comparison to direct compression nisoldipine tablets, these inclusion formulations showed high
dissolution. Moreover, in-vitro absorption test was carried out by using gut sac method which
indicated enhanced absorption of drug through GIT. Further, accelerated studies also showed no
change during storage at elevated temperature and humidity condition. Such scalable
modifications in formulation enhance dissolution of poorly soluble BCS class 2 drugs to improve
their efficacy and utility.
Keywords: Nisoldipine, solvent evaporation, hot melt, gut sac method, BCS class II
1. INTRODUCTION
Reason of administration convenience, flexibility in designing dosage form, cost effectiveness, minimum
sterility restriction makes oral ingestion is most preferable route for patients as well as manufacturer.
Many potential molecules are not marketed for management of disease conditions due to their poor
solubility. Hence aqueous solubility and permeability is often the rate limiting factor for oral
bioavailability for many molecules. Enhancement of dissolution is one of the prominent approaches
applied for poorly soluble drugs which increase its effectiveness and potency. Various methods are used
for increasing solubility like particle size reduction, crystallization, emulsification, and
microencapsulation [1]. Nano carrier technology shows greater significance where fine particles of
molecules adsorb or entrap into porous carrier which increase amorphous characteristic of active drug.
The amorphization increases dissolution in gastrointestinal fluid and ultimately improves the absorption.
Porous carrier permits inclusion of drug molecules in their mesoporous structure and convert them from
their crystalline form to amorphous form. They are now a days choice of researchers for entrapment of
poorly water soluble drugs to improve their dissolution and absorption. The selection of carrier is also
553 ISBN: 978-93-5351-069-5

important factor in the dissolution pattern of drug-carrier complex. Chemistry and physical structure is
key factor in its selection. [2].
Nisoldipine, a dihydropyridine calcium channel blocker antihypertensive drug, belongs to BCS class 2[3].
It shows low bioavailability and low systemic circulation because of poor water solubility and hepatic
metabolism. The available marketed formulations of Nisoldipine are extended release tablets only. A
number of researchers have explored dissolution enhancement of the drug using various techniques. There
is a need for developing a reliable, easy, scalable and cost effective solution to address its dissolution
limitations.
The objective of present study was to enhance dissolution of Nisoldipine by entrapping into porous carrier
using solvent evaporation as well as hot melt method.
2. MATERIAL AND METHOD
2.1. Material
Model/Investigation drug, Nisoldipine, (Alembic Pharmaceutical Limited) and porous carrier Neusilin
US2 (Fuji chemicals, Japan.) were received as gift sample.
2.2. Methods
Nisoldipine was physically examined for various physicochemical properties. The solubility and
identification of drug were performed by UV spectrophotometer [4] and the FTIR spectra. Drug-
excipient compatibility study was carried out by FTIR. Phase solubility studies with poloxamwer 188
were carried out by Higuchi and Connors methods [5].
2.2.1.Drug Loading in Porous Carriers:
1) By hot melt method
Nisoldipine and neusilin US2 were heated separately on sand bath above 1600C. On sand
bath drug and carrier mixed properly for different time intervals.
2) By solvent evaporation method
Nisoldipine was dissolved in Acetone and the porous carrier was added in to Nisoldipine
solution. The porous carrier was mixed in drug solution and sonicated for different time
intervals. Same way, Nisoldipine loaded porous carrier with poloxamer 188 was
prepared.
2.2.2.Characterization of drug loaded carriers
Characterization of drug loaded carrier was performed by differential scanning calorimetry,
scanning electron microscopy and X-ray diffraction techniques. These methods confirm the
change in crystalline form to amorphous form.
2.2.3. Preparation and characterization of Tablets of drug loaded porous carrier
Flow properties of drug loaded carrier were performed and average 200 gm weight of tablet was
prepared. Post compression parameters like friability, hardness, disintegration time, drug content
were obtained [6].
Dissolution Study:
The dissolution rates of tablets and marketed product were measured using the USP dissolution
apparatus II. The Comparison of two dissolution profiles performed based on determination of
Dissimilarity (f1) and Similarity (f2). The area under a dissolution curve between defined time
intervals, and the appropriate factors has been related the characterization of dissolution profile
[7].
2.2.4.Apparent Permeability Assessment by Gut Sac Method:
In Gut sac method, portion of ileum of wistar rates was separated and the formulation was
injected which was allowed to remain suspended in tyroid solution + 0.5 % SLS for 1 hr with
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aeration. After 1 hr sample was collected and absorbance was measured at 238 nm in UV
spectrometer. Permeability of sample formulation was calculated by following equation:
Papp = V/A × dc/dt × 1/Co
Where v is the volume of acceptor solution, A is the surface area, Co is the initial drug loaded
2.2.5.Accelerated Stability Study:
The Optimized formulation was set aside for accelerated stability study according to ICH
guidelines (RT and 40 ± 2ºC and 75 ± 5% RH) for one month in a stability chamber. Various
parameters were evaluated. Similarity factor (ƒ2) was used to evaluate the change in drug
release.
3. RESULT AND DISCUSSION:
Nisoldipine is yellow coloured odourless powder having melting point of about 150 0C and maximum
solubility in methanol was observed. Characteristics peaks from IR spectra showed compatibility of
Nisoldipine with Neusilin US2.
Fig: 1 (a) DSC thermogram of Nisoldipine (b) X-Ray Diffractogram of Nisoldipine
DSC thermogram and X-ray diffractogram of Nisoldipine show a sharp peak indicating that the
Nisoldipine is in crystalline state. In Phase solubility graph, the regression coefficient (r 2) about 0.937 and
negative values of Gibb’s free energy of transfer (ΔG°tr) give evidence of increased solubility of
Nisoldipine in presence of poloxamer 188.
Figure 2: Phase solubility of Nisolidipine with Poloxamer 188
Process optimization:
Any further increase in time did not give enhancement of dissolution. Moreover, it can be concluded that
solvent evaporation technique is more reliable as better dissolution profiles were obtained than hot melt
technique for drug loading.
Characterization of drug loaded carriers
From DSC thermogram of Nisoldipine adsorbed on Neusilin US 2 shows a small board peak near 220-
230 0C which attributed to transformation of crystalline to amorphous form and presence of Neusililn US
2 which was also evidence from X-ray Diffraction.
555 ISBN: 978-93-5351-069-5

Fig: 3 %CDR from drug loaded porrous carrier
Characterization of Tablets of drug loaded porous carrier
The batches prepared using varying ratio of drug: carriers were found satisfactory in all pre-compression
evaluations. Increase in concentration of porous carrier will influence the flow properties of drug loaded
porous carrier. The disintegration time for all the batches was less than 2 min. Hence, the time for
disintegration of the tablets is not expected to be the rate limiting step for dissolution & bioavailability.
All the batches showed drug content between 95-105%.
Table no: 1 Pre-compression parameters of drug loaded porous carrier (Nisoldipine: NeusilinUS2)
Batch no Hot melt method Solvent evaporation Solvent evaporation method with
(drug:ca method poloxamer 188 (@ drug : carrier –
rrier) 1:5)
Carr’s Angle of Carr’s Angle of Conc. of Carr’s Angle of
index repose (θ) index repose(θ) poloxamer index repose (θ)
(%) (%) (%)
N5 (1:5) 8.57 ± 31.79 ± 10.6 ± 31.76 ± P3 (0.3%) 8.51± 33.82±
1.613 0.595 0.65 0.650 1.571 0.769
N6 (1:6) 7.38 ± 30.54 ± 10.1 ± 29.92 ± P4 (0.4%) 8.37± 31.79±
0.892 0.569 0.77 0.149 1.613 0.595
N7 (1:7) 6.24 ± 28.36 ± 8.7 ± 28.14 ± P5 (0.5%) 7.38± 30.54±
0.972 0.789 0.64 0.278 0.892 0.569
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Table no: 2 Post-compression parameters of drug loaded porous carrier (Nisoldipine: NeusilinUS2)
Batc Avg. Wt Thick Diame Hardness Friability (%) DT (sec) % drug

h (mg) ness ter (Kg/cm2) content
(mm) (mm)
M5 198.7 ±1.9 3 9 4.5 ± 0.09 0.82 ±0.29 81 ± 1.24 96.8 ± 0.17
N5 202.8 ±1.1 3 9 4.2 ± 0.36 0.72 ± 0.51 78 ± 1.99 99.4 ± 0.54
P5 199.7 ±0.7 3 9 4.2 ± 0.49 0.82 ± 0.47 78 ± 1.89 98.1 ± 0.48
Drug loaded carriers prepared from optimised batch did not show more than 75% dissolution in one hour.
Hence, there is a need for further dissolution enhancement to prepare immediate release tablets. From
phase solubility studies, it can be concluded that Poloxamer 188 can enhance the solubility of Nisoldipine
which can translate to improved dissolution rate and ultimately bioavailability. Moreover, solvent
evaporation method shows good dissolution profile than hot melt method, different concentration of
Poloxamer were added to optimised batch of solvent evaporation method (N5) . Fig 8 depicts the
dissolution profile of optimised batch with Poloxamer 188 and from that 0.5% concentration of
Poloxamer 188 showed better dissolution profile. It dsiaplayed more than 75 % of drug release in one
hour and this batch fulfils the requirement of an immediate release tablet.
Fig: 7 Drug release profile of different formulations prepared by different methods
Comparison of the optimized batches and dissolution profile

From comparison between optimised batches and direct compression tablet indicates the adsorption of
drug on porous carrier leads to significant dissolution improvement. The techniques, hot melt and solvent
evaporation for drug loading do not show any different profile. However, inclusion of Poloxamer 188
drug adsorption process offers marked enhancement in dissolution than any other method because
adsorption of drug on porous carrier converts crystalline form of drug molecules into amorphous form,
also hydrophilic nature of polymer containing surfactant properties further increase dissolution. From the
data obtained during experiments it can be concluded that more than 75% dissolution is found in 1 hour.
The same trend is reflected in the dissolution efficiency results also.The batch prepared by solvent
evaporation along with poloxamer 188 displays maximum dissolution efficiency (63.8%).
557 ISBN: 978-93-5351-069-5

Table no: 3 Comparison of Dissolution Profile and Dissolution efficiency
Comparison F1 F2 Formulation Dissolution

efficiency (%)
DCT vs Hot melt 80.48 8.49 DCT 13.3 %
DCT vs Solvent evaporation 85 7.08 Hot Melt method 34.7 %
DCT vs Solvent evaporation with 144.20 3.158 Solvent evaporation 37.3 %
poloxamer 188
Hot melt vs Solvent evaporation 3.82 54.13 Solvent evaporation 63.8%
with poloxamer
188
Hot melt vs Solvent evaporation 35.32 13.56
with poloxamer 188
Solvent evaporation vs Solvent 31.31 15.15
evaporation poloxamer 188
Apparent permeability assessment by Gut Sac method

From observation, the apparent permeability for drug suspension and optimised drug loaded carrier
formulation were found 3.2 ± 0.9 × 10-6 and 7.4 ± 1.2 × 10-6 respectively. From this, it can be concluded
that optimised formulation shown better efficiency than drug suspension. The amorphous structure and
subsequent dissolution enhancement showed improvement in permeability.
Accelerated Stability Study
The formulation was set aside at 40 0C & 75% RH to check the stability of the formulation for 30 days.
There is almost no change in dissolution profile as well as compression parameters given in pharmacopial
range.
CONCLUSION
Inclusion of Nisoldipine in porous carrier exhibits improvement in dissolution profile of drug which could
be attributed to the drug amorphization and improved wettability of the drug on the surface of
mesoporous carriers. Method of drug loading can influence the dissolution enhancement as it affects the
inclusion characteristics. It was observed that drug inclusion improves dissolution significantly but it was
not sufficient to be classified as immediate release tablets. Hydrophillic polymers, surfactants can be
included in such formulations for further dissolution enhancement. Inclusion of Poloxamer 188 in the
formulation serves to improve the dissolution further. Nisoldipine is a BCS class 2 drug where dissolution
is the rate limiting step for bioavailability. The use of porous carriers alleviates this rate limiting step to
ultimately improve the intestinal permeability of the drug. Thus, the technique has proved itself to be a
ISBN: 978-93-5351-069-5 558

useful, easily scalable for bioavailability enhancement of poorly soluble drug, Nisoldipine. Further, in
vivo evaluations can ascertain the utility of the developed formulation.
REFERENCE:
[1] Sharma, N., & Bharkatiya, M. (2011). Solubility Enhancement Techniques: A Review. International
Journal of Pharmaceutical Erudition, 1(3), 40-53.
[2] Ahuja G and Pathak K., “Porous Carriers for Controlled/Modulated Drug Delivery.” I. J. Pharm. Sci., 2009,
71(6), 599–607.
[3] Benet L., “The Role of BCS (Biopharmaceutics Classification System) and BDDCS (Biopharmaceutics
Drug Disposition Classification System) in Drug Development.” J.Pharm. Sci., 2013, 102(1), 35-41.
[4] MS Mohammed. Der Pharma Chemica., 2011, 3 (4), 275-78.
[5] Higuchi T, Connors KA. Adv anal chem instrum. Phase-solubility Techniques. 1965; 4:117-212.
[6] Miura, H., Kanebako, M., Shirai, H., Nakao, H., Inagi, T. and Terada, K., 2010. Enhancement of
dissolution rate and oral absorption of a poorly water-soluble drug, K-832, by adsorption onto porous silica
using supercritical carbon dioxide. European Journal of Pharmaceutics and Biopharmaceutics, 76(2),
pp.215-221.
[7] United States Pharmacopiae National Formulary 24, 2000. United States Pharmacopial Convention,
Rockville, MD.
559 ISBN: 978-93-5351-069-5

PCP041
NANO SCALED CARRIERS BASED TRANSDERMAL DRUG
DELIVERY OF ACTIVES: OPTIMIZATION OF CRITICAL
QUALITY ATTRIBUTES AND EXPLORATION OF EFFICIENT
ACTION IN ARTHRITIS
Dr. Prachi Pandey

Assistant Professor
Babaria Institute of Pharmacy,Vadodara
prachipandey.bip@bitseducampus.ac.in
_____________________________________________________________________________
Abstract
To address the need of developing an efficacious and safe transdermal drug delivery system for
arthritis, the drug loaded liposomes and transferosomes were prepared for Nonsteroidal anti
inflammatory drugs and further incorporated in transdermal gel formulation. The formulations
were prepared by Experimental design using screened factors and their levels and by optimized
process parameters. Both the drug carriers were found in the nanometric range with size
uniformity with good zeta potential value indicating stability of drug carrier suspension. The
optimized transferosomal gel and liposomal gel of Aceclofenac showed better drug permeation
in ex-vivo studies through rat skin as compared to Plain drug gel. The transdermal drug
permeation was found to be highest for transferosomal gel, whereas drug was found to be
slightly retained in skin during permeation from liposomal gel formulation. The reason may be
fusion of Phospholipids during diffusion through skin. Both the liposomal gel and transferosomal
gel were found to have better bioavailability as compared to plain gel of Aceclofenac. Both the
transferosomal and liposomal gel showed better anti-inflammatory action than Marketed gel. The
analgesic activity was measured by Eddy’s hot plate method and it was found that transferosomal
gel has better analgesic action than Marketed gel.
The radioactive labelling experiment also showed greater permeation and deposition of drug in
skin when released through transferosomal gel as compared to Marketed gel. Thus the drug can
be released in a sustained manner from the skin from transferosomal gel. The rheological
properties of gel formulation indicated a potential to withstand stress conditions of handling and
packaging. The pH of the gel formulation was found to be compatible with the skin and the
formulation was also found to be free of any toxic organic solvent.
It was found that statistically, there is no any significant difference found among the size, zeta
potential and drug permeation profile from the batches at 0 month, 3 months and 6 months The
prepared formulation of drug carriers incorporated in gel can be a novel approach for treatment
of Arthritis through topical route through which the drug can permeate through skin and also
show sustained release characteristics.
Key words: Drug carriers, Arthritis, Transdermal gel
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1. INTRODUCTION
The present study is a novel approach of study in order to achieve a targeted drug delivery with
minimization of side effects in Arthritis, a very prevalent disease among elderly which leads to
disability. The treatment of arthritis by conventional methods produces many side effects in long
run due to which treatment cannot be continued for a long period.
The project is aimed to provide maximum efficacy by transdermal route with minimal side
effects. The drug delivery system developed shall be designed to target the inflamed tissue and
avoid the accumulation of drugs in other tissues, thereby minimizing the side effects of drugs.
Transferosomes are ultradeformable vesicle, elastic in nature which can squeeze itself through a
pore which is many times smaller (1/10th) than its size owing to its elasticity. These are applied
in a non-occluded method to the skin and have been shown to permeate through the stratum
corneum lipid lamellar regions as a result of the hydration or osmotic force in the skin.
Transfersomes are made up of a phospholipid component along with a surfactant mixture
(Sodium Cholate, Spans and Tweens).
The ratio and total amount of surfactants which acts as edge activator controls the flexibility of
the vesicle. The unique property of this type of drug carrier system lies in the fact that it can
accommodate hydrophilic, lipophilic as well as amphiphilic drugs. These ultradeformable drug
carriers trespass the intact skin spontaneously, probably under the influence of the naturally
occurring, transcutaneous hydration gradient. The `moisture seeking' (hydrotaxis) of
transfersomes permits the carrier to bring more than 50% of the epicutaneously administered
drug across the skin barrier. In a study on Ibuprofen transferosomes the best formulations were
observed with the use of Span 80 and Tween 80 where vesicle size was found to be 962 nm and
2250 nm respectively, and zeta potential (negatively charged) for Span 80 and Tween 80 was
found to be -16.1 and -17.5 respectively. The %EE of ibuprofen in the vesicles was 47.8 and the
elasticity of both increases with increase in surfactant conc. and were found to be 34.4 and 26.5,
in vitro skin permeation studies were carried by human cadaver skin using Franz diffusion cell,
and drug release after 24 hrs and flux was found 2.5824 and 1.9672 μg/cm2/hr respectively.
It is evident from one of the studies, where transferosomes of diclofenac Na were prepared using
soya phosphotidylcholine by suspending lipids in aqueous phase containing drug and thereafter
sonication, size achieved was in the range of 100-200 nm diclofenac association with
ultradeformable carriers have a longer effect and reach 10-times higher concentrations in the
tissues under the skin in comparison with the drug from a commercial hydrogel. In rats, a single
epicutaneous application of 2 mg of diclofenac per kg bodyweight in highly deformable carriers
produced at least 4 times higher drug concentration in the treated muscles than a drug-loaded
hydrogel.
Ketoprofen transferosome formulation has been marketing approval by the Swiss regulatory
agency (Swiss Medic) in 2007; the product is under the trademark Diractin of IDEA AG
(Munich) U.S. Pat. No. 6,165,500 (Idea AG) describes an adaptable bilayer vesicle comprising a
phospholipid combined with edge activators which include alcohols and surfactants such as
cholates or polyoxyethylene ethers. These ultradeformable particles are termed Transferosomes®
and are suitable for delivering hydrophilic and lipophilic agents through the hydrophilic pores in
the skin. Transferosomes® ranging from 200 to 600 nm in size physically appear as milky
561 ISBN: 978-93-5351-069-5

emulsions. For dermal delivery applications, a particle sizes in the range of 100 to 200 nm is
preferred. A pharmaceutical composition was prepared which comprises of a bilayer membrane
vesicles suspended in a liquid medium. The components were bilayer forming lipid, an
amphipathic analgesic drug and a surfactant capable of self-aggregation in the suspension
medium, surfactant selected were preferably nonionic such as polyethylene glycol-sorbitan-long
fatty chain ester, a polyethylene glycol-long fatty chain ester or ether and a
polyhydroxyethylene-long fatty chain ester (EP 1551370 B1).
3. OBJECTIVES: To
 Synthesize drug carriers by using phospholipids or any of the biocompatible or

biodegradable polymers by appropriate method such as film rehydration, bulk
rehydration and fragmentation and characterization by sophisticated instrumental
techniques
 Perform the optimization of carrier composition, size and characteristics of drug carriers
based on experimental design.
 Incorporate NSAIDs for which available and reported formulations pose some drawbacks
into carriers like liposomes and transferosomes.
 Develop particulate carriers into transdermal gel formulation and establishment of quality
control parameters such as particle size by suitable equipments using dynamic light
scattering method and microscopy), surface charge (zeta potential), assay, entrapment,
free drug content, gel characteristics etc.
 Perform In-vitro studies by determination of incorporation efficiency and stability and in-
Vitro membrane exchange assay.
 Perform Ex-vivo permeation studies to determine drug permeation through rat skin.
 Perform Pharmacokinetic studies – Determination of drug concentration in plasma, t max,
c max and AUC after transdermal administration of formulation in rats.
 Perform Radioactive tagging studies at INMAS, New Delhi for determining drug
permeation through skin.
 Perform Pharmacodynamic studies by performing antiedema activity and analgesic
activity in rats.
Product /Process developed

1. Development of optimized formulation of transferosomal and liposomal gel
2. Evaluation of optimized batch of transferosomal and liposomal gel formulation
3. Morphology study of liposomes and transferosomes.
4. Rheological studies of optimized carrier incorporated gel
5. Ex-vivo drug release studies for transferosomal, liposomal and plain drug gel
Formulation.
6. Residual solvent analysis for transferosomes and liposomes
7. Pharmacokinetics studies and comparative pharmacokinetic profiles of transferosomal
gel, liposomal gel and plain gel after administration in rats.
8. Pharmacodynamic studies of transferosomal gel, liposomal gel and plain gel after
administration in rats.
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9. Stability studies as per ICH Guidelines
The drug loaded liposomes and transferosomes were prepared for Nonsteroidal anti
inflammatory drug aceclofenac and further incorporated in transdermal gel formulation. The
formulations were prepared by Experimental design using screened factors and their levels and
by optimized process parameters.
The process of rotary vacuum evaporation at 50º C temperature and 90 rpm, for 20 minutescan
produce a thin film which is uniform and translucent in appearance. Probe sonication for 5 cycles
each of 2 minutes at amplitude of 60% using 13 mm standard probe can produce transparent
vesicular dispersion with reproducibility and uniformity in vesicle size.
Among phospholipids , 1,2-disteroyl –sn-glycero -3-Phospho-ethanolamine,Na salt was found to
be better for liposome preparation and among Surfactants ,Span 60 was screened as suitable
surfactant for transferosome preparation on the basis of size, drug entrapment efficiency and
drug release. The excipients were found to be compatible with the drug based on the results of
drug excipient compatibility studies. The transferosomes and liposomes batches were prepared
based on experimental design using minitab software 16. Both the drug carriers were found in
the nanometric range with size uniformity with good zeta potential value indicating stability of
drug carrier suspension.(Fig.1)
Fig.1. TEM image of Transferosomes
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On the basis of formulation optimization based on drug entrapment efficiency and in vitro drug
permeation studies, the optimized formulation of liposome was found to have a composition of
phospholipid 109.9 mg, and cholesterol 27.68 mg with 100 mg Aceclofenac ,whereas the
optimized formula of transferosomes was found to have a composition of Phospholipid 91.41
mg, surfactant 25mg and cholesterol 35.60 mg in formulation with 100 mg Aceclofenac. The
%drug entrapment of optimized formulation of transferosomes and liposomes were found to be
57.44 % and 51.02 % respectively which were very close to the target responses fixed in
Response surface methodology. Similarly, permeation flux of optimized formulation of
transferosomes and liposomes were found to be 28.69 and 26.88 µgcm-2 hr-1 respectively which
were very close to the target responses fixed in Response surface methodology. Therefore
optimized formulation was found to follow the prediction of possibility to meet the target
responses of %drug entrapment and permeation flux.
The optimized transferosomal gel and liposomal gel of Aceclofenac showed better drug
permeation in ex-vivo studies through rat skin as compared to Plain drug gel. The transdermal
drug permeation was found to be highest for transferosomal gel, whereas drug was found to be
slightly retained in skin during permeation from liposomal gel formulation. The reason may be
fusion of Phospholipids during diffusion through skin. Both the Transferosomal gel formulation
and Liposomal gel formulation showed sustained release of drug for more than 6 hrs.
Based on the pharmacokinetic studies, liposomal gel showed Cmax of 7.002 µg/ml and a Tmax
of 6 hrs, whereas the transferosomal gel showed Cmax of 8.879 µg/ml and a Tmax of 6 hrs. The
plain gel of Aceclofenac as compared to liposomal and transferosomal gel , showed lesser Cmax
but the same Tmax. The AUC was found to be highest for transferosomal gel (67.14 µg.hr/ml
)followed by liposomal gel (53.87 µg.hr/ml). Both the liposomal gel and transferosomal gel were
found to have better bioavailability as compared to plain gel of Aceclofenac(42.92 µg.hr/ml).
The anti inflammatory activity was measured by rat paw edema method using Plethysomometer
and it was observed that Aceclofenac transferosomal gel showed maximum anti inflammatory
action followed by liposomal gel. (Fig 2)
Group I- Control
Group II- Aceclofenac liposomal gel
Group III- Aceclofenac Transferosomal gel
Group IV- Aceclofenac Hifenac gel
Paw edema observed after 3 hrs

Fig.2.Paw edema comparison after administration of formulations
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Both the transferosomal and liposomal gel showed better anti-inflammatory action than
Marketed gel. The analgesic activity was measured by Eddy’s hot plate method and it was found
that transferosomal gel has better analgesic action than Marketed gel.(Fig.3)
Fig.3.Analgesic Activity by Eddy’s hot plate
The radioactive labelling experiment also showed greater permeation and deposition of drug in
skin when released through transferosomal gel as compared to Marketed gel. Thus the drug can
be released in a sustained manner from the skin from transferosomal gel. (Fig.4)
Fig.4. Drug Permeation study of Transferosomal gel through Newzealand Rabbit skin :-
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The radioactivity was detected in skin .The drug was found to permeate at every hour and
retained in skin after washing also. The drug retained in skin can be released in a sustained
manner
The rheological properties of gel formulation indicated a potential to withstand stress conditions
of handling and packaging. The pH of the gel formulation was found to be compatible with the
skin and the formulation was also found to be free of any toxic organic solvent. The
spreadability, gel strength and extrudability of the formulation were found to be satisfactory for
ease of application.It was found that statistically, there is no any significant difference found
among the size, zeta potential and drug permeation profile from the batches at 0 month, 3 months
and 6 months.
5. CONCLUSION:
The prepared formulation of drug carriers incorporated in gel can be a novel approach for
treatment of Arthritis through topical route through which the drug can permeate through skin
and also show sustained release characteristics. The localized action of drug through novel drug
carriers containing gel for prolonged period at the site of pain can provide more relief to patients
as well as can reduce the side effects of drug associated with conventional oral route such as
gastro-intestinal disorders in particular dyspepsia, abdominal pain, nausea and diarrhea.
6. REFERENCES:
[1] Guidelines for the management of rheumatoid arthritis. American College of Rheumatology Ad Hoc
Committee on Clinical Guidelines. Arthritis Rheum 1996;39 :713-22.
[2] McDougall R, Sibley J, Haga M, Russell A. Outcome in patients with rheumatoid Arthritis receiving
prednisone compared to matched controls. J Rheumatol 1994;21:1207- 13.
[3] Van Lent P. L., Holthuysen A. E., van den Bersselaar L., van Rooijen N., van de Putte L. B., van den Berg
W. B.1995 Role of macrophage-like synovial lining cells in localization and expression of experimental
arthritis. Scand. J. Rheumatol. Suppl. 101:83–89
[4] Adrian C. Williams, Transdermal and Topical Drug Delivery ,Pharma Press,Royal Pharma
Society,G.Britain,2003:125-135
[5] Faiyaz Shakeel, Mohammed SF Didler-Bazile.,Christian Prudhomme,Marie-Therrese Bassoullet,
Comparative Pharmacokinetic Profile of Aceclofenac from Oral and Transdermal Application, Journal of
Bioequivalence and Bioavailability, May-June 2009, Volume 1(1):013-017
[6] Gregor Cevc, Gabriele Blume, New highly efficient formulation of diclofenac for the topical, transdermal
administration in ultradeformable drug carriers, Transfersomes, Biochimica et Biophysica Acta
78137,2001,1:15.
[7] Mansoori M.A., Jawade S., Agrawal S., Khan M.I., Formulation Development of Ketoprofen Liposomal
Gel, IJPI’s Journal of Pharmaceutics and Cosmetology,2012, 2, 10:22-29
[8] Tabata Y., Inoue Y., Ikada Y. Size effect on systemic and mucosal immune responses induced by oral
administration of biodegradable microspheres. Vaccine, 1996, 14: 1677–1685.
[9] Power I., Fentanyl HCl iontophoretic transdermal system (ITS): clinical application of iontophoretic
technology in the management of acute postoperative pain, Br J Anaesth. 2007 ;98(1):4-11
[10] Schiffelers, R.M.; BakkerWoudenberg, I.A., Storm. G, Liposomes for Intravenous Drug Targeting: Design
and Applications,Biochim. Biophys. Acta, 2000, 1468(1-2): 253-261
[11] Lee R.J, Low P.S., Folate-Targeted Liposomes for Drug DeliveryJ. Liposome Res., 1997, 7(4):455-466.
[12] J. Lasch, R. Laub, W. Wohlrab, How deep do intact liposomes penetrate into human skin?, J. Control.
Release 18, 199:155–58.
[13] S. Zellmer, W. Pfeil, J. Lasch, Interaction of phosphatidylcholine liposomes with the human stratum
corneum, Bio. chim. Biophys.Acta 1237 ,1995 :176–182
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[14] Suraj R. Wasankar, Syed M. Faizi and Abhisek D. Deshmuk Formulation and development of liposomal
gel for topical drug delivery system, IJPSR, 2012; Vol. 3(11): 4461-4474.
[15] Mohammed Irfan, Sushma Verma, Alpana Ram, Preparation and characterization of ibuprofen loaded
transferosome as a novel carrier for transdermal drug delivery system Asian journal of pharmaceutical and
clinical research ,vol 5, issue 3, 2012.
[16] Gregor C, Dieter G, Juliane S, Andreas S, GabrieleB, Ultra-flexible vesicles, Transfersomes, have
anextremely low pore penetration resistance and transport therapeutic amounts of insulin across the intact
mammalian skin, Biophysica Acta, 1998,1368: 201-215.
[17] Trotta M, Peira E, Carlotti ME, Gallarate M, Deformable liposomes for dermal administration of
methotrexate, Int. J. Pharma, 2004: 270, 119.
[18] Indian .P,harmacopoeia 2010,vol-II,Published by Indian Pharmacopeial Commission,Ghaziabad,770
[19] United.States.Pharmacopoeia NF, 2009,vol-II, Published by U.S Pharmacopeial
Convention,Rockville,3372-3373
[20] Martindale-The complete Drug Reference,2007,Vol-I,Published by-Pharma Press,12.1370,1391
[21] Analytical profile of drug substances,Edited by-Klaus Florey, Published by-Academic Press,211-231
[22] Faiyaz Shakeel, Mohammed S F Didler-Bazile.,Christian Prud'homme,Marie-Therrese Bassoullet,Michel
aisal ,Sheikh Shafiq, Comparative Pharmacokinetic Profile of Aceclofenac from Oral and Transdermal
Application,Journal of Bioequivalence and Bioavailability,May-June 2009, Volume 1(1):013-017.
[23] Santanu Ghosh, B.B Barik, A Comparative Study of the Pharmacokinetics of Conventional and Sustained-
release Tablet Formulations of Aceclofenac in Healthy Male Subjects, Tropical Journal of Pharmaceutical
Research August 2010; 9 (4): 395-399
[24] C. Raghunadha Gupta, J. Vijaya Ratna ,Younoos Mohammad ,Development and validation of new RP-
HPLC method with UV detection for the determination of aceclofenac in plasma, Journal of Pharmacy
Research 2011,4(2):338-339
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PCP043
DERIVATIVE SPECTROPHOTOMETRIC METHOD FOR
ESTIMATION OF MIRABEGRON AND SOLIFENACIN SUCCINATE
USED IN THE TREATMENT OF OVERACTIVE BLADDER
SYNDROME
Pooja J. Tahilramani Khyati V. Upadhyay Dimal A. Shah

M. Pharm (Pursuing) M. Pharm (Pursuing) Associate Professor
Babaria institute of Babaria institute of pharmacy Babaria Institute of Pharmacy
pharmacy Khyati.upadhyay1@gmail.com dimalgroup@yahoo.com
tahilramani27@gmail.com
___________________________________________________________________________
Abstract
In the present work precise, accurate and cost effective UV derivative spectrophotometric
method has been developed for the determination of Mirabegron and Solifenacin succinate
combination used in the treatment of overactive bladder syndrome. The zero crossing point
were identified for both Mirabegron and solifenacin succinate where other drug gave good
absorbance. The wavelength selected for estimation of Mirabegron and solifenacin succinate
were 259.6 and 221.6 nm, respectively. The methanol was used as solvent and the method
was linear in the range of 4 – 18 μg/mL for Mirabegron and 5-25 μg/mL for solifenacin
succinate. The Proposed spectrophotometric method was validated as per the ICH Q2 (R1)
guidelines. The repeatability and intermediate precision studies were carried out and %RSD
was found to be less than 2. The limit of quantitation was found to be 4 μg/mL and 5 μg/mL
for Mirabegron and solifenacin, respectively. Moreover, % recovery of Mirabegron and
Solifenacin Succinate in combination was found to be in the range of 98.18-100.40 % and
98.40-100.10 % respectively. The applicability of the method was demonstrated by
determining the drug content in synthetic mixture where it exhibited good recovery. The
developed method was successfully applied for the determination of Mirabegron and
solifenacin succinate in combination.
Key words: Mirabegron, Solifenacin succinate, UV derivative spectrophotometry,

Overactive bladder syndrome.
___________________________________________________________________________
1. INTRODUCTION
Mirabegron (MIRA) is chemically 2-(2-amino-1,3-thiazol-4-yl)-N-[4-(2-{[(2R)-2-hydroxy-

2-phenylethyl]amino}ethyl)phenyl]acetamide. The empirical formula of MIRA is
C21H24N4O2S and a molecular weight of 396.509 g/mole. MIRA is a potent and selective
agonist for β3 adrenergic receptors. Once β3 receptors are activated, the detrusor smooth
muscle relaxes to allow for a larger bladder capacity. It is used for Overactive bladder
syndrome[1]. Solifenacin Succinate (SOL) is chemically 1-Azabicyclo[2.2.2]octan-8-yl(1S)-
1phenyl-3,4-dihydro-1isoquinoline-2 carboxylate butanedioic acid. It has an empirical
formula C23H26N2O2.C4H6O4 and a molecular weight of 480.55 g/mole. Solifenacin is a
competitive antagonist of muscarinic receptor. The acetylcholine binds which M-3 receptor
which plays crucial role in contraction of smooth muscle. By inhibiting the binding of
acetylcholine, SOL reduces smooth muscle tone in the bladder due to which large volume of
urine is retained in the bladder and incontinence episodes are reduced [2]. The clinical study
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showed that combination therapy of MIRA and SOL is superior to mono therapy for the
treatment of overactive bladder syndrome and provides better reduction in frequency [3].
A literature survey showed that various analytical methods haves been reported for analysis
of Mirabegron alone and in combination with other drugs by spectrophotometry [4-6] and
liquid chromatographic method (LC) [7-10]. Solifenacin Succinate is official in British
Pharmacopoeia and European Pharmacopoeia. Estimation of SOL by UV [11], liquid
chromatographic (LC) [12-15], HPTLC[16] and LC-MS [17-18] have been reported in the
literature.
To best of our knowledge no method has been reported for estimation of MIRA and SOL in
combination. The present paper discusses development of first order derivative
spectrophotometric method for the analysis of MIRA and SOL in combination.
2. EXPERIMENTAL
2.1 Apparatus
2.1.1 Spectrophotometer.- UV-visible double beam spectrophotometer (UV-1800, Shimadzu
Corp., Japan) was used for the recording spectra. Matched quartz cell of 1 cm were used as a
sample holder.
2.1.2 Electronic balance.- Weighing was performed using using Shimadzu electronic balance
(AX 200 ,Shimadzu Corp., Japan).
2.2 Chemicals and Reagents

2.2.1 Pure samples.- Both standard drugs were gifted by Sun Pharmaceuticals Ind. Ltd.,
India.
2.2.2 Chemicals and Reagents.- Analytical reagent grade Methanol (S.D. Fine Lab) was used
as solvent.
2.3 First Order Derivative Spectrophotometeric Method
2.3.1 Selection of solvent

Methanol was selected as a solvent, because both the drugs are freely soluble in methanol.
2.3.2 Preparation of standard stock solutions
MIRA (10 mg) and SOL (10 mg) was weighed accurately and transferred in to two separate
10 mL volumetric flask. It is dissolved in few mL of methanol. Volume was made upto the
mark with solvent to obtain 1000 µg/mL of both MIRA and SOL. Appropriate aliquots were
taken from above solutions in separate volumetric flask and diluted with methanol to obtain
stock solution of 100 µg/mL for each drug.
2.3.3 Selection of wavelengths
The stock solution of MIRA and SOL were diluted with methanol and the find concentration
obtained was 10 µg/mL of each MIRA and SOL. The spectra were scanned for 10 µg/mL
solutions of both MIRA and SOL between the 400-200 nm. Spectra (Zero order) of both the
drugs were treated to obtain corresponding first order derivative spectra with delta lambda of
4 nm and scaling factor of 10.
The derivative spectra of both the drugs were overlapped. The Zero crossing point (ZCPs)
value of MIRA at which the SOL gave derivative responses was determined. For the
estimation of MIRA 259.6 nm was selected, where SOL gave zero absorbance at
concentration value. Similarly, 221.6 nm was selected for analysis of SOL, where MIRA
gave zero absorbance value at all concentrations. Zero crossing points for both the drugs were
confirmed by taking different concentrations of both MIRA and SOL.
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2.3.4 Preparation of Calibration curves

The calibration of MIRA and SOL were prepared by taking different aliquots from the stock
solutions and using methanol as a solvent. The calibration curve for MIRA was plotted in the
concentration range of 4-18 µg/ mL and SOL was plotted in the range of 5-25 µg/ ml. The
spectra of calibration were scanned between 400-200 nm and converted to obtain
corresponding first order derivative spectra. The regression equations were computed by
plotting a graph of concentration versus derivative response for both the drugs.
2.3.5 Method Validation
The developed spectrophotometric method was validated as per ICH guidelines [19] using
following procedure.
Accuracy
The accuracy was performed by the method of standard addition. Known amount of standard
stock solution of MIRA (0, 2.5, 5, 7.5 µg/ mL) and SOL (0, 5, 10, 15 µg/ ml) were added to
a previously analyzed synthetic mixture solutions. The spectra of solutions were scanned
between 400-200 nm and responses were derivatized. Derivative responses were measured at
the appropriate wavelengths and the amounts of drug recovered were estimated using
regression equation. The recovery was confirmed by analyzing drugs in triplicate at specified
concentrations.
Precision
The inter day and intraday precision study was performed by estimation of the derivative
responses at 3 times on the same day and on a 3 different days. Three concentrations (lowest,
medium and highest) covering the entire range were studied and variability in responses were
recorded in terms of relative standard deviation (RSD).
The repeatability studies were performed by estimating MIRA (12 g/ml) and SOL (15
g/ml) six times and relative standard deviations (RSD) were determined.
Robustness
Stocks solutions were preserved at 250C and monitored for 24 hours for any change in
derivate responses.
2.3.6 Laboratory prepared mixtures

Aliquots of MIRA stock solutions were taken in 10 mL flasks. Aliquots of SOL stock
solutions were added to the same flask. Solutions were diluted with methanol to obtain final
concentration of 4, 8, 12, 16, 18 µg/ mL of MIRA and 5, 10, 20, 25 µg/ mL of SOL.
Solutions were scanned between 400-200 nm and first order responses were noted at both
259.6 nm and 221.6 nm. The quantification was carried out by keeping values in the
regression equation.
2.3.7 Analysis of Synthetic mixture
Synthetic mixture was prepared by accurately weighing 50 mg of MIRA and 10 mg of SOL.
It was taken in 10 mL volumetric flask. Few ml of methanol was added to the flask to
dissolve the drugs and volume was made up to the mark with the methanol. Appropriate
aliquot was transferred to 10 mL volumetric flask and the volume was made up to the mark
with the same solvent to obtain a 500 µg/mL of MIRA and 100 µg/mL of SOL.
Appropriate aliquot was transferred to a 10 mL flask and diluted with methanol to obtain 50
µg/ml of MIRA (and 10 µg/ml of SOL). This solution was used for the estimation of SOL.
Above solution was further diluted to obtain final concentration of 7.5 µg/ml of MIRA (and
1.5µg/ml of SOL). This solution was used for the estimation of MIRA. The spectra were
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scanned between 400 – 200 nm and it was derivatized and responses were recorded at 259.6
nm and 221.6 nm. The amount of MIRA and SOL were determined by keeping the value of
derivative responses into the regression equation of calibration curve.
3.1 Selection of solvent and detection wavelengths

Methanol was selected as a solvent, because both the drugs are freely soluble in methanol.
Stock solutions of MIRA and SOL were diluted properly with methanol to yield 10 µg/ mL
of both the drugs. Solutions were scanned between the 400- 200 nm to obtain zero order
spectra. These spectra were converted to first order spectra with delta lambda of 4 nm and
scaling factor of 10. The derivative spectra of MIRA and SOL showed a Zero crossing point
(ZCPs) of MIRA at 221.6 nm where SOL gave good derivative response, while the SOL has
zero crossing point at 259.6 nm where MIRA gave good derivative response (Figure 1). The
zero absorbance point of both the drugs remained constant with different concentrations of
drugs. Therefore, 259.6 nm was used for quntitation of MIRA and 221.6 nm was used for the
estimation of SOL.
Fig. 1: Overlaid first order derivative spectra of Mirabegron and Solifenacin succinate
3.2 Validation of developed spectrophotometric method

MIRA was found to be linear in the concentration range of 4 - 18 µg/ mL, with a correlation
coefficient of 0.992. SOL gave linear response in the range of 5- 25 µg/ mL with correlation
coefficient 0.994. The regression data are represented in table 1.
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Table 1: Regression analysis of Calibration curve
Parameter MIRA SOL

Linearity (μg/mL) 4-18 5-25
Correlation coefficient (r) 0.992 0.994
Slope of Regression 0.024 0.027
Standard deviation of slope 0.0005 0.0008
Intercept of Regression 0.021 0.003
Standard deviation of intercept 0.003812 0.008489
The accuracy study was performed by recovery studies. The recovery of MIRA was found to
be in the range of 98.18-100.40 % and SOL was found to be in the range of 98.40-100.10 %.
The recovery values were above 98%, which proved that the method is accurate. Precision
studies were carried out to study the intra-day and inter-day variability of the method. The
relative standard deviation observed in the precision study was less than 2% which indicate
that the method is precise (Table 2). Stability of stock solutions was assessed upto 24 hours.
Percentage recovery for MIRA and SOL were found to be more than 98 % for both the drugs
after 24 hours which shows that the solutions were stable. The limit of quantitation was found
to be 4 μg/mL and 5 μg/mL for Mirabegron and solifenacin, respectively. The validation
parameters are summarized in Table 2.
Table 2: Summary of validation parameters
Parameters MIRA SOL

Detection limit (µg/mL) 1 1.5
Quantitation limit (µg/mL) 4 5
Accuracy(%) 98.18-100.40 98.40-101.10
Precision (RSDa,%)
Intra-day precision (n=3) 1.17-1.62 1.34-1.90
Inter-day precision (n=3) 0.87-2.0 1.11-1.67
Repeatability study (n = 6) 0.54 0.71
a
RSD is relative standard deviation and ‘n’ is number of determinations
3.3 Analysis of Laboratory prepared mixture and synthetic mixture

Different laboratory prepared mixtures were analysed by the proposed method to check the
validity of the developed method. The mean recoveries for the both the drugs were found to
be more than 98% which show that the method is accurate and precise. The proposed method
was used for the estimation of MIRA and SOL in synthetic mixture. The results were in
conformance with the labeled amounts (Table 3).
Table 3: Analysis of Synthetic mixture
Formulation Labelled % Recovery b

s Amount (mg)
MIRA MIRA SOL
SOL
A 50 10 98.78  0.76 99.28  0.49
b
mean value  standard deviation of three determinations
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4. CONCLUSION
A First order derivative spectrophotometric method has been developed and validated for the
estimation of MIRA and SOL in combination used for the treatment of overactive bladder
syndrome. Derivative spectrophotometric method is cost effective and requires less analysis
time compared to chromatographic method. The method was found to be linear in the range
of 4 – 18 μg/mL for Mirabegron and 5-25 μg/mL for solifenacin succinate. The Proposed
method was validated as per the validation of analytical method guideline of ICH Q2 (R1).
The % recovery of Mirabegron and Solifenacin Succinate was found to be in the range of
98.18-100.40 % and 98.40-100.10 % respectively. The method was found to be sensitive,
accurate and precise. The method was successfully applied for the estimation of both the
drugs in synthetic mixture and it can be used for the routing quality control analysis.
5. REFERENCES
[1] FDA label Mirabegron

https://www.accessdata.fda.gov/drugsatfda_docs/label/2012/202611s000lbl.pdf
[2] FDA label Solifenacin Succinate
https://www.accessdata.fda.gov/drugsatfda_docs/label/2012/021518s012lbl.pdf
[3] Abrams, P., Kelleher, C., Staskin, D., Kay, R., Martan, A., Mincik, I., Newgreen, D., Ridder, A.,
Paireddy, A. and van Maanen, R. (2017). Combination treatment with mirabegron and solifenacin in
patients with overactive bladder: exploratory responder analyses of efficacy and evaluation of patient-
reported outcomes from a randomized, double-blind, factorial, dose-ranging, Phase II study. World J.
Urol., 35(5),827-838.
[4] Ravisankar, P., Vidya, V.S., Nithya, P.D. and Babu, P.S. (2016). Validated UV spectrophotometric
method for quantitative determination of Mirabegron in bulk and Pharmaceutical dosage form. Der
Pharmacia Lettre, 8(14), 96-103.
[5] Rao, R. N., Madhuri, D., Reddy, S. S, Rani, K., Tejaswini, P., and Kumara, S. G. (2017). Development
And Validation Of Derivative Spectrophotometric Method For Estimation Of Mirabegron In Bulk And
Tablet Dosage Form. World J. Pharm. Res. 6(14), 760-767.
[6] Babu, G.R., Kumar, G.V., Kalyani, M., Roshna, M., Rani, P.J., Kumar, P.V. and Ajay, S. (2017).
Stability-indicating simultaneous estimation of vildagliptin and mirabegron in bulk and pharmaceutical
dosage form by using UV spectroscopy. World J. Pharm. Pharm. Res., 6 (5), 912-925.
[7] Spandana, R., Rao, R. N, Reddy S N. (2016). Analytical Method Development And Validation For
The Estimation Of Mirabegron In Bulk And Pharmaceutical Dosage Form By RP-HPLC. Indo Am. J.
Pharm. Res., 6 (11),6880-6887.
[8] Paisa, G.R. and Rao, R.A. (2017). Analytical method development and validation of Mirabegraon by
RP-HPLC Method. J. Pharm. Res., 11(6), 682-685.
[9] Chusena, N. B, Devala, Rao. G. (2012). RP – HPLC Method For The Determination Of Mirabegron In
Pharmaceutical Dosage Form, Am. J. PharmTech. Res., 2(6).
[10] Fan, Z., Yuxia, Z., Qiaogen, Z., Lili, S. and Ping, W. (2015). Liquid Chromatographic Separation and
Thermodynamic Investigation of Mirabegron Enantiomers on a Chiralpak AY-H Column. J.
Chromatographic Sci., 1361–1365.
[11] Teja, G,D, Dasu, C. D., Srinivasa, B. P., Ravisankar, P. (2016). Quantitative analysis of solifenacin
succinate in pharmaceutical dosage form using uv absorption spectroscopy. J. Chem. Pharm. Sci., 5
(4), 612-725.
[12] Annapurna, M.M., Sowjanya, G., Naidu, M.S. and Lohithasu, D. (2014). A validated liquid
chromatographic method for the determination of solifenacin succinate (Urinary antispasmodic) in
tablets. Chem Sci. Trans., 3(2), 602-607
[13] Shaik, R.P., Puttagunta, S.B., Kothapalli Bannoth, C. and Challa, B.S.R., (2014). Analytical Method
Development and Validation of Solifenacin in Pharmaceutical Dosage Forms by RP-HPLC. ISRN
Analytical Chem, 5.
[14] Desai, D., Patel, G., Shukla, N. and Rajput, S. (2012). Development and validation of stability-
indicating HPLC method for solifenacin succinate: Isolation and identification of major base
degradation product. A. Chrom., 24(3), 399-418.
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[15] Reddy, B.V., Reddy, B.S., Raman, N.V.S., Reddy, K.S. and Rambabu, C. (2013).
Development and validation of a specific stability indicating high performance liquid chromatographic
methods for related compounds and assay of solifenacin succinate. J. Chem.,10.
[16] Desai, D., Mehta, G., Ruikar, D., Jain, R. and Rajput, S. (2011). Development and Validation of
Stability-Indicating HPTLC Method of Solifenacin Succinate. Asian J. Pharm. & Biol. Res., 1(3).
[17] Puttagunta, S.B., Shaik, R.P., Bannoth, C.K., Challa, B.S.R. and Awen, B.Z.S., (2014). Bioanalytical
method for quantification of Solifenacin in rat plasma by LC-MS/MS and its application to
pharmacokinetic study.” J. Anal. Sci. Tech., 5(1), 35.
[18] Paliwal, N., Jain, P., Dubey, N., Sharma, S., Khurana, S., Mishra, R. and Paliwal, S.K. (2013). Liquid
chromatography tandem mass spectrometry method for quantification of solifenacin in human plasma
and its application to bioequivalence study. Int. J. Drug Dev. Res., 5, 91-101.
[19] International conference on harmonization of technical requirements for registration of pharmaceutical
for human use, validation of analytical procedure: Text and Methodology ICH Q2 (R1), 2005.
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PCP044
ORAL SOLID DOSAGE FORM CARRYING THE ANTIOXIDANT
ACTIVITY OF POMEGRANATE PEEL EXTRACT
Dr. Vandana B. Patel Ms. Roshni D. Amin Ms. Payal M Parmar Dr. Prachi Pandey
Professor & Principal Student Student Assistant professor
Babaria Institute of Babaria Institute of Babaria Institute of Pharmacy, Babaria Institute of
Pharmacy, Vadodara Pharmacy, Vadodara Vadodara Pharmacy, Vadodara
vbpatel04@yahoo.com roshniamin.pharm payalparmar413 prachipandey.bip
@gmail.com @gmail.com @bitseducampus.ac.in
______________________________________________________________________________
Abstract
The present invention provides a tablet dosage form containing antioxidant activity of
pomegranate (Punica granatum Linn.) peel extract. Pomegranate peel extract contains total
polyphenols in concentration of 39±2.63 % w/w which has been utilized as an antioxidant in the
prepared tablet. The tablet dosage form has been prepared by wet granulation method using
Pomegranate peel extract along with excipients such as binders, diluents, granulating agents,
lubricants, glidants and disintegrating agents. The wet granulation for preparation of tablets was
performed using polar solvent water and also by using non-polar solvent isopropyl alcohol.
The tablet dosage form containing pomegranate peel extract was developed and also the indirect
spectrophotometric method for the estimation of total phenolic content in formulated tablet
dosage form was developed and validated. The specific extraction method was developed and
validated for extraction of total polyphenols from the prepared tablet dosage form.
At formulation development stage, critical parameters were evaluated at every processing stage.
During Compression, test parameters were evaluated and found to be of hardness NLT 3.0
kg/cm2, thickness 5.0 mm ± 0.3 mm, diameter 12.0 mm ± 0.3 mm, friability NMT 1.0 %, DT
NMT 15 min and content of pomegranate peel extract 90-110 %. During Coating, test parameters
were evaluated and found to be of hardness NLT 3.0 kg/cm2,thickness 5.0 mm ± 0.3 mm,
diameter 12.0 mm ± 0.3 mm, DT NMT 30 min and content of pomegranate peel extract 90-110
%. The results were satisfactory for the batch as per the predefined specifications. Further, an
optimized Soxhlet extraction method was utilized for the extraction of total polyphenols from
tablet dosage form for evaluation of total phenolic content in formulated tablet dosage form. The
% yield was found to be 86.49 % w/w on dried basis establishing the antioxidant potential of the
prepared tablet dosage form.
The main benefit of the prepared tablet dosage form over other available tablet dosage forms of
antioxidant drugs is its patient compliance due to possibility of lower side effects because of its
herbal origin of antioxidant component.
Key words: Tablet dosage form, pomegranate peel extract, Analytical method validation
575 ISBN: 978-93-5351-069-5

1. INTRODUCTION1
As per World Health Organization, herbal medicine is defined as finished, labeled medicinal
product which contain active ingredients, aerial or underground parts of the plant or other plant
materials or combinations.
1.1 Advantages of herbal medicines2
Herbs typically have fewer side effects than modern pharmaceutical drugs and may be safer to
use over time. There are number of advantages with herbal medicinal products over other
modern pharmaceutical drug products.
 Herbal medicines tend to be more effective for long-term health complaints that do not
respond well to traditional medicine.
 There is easy availability of herbal medicines without any kind of prescription.
 Herbal medicinal products are much lower in cost as compared to other modern
pharmaceutical drug products.
 Herbal medicine preparation requires simple extraction and isolation methods for their
purification as compared to other modern pharmaceutical drug products.
1.2 Need of Herbal medicines3
Herbal medicines are being used by about 82% of the world population primarily in the
developing countries for primary health care. They have stood the test of time for their safety,
efficacy, cultural acceptability and lesser side effects. The chemical constituents present in them
are a part of the physiological functions of living flora and hence they are believed to have better
compatibility with the human body. Ancient literature also mentions herbal medicines for age-
related diseases namely memory loss, osteoporosis, diabetic wounds, hormonal disease, immune
and liver disorders, etc. for which no modern medicine or only palliative therapy is available.
These drugs are made from renewable resources of raw materials by eco-friendly processes and
will bring economic prosperity to the masses growing these raw materials.
Punica granatum Linn. is a herbal plant widely used as an antihypertensive, antioxidant and anti-
inflammatory conditions. Punica granatum Linn. is official herbal medicine in Ayurvedic
Pharmacopoeia of India. The Tablet formulation of this herbal medicine is not official in any
pharmacopoeia. Thorough literature search revealed several TLC, GC-MS and HPLC methods
for estimation of Punica granatum Linn.
3. OBJECTIVE
 To formulate tablet dosage form containing P. granatum peel extract.
 To optimize extraction method for extraction of phytoconstituent from the formulated
tablet formulation.
 Phytochemical screening of extracted P. granatum peel.
 To develop indirect spectrophotometric analytical method for estimation of total phenolic
content in extracted phytoconstituents.
 To validate developed indirect spectrophotometric method as per ICH guidelines (Q2R1)
for following parameters:
1. Linearity
2. Accuracy
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3. Precision
4. Robustness and Ruggedness
5. LOD and LOQ
 To establish the antioxidant potential by determining the Polyphenol content in finished
tablet dosage form using validated analytical method
4. FORMULATION OF PUNICA GRANATUM FILM COATED TABLET
Optimized formula for Punica granatum film coated tablet was provided by Shaimil
Laboratories, Vadodara. Tablet containing 300 mg of punica granatum peel extract powder was
prepared by wet granulation method by using PVP K30 as a binder. Tablet is coated using
HPMC which act as a film forming agent. The optimized formula is given in Table 3. During
manufacturing of tablet dosage form, in process quality control process parameters were checked
such as size and shape, drug content, weight variation, disintegration, hardness and friability etc.
In the prepared finished tablet dosage form, assay was performed using developed and validated
analytical method in which total polyphenolic content was found to be 100.06% and the results
are shown in Table 2 and Table 1.
Table: 1 Optimized tablet formula
STAGE INGREDIENT PER TABLET (mg) PER TABLET (mg)

UNCOATED STAGE
Dry mixing Punica granatum peel extract 300 mg
Starch 100 mg
Microcrystalline Cellulose 100 mg
Granulation PVP K 30 12 mg
Isopropyl alcohol q.s
Lubrication Talc 5 mg
Magnesium Stearate 5mg
Silicon dioxide 10 mg
Sodium Starch glycolate 27 mg
Total 559mg
COATING STAGE
Hydroxypropyl methyl cellulose 15 mg
Titanium dioxide 2.5 mg
Talc 3 mg
Erythrosine lake 1 mg
Methylene chloride 0.18 mg
Isopropyl alcohol 0.12 mg
Polyethylene glycol 0.0015 mg
Peneaux 4R 3 mg
Total 580.80 mg
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Table: 2 Tablet specifications set at compression stage
Sr. No. Test Specification

1. Appearance Brown color, uncoated tablet with biconvex shape
2. Weight of 20 tablets 11.200 gm (± 3.0 %) (10.86 gm- 11.53 gm)
3. Avg. weight of 20 tablet 0.560 gm (± 5.0%) (-0.532 gm- 0.588 gm)
4. Uniformity of weight ± 5 % of Avg. Wt.
5. Diameter 12 mm (± 0.3 mm) (11.7 mm- 12.3 mm)
6. Thickness 5.5 mm (± 0.3mm) ( 5.2mm-5.8mm)
7. Hardness NLT 3 kg/ cm2
8. Disintegration time NMT 15 Minutes
9. % Friability NMT 1%
5. EXPERIMENTAL WORK - INDIRECT SPECTROPHOTOMETRIC METHOD

DEVELOPMENT
5.1 Preparation of working standard solution

An accurately weighed quantity of gallic acid (10 mg) was transferred to 10 ml volumetric flask,
dissolved and diluted to the mark with Water : Methanol (1:1 v/v) to obtain standard stock solution (1000
μg/mL). From this standard stock solution, 1 ml aliquot was transferred to 10 ml of volumetric flask and
diluted up to mark with Water: Methanol (1:1 v/v) to prepare 100 μg/mL working standard solution.
5.2 Detection wavelength
In the present study, the prepared solution of 100 μg/ml along with coloring reagent Folin cioaltue and
1M Sodium carbonate, diluted with Water : Methanol (1:1 v/v) was scanned in the Visible region of 400-
800 nm using Thermo scientific UV Spectrophotometer. Figure 1 shows the scanned spectra of standard.
Figure 1 Scanned spectra of working standard gallic acid solution (100 μg/ml)
5.3 Preparation of calibration curve

From the working standard solution of gallic acid, aliquots of 4.0, 6.0, 8.0, 10.0 and 12.0 ml were pipetted
out in separate 100 ml volumetric flasks. To it was added 5 ml (1 ml in 10 ml of water) of coloring
reagent, folin cioaltue, and 4 ml of 1M sodium carbonate. The volume was made up to the mark with
Water: Methanol (1:1 v/v) to get concentration range of 40- 120 μg/ml. The solutions were scanned over
400-800 nm and an overlay spectrum were obtained. The calibration graph and data are shown in figure 2,
3 and Table 4.
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Figure 2 Overlay spectra of calibration range of gallic acid (40-120 μg/ml)
Figure 3 Calibration curve of gallic acid
Table: 3 Tablet specifications set at coating stage
Sr. No. Test Specification

1. Appearance Brown color, uncoated tablet with biconvex shape
2. Weight of 20 tablets 11.200 gm (± 3.0 %) (10.86 gm- 11.53 gm)
3. Avg. weight of 20 tablet 0.560 gm (± 5.0%) (-0.532 gm- 0.588 gm)
4. Uniformity of weight ± 5 % of Avg. Wt.
5. Diameter 12 mm (± 0.3 mm) (11.7 mm- 12.3 mm)
6. Thickness 5.5 mm (± 0.3mm) ( 5.2mm-5.8mm)
7. Hardness NLT 3 kg/ cm2
8. Disintegration time NMT 15 Minutes
9. % Friability NMT 1%
Table:4 Calibration data of gallic acid
Sr. No. Concentration (μg/ml) Absorbance* ± SD (n= 5)

1. 40 0.111 ± 0.0082
2. 60 0.300 ± 0.0118
3. 80 0.513 ± 0.0035
4. 100 0.734 ± 0.0088
5. 120 0.933 ± 0.0038
5.4 Analytical estimation

5.4.1 Analysis of Extract peel powder solution
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An accurately weighed extracted peel powder of Punica granatum Linn. in quantity of 1 gm was
transferred to a 100 ml volumetric flask, dissolved and diluted up to the mark with Water:
Methanol (1:1 v/v). Aliquots of 1 ml was transferred to 100 ml volumetric flask and diluted up to
mark with Water: Methanol (1:1 v/v) to prepare 1000 μg/ml. Aliquot of 5 ml was transferred to
100 ml volumetric flak. To it was added 5 ml (1 ml in 10 ml of water) of coloring reagent folin
cioaltue and 4 ml of 1M sodium carbonate. The volume was made up to the mark with Water:
Methanol (1:1 v/v) to get bluish violet color solution. The absorbance was measured at the
detection wavelength of 650 nm and concentration was determined using the prepared calibration
curve.
5.4.2 Analysis of tablet sample solution
An accurately weighed crushed tablet powder equivalent to 1 gm weight of peel extract was
transferred to a 100 ml volumetric flask and refluxed. The extract recovered from the reflux
process in quantity of 1 gm was further dissolved and diluted up to 100 ml with Water: Methanol
(1:1 v/v). Aliquot of 1 ml was transferred to 100 ml volumetric flask and diluted up to mark with
Water: Methanol (1:1 v/v) to prepare 1000 μg/ml. Aliquot of 5 ml was transferred to 100 ml
volumetric flak To this was added 5 ml (1 ml in 10 ml of water) of coloring reagent folin cioaltue
and 4 ml of 1M sodium carbonate. It was diluted up to the mark with Water: Methanol (1:1 v/v)
to get a bluish violet colored solution. The absorbance was measured at the detection wavelength
of 650 nm.
5.4.3 Analysis of placebo sample solution
An accurately weighed powder of excipients, 1gm, was transferred to a 100 ml volumetric flask,
dissolved and diluted up to the mark with Water: Methanol (1:1 v/v). Aliquot of 1 ml was
transferred to 100 ml volumetric flask and diluted up to mark with Water: Methanol (1:1 v/v) to
prepare 1000 μg/ml. Aliquot of 5 ml was transferred to 100 ml volumetric flak. To this was
added 5 ml of coloring reagent folin cioaltue and 4 ml of 1M sodium carbonate. The volume was
made up to the mark with Water: Methanol (1:1 v/v). The absorbance was measured at detection
wavelength of 650 nm.
6. VALIDATION OF INDIRECT SPECTROPHOTOMETRIC METHOD

The proposed method was validated according to the International Conference on Harmonization
(ICH) guidelines.
6.1. Linearity and Range:
The linearity and range was determined by analyzing five independent levels of calibration curve
in the range of 40-120 μg/ml of extracted powder, measured at λmax of 650 nm. The calibration
curve of absorbance at selected wavelength v/s Concentration was plotted and correlation
coefficient and regression line equations for extracted powder were calculated. The results are
shown in Table 5.
Table: 5 Regression data analysis by indirect spectrophotometric method
Parameter Observation
Wavelength 650 nm
Range 40-120 μg/ml
Regression equation Y= 0.010 x -0.313
Slope - 0.313
Intercept 0.999
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6.2. Method precision

6.2.1 Repeatability
Extracted powder solution having concentration of 80 μg/ml was analyzed for six times using
developed indirect spectrophotometric method. The results are shown in Table 6.
Table: 6 Repeatability data of indirect spectrophotometric method
Replicates Absorbance (80 μg/ml)

1. 0.513
2. 0.517
3. 0.509
4. 0.510
5. 0.511
6. 0.513
Mean ± SD 0.5121 ± 0.285
% RSD 0.346
Table: 7 Intra-day precision by indirect spectrophotometric method
Peel extract concentration (μg/ml) Absorbance (mean ± SD) n= 3 % RSD

40 0.1070 ± 0.300 0.7140
80 0.5146 ±0.4042 0.4884
120 0.9393 ± 0.2082 0.1662
Table: 8 Inter-day precision by indirect spectrophotometric method
Peel extract concentration (μg/ml) Absorbance (mean ± SD) n= 3 % RSD

40 0.1023 ± 0.2082 0.5010
80 0.5140 ±0.5656 0.6840
120 0.9360 ± 0.8920 1.5140
6.2.2 Intermediate precision

Extracted powder solution having concentrations of 40, 80, and 120 μg/ml were analyzed three
times on the same day using developed indirect spectrophotometric method and % RSD was
calculated. The results are shown in Table 9.
6.2.3 Interday Precision
Extracted powder solution having concentrations of 40, 80, and 120 μg/ml were analyzed three
times on three different days using developed indirect spectrophotometric method and % RSD
was calculated. The results are shown in Table 8.
6.3 Limit of detection and limit of quantification
LOD and LOQ of the drug were derived by calculating the signal-to-noise ratio (i.e. 3.3 for LOD
and 10 for LOQ) using the following equations designated by International Conference on
Harmonization (ICH) guideline.
LOD = 3.3 Χ σ/S and LOQ = 10 Χ σ/S ; Where, σ = the standard deviation of the response
S = slope of the calibration curve.
581 ISBN: 978-93-5351-069-5

6.4 Accuracy (recovery study):

It was determined by calculating the recovery of spiked extracted powder from pre-analyzed
tablet formulation by standard addition method. The target concentration was taken as 40 μg/ml
of powder extracted from tablet. The spiking was done at three levels 80%, 100 % and 120 %.
The amount of recovery was calculated at each level and % recoveries were computed. The
results are shown in Table 9.
Table: 9 Recovery data of extracted peel powder by indirect spectrophotometric method
Drug Spiking Amount of Amount of powder Amount %

level present in peel extract added recovered (mean* Recovery
mixture (μg/ml) (μg/ml) ± SD) (μg/ml) ± SD
Tablet 80 % 40.0 32.0 31.63 ± 0.4933 99.476 ±
peel 1.2623
extract 100 % 40.0 40.0 40.23 ± 0.6491 100.583 ±
0.7637
120% 40.0 48.0 48.36 ± 0.4509 100.763 ±
0.9393
6.4.1 Assay of total phenols in prepared tablet dosage form:

An accurately weighed crushed tablet powder equivalent to 1 gm weight of peel extract was
transferred to a 100 ml volumetric flask and refluxed. The extract recovered from the reflux
process in quantity of 1 gm was further dissolved and diluted up to 100 ml with Water: Methanol
(1:1 v/v). Aliquot of 1 ml was transferred to 100 ml volumetric flask and diluted up to mark with
Water: Methanol (1:1 v/v) to prepare 1000 μg/ml. Aliquot of 5 ml was transferred to 100 ml
volumetric flak To this was added 5 ml (1 ml in 10 ml of water) of coloring reagent folin cioaltue
and 4 ml of 1M sodium carbonate. It was diluted up to the mark with Water: Methanol (1:1 v/v)
to get a bluish violet colored solution. The absorbance of mixture was measured at detected
wavelength 650 nm using reagent blank. The % Assay against the label claim of peel extract was
calculated using the regression line equation of calibration curve as per the method of estimation.
The results are shown in Table 10.
Table: 10 % drug content data of extracted peel powder by indirect spectrophotometric method
Sr. No. Amount of peel extract taken Amount found % Drug
(μg/ml) (μg/ml) content
1. 50.0 49.8 99.6

2. 50.0 50.2 100.4
3. 50.0 49.9 99.8
4. 50.0 50.1 100.2
5. 50. 50.3 100.6
6. 50. 49.9 99.8
Mean ± - 50.03 ± 0.1962 100.06 ± 0.3933
SD
% RSD - 0.3921 0.3931
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6.6 Solution stability:

Solution of extracted powder (having strength of 60 μg/ml) was kept at room temperature and
also in refrigerator. After 0, 4, 8, 12 and 24 hours, the solutions were analyzed using developed
indirect spectrophotometric method and % RSD was calculated. The results are shown in Table
11.
Table:11 Solution stability data by indirect spectrophotometric method
Sr. Peel extract Conc. Time (hour) Absorbance

No. (μg/ml) At room temp. At refrigerator
temp.
1. 0 0.513 0.511
2. 4 0.517 0.508
3. 60 μg/ml 80 0.520 0.513
4. 12 0.513 0.511
5. 21 0.515 0.509
Mean 0.5156 0.5104
SD 0.00296 0.00194
% RSD 0.5753 0.3819
6.7 Chromophore stability studies:

To the solution of extracted powder (having strength of 60 μg/ml) is added 5 ml (1 ml in 10 ml
of water) of coloring reagent folin cioaltue and 4 ml of 1M sodium carbonate and it was further
diluted to 100 ml with Water: Methanol (1:1 v/v). A bluish violet color produced in the mixture
was kept at room temperature and in refrigerator. After 0, 10, 20, 30 and 60 minutes, the
solutions were analyzed using developed indirect spectrophotometric method and % RSD was
calculated. The results are shown in Table 12.
Table:12 Chromophore stability data by indirect spectrophotometric method
Sr. Peel extract Conc. (μg/ml) Time (hour) Absorbance Temperature

No.
1. 0 0.014 Room temperature
2. 10 0.294
3. 100 μg/ml 20 0.740
4. 30 0.747
5. 60 0.658
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Table:13 Summary of Validation data
Sr. No. Parameter Results

1. Linearity and range
a) Range (μg/ml) 40-120 (μg/ml)
b) Correction coefficient 0.999
2. Precision
a) Repeatability % RSD 0.346
b) Intra-day % RSD 0.1662-0.7140
c) Interday % RSD 0.5010-1.5140
3. LOD (μg/ml) 1.7
LOQ (μg/ml) 5.37
4. Accuracy 99.476-100.763 %
5. Assay 100.06%
6. Specificity Specific
7. Solution stability Stable for one day
8. Chromophore stability Stable for 30 minutes
7. RESULTS:
The tablet dosage form containing pomegranate peel extract was developed and also the indirect
spectrophotometric method for the estimation of total phenolic content in formulated tablet
dosage form was successfully developed and validated as per ICH guidelines. The specific
extraction method was also developed for extraction of total polyphenols from the prepared
tablet dosage form. The linearity range was found to be 40-120 (μg/ml) with Correction
coefficient of 0.999.
At formulation development stage, critical parameters were evaluated at every processing stage.
During Compression, test parameters were evaluated and found to be of hardness NLT 3.0
kg/cm2, thickness 5.0 mm ± 0.3 mm, diameter 12.0 mm ± 0.3 mm, friability NMT 1.0 %, DT
NMT 15 min and content of pomegranate peel extract 90-110 %. During Coating, test parameters
were evaluated and found to be of hardness NLT 3.0 kg/cm2,thickness 5.0 mm ± 0.3 mm,
diameter 12.0 mm ± 0.3 mm, DT NMT 30 min and content of pomegranate peel extract 90-110
%. The results were satisfactory for the batch as per the predefined specifications. Further, an
optimized Soxhlet extraction method was utilized for the extraction of total polyphenols from
tablet dosage form for evaluation of total phenolic content in formulated tablet dosage form. The
% yield was found to be 86.49 % w/w on dried basis establishing the antioxidant potential of the
prepared tablet dosage form.
8. CONCLUSION
Tablet formulation development of Punica granatum peel extract was made and it matches with
its predefined specifications. For analytical purpose, indirect spectrophotometric method
developed for estimation of total phenolic content in prepared tablet dosage form by using
specific extraction method. Developed indirect spectrophotometric method was validated as per
ICH guidelines. The results clearly indicate that the developed Indirect spectrophotometric
method is accurate, specific and precise with good sensitivity and it shows potential utility for
ISBN: 978-93-5351-069-5 584

estimation of total phenolic content in developed tablet dosage form. The prepared tablet dosage
form was found to contain more than 99% polyphenol content as determined by validated
analytical method, indicating the integrity of herbal component in the finished tablet dosage
form. Thus, prepared novel tablet dosage form was found to definitely possess the antioxidant
potential of Punica granatum peel extract with probability of avoidance of side effects.
9. REFERENCES
[1] Daniel M. Medicinal Plants Chemistry and Properties. USA: Science Publishers; 2006.
[2] Quality Standards of Indian Medicinal Plants, Government of India, New Delhi, Vol 3, 299-306.
[3] The Ayurvedic Pharmacopeia of India, Government of India, Ministry of Health and family Welfare,
Department of AYUSH, Volume 4, Part 1,20-26.
[4] Sangeetha G, Vijayalakshmi K, “Determination of Bioactive Components of Ethyl Acetate Fraction of
Punica granatum Rind Extract”, International Journal of Pharmaceutical Sciences and Drug Research,
2011, Vol 3, Issue 2, 116-122.
[5] Vishal C, M.Pharm thesis, “ Isolation of Chemical Constituents of Punica granatum towards achieving
chemical standardization.” Rajiv Gandhi University of Health Science of Karnataka, March 2010.
[6] Amani S, Giles E, Ghanim A, Harrasi A and RahmanM S, “Phenolic Constituents of Pomegranate Peels
(Punica granatum L.) Cultivated in Oman “, European Journal of Medicinal Plants, 2014, vol 4, Issue 3,
315-331.
[7] Gelareh M, Zahra E, Karamatollah R, “Identification and quantification of phenolic compounds and their
effects on antioxidant activity in pomegranate juices of eight Iranian cultivars”, Food Chemistry, 2009, Vol
115, 1274-1278.
[8] K.Vijayalakshmi, J.Sangeetha, “physicochemical evaluation and chromatographic fingerprint Profile of the
rind of ganesh variety of punica granatum linn”, International Journal of Pharma and Bio Sciences, 2012,
Vol 3, Issue 1, 329-337.
[9] S Rajan, S Mahalakhmi, VM Deepa, “ Antioxidant potentials of punica granatum fruit rind extract” ,
International Journal of Pharmacy and Pharmaceutical Sciences, 2011, vol 3, Issue 3, 82-87.
585 ISBN: 978-93-5351-069-5

PCP046
STABILITY INDICATING RP-HPLC METHOD DEVELOPMENT AND
VALIDATION FOR ESTIMATION OF XYLOMETAZOLINE
HYDROCHLORIDE AND IPRATROPIUM BROMIDE IN
PHARMACEUTICAL DOSAGE FORM
Priyanka M Yadav Dr Hiral J Panchal

PhD Research Scholar, Professor and Head,
Gujarat Technological University Department of Quality Assurance,
ypriyanka09@gmail.com K.B.Raval College of Pharmacy
hir_panchal@ymail.com
______________________________________________________________________________
Abstract
A simple, precise and rapid stability-indicating RP-HPLC assay method was developed for the
simultaneous quantitative estimation of Xylometazoline HCl and Ipratropium Br from their nasal
spray formulation. It involved Hypersil C18 column (250 mm × 4.6 mm, 5 μm). The separation
was achieved using the mobile phase contains Acetonitrile : Potassium dihydrogen phosphate
buffer with 0.2 % triethylamine (60:40 v/v), mobile phase was adjusted pH 4 using 10 %
orthophosphoricacid. The flow rate was maintained to 1 ml/min. The retention time of
Ipratropium Br and Xylometazoline HCl were found to be 2.45 and 6.36 minutes respectively.
The total runtime was 10.0 minutes within which two active compounds and their degradation
products were separated. Acid, base, peroxide, thermal and photolytic degradation was carried
out and significant degradation was achieved except peroxide and thermal degradation. The
method was found to be specific enough to separate degradation products from main analytes.
The method was linear in the range of 25-125 µg/ml (r2=0.9991) and 30-150 µg/ml (r2=0.9981)
for Xylometazoline HCl and Ipratropium Br respectively. The described method was validated
with respect to specificity, linearity, accuracy, precision, LOD, LOQ and robustness. Result of
each parameter was met with its acceptance criteria. So it was concluded that the method is
specific, accurate and precise and is suitable for analysis of these two drugs in presence of
degradation products.
Keywords: RP-HPLC; SIAM; degradation product; xylometazoline HCl; ipratropium Br
1 INTRODUCTION
Xylometazoline HCl (Xh) is a imidazole derivative, act as long acting nasal decongestant,
sympathomimetic activity. Xh is freely soluble in water, in ethanol (96 %) and in methanol.
Chemically Xh is 2-(4-tert-butyl-2,6-dimethylbenzyl)-2-imidazoline hydrochloride. Ipratropium
Br (Ib) is an anticholinergic drug. Ib is freely soluble in water and in ethanol. Chemically Ib is
[8-methyl-8-(1-methylethyl)- 8-azoniabicyclo[3.2.1] oct-3-yl] 3-hydroxy-2-phenyl-propanoate.
Combining these two drugs can be used for the treatment of nasal congestion (Xh) associated
with rhinorrnea (Ib) which it is available as a nasal drop.
No Method for simultaneous estimation of Xh and Ib is available in literature. Literature survey
reveals that spectrophotometric and HPLC methods for the estimation of Xylometazoline
ISBN: 978-93-5351-069-5 586

hydrochloride from bulk drugs and pharmaceutical formulation have been developed either alone
or in combination with other drugs. Whereas there are spectrophotometric, HPLC, LC/MS/MS
methods for the estimation of Ipratropium bromide from bulk drugs and pharmaceutical
formulation have been developed either alone or in combination with other drugs. However, no
stability indicating method has been reported so far for simultaneous estimation of both drugs in
combined pharmaceutical dosage form by HPLC.
2 EXPERIMENTAL WORKS
2.1 Materials and Methods

The Active pharmaceutical ingredient of Xh and Ib were procured as a gift samples. HPLC grade
acetonitrile, methanol, orthophosphoric acid, triethylamine and water were purchased from
Merck Ltd. Hydrochloric acid, sodium hydroxide, hydrogen peroxide, potassium dihydrogen
phosphate were of analytical grade.
2.2 Apparatus
WATERS 996 HPLC instrument equipped with a photo diode array detector, isocratic pump
system, auto injector, and Hypersil ODS column (250 X 4.6 mm id, and 5 μm particle size).
2.3 Chromtographic condition

The Hypersil ODS column was used at room temperature. The composition of mobile phase was
Acetonitrile:Potassium dihydrogen phosphate buffer (40:60, v/v) and adjusted pH to 4.0 ±0.02.
Flow rate was 1 mL/min. Then filtered the mobile phase through Nylon membrane filter (0.45
μm) and degassed the mobile phase through sonication for 10 min. Wavelength was 220 nm.
Injection volume was 20 μL.
2.4 Standard stock solution preparation for Xh and Ib mixture

A 25 mg of standard Xh and 30 mg of standard Ib were accurately weighed and transferred to a
50 ml volumetric flask and dissolved in 30 ml of water and sonicated for 5 min. Made up to the
mark with the water to give a solution containing 500 μg/ml of Xh and 600 μg/ml of Ib. The
above solution was filtered through whatman filter paper (0.45 μm). Then take 1 ml of stock
solution and dilute up to 10 ml with water.
2.5 Sample preparation

Transfer 10 ml from formulation to aspecified 100 ml volumetric flask, add 50 ml of water and
sonicated for 5 min. The flask was shaken and the volume was made up to the mark with the
water. The above solution was filtered through whatman filter paper (0.45 μm).
2.6 Method validation

Developed HPLC method was validated as per the International Conference on Harmonization
(ICH) guidelines Q2 (R1).
2.6.1 Specificity
An accurately weighed quantity (50 mg) of Xylometazoline HCl & (60 mg) Ipratropium Br was
transferred in to 100 ml volumetric flask, dissolved and diluted to volume with water to make
500 µg/ml Xh and 600 µg/ml Ib. This is the stock solution for forced degradation.
587 ISBN: 978-93-5351-069-5

2.6.1.1 Acid degradation

1 ml of forced degradation standard stock solution was transferred in to 10 ml of volumetric
flask. 2 ml of 1 N HCl solution was added and mixed well. The volumetric flask was kept for 24
hrs at RT. After time period the above solution was neutralized with 2 ml of 1 N NaOH solution,
adjust the pH of solution to 7.0 and then make up the volume with diluent.
2.6.1.2 Base degradation
flask. 2 ml of 1 N NaOH solution was added and mixed well. The volumetric flask was kept for
24 hrs at RT. After time period the above solution was neutralized with 2 ml of 1 N HCl
solution, adjust the pH of solution to 7.0 and then make up the volume with diluent.
2.6.1.3 Peroxide degradation
flask. 2 ml 3% H2O2 was added and kept the volumetric flask for 24 hrs at RT. After time period
content was diluted to volume with diluent.
2.6.1.4 Photo degradation
1 ml of forced degradation standard stock solution was expose to 1.2 million lux hours in photo
stability chamber for 24 hours then make dilution in such way that the final concentration for Xh
50 ppm and Ib 60 ppm achieved.
2.6.1.5 Thermal degradation
flask. The volumetric flask was stored in oven at 105°C for 24 hrs. After time period the content
was cooled to ambient temperature and diluted to volume with diluent.
2.6.2 Calibration curve (linearity of the HPLC method)

Calibration curves were constructed by plotting peak area vs concentrations and the regression
equations were calculated. The calibration curves were plotted over the five different
concentration range 25-125 μg/ml of Xh and 30-150 μg/ml of Ib.
2.6.3 Precision
The repeatability studies were carried out by estimating the response of 50 μg/mL Xh and 60
μg/mL Ib six times and results are reported in terms of relative standard deviation. The intra-day
and inter-day precision studies were carried out.
2.6.4 Limit of Detection and Limit of Quantitation

LOD and LOQ were calculated using the following equation as per ICH guidelines.
LOD = 3.3 σ/S
LOQ = 10 σ/S
Where σ = Standard deviation of response and S = Slope of calibration curve.
2.6.5 Accuracy (% recovery)

It was carried out to determine the suitability and reliability of the proposed method. Accuracy
was determined by calculating the % Recovery of Xh and Ib from the marketed formulation by
the standard addition method in which, known amounts of standards samples of Xh and Ib at
50%, 100% and 150% levels were added to the preanalysed samples.
ISBN: 978-93-5351-069-5 588

2.6.6 Robustness
It was studied by changing the flow rate (±10%) and the pH (±0.05 units) of mobile phase.
3 RESULT AND DISCUSSION
3.1 HPLC method development and optimization

The optimized method was achieved with Hypersil ODS column and potassium dihydrogen
phosphate buffer:Acetonitrile (pH 4) (40:60, v/v) as the mobile phase at a flow rate of 1 ml/min.
The quantitation of Xh and Ib were achieved at 220 nm. The optimized conditions of the HPLC
method were validated for the analysis of Xh and Ib in pharmaceutical formulations and
application for QC. Fig. 1 shows a typical chromatogram obtained by the proposed RP-HPLC
method, demonstrating the resolution of the symmetrical peak corresponding to Xh and Ib. The
retention time observed 2.45 and 6.36 min for Ib and Xh respectively.
Figure 1 Chromatogram of standard solution containing 50 μg/ml of Xh and 60 μg/ml of Ib at 220

nm

Forced degradations are performed to provide indications of the stability-indicating properties of
an analytical method. The results from the stress testing studies indicated that the method was
highly specific for Xh and Ib. The drug was found to be unstable in acid, base and photo
degradation condition.
589 ISBN: 978-93-5351-069-5

Figure 2 Chromatogram of Xh and Ib and degradation

products (a) Acid degradation (b) Base degradation (c) Photo
degradation (d) Peroxide degradation and (e) Thermal degradation.
ISBN: 978-93-5351-069-5 590

Table 1 % degradation and peak purity match factor of Xh and Ib
% Degradation Peak purity Match factor

Standard Sample Standard Sample
Degradation condition
Xh Ib Xh Ib Xh Ib Xh Ib
Acid/1NHCL/2 ml/RT/
10.59 11.98 10.60 12.07 995 993 994 992
24 hrs.
Base/1N NaOH/2
17.57 17.37 17.52 17.31 994 992 992 991
ml/RT/24 hrs.
Oxidative/3%
1.42 1.21 1.46 1.25 998 997 996 993
H2 O2 /2 ml/RT/24 hrs.
Thermal/105°C/24 hrs 0.28 0.20 0.31 0.23 996 998 994 995
Photo/1.2million lux
20.78 20.25 20.71 20.18 994 995 993 995
hours/ 24 hrs
Specificity is the ability to accurately and specifically measure the analyte of interest in the
presence of other components that may be expected to be present in the sample matrix. The
linearity of a method is defined as its ability to provide measurement results that are directly
proportional to the concentration of the analyte. The precision was studied by calculating the
RSD for six determinations of the 50 μg/mL of Xh and 60 μg/mL of Ib performed on the same
day and under the same experimental conditions. The obtained RSD values were 0.12 % and
0.11 % for Xh and Ib respectively. Accuracy was determined over the range from lowest sample
concentration to highest concentration (i.e. at 50%, 100% and 150%). According to acceptance
criteria individual % recovery should be in the range of 98-102 %. The LOD and LOQ were
determined from linear regression curves. There were no significant changes in the
chromatographic pattern when the modifications were made in the experimental conditions, thus
showing the method to be robust.
Table 2 Summary of validation parameters
PARAMETER Xh Ib
Linearity 0.9991 0.9981
Accuracy (% Recovery) (n=3) 99.76-99.84 % 99.54-99.92%
Precision (%CV)
Repeatability (n=6) 0.12 0.11
Intraday (n=3) 0.21 - 0.32 0.20 - 0.23
Interday (n=3) 0.49 - 0.77 0.45 - 0.68
LOD (μg/mL) 1.2210 3.6192
LOQ (μg/mL) 3.7002 10.9673
Robustness (%CV)
Change in Flow Rate 0.35 0.75
Change in pH 0.49 0.72
591 ISBN: 978-93-5351-069-5

3.3 Method Application

The proposed RP-HPLC method was applied for the determination of Xh and Ib in
pharmaceutical dosage forms.
4 CONCLUSIONS
A simple and rapid isocratic stability-indicating RP-HPLC assay method has been developed and
validated for the determination of Xh and Ib in marketed formulation. The results of the
validation studies show that the RP-HPLC method is sensitive, accurate, specific and stability
indicating. The described method is validated with respect to specificity, linearity, accuracy,
precision, LOD, LOQ and robustness. Result of each parameter is met with its acceptance
criteria. So it is concluded that the method is specific, accurate and precise and is suitable for
analysis of these two drugs in presence of degradation products.
5 REFERENCES
[1] ICH Stability Testing of New Drug Substances and Products Q1A (R2), in: Proceedings of the International
Conference on Harmonization, 2003.
[2] ICH Validation of Analytical Procedures: Text and Methodology Q2 (R1), in: Proceedings of the International
[3] R.B. Patel, M.R. Patel, J.B. Mehta, Validation of stability indicating high performance liquid chromatographic
method for estimation of Desloratadine in tablet formulation, Arabian Journal of Chemistry 10 (1) (2017) 644-
650.
[4] Y. Chen, Y.U. Guo-zhong, Determination of impurity A and other related substances in xylometazoline
hydrochloride, J. Pharma. Ana. 30 (1) (2010) 142-144.
[5] Z. Milojevic, D. Agbaba, et al., High-performance liquid chromatographic method for the assay of
dexamethasone and xylometazoline in nasal drops containing methyl p-hydroxybenzoate, J. Chromatogr. A.
949 (1, 2) (2009) 79-82.
[6] H.M. Lotfy, S.S Saleh, Spectrophotometric and Chromatographic Methods for the Determination of a Binary
Mixture of Sodium Cromoglicate and Xylometazoline Hydrochloride, TIS J. Ana. Chem. 13 (4) (2013).
[7] M.H. Ekram, Spectrophotometric Determination of Ipratropium Bromide in Liquid for Nebulization,
Analytical letters 33 (8) (2000) 1531-1543.
[8] E.M. Hassan, Determination of ipratropium bromide in vials using kinetic and first-derivative
spectrophotometric methods, J. Pharma. Biomed. Ana. 21 (6) (2000) 1183-1189.
[9] V. Rathod, J. Tailor, Development And Validation of First Derivative Spectroscopy Method For Estimation of
Xylometazoline Hydrochloride And Ipratropium Bromide In Combined Dosage Form, Inventi J. Pharm Ana.
& Quality Assu. 13 (2013) 985.
[10] L.L. Chun, R. Zhang, et al., RP-HPLC determination of related substances in Ipratropium Bromide Solution
for Inhalation, Chinese J. Pharma. Ana. 12 (2008) 89-90.
[11] R. Vankudoth, R. Pratap, et al., RP-HPLC method for simultaneous estimation of ipratropium bromide and
levosalbutamol in pharmaceutical metered dose inhalers, Intrn. J. Research Pharma. & Chem. 3 (2013) 112-
120.
[12] N. Jyothi, K. VenuGopal, et al., Development and validation of an HPLC method for the simultaneous
estimation of the salbutamol sulphate and ipratropium in inhalation dosage forms, Intr. J. Pharma. Sci. 2
(2012) 79-83.
ISBN: 978-93-5351-069-5 592

PCP047
NOVEL ORAL AEROSOL OF VARDENAFIL FOR THE TREATMENT
OF ERECTILE DYSFUNCTIONING
Dr. Vandana B. Patel Mr. Niral Parikh Mr. Rushi J. Trivedi Dr. Prachi Pandey
Professor & Principal, Student, Student, Assistant Professor,
Babaria Institute of Babaria Institute of Babaria Institute of Babaria Institute of
Pharmacy,Vadodara Pharmacy, Vadodara Pharmacy, Vadodara Pharmacy, Vadodara
prachipandey.bip@bitsedu
vbpatel04@yahoo.com niral8690@gmail.com rushi29394@gmail.com
campus.ac.in
__________________________________________________________________
Abstract
An oral aerosol via buccal cavity is a promising approach in view of associated benefits such as
delivering the drug into the systemic circulation, bypassing first pass metabolism, dose
reduction, lesser side effects, improved patient compliance and improved bioavailability of drug
for diseases such as erectile dysfunctioning, angina, migraine, etc. In the present investigation, a
novel formulation of oral aerosol of vardenafil for the treatment of erectile dysfunctioning was
developed. The formulations were prepared implementing 22 full factorial design. The prepared
oral aerosol of vardenafil was subjected to evaluation parameters such as leak test, flammability,
density, valve discharge rate, spray pattern, spray angle and dose uniformity, ex-vivo
transmucosal drug diffusion study and stability study. The formulation was optimized based on
achievement of targeted responses. The optimized formula showed spray pattern of 2.758 ± 0.05
cm for up-right position and 1.725 ± 0.09 cm for horizontal position. The % cumulative drug
release from optimized formulation was found to be 18.25 % at the end of 15 minutes.
Considering both sides of buccal mucosa, total 36.50 % of dose can be said to have diffused
which indicates improvement in bioavailability of vardenafil.
Keywords: oral aerosol , buccal delivery, vardenafil

______________________________________________________________________________
1. INTRODUCTION
Sexual dysfunctioning used to be, and still is in many societies, a taboo subject, and the scientific
study of it has not been pursued as vigorously as that of other medical conditions. Erectile
Dysfunctioning is a condition faced by more than about 150 million men around the world
within their lifestyles. Currently available treatment review suggests that PDEs-5is are the most
effective agents used in the first line therapy for the symptomatic treatment of erectile
dysfunctioning. The present investigation is focused on Vardenafil, one of the PDEs-5is, that is
comparatively more potent with early onset of action. Vardenafil (Levitra) was licensed for
erectile dysfunctioning in 2003. It is administered in 5, 10, and 20 mg doses. Although it is
highly potent and effective, vardenafil suffers low bioavailability (absolute bioavailability only
15%) due to its high first pass metabolism. Oral aerosol is a type of pharmaceutical aerosol
which delivers the drug in oral cavity allowing rapid absorption of drug through buccal cavity
and hence provides faster relief in the treatment of any particular disease. Considering the
current needs of effective therapy for erectile dysfunctiong, formulation of a novel oral aerosol
593 ISBN: 978-93-5351-069-5

of vardenafil has been attempted in the present study.
Pragati Shakya et al. have discussed that Oral mucosal drug delivery is an alternative method of
systemic drug delivery that offers several advantages over both injectable and invasive methods
and also enhances drug bioavailability because the mucosal surfaces are usually rich in blood
supply, providing the means for rapid drug transport to the systemic circulation and avoiding, in
most cases, degradation by first-pass hepatic metabolism. U. Gresser et al in a review, observed
that according to epidemiological surveys, one in five men experiences impaired erection.
Although these erection disorders have been used to be attributed mainly to psychogenic causes,
they are now known to be prevalent in the 50-plus age group. Alon Marmor et al has studied
the effect of a new formulation of an aqueous solution of Isosorbide Dinitrate (ISDN) spray and
further compared with those of sublingual nitroglycerin (NTG) tablets in 12 patients with chronic
congestive heart failure. They found that, the onset of the hemodynamic effect of the new
formulation of ISDN spray is much more rapid than that of sublingual NTG tablets. At the doses
used, the magnitude of the effect of the ISDN spray on some of the hemodynamic variables was
greater than that of sublingual NTG. The literature support the fact that mucosal delivery through
oral aerosol route can be an effective approach for better bioavailabilty and patient compliance.
3. OBJECTIVES
 To formulate Oral Aerosol Drug Delivery System of Vardenafil based on quality by

design approach using variables such as different concentrations of penetration
enhancers, viscosity builders and different drug concentrate: propellant ratio.
 To evaluate the developed formulation for various evaluation parameters like
Physiochemical Parameters, Performance characteristics and ex-vivo transmucosal
diffusion Studies.
 Statistical analysis to select the best possible combination of variables to achieve the
target responses for the purpose of formulation optimization.
The batches containing formulations were prepared and optimized by implementing 22 full
factorial design. Manufacturing of aerosol product took place in two stages: manufacture of
concentrate and addition of propellant. The first stage i.e. drug concentrate preparation was
carried out by generalized procedures of simple mixing. All the ingredients except the propellant
were mixed thoroughly in required quantities as mentioned in Table 1. The second step i.e.
propellant filling was carried out using pressure filling technique. The concentrate was added to
the container at room temperature, and the valve was crimped in place. The propellant was then
added through the valve. Valve crimping and propellant filling was carried out by two different
machines i.e. semi automatic valve crimping and semi automatic propellant filling machine
respectively.
The prepared batches of oral aerosols were evaluated extensively and formulation optimization
was performed based on controlling critical quality attributes to prepare a quality targeted
product. The influence of formulation variables on % CDR and spray pattern are given in fig.nos
ISBN: 978-93-5351-069-5 594

1, 2, 3& 4, Wheres the design space for quality targeted product is shown in figure nos. 5 & 6.
Fig.1 Main effect plot for % CDR at the end of 15 min. Fig.2. Interaction plot for % CDR at the end of 15 min.
Fig.3. Main effect plot for spray pattern Fig.4 Interaction plot for spray pattern
Fig.5 . Contour plot of % CDR at the end of 15 min. Fig.6. Surface plot % CDR at the end of 15 min.
595 ISBN: 978-93-5351-069-5

Table 1: Formula composition of oral aerosol for 22 full factorial design
I Ingredients Vardenafil HCl Propellant (LPG) PropyleneP peppermint oil

Batch A Ethanol Glycol
F1 0.375 gm 6 ml 10 ml 4 ml q.s.
F2 0.375 gm 5 ml 10 ml 5 ml q.s.
F3 0.375 gm 6.6 ml 9 ml 4.4 ml q.s.
F4 0.375 gm 5.5 ml 9 ml 5.5 ml q.s.
F5 0.375 gm 6 ml 10 ml 4 ml q.s.
F6 0.375 gm 5 ml 10 ml 5 ml q.s.
F7 0.375 gm 6.6 ml 9 ml 4.4 ml q.s.
F8 0.375 gm 5.5 ml 9 ml 5.5 ml q.s.
Results showed the spray pattern within the range of 3.34 to 2.0 cm and % cumulative drug
release within the range of 11.04 to 18.25 % at the end of 15 minutes. The best fit formula in the
design space of targeted responses showed spray pattern of 2.758 ± 0.05 cm for up-right position
and 1.725 ± 0.09 cm for horizontal position .The % cumulative drug release from the optimized
formula was found to be 18.25% at the end of 15 minutes. Considering both sides of buccal
mucosa, a total of 36.50 % of dose can be said to have diffused which indicates improvement in
bioavailability of vardenafil.
6. CONCLUSION
The formulation can be said to be a patient compliant aerosol system which can be taken by
patients conveniently, when required. The prepared oral aerosol of Vardenafil was observed to
achieve significant improvement in efficacy due to effective mucosal permeation and drug
release characteristics. The prepared oral aerosol of Vardenafil can be said to be a novel dosage
form by adding technical advancement over the existing therapy.
7. REFERENCES
[1] Rathbone M.J., “Oral mucosal drug delivery”, Marcel Dekker, 1996, pp. 1–25
[2] Harry A dugger III, Mohammed Abd El-Shafy. Buccal polar and nonpolar spray containing Diazepam. U.S.
Patent application 11/ 443 254, 2006.
[3] R. Venkatalakshmi, “Buccal drug delivery using adhesive polymeric patches” ,Int. J.Pharma.sci.and research,
2012, Vol. 3, 1, 35-41.
[4] Rathbone M J, Tucker I G, “Mechanisms, barriers and pathways of oral mucosal drug permeation”, Adv. Drug
Del. Rev. 1993, 13, 1–22.
[5] Lizza EF, Rosen RG, “Definition and classification of erectile dysfunction”, Int J Imp Res, 1999,
11, 141-143.
[6] Kaiser FE et al., “Erectile dysfunction in the aging man”, Med.Clin North Am, 1999, 83, 1267-1278.
[7] David O.sussam, DO, “Pharmacokinetics, Pharmacodynamics, and efficacy of Phosphodiesterase
ISBN: 978-93-5351-069-5 596

type 5 inhibitors”, JAOA, 2004, 104, S11-S15.

[8] Pragati Shakya et al., “Orotransmucosal drug delivery systems: A review”, Journal of Controlled Release,
2009, 140, 2–11.
[9] U. Gresser, C. H. Gleiter et al., “Erectile dysfunction: comparison of efficacy and side effect of the PDE-5
inhibitors sildenafil, vardenafil, and taldenafil, review of literature”, Eur J Med Res, 2002, 7, 435-446
[10] Alon Marmor, “Comparative evaluation of a new formulation of isosorbide dinitrate (ISDN) oral spray and
sublingual nitroglycerin (NTG) tablets”, The American Journal of Cardiology, 1990, 65(21), J43-J45.
[11] Gohil Manisha, “Development and Validation of UV-Spectrophotometric Method for Estimation of Vardenafil
in Bulk and Tablet Formulation”, Inventi Rapid: Pharm Analysis & Quality Assurance, 2013, 2, 1-4.
[12] Sougata Jana, Dibyendu Lakshman, Kalyan Kumar Sen, Sanat Kumar Basu, “Development and Evaluation of
Epichlorohydrin Cross-linked Mucoadhesive Patches of Tamarind Seed Polysaccharide for Buccal
Application”, IJPSDR. 2010, 2(3), 193-198.
[13] ICH Harmonised Tripartite Guideline, “Stability Testing of new Drug Substances and Products Q1 A (R2)”,
Current Step 4 version, 2003
597 ISBN: 978-93-5351-069-5

PCP050
PREPARATION AND CHARACTERIZATION OF BINARY AND
TERNARY INCLUSION COMPLEX NANOSPONGES OF
CARBAMAZEPINE IN HPβCD AND PVP POLYMER
Rashmi Jagtap
Assistant Professor
Pioneer Pharmacy Degree College, Vadodara
rashmipjagtap@gmail.com
______________________________________________________________________________
Abstract
The rationale of this work was to prepare Carbamazepine Binary and Ternary Inclusion Complex
Nanosponges to enhance Carbamazepine (CBZ) solubility to solve Bioavailability problem. The
prepared Nanosponges (NS) were the hypercrosslinked Hydroxy propyl β-Cyclodextrin
(HPβCD) polymers nanostructured that form 3-dimensioal network with the cross linker
Diphenyl carbonate (DPC). The nanosponges were obtained by reacting HPβCD with Diphenyl
carbonate in absence of solvent using Ultrasound Assisted Synthesis Technology. The polymer
and cross linker were taken in 1:8 and 1:10 molar ratio. For Ternary system additional
hydrophilic polymer Polyvinylpyrrolidone (PVP) was taken in formulation. Nanosponge
formulations of CBZ were considered for various parameters like solubility study, phase
solubility study, loading efficiency of Nanosponges, Solution state interaction study, FTIR study,
DSC study, SEM study and Dissolution study for optimization. Formation of inclusion complex
was identified by solubility study and DSC analysis. The phase solubility study has been carried
out, that shows maximum solubility in Ternary system of Nanosponges of 1:8 Molar ratio than
Binary system of Nanosponges 1:8 and 1:10 Molar ratio (Nanosponges 0-2%), Ternary system of
1:10 Molar ratio (Nanosponges 0-2% and PVP 1%) and PVP (0-2%). SEM of CBZ loaded
Nanosponge showed particle size within range of 190-370 nm. The UV-Spectrophotometric
method for CBZ has been developed and validated for the linearity, accuracy, precision,
robustness and ruggedness. The results signify that Carbamazepine Nanosponge Ternary system
with 1:8 molar ratio showed significant increase in solubility of Carbamazepine.
Keywords: Nanosponges, Carbamazepine, Hydroxy propyl β-Cyclodextrin, Binary and

Ternary inclusion complex, Solubility enhancement.
______________________________________________________________________________
1 INTRODUCTION
The ideal drug delivery system will solubilize the drug, lead the therapy to the target site, and
release the therapy to fulfill the individual need of the patient and disease stage1. The prepared
Nanosponges were the hypercrosslinked Hydroxypropyl β-Cyclodextrin (HPβCD: Fig.1, 2 )
polymers nanostructured that form 3-dimensioal network with the cross linker Diphenyl
carbonate (DPC: Fig.4). The nanosponges were obtained by reacting HPβCD with Diphenyl
carbonate in absence of solvent using Ultrasound Assisted Synthesis Technology. The polymer
and cross linker were taken in 1:8 and 1:10 molar ratio. For Ternary system additional
hydrophilic polymer Polyvinylpyrrolidone (PVP: Fig.5) was taken in formulation.
Carbamazepine (Fig.3) is an antiepileptic drug and now considered to be a primary drug for
ISBN: 978-93-5351-069-5 598

treatment of partial and tonic-clonic seizures. CBZ belongs to Biopharmaceutical classification

system (BCS) class II. Thus it is assumed to be absorbed slowly and erratically after oral
administration due to limited aqueous solubility2. For such drug Nanosponge is a suitable
approach for enhancing solubility3. Nanosponge drug delivery system was developed to assess
the faster dissolution of Carbamazepine.
2 LITERATURE REVIEW
2.1 Review of Literature Related to Nanosponge Delivery System:

According to Deshpande A in condensation polymerization they had used Dimethylformamide as solvent,
Beta-cyclodextrin as polymer and carbonyldi-imidazoles as cross linker for preparation of Atorvastatin
nonosponges. Polymer to cross linker ratio taken is 1:4, 1:84.
In another study nanosponge loaded with Ciprofloxacin antibiotic resulted in sustained release. Their
study was related with sustained release of an antiulcer drug i.e., proton pump inhibitor. They had used
Solvent Evaporation Method5.
3 OBJECTIVES
1.To Improve Solubility of Carbamazepine (BCS II Drug).

2.To evaluate Nanosponges of Carbamazepine by using various evaluation parameters like
solubility study, loading efficiency, particle size and zeta potential, scanning electron
microscopy, X-ray diffraction, in-vitro drug release study.
4 EXPERIMENTAL WORK
4.1 UV-Spectrophotometric Method Development and Validation

The UV-Spectrophotometric method for Carbamazepine has been developed and validated for the
linearity (1-10µg/ml), accuracy (80%,100% and120%), precision(20µg/ml), robustness(20µg/ml) and
ruggedness(20µg/ml)6.
4.2 Formulation and Development

4.2.1 Synthesis of Nanosponges of Carbamazepine
In a 250 ml beaker weighed amount of HP β-CD and Diphenyl carbonate (DPC) taken in the
different molar ratio of HP β-CD: DPC for four formulation batches. Two different molar ratios
are selected for preparation of nanosponge powder that are 1:8 and 1:10 molar ratio. Subject this
mixture for sonication in an ultrasound bath filled with water at 90°C for 5 hrs. The reaction
mixture is allowed to cool down. The resultant cross-linked white block is to be broken down
roughly. Phenol crystals of fine needle shape get deposited on the flask’s neck and part of the
phenol developed helps the product to be agglomerated. Wash the product (roughly ground) with
water for the removal of non-reacted cyclodextrin, and purified in Soxhlet’s extraction apparatus
with ethanol7.
4.2.2 Loading of Carbamazepine in Nanosponges
Carbamazepine was dissolved in propylene glycol to form a solution. To this solution prepared
nanosponges of required molar ratio (1:8, 1:10) were added along with polyvinyl pyrrolidone and
triturated until the mixture dries. The drug, nanosponges, polyvinyl pyrrolidone were added in a
ratio of 1:1:1and 1:1:2 by weight. Four batches of two molar ratio are prepared
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separately(P,Q,R,S) and the obtained solid dispersion was dried in an oven overnight (at 50°C at
atmospheric pressure) to dry the resultant product. The obtained powder was sieved through 60
mesh and used for further work8.
4.3Characterization of Formulation
4.3.1 Solubility Study
Solubility study of Nanosponges performed in distilled water and organic solvents like DMF
(Dimethyl Formamide) and DMSO (Dimethyl Sulfoxide)7.
4.3.2 Phase Solubility Studies
Phase solubility equilibrium plots were obtained for both binary and ternary systems at 25 °C in
0.1 N HCl. Studies for binary system were carried out by adding excess amount of the drug to 10
ml of 0.1 N HCl containing increasing amounts of nanosponges (0–2% w/v) or polyvinyl
pyrrolidone (0–2% w/v). Studies for ternary systems were carried out by keeping the amount of
polyvinyl pyrrolidone constant (1% w/v) and increasing the amount of nanosponges from 0–2%
w/v. The so formed series of suspensions were equilibrated on a mechanical shaker for 48 h.
These suspensions were then filtered through a membrane filter (0.45μm) and absorbance was
measured for drug content8.
4.3.3 Saturation State Interaction Studies
Ultraviolet spectroscopy was used as a tool. Increasing concentrations of nanosponge solutions
(10–40 ppm) were added to fixed concentrations of drug 10 ppm. The samples were then kept
overnight for interaction. Finally the samples were scanned for λmax and absorbance were
measured8,9.
4.3.4 Loading Efficiency of Nanosponge
100 mg nanosponges dissolved in 20 ml ethanol. Stirring was carried out for 10 min to break the
complex. 2 ml solution was taken from above solution and diluted up to 10 ml with ethanol.
Then 1ml from this solution was taken and further diluted to 10ml. UV spectrophotometer was
used for determination of loading efficiency of nanosponges4,10.
4.3.5 In vitro Release Studies
The release rate of Carbamazepine from capsule was determined using the USP dissolution
testing apparatus basket type (Electrolab TDL-08L). The dissolution test was performed using
900ml 0.1N HCl at 50 rpm at 37±0.5oC. In the present study carried at different time interval in
120 min. The samples analysed for Carbamazepine content by measuring its absorbance at
285nm using Shimadzu 1700 UV-Visible spectrophotometer. The % drug dissolved was
calculated using disso software (PCP-v3)7,8.
4.3.6 FTIR of Optimized Nanosponge Formulation of Carbamazepine
IR absorption spectrum of Optimized Nanosponge formulation of Carbamazepine was recorded
by potassium bromide dispersion technique using Schimadzu Spectrophotometer.
4.3.7 Differential Scanning Calorimetric study of Optimized NS Formulation
DSC studies were also performed for optimized Nanosponge formulation of Carbamazepine to
support drug- excipients compatibility. DSC measurements were performed using Perkin Elmer
4000 instrument.
4.3.8 SEM study of Optimized Nanosponge Formulation of Carbamazepine
The surface morphology of Nanosponges examined using FEI: NOVA NANO SEM 450
Instrument.
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5 RESULT
5.1 UV-Vis Spectrophotometric Method Validation Parameters

UV-Spectrophotometric method has been developed and validated for Carbamazepine. CBZ
exhibiting absorption at 286nm and obeyed beers law in the concentration range (1-10 µg/ml).
The R2 was found to be 0.999 and slope of line was found to be 0.082 shown in graph 1. The %
RSD for intra assay and inter assay precision of the method was found to be 0.0739%, 0.0777%
respectively.
5.2 Evaluation Parameters of Nanosponge:

5.2.1 Solubility Study
As per the literature nanosponges are insoluble in water. We also obtained the same result. All
nanosponges formulations were found insoluble in water and organic solvents like DMF/DMSO.
5.2.2 Phase Solubility Study
It was carried out with a rationale of comparing the solubilization efficiency of Nanosponges, Polyvinyl
pyrrolidone and their combination. The plots are shown in graph 2. The plots are of AL type. From this
data it was found that solubility of CBZ was maximum in Ternary system of Nanosponges of 1:8 Molar
ratio than Binary system of NS of 1:8 and 1:10 molar ratio (NS 0-2%) Ternary system of NS 1:10 molar
ratio (Ns 0-2% and PVP 1%) and PVP (0-2%). The increase in solubilization in case of ternary system
could be attributed to the adjuvant effect of a hydrophilic polymer (PVP) along with nanosponges.
5.2.3 Solution State Interaction Studies
The absorbance of drug was found maximum for 1:8 molar ratio than 1:10 molar ratio. This could be
attributed to masking of hydrophobic groups in Carbamazepine which may be responsible for the
enhanced solubilization of CBZ by Nanosponges. Results are shown in graph 3.
5.2.4 Loading Efficiency of Nanosponges
Loading Efficiency of formulations was found to be 75.32, 84.99, 70.56 and 80.95 % for formulation P,
Q, R and S respectively. Loading efficiency of Nanosponge formulations were in the order of Q>P>S>R.
The results are shown in graph 4.
5.2.5 Dissolution study: Cumulative Drug Release Nanosponge Formulations
The in-vitro release data obtained for formulation P, Q, R and S was represented in graph 5. The
cumulative percent drug release up to 2 hrs was found to be 72.939, 92.958, 68.151 and 88.517 % for
formulation P, Q, R and S respectively. The result obtained was showed that, the drug release was lowest
68.151 % for formulation R while highest drug release 92.958 % for formulation Q. From the all four
formulations, formulation Q showed more loading efficiency which was 82.92 %, excellent flow
properties, in vitro drug release and the drug release was found to be Anomalous transport. All these
results were significant for this study. Hence formulation Q was considered for FTIR and DSC study.
5.2.6 FTIR of Optimized Nanosponge formulation of Carbamazepine: Formulation Q:
IR spectrum shows dominant characteristic peaks of Nanosponge formulation showing C-H Stretching, -
C=O Stretching, C-C Stretching, C-O Stretching and O-H Stretching at 2962.66, 1678.07, 1489.05,
1232.51, 3466.08 and 3163.26 cm-1 respectively shown in graph 6. The spectrum of optimized
Nanosponge formulation of Carbamazepine represented the drug to excipients superimposed pattern.
There was no additional peak observed. So it indicated that, in formulation there was no chemical
interaction between drug and excipients used. There was only physical interaction between drug and
excipients.
5.2.7 DSC of Optimized Nanosponge formulation of Carbamazepine (Q)
The DSC thermogram of optimized nanosponge formulation shown in graph 7 doesn’t show any
exothermic or endothermic peak upto 350°C, this means inclusion complex is formed. This leads to
masking of drug melting peak. From this data we can conclude that this nanosponge formulation is stable
upto 350°C.
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5.1.8 SEM of Optimized Nanosponge formulation of Carbamazepine (Q)

SEM images of Carbamazepine loaded Nanosponge are shown in Fig.6 SEM images showed shape and
size of inclusion complex. Fig no.6 showed particle size of Carbamazepine Nanosponges Particle size was
found within range of 190-370nm.
Fig.: 1 Cyclodextrin Fig.:2 Structure of HPβCD Fig.: 3 Carbamazepine

Source: Reference No.10 Source: Reference No.10 Source: Reference No.3
Fig.: 4 Diphenyl Carbonate

Source: https://www.sigmaaldrich.com/catalog/product/aldrich/d206539
Fig.: 5 PVP
Source: https://www.sigmaaldrich.com/catalog/search?term=polyvinyl...
Calibration curve of Carbamazepine

in Ethanol Phase Solubility Study
10
Solubilised (mg/5ml)
1 (λmax 286 nm) 7.9607 1:8 NS

8
Amount of Drug
Absorbance
7.8039 (Binary)
0.5 6
y = 0.0822x - 0.0025 4.3202 1:8 NS
0 R² = 0.9994 4 4.1209 (Ternary)
0 5 10 15 2 2.2026
-0.5 PVP
0 0
Concentration (μg/ml)
0 2 4
Solvent System (%)
Graph: 1 Calibration Curve Graph: 2 Phase Solubility Study
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Solution State Interaction Studies Loading Efficiency of Nanosponge

1 Formulations
0.798
Loading Efficiency
0.613 0.715 100 75.32 % 84.99%
70.56 % 80.95 %
Absorbance
0.565 NS 1:8
0.5 0.43
0.255 50
0.366
%
NS
0.178 1:10
0 0
0
0 50 P Q R S
Conc. of NS (ppm) Formulation Code
Graph: 3 Solution State Interaction Studies Graph: 4 Loading Efficiency of NS
Percent Cumulative Drug Release

from NS Formulations
100
Time (min)
P
50
Q
R
0
0 50 100 150 S
% Drug Release
Graph: 5 Cumulative % Drug Release Graph: 6 FTIR of NS Formulation (Q)
Graph: 7 DSC of NS Formulation (Q) Fig: 6 SEM of NS Formulation (Q)
6 CONCLUSION:
The present study has been done to formulate Nanosponge drug delivery system of
Carbamazepine with a view of improving dissolution characteristics the drug. The prepared CBZ
nanosponges shown insolubility in water and organic solvents like DMF and DMSO. The phase
solubility study of CBZ shown maximum solubility for formulation Q having ternary system of
nanosponges of 1:8 molar ratio than other formulations. From saturation state interaction studies
it is concluded that as the concentration of NS increases from 10-40 ppm, the absorbance of drug
increases proportionately. The absorbance of drug was found maximum for 1:8 molar ratio than
1:10 molar ratio; this could be attributed to masking of hydrophobic groups in CBZ which may
be responsible for enhanced solubilization of CBZ by Nanosponges. The loading efficiency of
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formulation Q is found to be 84.99% and cumulative % drug release up to 2 hrs was found to be
92.95 % which is highest amongst all other formulations. The increase in solubilization and drug
release in case of ternary system of nanosponges could be attributed to the adjuvant effect of
hydrophilic polymer Polyvinylpyrrolidone along with Nanosponges.
7 REFERENCES
[1] Shringirishi M., Prajapati S. K., Mahor A., Alok S., Yadhav P., Verma A. (2015). Nanosponges: a potential
nanocarrier for novel drug delivery-a review. Asian Pacific Journal of Tropical Disease ,5, 23-30.
[2] Kumar G., Krishna K., Chowdary K. (2012). Evaluation of starch acetate as microencapsulating agent for
controlled release of carbamazepine in comparison to other known polymers. International Journal of
Pharmaceutical Sciences, 2(4), 67-69.
[3] Nisha G., Vaishali P., Geeta R., Prabhakar P., Harish N., Marina K. (2011). Formulation and evaluation of
self microemulsifying drug delivery system of carbamazepine. International Journal of Research in
Pharmaceutical Sciences, 2(2), 162-169.
[4] Deshpande A., Patel P. (2014). Preparation and evaluation of cyclodextrin based atorvastatin nanosponges.
American Journal of Pharmtech Research, 4(3), 569-587.
[5] Raja N.V., Kumar G. K., Kotapati A. (2013). Fabrication and evaluation of ciprofloxacin loaded
nanosponges for sustained release. International Journal of Research in Pharmaceutical and Nanosciences,
2(1), 1-9.
[6] Baokar S.S, Pawar V.S., Patil R.N., Jagatap R.P., Ekatpure N. (2012). Validation of Simple and Rapid UV-
Spectrophotometric Method with Stress Degradation Study for Sildenafil Citrate. Research Journal of
Pharmacy and Technology, 5(2), 214-218.
[7] Apu A., Pathan A., Shreshtha D., Kibria G., Jalil R. (2009). Investigation of in vitro release kinetics of
carbamazepine from eudragit rs po and rl po matrix tablets. Tropical Journal Pharmaceutical Research,
8(2), 145-152.
[8] Deshpande A., Patel P. (2014). Patent review on cyclodextrin based nanosponges prepared by different
methods: physicochemical characterization, factors influencing formation and applications. World Journal
of Pharmaceutical Sciences, 2(4), 380-385.
[9] Swaminathan S., Vavia P. R., Trotta F., Torne S. (2007). Formulation of betacyclodextrin based
nanosponges of itraconazole. Journal of Inclusion Phenomenon Macrocyclic Chemistry, 57, 89-94.
[10] Brewster M. E., Loftsson T. Cyclodextrins as pharmaceutical solubilizers. (2007). Advanced Drug Delivery
Reviews, 59, 645–666.
ISBN: 978-93-5351-069-5 604

PCP053
DEVELOPMENT OF FLOATING MICROSPHERES BY DOE

APPROACH TO IMPROVE BIOAVAILABILITY OF
LORATADINE
Janu Vashi Saikat Pande Digant H. Patel
PG Student Associate Professor Officer,
A. R. College of A. R. College of Pharmacy Acme Pharmaceutical Pvt.
Pharmacy saikatpande@gmail.com Ltd.
januvashi410@gmail.com A. R. College of Pharmacy
digant311@gmail.com
Jolly R. Parikh Ajay B. Solanki

Professor Associate Professor
A. R. College of Pharmacy A. R. College of
jollyparikh87@yahoo.co.in Pharmacy
ajaysolanki76@gmail.com
Abstract:
Loratadine is a second generation tricyclic H1 antihistamine. It prevents and
suppressesresponses to histamine or allergen, thus eliminating symptoms as itching,
rhinorrhoea, congestion, tearing and sneezing. Loratadine shows variable bioavailability due
to its pH dependent solubility, which is a disadvantage for its conventional oral
administration.Floating microspheres can float over the gastric contents for extended period
and release the encapsulated druggradually at a desired rate. Hence in consideration of the
above fact the objective of this study was to formulate floating microspheres of
Loratadine.Floating microspheres were prepared by solvent evaporation method using DCM,
methanol and water.Combination of ethyl cellulose and Eudragit RS 100 polymer were
selected based on the results of preliminary studies which indicates higher % buoyancy, %
entrapment efficiency (%EE) and % cumulative drug release (%CDR). The microspheres
were optimized applying 32 factorial designs. The effect of independent variable (drug:
polymer ratio and stirring speed) on dependent variable (% buoyancy, % EE and % CDR)
was evaluated. SEM analysis of drug loaded showed spherical shape with rough surface. FT-
IR and DSC analysis of drug loaded microspheres confirm compatibility of drug with
excipients. Residual solvent content test was resulted absence of any organic solvent traces.
In-vitro drug release study for optimized formulations showed drug release in a controlled
manner for 12 hrs.The drug release was found to be diffusion controlled which followed
Higuchi release kinetics.
Keywords: Loratadine, Floating microspheres, Ethyl cellulose, Eudragit RS 100
1. INTRODUCTION 1, 2
Loratadine is a second generation tricyclic H1 antihistamine. It prevents and

suppressesresponses to histamine or allergen, thus eliminating symptoms as itching,
rhinorrhoea, congestion, tearing and sneezing. Loratadine shows variable bioavailability
due to its pH dependent solubility, which is a disadvantage for its conventional oral
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administration.Floating microspheres can float over the gastric contents for extended
period and release the encapsulated druggradually at a desired rate.
N. Ma et.al.3 prepared multi-unit floating alginate microspheres by using ionotropic
gelation method and calcium carbonate (CaCO3) as gas-forming agent. Aim of the study
was toenhance the drug entrapment efficiency and to delay the drug releaseby
incorporation of chitosaninto the gelation medium and further coating with Eudragit.
Prepared floating microspheres showed excellent floating ability, optimum drug
entrapment efficiency and suitable drug release pattern and prolonged gastric retention
time (GRT) over 5 hrs was achieved in the volunteer for the optimized coating floating
microspheres.
Kotagale N.R et.al.4 prepared Ranitidine hydrochloride microspheres using solvent

evaporation technique. Ethyl cellulose and Eudragit® RS100 alone or in combination was
used. Microspheres that showed highest release were utilized to study the effect of pH
modifiers on ranitidine hydrochloride release from microspheres. In-vitrorelease of
ranitidine hydrochloride from microspheres into simulated gastric fluid at 37º showed no
significant burst effect. Amount of release increase with time and significantly by pH
modifiers. Prepared Microspheres were found efficient to enhance the bioavailability of
ranitidine hydrochloride.
Baykara T et.al.5 prepared the microspheres containing verapamil hydrochloride (VRP)

using Eudragit RS 100 by solvent evaporation method to study the effects of
drug/polymer ratio by keeping the formulation parameters constant. It was concluded that
the variation in drug/polymer ratios might have an influence on the physical
characteristics of the microspheres and increase in amount of polymer can result in
decreased drug dissolution.
Y. Sato et.al6 prepared microballoons by the emulsion solvent diffusion method using
enteric acrylic polymers co-dissolved with drug in a mixture of dichloromethane and
ethanol.The release properties of five different drugs exhibiting distinct water solubilities
(aspirin, salicylic acid, ethoxybenzamide, indomethacin and riboflavin) entrapped within
microballoons were investigated.Incorporation of polymer such as hydroxyl propyl
methylcellulose within the shell of microballoons, the release rate of riboflavin from the
microballoons could be controlled while maintaining high buoyancy.
3. OBJECTIVES
Loratadine is a second-generation tricyclic H1 antihistamine, marketed for its non-
sedating properties. The solubility of Loratadine depends on the pH: on increase of the
pH, the solubility decreases exponentially. Because of this, its bioavailability exhibits
high variability, which is a disadvantage for its conventional oral administration.Gastro-
retentive floating microspheres are low-density systems that have sufficient buoyancy to
float over the gastric contents and remain in stomach for prolonged period. Due to
increased gastric retention time, the encapsulated drug is released slowly at a desired rate
resulting in reduced fluctuations in plasma drug concentration. Hence in consideration of
the above fact the objective of this project is to formulate floating microspheres of
Loratadine, which will not only improve its bioavailability and reduce drug wastage but
also will improve its therapeutic efficacy by reducing fluctuation in plasma drug
concentration.
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4.1 Preliminary experimental work:
Drug was identified by performing melting point study, FTIR and DSC study.
4.2 Spectrophotometric estimation of Loratadine

The spectrophotometric analysis of drug was carried by using UV-VS spectrophotometer
in 0.1 N HCl and methanol.
4.3 Procedure for preparation of floating microspheres

Weighed amount of polymers were dissolved in 20 ml of dichloromethane: methanol
mixture (1:1). Drug (100 mg) was then added to polymer solution and mixed for 15 min.
This solution was then added in a thin stream to 100 ml aqueous 0.75% polyvinyl
alcohol, while stirring using a mechanical stirrer. Stirring was continued for 2 h at 1000
rpm at room temperature until solvents evaporated completely.The formulated
microspheres were filtered by using Whatman filter paper. The residual solvent was
washed 4-5 times with 50 ml portions of distilled water and the product was dried
overnight.
4.4 Optimization:
A32 full factorial design was used to optimized the floating microspheres.
The two independent variables selected for the study are:
1. X1 = Drug to polymer ratio.
2. X2= Stirring speed.
The effect of these two variables was studied on following three dependent variables:
1. Y1 = % Buoyancy.
2. Y2 = % Entrapment Efficiency (% EE)
3. Y3 = Cumulative drug release (% CDR)
Coded and actual values of X1 and X2for the factorial design study are shown in the table 1.
Table 1: Formulation Composition of 32 Full factorial Design:

Ethyl Drug Stirring
Batch Loratadine Eudragit RS
Cellulose Polymer Speed(rpm)
Code (mg) 100(mg)
(mg) Ratio (X1) (X2)
F1 100 100 100 1:2 (-1) 500 (-1)
F2 100 100 100 1:2 (-1) 1000 (0)
F3 100 100 100 1:2 (-1) 1500 (+1)
F4 100 150 150 1:3 (0) 500 (-1)
F5 100 150 150 1:3 (0) 1000 (0)
F6 100 150 150 1:3 (0) 1500 (+1)
F7 100 200 200 1:4 (+1) 500 (-1)
F8 100 200 200 1:4 (+1) 1000 (0)
F9 100 200 200 1:4 (+1) 1500 (+1)
4.5 Evaluation of prepared microspheres:

All the batches of prepared floating microspheres were evaluated for % yield, particle size
and morphology, floating behavior, encapsulation efficiency, in vitro drug release and
release kinetics. In vitro drug release was measured using USP-I dissolution apparatus
and 0.1 N HClas dissolution medium. Release kinetics was studied by using zero order,
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first order, Higuchi and Korsmeyer-Peppas models. SEM, XRD, DSCand residual
solventwas determined for the optimized formulation.
Figures:
ISBN: 978-93-5351-069-5 608

5 RESULT AND DISCUSSION:

5.1 Identification of drug
Melting point of Loratadine was found to be in range of 132°C -136°C, which complies
with the reported melting point. FTIR spectra and DSC thermogram of pure Loratadine is
shown in Figure 1 and Figure 2 respectively.λmax of Loratadine was obtained at 275nm in
0.1N HCl and 247nm in methanol.
5.2 Characterization and Data Analysis of 32Full Factorial Design Batches

All the prepared batches yielded floating microspheres having zero floating lag time.
Prepared microspheres were characterized for various parameters and the results are
tabulated in Table 2.
Table 2: Responses of full factorial design batches.

% drug % Cumulative
Batch Particle %
% Yield Entrap- Drug Release
code Size Buoyancy
ment after 12 hrs
F1 71.24 ±1.39 206 ±18.21 28.77 ±1.59 68.92 ±1.61 89.54±1.09
F2 73.81 ±1.34 183 ±13.46 35.41 ±1.48 72.40 ±2.77 91.79±1.80
F3 74.06 ±1.45 158 ±7.28 41.16 ±1.60 77.53 ±1.65 94.32±1.66
F4 75.38 ±1.48 231 ±9.89 40.31 ±2.34 64.87 ±3.26 84.51±1.26
F5 75.56 ±1.41 211 ±11.34 47.96 ±1.60 69.26 ±2.58 86.73±1.21
F6 76.12 ±2.08 179 ±14.67 56.32 ±1.56 73.31 ±1.09 88.37±0.94
F7 76.24 ±1.89 249 ±16.65 53.08 ±1.76 59.74 ±2.35 77.96±1.36
F8 77.91 ±1.45 229 ±15.31 59.18 ±1.17 65.10 ±1.86 81.34±1.23
F9 77.51 ±2.26 206 ±9.56 64.23 ±1.50 68.59 ±3.54 84.94±1.27
Regression Equation:
Regression equations of selected responses were generated using Design Expert Software.
Y1=69.20 - 4.23X1+ 4.31X2+ 0.060 X1X2- 0.43X12- 0.093X22 …….. Eq 1.
As per equation 1 negative co-efficient of variables X1 indicates that, as the drug: polymer
ratio were increased, the % buoyancy was decreased whereas the positiveco-efficient of
variable X2indicatethat,the % buoyancy increase with increase in stirring speed.
Y2 = 48.33 + 11.85 X1 + 6.59 X2 - 0.31X1X2 - 1.22X12 - 0.20 X22…….…Eq 2.
Positive co-efficient of both variables X1and X2(equation 2) indicatesthat,asthedrug:
polymerratioand stirring speed were increased, the %EEalso increases.
Y3 =86.65-5.40X1+2.43X2+0.30X1X2-0.055X12-0.18X22…….…Eq 3.
As per equation 3 negativeco-efficientofvariablesX1indicatesthat, with increase in
drug:polymer ratio% CDR decreases whereas the positive co-
efficientofvariableX2indicatethat,% CDRincreases with increase instirringspeed.
By analyzing the results of dependent variables using Design Expert (8.0.7.1) software F3
was selected as optimized batch. The optimized batch show results of % buoyancy 77.53%,
% EE 41.16% and % CDR94.32%.
5.3 Characterization of optimized batch
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Optimized batch was analyzed for FTIR, SEM, DSC, XRD.SEM image (Fig: 4) shows that
the prepared microspheres were discrete and spherical in shape. FTIR (Fig 3)study confirms
chemical stability of drug in the prepared microspheres. DSC (Fig 5) and XRD (Fig 6) study
indicates that the drug is molecularly disperse in the polymer matrix. Absence of DCM and
methanol peak in gas chromatogramof optimized batchindicates that the prepared
microspheres do not contained any traces of residual solvent.
6 CONCLUSION
The present study reports development of Loratadine loaded floating microspheres. Fromthe
results of preliminary studies ethyl cellulose and Eudragit RS 100 were selected for further
study. Loratadine floating microspheres was prepared successfully by solvent evaporation
method using ethyl cellulose and Eudragit RS 100. A32full factorial design was applied for
optimization and a total nine batches were prepared. By analyzing the results of dependent
variables using Design Expert Software, optimized batch was selected.In-vitrodrug release
data showed that the optimized formulations released Loratadine in a controlled manner for
12 h. The drug release was found to be diffusion controlled which followed Higuchi release
kinetics.Further evaluation of optimized batch confirms chemical stability of drug, which is
molecularly dispersed in the prepared microspheres. Taken together it can be concluded that
the prepared floating microspheres may be a promising alternative to overcome the problems
of conventional oral drug delivery system of Loratadine.
7 REFERENCES
1. Brahma, N.S., Kwon, H. (2000). Floating drug delivery systems: an approach to oral controlled drug
delivery via gastric retention. Journal of Controlled Release, 63,235–259.
2. Chowdary, K.P.R., Shankar, K.R., Teeda, V. (2014). Floating drug delivery systems- a review of recent
research. International Research Journal of Pharmaceutical and Applied Sciences, 4(2), 14-24.
3. Ma, N., Xu, L., Wang, Q., Zhang, X., Zhang, W., Li, Y., Jin, L., Li, S. (2008). Development and
evaluation of new sustained-release floating microspheres. International Journal of Pharmaceutics,
358, 82–90.
4. Kotagale, N.R., Parkhe, A.P., Jumde, A.B., Khandelwal, H.M., Umekar, M.J., (2011). Ranitidine
Hydrochloride-loaded Ethyl Cellulose and Eudragit RS 100 Buoyant Microspheres: Effect of pH
Modifiers. Indian Journal of Pharmaceutical Sciences,73(6), 626-633.
5. Klcarslan, M., Baykara, T. (2003). The effect of the drug/polymer ratio on the properties of the
verapamil HCl loaded microspheres. International Journal of Pharmaceutics, 252, 99–109.
6. Satoa, Y., Kawashimab, Y., Takeuchib, H., Yamamotoin, H. (2004). In-vitro evaluation of floating and
drug releasing behaviors of hollow microspheres (microballoons) prepared by the emulsion solvent
diffusion method. European Journal of Pharmaceutics and Biopharmaceutics,57,235–243.
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PCE054
STABILITY INDICATING RP-HPLC METHOD DEVELOPMENT AND
VALIDATION FOR SIMULTANEOUS ESTIMATION OF NEBIVOLOL
HCL AND CILNIDIPINE IN TABLET DOSAGE FORM.
Anjana Bera Kashyap Thumar

Assistant Professor, Assistant Professor,
Smt. R.D.Gardi B.Pharmacy college, Rajkot,. Gujarat Technological University,
anjanaabera@gmail.com kasu_patel05@yahoo.co.in
______________________________________________________________________________
Abstract:
A simple, rapid, precise and accurate Stability indicating RP-HPLC method for simultaneo us
estimation of Nebivolol HCl and Cilnidipine In their Combined Dosage Form was developed.
A Chromatographic separation was achieved by LC- 20 AT C18 (250mm x 4.6 mm x5 µm) column
and KH2 PO 4 (pH 3.5) : Methanol 60:40v/v as mobile phase, at a flow rate of 1 ml/min.
Detection was carried out at 275 nm. Retention time of Nebivolol HCl and Cilnidipine were found
to be 3.200 min and 5.023 min respectively. Linearity observed for Nebivolol HCl was 2.5-7.5
μg/ml (r2 =0.999) and for Cilnidipine was 5-15 μg/ml (r2 =0.999). The % recoveries obtained for
Nebivolol HCl and Cilnidipine were found to be in the range of 100.033±0.517 to
100.525±0.771 and 99.829±1.126 to 100.974±0.999 respectively. The % RSD of Precision and
Robustness was >2.0.LOD was 0.067 μg/ml for Nebivolol HCl and 0.0134 μg/ml for Cilnidip ine
and LOQ was 0.203 μg/ml for Nebivolol HCl and 0.409 μg/ml for Cilnidipine. The drug was
subjected to stress condition of hydrolysis, oxidation, photolysis and Thermal degradation. The
method was validated as per ICH guideline and it was found to be accurate, precise and robust.
Marketed formulation was analyzed successfully.
Keywords: Nebivolol HCl, Cilnidipine, RP-HPLC, stability indicating, Validation, ICH

Guideline.
______________________________________________________________________________
1 INTRODUCTION
1.1 Nebivolol Hcl[1]

Nebivolol is a selective β1 receptor antagonist (Anti hypertensive drug). It is a β1 receptor blocker
with nitric oxide potentiating vasodilatory effect used in treatment of hypertension. Activation of
β1receptors by epinephrine increases the heart rate and the blood pressure, and the heart
epinephrine, lowering the heart rate and blood pressure. In addition, beta blockers prevent the
release of renin, which is a hormone produced by the kidneys may also bind beta 2 receptors.
1.2 Cilnidipine [2]

Cilnidipine is a dihydropyridine calcium-channel blocker. It inhibits cellular influx of calcium,
thus causing vasodilatation. It has greater selectivity for vascular smooth muscle. A class of drugs
that act by selective inhibition of calcium influx through cell membranes or on the release and
binding of calcium in intracellular pools. Since they are inducers of vascular and other smooth
muscle relaxation, they are used in the drug therapy of hypertension and cerebrovascular spasms,
as myocardial protective agents, and in the relaxation of uterine spasms.
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Nebivolol and cilnidipine are used alone in treatment of hypertension but when they are given in
combination synergistic action obtained and hence dose is reduced.
The structures of both drugs are shown in figure 1
2 LITERATURE REVIEW[3-26]
The literature survey of Nebivolol and Cilnidipine revealed various analytical methods for
determine the Nebivolol and Cilnidipine either alone or in combination with other drugs in
different matrices .Moreover, various analytical methods including spectro photometric methods
[3-10], RP-HPLC [11-22] , HPTLC [23-24], TLC [25],LC/MS [26] and HPLC- MS [27] were
available. However, no stability indicating RP-HPLC method was reported in literature.
So in the present study, it was decided to develop stability indicating RP-HPLC method for
simultaneous estimation of the Nebivolol and Cilnidipine in tablet dosage form. The method was
validated in compliance with the ICH guideline (Q2 R1)
3 OBJECTIVE
To develop and validate HPLC method for simultaneous estimation of Nebivolol HCl and Cilnidipine in
pharmaceutical dosage form.
To perform stability indicating method on the developed HPLC Method.

Applying the newly developed, validated analytical method for the estimation of Nebivolol HCl and
Cilnidipine in formulations.
4 EXPERIMENTAL WORK
4.1 Instruments
Agilent technologies 1200 infinity series HPLC system with quaternary pump, vacuum degasser
PDA detector. Sperisorb CNRP C18 (250mm×4.6mm, 5µm particle size), Syntronics - µ pH
system 361, analytical balance of Libror AEU-210 (Shimadzu).
4.2 Chemicals
Nebivolol HCl was obtained as a gift sample from Cadila Pharmaceuticals (Ahmedabad, India)
and Cilnidipine was obtained as a gift sample from Unique Chemicals (Vapi,India).Analytica l
reagent (AR) grade sodium hydroxide (NaOH), hydrochloric acid (HCl), hydrogen peroxide
(H2O2), and HPLC grade acetonitrile (ACN) and methanol were purchased from Merck
Chemicals Pvt. Ltd. (Mumbai, India). Buffer salts and all other chemicals were of AR grade
obtained from Rankem Chemicals (Faridabad, India). HPLC grade water was freshly prepared
using the Milli-Q Synergy UV Apparatus (Millipore, Mumbai) and it was used throughout the
study. LN- Beta tablets (Containing 5mg Nebivolol HCl and 10 mg Cilnidipine),Eris lifescie nces
Pvt.Ltd were procured from local market.
4.3 Chromatographic Conditions

For HPLC system Spherisorb CNRP C18 column (250mm x 4.6 mm x5 µm) used as stationary
phase Potassium Dihydrogen Phosphate, Methanol (60:40) pH 3.5 with Ortho phosphoric acid as
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mobile phase, flow rate was 1ml/min and injection volume 20μL. Analysis was carried out as
275nm.
4.3.1 Preparation of Mobile Phase

Prepare 0.05M Potassium Dihydrogen Phosphate by dissolving 6.8 gm of Potassium Dihydroge n
Phosphate in 1000 ml of water. Adjust pH 3.5 with OPA solution. This solution was sonicated for
6 min for degassing and filtered through 0.45 µ Millipore filter.
4.3.2 Preparation of Standard Solution

Nebivolol
Stock solution (1000 μg/mL) of the Nebivolol HCl was prepared by dissolving accurately weighed
50 mg ofNebivolol HCl in 50 mL volumetric flask, sonicated and made up to the mark. Further
working standard (50 μg/mL) was prepared by transferring 5 mL of the stock solution into 100 mL
of volumetric flask then diluted up to the mark with methanol and filter through a 0.45 μm filter.
Cilnidipine
Stock solution (1000 μg/mL) of the Cilnidipine was prepared by dissolving accurately weighed
100 mg of Cilnidipine in 100 mL volumetric flask, sonicated and made up to the mark. Further
working standard (100 μg/mL) was prepared by transferring 10 mL of the stock solution into 100
mL of volumetric flask then diluted up to the mark with methanol and filter through a 0.45 μm
filter
4.3.3 Preparation of Standard Solution

Take 5mg of Nebivolol HCl and 10mg of Cilnidipine was weighed and transfer to a 100ml
volumetric flask .volume is made up to the mark with methanol and filter through a 0.45 μm filter.
to prepared stock solution of 50 µg/ml Nebivolol HCl and 100 µg/ml Cilnidipine .
4.3.4 Standard stock solution of API mixture

from stock solution take a 1 ml from the Cilnidipine stock solution and 1ml from Nebivolol HCl
stock solution and transferred to 10 ml volumetric flask and volume made up to the mark by mobile
phase and filtered through a 0.45 μm filter which was used in particular trials.
4.4 Validation of Developed RP-HPLC method

Preparation of Calibration curve solutions Aliquots of 2.5,3.75,5,6.25,and 7.5 from 50 µg/ml
standard solution of Nebivolol HCl and5,7.5,10,12.5,15 from 100 µg/ml standard solution of
Cilnidipine were transferred to series of six 10 ml volumetric flasks and volume was adjusted to
the mark with diluent to get concentrations of 2.5-7.5 µg/ml of Nebivolol HCl and 5-15 µg/ml
Cilniipine. All solutions were injected in HPLC and peak areas were analysed and calibration curve
was obtained by plotting area vs. concentration and straight line equation obtained.
4.4.1Linearity and Range

The linearity for Nebivolol HCl and Cilnidipine were assessed by analysis of combined standard
solution in range of2.5-7.5 μg/ml and 5-15 μg/ml respectively,
5,7.5,10,12.5,15 ml solutions were pipette out from the Stock solution of Nebivolol HCl(50 μg/ml)
and Cilnidipine (100 μg/ml) and transfer to 100 ml volumetric flask and make up with mobile phase
to obtain 2.5,3.75,5,6.25,7.5 μg/ml and 5,7.5,10,12.5,15 μg/ml for Nebivolol HCl and
613 ISBN: 978-93-5351-069-5

Cilnidipinerespectively.In term of slope, intercept and correlation co-efficient value. The graph of
peak area obtained verses respective concentration was plotted.Chromatogram and Curve is shown
in Figure 5, 6 and 7 respectively The linearity data were shown in Table 1
4.4.2Precision
Results should be expressed as Relative standard deviation (RSD) or coefficient of variance.
I. Intra-day precision
Standard solution containing (5, 10, 15 µg/ml) of Cilnidipine and (2.5,5,7.5 µg/ml) of Nebivolol
HCl were analyzed three times on the same day and %R.S.D was calculated.
II. Inter-day precision
Standard solution containing (5, 10, 15 µg/ml) of Cilnidipine and (2.5,5,7.5 µg/ml) of Nebivolol
HCl were analyzed three times on the different day and %R.S.D was calculated.
III. Repeatability
Standard solution containing Cilnidipine (10µg/ml) and Nebivolol HCl(5 µg/ml) was injected
six times and areas of peaks were measured and %R.S.D. was calculated.
Data is shown in Table 2
4.4.3Accuracy:
The accuracy of the method was determined at 80%, 100%, and 120% by calculating recoveries
of Nebivolol HCl and Cilnidipine by the standard addition method. Known amount of standard
solutions of Nebivolol HCl (2,2.5,3 μg/ml) and Cilnidipine (4,5,6 μg/ml) were added to a pre-
quantified sample solution of Nebivolol HCl(2.5 μg/ml) and Cilnidipine (5 μg/ml). Each solution
was injected in triplicate and the percentage recovery was calculated by measuring the peak areas
and fitting these values into the regression equation of the respective calibration curves. Data is
shown in Table 3.
4.4.4 Robustness
Following parameters were changed one by one and their effect was observed on system suitability
for standard preparation.
1. Flow rate of mobile phase was changed (± 0.2 ml/min) 0.8 ml/min and 1.2 ml/min.
2. pH of Mobile phase was changed ( ± 0.2 ) 3.3 and3.7.
3.Ratio of Mobile phase was changed(±2) Potassium dihydrogen phosphate
buffer(pH3.5):Methanol(62:38) and Potassiumdihydrogen phosphate buffer (pH3.5):Methanol
(58:42).
4.4.5 LOD and LOQ
According to the ICH recommendation, the approach based on the standard deviation (SD)
of the response and slope was use of the determining the LOD and LOQ values.
LOD and LOQ values,
LOD = 3.3 σ/ S
LOQ = 10 σ/ S
Where σ = Standard deviation of response
S = Slope of calibration curve
4.5 Stability Indicating RP-HPLC method

Forced degradation studies were carried out on a nebivolol and cilnidipine API according to the
following conditions.
4.5.1 Acid degradation
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Acid decomposition studies were performed by Refluxing 1ml of stocksolution was transferred
in to 10 ml of volumetric flask.2ml of 0.1 N HCl solutions was added and mixed well and put for 4
hrs at 70 ºC 250 ml Round bottom flask. After time period the content was cooled to RT. Then the
volume was adjusted with diluent to get 5 μg/ml for Nebivolol HCl and 10 μg/ml for Cilnidipine.
4.5.2Base degradation
Basic decomposition studies were performed by refluxing 1ml of stock solution was transferred
in to 10 ml of volumetric flask. 2ml of 0.1 N NaOH solutions was added and mixed well and put for
3 hrs at 70 ºC 250 ml Round bottom flask. After time period the content was cooled to RT. Then
the volume was adjusted with diluent to get 5 μg/ml for Nebivolol HCl and 10 μg/ml for Cilnidip ine.
4.5.3 Oxidative degradation

Oxidative decomposition studies were performed One ml of stock solution was transferred in
to 10 ml of volumetric flask. Two ml of 3% H2 O 2 solutions was added and mixed well and put for
3hr at 70 ºC. After time period the content was cooled to RT. Then the volume was adjusted with
diluent to get 5 μg/ml for Nebivolol HCl and 10 μg/ml for Cilnidipine.
4.5.4 Thermal degradation

Thermal Degradation studies were performed One ml of stock solution was transferred in to
10 ml of volumetric flask. The volumetric flask was stored in oven at 80°C for 5 hrs. Then the
volume was adjusted with diluent to get5 μg/ml for Nebivolol HCl and 10 μg/ml for Cilnidipine.
4.5.5 Photo Degradation

Photo Degradation studies were performed One ml of stock solution was transferred in to 10 ml
of volumetric flask. The volumetric flask was keep in presence of Sunlight for 2 hrs. Then the
volume was adjusted with diluent to get 5 μg/ml for Nebivolol HCl and 10 μg/ml for Cilnidipine.
4.6 Applicability of Method for Marketed Formulation
Twenty tablets (LN-Beta Tablet, Nebivolol HCl-5 mg and cilnidipine-10 mg) were weighed and
taken average weight. Then, they were crushed and mixed in a mortar and pestle. Take Crushed
Tablet powder equivalent to 5 mg of Nebovolol HCl and 10 mg of Cilnidipine was
transferred to a 100 ml volumetric flask and 100 mL of HPLC-grade methanol was added to
flask, volumetric flask was sonicated for 20min to complete the dissolution. Than Take 1 ml
from this and transferred to 10 ml volumetric flask and made up volume up to the mark with
mobile phase. The solution was filtered through a 0.45 μm filter. To obtain concentration of
Nebivolol 5 μg/mL and Cilnidipine 10 μg/mLThe solution was injected 20 µl. The areas of
resulting peak were measured at 275 nm. The quantification was carried out by keeping these
values to the straight line equation of calibration curve. Results obtained are summarized in Table 5.
Table 1: Linearity data for Nebivolol HCl. And Cilnidipine

Sr. Concentration(µg
Area Concentration(µg/ml) Area
No. /ml)
1 2.5 2011.666 5 2987.938
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2 3.75 3077.051 7.5 4571.142
3 5 4117.789 10 6117.962
4 6.25 5138.015 12.5 7634.022
5 7.5 6161.841 15 9155.601
Table 2 : Precision Data for Nebivolol HCl and Cilnidipine.

Nebivolol HCl Cilnidipine
SR. Conc. Area % Conc. Area %
NO. (µg/ml Mean ± S.D. R.S.D (µg/m Mean ± S.D. R.S.D
INTR ) (n=3) l) (n=3)
1 A 2.5 2052.298±23.050 1.123 5 3053.613±39.40 1.290
0
2 5 4165.620±18.689 0.449 10 6218.341±58.84 0.946
DAY 2
3 7.5 6222.428± 22.615 0.363 15 9218.184±66.37 0.720
0
1 2.5 2045.898±9.296 0.454 5 3026.800±9.067 0.299
INTE
2 R 5 4216.176±67.165 1.593 10 6250.891±75.67 1,211
3
3 DAY 7.5 6266.741±38.127 0.608 15 9336.172±19.45 0,208
0
Repeatability n=6 4177.305±26.396 0.632 6188.075±30.67 0.496
Table 3: Accuracy Data for Nebivolol HCl and Cilnidipine

Drug Conc. Sample Amount Amount % % Mean
name Level amount Added Amount Recovery Recovery ±
(%) (μg/ml) (μg/ml) recovered S.D
(μg/ml)
2.5 2 1.991 99.539
100.450±
80% 2.5 2 2.036 101.776
1.174
2.5 2 2.001 100.035
2.5 2.5 2.514 100.578
Nebivolol 100.033 ±
100% 2.5 2.5 2.499 99.971
HCl 0.517
2.5 2.5 2.489 99.549
2.5 3 2.989 99.638
100.525 ±
120% 2.5 3 3.027 100.908
0.771
2.5 3 3.031 101.030
Cilnidipin 5 4 3.992 99.811
100.799 ±
e 80% 5 4 4.034 100.846
0.965
5 4 4.070 101.740
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5 5 5.038 100.757
100% 5 5 5.008 100.153 99.829 ± 1.126
5 5 4.929 98.577
5 6 5.993 99.891
100.974 ±
120% 5 6 6.070 101.173
0.999
5 6 6.112 101.859
Table 4 :Analysis of Marketed Formulation by developed method
Formulation Tablet Formulation

Tablet LN-Beta
Nebivolol HCl CilnidipineCilnidipine
Concentration(mg/tablet powder) 5 10
Assay (% of label claim*) Mean ± S. 101.40±0.2221 101.35±0.5598

D.
% Purity
. 101.40 101.35
Mean ± S. D.
%RSD 0.2212 0.5524
Assay Limit(%w/w) 98-102 98-102
Table 5 SUMMARY
RESULT
Nebivolol HCl Cilnidipine
PARAMETERS
Standard Sample Standard Sampl
e
Acid 14.07% 13.08% 16.07% 18.68
%
Degradation Base 12.73% 12.81% 18.68% 16.68
%
Oxidation 14.77% 16.70% 18.23% 15.46
%
Thermal 12.68% 12.08% 16.09% 17.02
%
Photolytic 13.10% 14.89% 16.29% 18.55
%
Linearity 0.999 0.999
Range 2.5-7.5 µg/ml 5-15 µg/ml
Y=mx+c Y=828.9x-43.25 Y=615.9x-65.94
80% 100.450± 1.174 100.799 ± 0.965
100% 100.033 ± 0.517 99.829 ± 1.126
Accuracy 120% 100.525 ± 0.771 100.974 ± 0.999
Repeatability(n=6) %RSD=0.632 %RSD=0.496
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Inter-day(n=3) %RSD=0.454-1.593 %RSD=0.208-1.211

Precision
Intra-day(n=3) %RSD=0.363-1.123 %RSD=0.720-1.290
LOD 0.067µg/ml 0.134 µg/ml
LOQ 0.203 µg/ml 0.409µg/ml
Flow rate (-2) %RSD=1.20 %RSD=0.82
Flow rate (+2) %RSD=1.62 %RSD=1.49
pH (-2) %RSD=1.15 %RSD=1.66
pH (+2) %RSD=1.67 %RSD=0.88
Mobil phase(-2) %RSD=1.32 %RSD=1.75
Robustness
Mobile phase(+2) %RSD=0.92 %RSD=0.47
Assay 101.40%w/w 101.35%w/w
6 CONCLUSION
Stability indicating RP-HPLC methods has been developed for determination of NebivololHC l
and Cilnidipine in tablet dosage form.This method was validated successfully as per ICH-
recommended guidelines.The method was found to be precise as %RSD values of assay
determined by this method was less than 2.0 The proposed RP-HPLC method was found to be is
simple, precise, accurate, economic, rapid and sensitive for the determination of NebivololHC l
and Cilnidipine in bulk drug and in combined tablet dosage form.There was no interference from
any excipients,diluents and degradants in the determination of drug in tablet which indicates the
methods are specific.Hence, this developed method can be employed for routine quality control
analysis of NebivololHCl and Cilnidipine in combined tablet dosage form without any interfere nce
from common excipients and impurity.
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A B
Figure 1. Structure of (A)Nebivolol hydrochloride and (B) Cilnidipine
Fig.2: Overlay UV Spectrum of Nebivolol HCl and Cilnidipine showing selection of

wavelength detection.
Fig.3: Chromatogram of Nebivolol HCl and Cilnidipine in Potassium dihydrogen phosphate

buffer (pH 3.5): Methanol (60:40 v/v)
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Fig. 4: Overlay chromatogram of linearity
Fig. 5 : Calibration Curve of (A) Nebivolol HCl (2.5-7.5μg/ml) and (B) Cilnidipine(5-15
μg/ml).
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Figure 7. Nebivolol HCl and Cilnidipine (A) acid (B) Base (C) Oxidation (D) Thermal (E)
Photo Degradation sample
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PCP055
FORMULATION, EVALUATION AND OPTIMIZATION OF

NOVELVESICULAR TOPICAL GEL OF BETAMETHASONE
DIPROPIONATE FOR PSORIASIS
Dr. Prachi Pandey

Mr. Udit Vyas Ms. Vaishnavi Patel
Student M. Pharm student,
Babaria Institute of
Babaria Institute of Babaria Institute of
Pharmacy, Vadodara
Pharmacy, Vadodara Pharmacy, Vadodara
prachipandey.bip@
udvyas619@gmail.com vaishnavi.p.patel@gmail.com
bitseducampus.ac.in
Mr. Hardik Shah Dr. Vandana B. Patel

M. Pharm student, Professor & Principal
Babaria Institute of Babaria Institute of
Pharmacy, Vadodara Pharmacy,Vadodara
hardikshah946@gmail.com vbpatel04@yahoo.com
Abstract:
To address the needs of safe and effective treatment for Psoriasis, the objective of the present
work was aimed to prepare transferosomes of corticosteroid drug Betamethasone dipropionate
and to incorporate them into gel formulation to achieve more skin permeation, more drug
entrapment efficiency, sustained release, and less skin irritation. The formulation of
transferosome containing 0.05% betamethasone dipropionate was carried out using screened
excipients and by an optimized process of Rotary flask evaporation method (Time-1 hr., 90
RPM, pressure- 620 psi) followed by probe sonication (Amplitude-60 %, Time-2 min(13mm
std. probe).Experimental design batches of transferosome containing 5 mg Betamethasone
dipropionate as drug was prepared using Lipova E 120 as phospholipid and Span 60 as
surfactant in quantities varying from 5 mg to 10 mg and 2.5 mg to 5 mg respectively and
further incorporated in 1% Carbopol gel base. The optimization of formulation was performed
to achieve maximum drug entrapment, % drug release and In vitro permeation flux, pH,
viscosity, spreadability and extrudability. The Ex-vivo permeation studies and Skin irritation
study on rat skin was performed using Wister Rat. The size and stability was determined
using Zeta sizer and surface morphology of transferosome was carried out by TEM analysis.
The residual analysis was carried out by Gas chromatography to confirm the removal of
organic solvent in the formulation and stability studies were carried out as per ICH guidelines.
The formulation was compared with the marketed formulation with respect to release
characteristics. The developed formulation showed diffusion of the drug Betamethasone
dipropionate through the Rat skin at sustained rate. The developed formulation can give a
localized effect on the affected psoriatic sites for a prolonged period and found to exhibit
better release characteristics as compared to marketed formulation. The optimized
formulation was found to be stable during the stability period and non-Irritant to the skin.
Thus, it can be concluded that the transferosome in gel formulations can be an innovative and
promising approach for the topical delivery of Betamethasone Dipropionate for the treatment
of psoriasis.
Keywords: Transferosomes, Betamethsone Dipropionate, Topical gel
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1. INTRODUCTION:
1.1 Psoriasis (1,2,3,4)

Psoriasis is a chronic, inflammatory in which there is hyperproliferation of epidermal cells,
also a disorder of cell differentiation in granular layer which leads to overproduction of skin
cells E.g. keratin also known as hyperkeratosis.Skin condition in psoriasis is showed in figure
no. 1. Multiple physiologic and immune entities have been found to play a role in the pathway
that mediates the development of psoriasis: Polymorphonuclear leukocytes, neuropeptides, T-
lymphocytes, inflammatory cytokines, interleukins, TNF-alpha cells, etc. The scaly patches
caused by psoriasis, called psoriatic plaques, are areas of inflammation and excessive skin
production.
1.2 Topical drug delivery system (5,6)

Skin is an important target site for the application of drugs. In the treatment of local diseases,
topical drug delivery increases the therapeutic effect on the affected area and reduces
systemic side effects.In order to reach therapeutic drug concentrations in certain skin layers,
the uppermost barrier, the stratum corneum (SC), has to be overcome.This process is affected
by various factors, e.g., the physicochemical properties of the drug and the vehicle used for
application, condition of the epidermal barrier etc.The various ways to enhance drug
penetration through the skin include:
(a) Use of chemical penetration enhancers, (b) Novel vehicle systems (e.g. liposomal-based
delivery systems and supersaturated formulations), (c) Complex physical enhancement
strategies (e.g., iontophoresis, sonophoresis and electroporation)
1.3 Topical corticosteroids (7,8,9,10,11)

Topical steroids are the most commonly prescribed medications in the treatment of skin
disorder.There are 3 mechanisms by which topical steroids work-reduce inflammation,
decrease mitosis, and constrict small blood vessels.
* Transferosome (ultradeformable vesicle)-. Transferosome is a highly adaptable, stress
responsive, complex aggregate. It is preferred form is an ultra-deformable vesicle possessing
an aqueous core surrounded by the complex lipid bilayer. Interdependency of local
composition and shape of the bilayer makes the vesicle both self-regulating and self-
optimizing, which crosses various transport barriers efficiently. They possess structure
consisting of hydrophobic and hydrophilic moieties together and as a result can accommodate
drug molecules with a wide range of solubility.They deliver the drug through the skin.
Transferosomes overcome the skin penetration difficulty by squeezing themselves along the
intracellular sealing lipids of the stratum corneum.
Mechanism: The carrier aggregate is composed of phosphatidylcholine which in aqueous
solvents self-assembles into lipid bilayer that closes into a simple lipid vesicle.
By addition of at least one bilayer softening component (such as a biocompatible surfactant)
lipid bilayer flexibility and permeability are increased.
Another mechanism is “osmotic taxis” i.e vesicle applied on an open biological surface, such
as non-occluded skin, tends to penetrate its barrier and migrate into the water-rich deeper
strata to secure its adequate hydration.
Hydrocortisone anddexamethasone were loaded in very deformable carriers for
vasoconstriction test and the study showed higher degree of retention in the skin and lower
therapeutic dose per area as compared to commercial preparations.(Gregor Cevc et al.
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12
)Transferosome of tacrolimus was formulated and evaluated fordeeper skin penetration and
increased therapeutic efficacy for atopic dermatitis. The formulation showed good entrapment
efficiency, drug release and fast onset of action from in vivo study (Wei lei et al. 13). This
study was then followed by formulation and evaluation of transferosome containing
terbinafine, paramomycin sulphate, fluconazole, amphotericin B.
Archaeosomes as carriers was prepared fortopical delivery of Betamethasone dipropionate
and evaluated for in vitro skin permeation study and a comparative study between
archaeosomes, conventional phospholipid was carried out, for effective drug delivery to the
skin. (Anna Maria et al14).Nanolipid carrier gel loaded with betamethasone
dipropionateshowed Avg. particle size, good entrapment efficiency, 74.55% in vitro drug
release. (K. Uma Devi et al 14) Betamethasone Sodium Phosphate Loaded Nanoparticles was
formulated and evaluated for Ophthalmic Delivery and concluded that mucoadhesive
chitosan-sodium alginate nanoparticles can be used as vehicle for the prolonged topical
ophthalmic delivery of betamethasone sodium phosphate.(Mohammed Ali et al16)
Betamethasone dipropionate was analysed by new spectrophotometric method andthe
proposed method has permitted the quantification of betamethasone over linearity in the
range of 10-60μg/mL.( Sreekanth nama et al. 17) A stability indicating HPLCmethod was
developed and validated for simultaneous determination of betamethasone dipropionate and
calcipotriene in topical dosage forms. Linear response (r>0.999) were observed over a range
of 1.171 μg/mL to 32.9 μg/mL and 0.017 μg/mL to 3.1 μg/mL for Betamethasone
Dipropionate and Calcipotriene respectively.(Chinmoyroy et al 18) RP-HPLC method was
validated for determination of betamethasone dipropionate and tolnafate in semisolid
preparations. A method was developed for selective and simultaneous determination of
betamethasone dipropionate and tolnafate exhibited the best results in terms of the aforesaid
validation parameters. The additives did not interfere in their determinations. (Chandra natha
et al 19)
3. PLAN OF WORK:
(1) To carry out the Preformulation studies
a- Identification and characterization of drug and excipient
b- Drug-excipients compatibility
(2)To carry out the screening of excipients by using factorial design
(3)Formulation of batches by using screened factors and levels from the experimental design
(4)To evaluate the optimized batches based on particle size, entrapment efficiency and In-
vitro release study
(5)To evaluate the optimized batches based on surface morphology and in vivo skin irritation
study.
(6) To carry out the stability studies of the optimized formulation as per the ICH guidelines.
4. EXPERIMENTAL WORK:
4.1. Preparation method:
The transferosome were prepared by rotary vacuum evaporation method. Drug, Lipova E120,
Surfactant and Cholesterol were precisely dissolved in organic solvent, Chloroform: Methanol
(9:1). Organic solvent was evaporated by rotating in round bottom flask at 70-90 rpm for 1 hr
at the temperature and vacuum pressure of 500C and 620 psi respectively. The thin film was
deposited which was then hydrated with 10 ml of suitable medium containing drug i.e. PEG:
Water. The resulted suspension was then introduced to probe sonicator at an amplitude of
60% for 2min to obtain desired size of vesicles.
4.2. Evaluation of transferosome:
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Vesicle size: Vesicle size was determined by trinocular microscope at 40x magnification and
Zeta sizer.
% Entrapment efficiency: Entrapped drug was analyzed by centrifugation followed by
analysis of unentrapped and entrapped drug by UV spectrophotometry and mass balance was
checked from the data obtained for %entrapment efficiency.
Surface morphology determination of Transferosomes: Transferosomes surface
morphology was determined using transmission electron microscope.
4.3. Preparation of transferosomal gel of betamethasone: 0.5 mg of selected transferosome

batch were incorporated in gel base of 1% Carbopol 934 and then kept for 7 days at room
temperature to interpret the stability of gel base. It was found that carbopol 934 gel is good
for incorporating transferosome in terms of pH, viscosity, spreadability, and stability.
4.4. Evaluation of Transferosome incorporated Gel: 20,21

Determination of pH: The pH of gels was checked by using a digital pH meter at room
temperature.
Viscosity studies: The viscosity of gels was determined by using Brookfield helipath
(LVDV 2) viscometer.
Spreadability: The spreadability of gel was calculated by following formula:
S = M.L / T Where, S = Spreadability, M = weight attached to upper slide (gm) L =
length of spread (cm) T = time taken.(sec)
Drug content: 500 mg of the gel was triturated and diluted in 50 ml volumetricflask with
methanol and drug content was determined spectrophotometric ally at 240 nm using
methanol as a blank solution.
In vitro and Ex vivo Drug release studies22:In vitro diffusion studies was performed
using Franz diffusion cell and dialysis membrane (himedia) having pore size of 0.45µm.
Samples (dorsal side of 5-6 weeks old rat) were mounted on donor compartment after
removing hair from skin. It was then clamped between the donor and the receptor
chamber of modified diffusion cells with the stratum corneum facing the donor chamber
Then, 1 g of gel containing 0.5% (w/w) Betamethasone dipropionate was applied onto the
donor chamber. The receptor chamber was filled with 20 ml of PEG: Water (4:5) was
used as diffusion media in receptor compartment. . The receptor medium was maintained
at 37 ± 0.5°C and stirred at 600 rpm throughout the experiment. Aliquots of 5 ml were
sampled from the receptor compartment at time interval of 1 hr. and then the same
volume of pure medium was immediately added into the receptor chamber. . All samples
were analyzed by UV method. The cumulative amount of drug released across the
membrane was determined as a function of time.
Residual solvent levels in the optimized formulation of Transferosomes: Residual
solvents, chloroform and methanol, in transferosomal suspension were determined by
Gas chromatography using thermo scientific, DSQ 2 at SICART, Anand.
Stability Study According to ICH Q1A (R2) guidelines, Stability Testing ofnew drug
substances and products were carried out at temperature (40°C ± 2°C) and relative
humidity (75% RH ± 5% RH).
Skin irritation studies of optimized formulation on rat:Two Wister rat with average
weight of 40-50 g were used for the skin irritation study. The backside skin was used for
the study and hairs were removed with the help of hair removing cream (veet). One of the
rat was kept for positive control which was applied 0.8%v/v formalin while other rat was
applied optimised formulation. The skin irritation was measured by observing any skin
sensitivity and reactions such as redness, edema, and skin rash, and compared with
positive control group.
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5.1. Experimental Design-Central composite Design:
The experimental design batches were prepared using central composite design (CCD) with 2
factors, quantity of Lipova E120 and span 60 at 2 levels and batches were evaluated for
Entrapment efficiency, drug release and vesicle size.
% Drug entrapment of 57% was found to be highest in the M2 batch, while % In vitro flux of
0.057 mg cm2/hr. was found to be highest for the M6 batch (table 1).
Table: 1 Results of experimental design batches (M1 to M13)

% Entrapment Drug release after 8 Average vesicle Flux
Batches
efficiency hrs (%) size (nm) (mg.cm2/hr)
M1 48 68 365 0.047
M2 57 86 395 0.056
M3 47 64 348 0.042
M4 48 66 365 0.044
M5 42 80 339 0.052
M6 50 77 306 0.057
M7 40 72 166 0.031
M8 41 75 210 0.045
M9 45 58 376 0.041
M10 48 68 365 0.047
M11 48 67 364 0.045
M12 48 68 366 0.046
M13 55 84 384 0.055
5.2. Surface morphology determination of Transferosome: Surface morphology of

Transferosome was determined using transmission electron microscope. Transmission
electron microscope images of transferosomal suspension of optimized batch were found to
have spherical structure. The size of vesicles were found in between 78 to 120 nm (figure 2).
5.3 Incorporation of Transferosome in gel:-

Optimized batch of Transferosome was incorporated in 1% Carbopol 934 gel. In this gel base,
transferosomal suspension were added, and evaluated for In- vitro Release, pH, Viscosity,
Extrudability and spreadibility. From evaluations, it can be said that gel is compatible with
skin and has ease of application .The drug content was also found to be 95.98% ( table:2)
Table: 2 Evaluation of transferosomal gel
5.4 Particle size and particle size distribution of Transferosome:

Particle size was determined by Malvern zeta sizer which was found to be 184.7 nm (table 3)
and its intensity and zeta potential was found to be 71.7% and -21.4 respectively (graph 1).
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Table: 3 Determination of zeta potential

Mean(mv) Area(%) St Dev(mv)
Zeta potential (mv): -21.4 Peak 1:0.00 0.0 0.00
Zeta deviation(mv): 0.00 Peak 2: 0.00 0.0 0.00
Conductivity (mS/cm): 7.71 Peak 3: 0.00 0.0 0.00
Result quality: Good
Graph: 1 Determination of Particle size and zeta potential by zeta sizer
5.5 Ex-vivo Drug Diffusion Studies:

The results of ex vivo studies of optimized batch showed that, 26.4 µg of drug was releasedin
8 hrs. and a sustained release character was observed (table 4).The marketed cream
showed101.3%of total drug released in 8 hours. Thus optimized batch was found to show
better release characteristics than the marketed formulation (graph 2).
Table: 4 Drug Release of Ex vivo studies: Drug release (in µg)

Formula 1hr 2hr 3hr 4hr 5hr 6hr 7hr 8hr
Optimized batch - 2.2 5.3 9.2 12.5 15.6 20.2 26.4
Marketed formulation (cream) 7.2 18.3 24.7 29.4 31.2 39.6 44.9 52.5
Graph 2: Ex vivo drug diffusion studies
5.6 Residual solvent level analysis of optimized formulation of Transferosome: Prepared

Transferosome are found to be safe to use for topical application after formulating as -2.30
ppm of chloroform was detected in the suspension while 60 ppm is permissible limit for
chloroform has approved by ICH.
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5.7 Stability study: The optimized formulation was found to be stable at 400 C and at 600 C
as there was no considerable change observed in characteristics ( table 5).
Table 5: Result table of stability studies of optimized formulation
Test B1 B2 Before stability testing
% Entrapment efficiency 55.2 55.3 55.1
Vesicle size (nm) 185.5 185.8 185.3
pH 7.2 7.3 7.2
Viscosity (CPS) 465.7 465.3 464.9
%Drug content 95.2 95.7 95.98
5.8 Skin Irritation Study: The prepared optimized formulation was found to be non-
irritating and has a soothing effect daily application.
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Figures
Figure 1: Skin condition in Psoriasis
Figure 2: Determination of surface morphology by transmission electron microscopy
ISBN: 978-93-5351-069-5 630

6. CONCLUSION:
The present work aimed to prepare Betamethasone dipropionate transferosome incorporated
in gel to achieve high percentage of drug entrapment, more skin permeation, sustained release
and lesser skin irritation and thus developed betamethasone dipropionate transferosome gel
has a sustained drug release characteristics better than marketed formulation with high %drug
entrapment and more skin permeation in the skin. Therefore, Betamethasone dipropionate
transferosome incorporated gel can be better option for treatment of psoriasis and a viable
alternative to conventional form.
7. REFERENCES:
1. Camisa, C. (2008). Handbook of psoriasis. John Wiley & Sons.
2. Thomas, J. (2014). Psoriasis: a closer look. JP Medical Ltd.
3. Ghaffar, S. A., Clements, S. E., & Griffiths, C. E. (2005). Modern management of psoriasis. Clinical
medicine, 5(6), 564-568.
4. Menter, A., & Griffiths, C. E. (2007). Current and future management of psoriasis. The
Lancet, 370(9583), 272-284.
5. Jain, N. K. (Ed.). (2001). Advances in controlled and novel drug delivery. CBS publishers &
distributors.426-451.
6. Chien, Y. (1991). Novel drug delivery systems. CRC Press. 149-215.
7. Uva, L., Miguel, D., Pinheiro, C., Antunes, J., Cruz, D., Ferreira, J., & Filipe, P. (2012). Mechanisms of
action of topical corticosteroids in psoriasis. International journal of endocrinology, 2012.
8. Chaturvedi, S. P., & Kumar, V. (2012). A review on disease management and drug delivery aspects in
psoriasis. Curr. Trends Technol. Sci., 1, 122-125.
9. Mason, A. R., Mason, J., Cork, M., Dooley, G., & Edwards, G. (2009). Topical treatments for chronic
plaque psoriasis. Cochrane Database of Systematic Reviews, (2).
10. Doods J.L. 2010. Drugs in use, 4th edition, Pharmaceutical press, 550-568.
11. Cevc, G., & Blume, G. (2004). Hydrocortisone and dexamethasone in very deformable drug carriers have
increased biological potency, prolonged effect, and reduced therapeutic dosage. Biochimica et Biophysica
Acta (BBA)-Biomembranes, 1663(1), 61-73.
12. Lei, W., Yu, C., Lin, H., & Zhou, X. (2013). Development of tacrolimus-loaded transfersomes for deeper
skin penetration enhancement and therapeutic effect improvement in vivo. asian journal of pharmaceutical
sciences, 8(6), 336-345.
13. González-Paredes, A., Manconi, M., Caddeo, C., Ramos-Cormenzana, A., Monteoliva-Sánchez, M.,
&Fadda, A. M. (2010). Archaeosomes as carriers for topical delivery of betamethasone dipropionate: in
vitro skin permeation study. Journal of liposome research, 20(4), 269-276.
14. Nighojkar, P. A., Devi, S. U., Pund, K. V., Gadakh, R. T., & Shinde, M. G. (2012). FORMULATION
DEVELOPMENT OF BMP-NLC ENRICHED GEL. International Journal of Pharmaceutical Sciences and
Research, 3(9), 3522.
15. Attia Shafie, M. A., &Fayek, H. H. M. (2013). Formulation and evaluation of betamethasone sodium
phosphate loaded nanoparticles for ophthalmic delivery. J. Clin Exp Ophthalmol, 4(2), 1-11.
16. Awen, B. Z., Hwisa, N. T., Rao, C., Nama, S., &Katakam, P. (2010). Development and validation of a new
spectrophotometric method for the determination of betamethasone in bulk and pharmaceutical dosage
forms. International Journal of Pharmaceutical and Biomedical Research, 1, 87-89.
17. Roy, C., Chakrabarty, J., &Ratti, R. R. (2013). Development and validation of a stability-indicating NP-
HPLC method for simultaneous determination of betamethasone dipropionate and calcipotriene in topical
dosage form. Archives of Applied Science Research, 5(2), 15-24.
18. Saha, C. N., & Bhattacharya, S. (2009). A validated simultaneous RP-HPLC method for determination of
betamethasone dipropionate and tolnaftate in combined semisolid formulation. Int J ChemTech Res, 1(3),
671-4.
19. Vats, A., & Sharma, P. (2012). Formulation and evaluation of topical antiacne formulation of Coriander
Oil. International Journal of Pharmacy and Pharmaceutical Science Research, 2(3), 61-66.
20. Graeber, M. (2010). U.S. Patent No. 7,642,288. Washington, DC: U.S. Patent and Trademark Office.
21. Shah, V. P., Maibach, H. I., & Jenner, J. (Eds.). (1993). Topical drug bioavailability, bioequivalence, and
penetration (pp. 107-116). New York: Plenum Press.
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PCP058
NOVEL LIQUID CHROMATOGRAPHIC METHOD FOR ANALYSIS

OF TRAZODONE HYDROCHLORIDE IN THE PRESENCE OF ITS
RELATED SUBSTANCES
Dr. Shailesh K. Koradia Dhruvi A. Prajapati
Associate Professor, M. Pharm Student,
Babaria Institute of Pharmacy, Babaria Institute of Pharmacy,
Gujarat Technological University Gujarat Technological University
shaileshkoradia.bip@bitseducampus.ac.in dap2611@gmail.com
Abstract
Trazodone hydrochloride is a serotonin antagonist and reuptake inhibitors used in the
treatment of depression and anxiety. This study was aimed to develop a novel liquid
chromatographic method for the estimationof Trazodone hydrochloride in presence of its
related substances. Eight related substances in Trazodone hydrochloride were separated and
detected by a gradient Reverse Phase-High Performance Liquid Chromatography method
(RP-HPLC) with UV detection. The optimum separation was achieved on Zorbax Rx C8 (250
× 4.6mm, 5µ) column. The mobile phase consisted ofphosphate buffer (pH
7.1)/Acetonitrile/triethyl amine 90:10:0.1 v/v/v (Solution A) and Acetonitrile/phosphate
buffer (pH7.1)/triethyl amine 90:10:0.1 v/v/v (Solution B) using a gradient program at a flow
rate of 1.5ml/min. The elution was monitored at 254nm and 20µL sample volume was
injected. The average retention time of Trazodone hydrochloride was found to be
10.79min.The linearity was good over the concentration range of 2.25-15µg/ml with
correlation coefficient 0.9996. The RP-HPLC method for estimation of Trazodone
hydrochloride in the presences of its related substances was found to be precise, accurate and
specific. The developed method was validated as per ICH Q2 (R1) guideline
recommendation.
Keywords: Trazodone hydrochloride; Method development; Validation; Related

substances
1. INTRODUCTION
Recent years, depression has been a serious disease affecting the patients around the world.
Depression is characterized by symptoms like, sad mood, loss of interest and pleasure, low
Energy, worthlessness, guilt, psychomotor retardation or agitation, change in appetite and/or
sleep, melancholia, suicidal thoughts.1Antidepressants effects on reuptake/metabolism of
biogenic amines and on pre/post a junctional aminergic/cholinergic receptors have become
available. Trazodone hydrochloride is an antidepressant of the serotonin antagonist and
reuptake inhibitor (SARI). It is a phenylpiperazinederivative.2
Trazodone hydrochloride is a chemically, 2-{3-[4-(3-Chlorophenyl)piperazin-1-yl]
propyl}[1,2,4]triazolo[4,3-a]pyridin-3(2H)-one and used in the treatment of unipolar
depression and anxiety. It blocks the serotonin reuptake by inhibiting serotonin reuptake
pump at pre-synaptic neuronal membrane. It binds at 5-HT2 receptor and acts as a serotonin
agonist at high concentration doses and serotonin antagonist at low concentration. Trazodone
hydrochloride is having some allergic reactions like, difficult breathing, swelling of face, lips,
tongue.3
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The control of impurities are necessary for the manufacturing of drug products. These
impurities may be present in the materials, formed as by-products during theprocess of
production or appeared as degradation productsduring storage. Both actual and potential
impurities shouldbe studied and detected by a reliable and convenient analytical method.4
Trazodone hydrochloride is official in the USP-NF XIV5. Literature survey reveals that few
analytical methodslike RP-HPLC,6, 7 LC-MS,8, 9 and UV spectrophotometry10,11 have been
reported for the determination of Trazodone hydrochloride in bulk and pharmaceutical
formulations. The impurity profiling is the best way to characterize quality and stability of
bulk drug.The regulatory authorities and health agencies are emphasizing on the purity
requirements of active pharmaceutical ingredients. The number of related substances in the
drug depends on route of synthesis. So there is a need to develop and validate new analytical
method which can be identify Trazodone hydrochloride in the presence of its related
substances.
3. OBJECTIVES
The objective of the present study is to develop selective, precise and accurate RP-HPLC
method for Trazodone hydrochloride in the presence of its related substances and to validate
the developed method as per ICH guideline (Q2-R1) for various validation parameters.
4.1 Materials and Reagents
Trazodone Hydrochloride was used provided from Zydus Cadila, Dabhasa, Vadodara, Water,
Methanol and Acetonitrile (HPLC grade, Merck chemicals, Mumbai), Ammonium acetate for
HPLC (Astron Chemicals, India), Glacial acetic acid and Triethyl amine, Ortho-phosphoric
acid (AR grade, Merck Chemicals, Mumbai).
4.2 Instrumentation and Chromatographic Method

The HPLC system (Agilent Technologies, 1220 Infinity LC) consisted of ACE PFP C18
Column (250 × 4.6mm, 5μm) and a PDA detector operated at 254nm.The chromatographic
data were collected and analysed by the use of Chromeleon system software.
Separation was carried out by gradient elution of mobile phase at a flow rate of 1.5ml/min.
Mobile phase A composed of phosphate buffer (pH 3.0 with OPA): Acetonitrile: TEA
(90:10:0.1 %v/v/v) and mobile phase B composed of Acetonitrile: Phosphate buffer (pH 3.0
with OPA): TEA (90:10:0.1 %v/v/v). The mobile phase was filtered through Whatmanfilter
paper and degassed before use. The elution was monitored at 254 nm and run time of
chromatogram was kept 60 min.
4.3 Preparation of Standard Solutions:

4.3.1 Preparation of mobile phase: Buffer Preparation (Potassium dihydrogen phosphate
buffer): Accurately weigh 1.36g potassium dihydrogen phosphate dissolved in 1000ml of
milli Q water and mixed thoroughly. Filter the solution through 0.45μm filter and make up
the 1000ml, degassed the solution. The pH of buffer solution was adjusted to 3.0 with ortho-
phosphoric acid.
4.3.2 Preparation of stock solution/working solution: Accurately weighed 7.5 mg of

Trazodone hydrochloride, 7.5 mg of deschloro isomer, 7.5mg of bromo isomer, 7.5 mg of p-
chloro isomer, 7.5mg of KSM-1, 7.5mg hydroxyl propyl phenyl, 7.5mg bromo propyl phenyl
piperazine, 7.5mg of 3-chloro aniline and 7.5 mg of bispiperazine analog were transferred to
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1000ml volumetric flask. It was dissolved and diluted with mobile phase to obtain the
concentration of 75ppm each.
4.4 Validation of RP-HPLC method

The developed method was validated as per ICH guideline (Q2-R1) for parameters like
linearity, precision, accuracy, LOD, LOQ, robustness and specificity.
4.4.1 Linearity: The linearity was determine by analysing six independent levels of
calibration curve in the range of 2.25-15μg/ml of Trazodone hydrochloride. The calibration
curve of Trazodone hydrochloride was shown in figure 1. The standard solutions were
injected under optimized chromatographic condition. The calibration curve was constructed
by plotting peak area (mAU*s) v/s concentration (μg/ml) and regression line equation of
Trazodone hydrochloride was calculated and tabulated in table 1.
4.4.2 Precision:
(a) Repeatability: Six replicates of solution containing 7.5μg/ml Trazodone hydrochloride
were prepared. These replicates were analyzed using RP-HPLC method and %RSD was
calculated and tabulated in table 2.
(b) Intraday precision: The solution containing 2.25, 7.5, 15μg/ml of Trazodone
hydrochloride was taken and was analysed using RP-HPLC method. This analysis was
repeated 3 times on same day and %RSD was calculated and tabulated in table 3.
(c) Interday precision: The solution containing 2.25, 7.5, 15μg/ml of Trazodone
hydrochloride was taken and was analysed using RP-HPLC method. This analysis was
repeated 3 times on different days and %RSD was calculated and tabulated in table 3.
4.4.3 Limit of detection (LOD) and Limit of quantitation (LOQ): LOD and LOQ were
calculated from calibration curve by using by the following equations as per ICH guidelines.
LOD = 3.3*(σ/s) and LOQ = 10*(σ/s)
Where, σ is the SD of Y-intercept of regression line of three calibration curves and s is the
mean slope of the three calibration curves.
4.4.4 Accuracy: The developed HPLC method was checked for accuracy/recovery. Recovery
study was performed by spiking pre-quantified samples of Trazodone hydrochloride. It was
carried out in triplicate by spiking at 50, 100 and 150% levels. The chromatograms at all
three recovery levels were recorded and their data shown in table 4.
4.4.5 Robustness: The robustness of the developed method RP-HPLC was evaluated by
doing minute variations in the optimized method parameters, it was performed by altering
chromatographic conditions like, flow rate, variation in mobile phase ratio. The effect of
altered conditions on the retention time was studied and their data shown in table 5.
4.4.6 Specificity: The specificity of proposed method was determined by taking following
chromatographic runsa) Blank in mobile phase b) Individual related substances c) Standard
mixture of related substances and drug d) Bulk sample.
4.4.7 System suitability: The system suitability was carried out on freshly prepared solution
of 7.5μg/ml of Trazodone hydrochloride. The solution was injected under optimized
chromatographic condition and parameters such as retention time, theoretical plates, tailing
factor were studied to evaluate the suitability of the system. The result of system suitability
was shown in table 6.
ISBN: 978-93-5351-069-5 634


The developed method can be efficiently used for the estimation of Trazodone hydrochloride.
The chromatographic separation was achieved within sixty minutes on ACE PFP C8 (250
x4.6mm, 5μm) using mobile phase A Phosphate buffer (pH 7.1 adjusted with OPA): ACN:
TEA (90:10:0.1 %v/v) and mobile phase B ACN: Phosphate buffer (pH 7.1 adjusted with
dilute OPA): TEA (90:10:0.1 %v/v) in gradient elution. The flow rate of the mobile phase
was set at 1.5ml/min and column temperature was maintained at 25˚C. Detection was
performed at wavelength 254nm using PDA detector.
The percent recoveries were found to be 95.55-101.15%. The linearity was determined at six
levels over the range of 2.25-15 µg/ml. The lowest amount of drug that could be detected
(LOD) was found to be 1.0 µg/ml. The limits of quantification (LOQ) was found to be 3.03
µg/ml. The validation parameters are summarized in the table no.7.
635 ISBN: 978-93-5351-069-5

Figure and Tables:
Figure 1: Calibration curve of Trazodone hydrochloride
Table 1: Result of Linearity

Conc Area(mV) %RSD
(μg/ml) Mean ± SD (n=3)
2.25 24.27 ± 0.277 1.142
3.75 41.35±0.497 1.203
7.5 84.02±1.155 1.375
11.25 121.68 ±2.291 1.882
15 164.34 ±1.8277 1.112
Table 2: Result of Repeatability

Replicates Trazodone Table 3: Result of Precision
hydrochloride INTRA-DAY INTERDAY
(7.5μg/ml) Area PRECISION PRECISION
(mV) Area (mV) Area(mV)
1 85.20 Conc
Mean±SD %RSD Mean± SD %RSD
2 82.89 (μg/ml)
(n=3) (n=3)
3 83.99 2.25 24.37 ± 1.812 24.72 ± 1.711
4 84.02 0.441 0.423
5 84.21 7.5 84.06 ± 1.315 86.13 ± 1.515
6 84.99 1.106 1.305
Mean ± SD 84.21±0.826 15 167.30 ± 1.065 165.42 ± 1.409
(n=6) 1.783 2.332
%RSD 0.9813
Table 4: Result of Accuracy (% recovery)

Amount Amount
Spike Amount recovered % Recovery
Drug Present Added
Level (mean*±SD) (μg/ml) (Mean ± SD)
(μg/ml) (μg/ml)
2.25 μg/ml - 2.25 - 2.15 95.55
Trazodone 50% 2.25 1.125 3.27 96.88
hydrochloride 100% 2.25 2.25 4.28 95.11
150% 2.25 3.375 5.699 101.15
ISBN: 978-93-5351-069-5 636

Table 5: Result of Robustness Table 6: Result of system suitability
Factors Levels Retention time (min) % RSD System Suitability Result

Mean ±SD (n=3) Parameters
Flow rate 1.4 10.95 ± 0.156 1.426
(ml/min) 1.5 9.92±0.120 1.210 Retention time (Rt) 10.79
1.6 8.8±0.134 1.528 Theoretical plate 4021
Mobile phase 70:30 10.95±0.156 1.426 number (N)
Ratio ACN: 72:28 9.60±0.111 1.159 Tailing factor (T) 0.72
Water 75:25 7.80±0.08 1.095
Table 7: Result of validation parameters

Parameters Results
Range 2.25-15μg/ml
Correlation coefficient 0.9999
Repeatability 0.9813
Precision (n=6)
(%RSD) Intraday(n=3) 1.065-1.812
Interday (n=3) 1.409-1.711
LOD 1 μg/ml
LOQ 3.03 μg/ml
Accuracy (% Recovery) 95.55-101.15
Robustness Robust
637 ISBN: 978-93-5351-069-5

6. CONCLUSION
RP-HPLC method was developed and validated for the analysis of Trazodone hydrochloride
in the presence of its related substances in bulk drug. All method validation parameters were
found within its acceptance criteria as per ICH (Q2-R1) guideline. The proposed RP-HPLC
method is simple, specific, precise and accurate for the separation of Trazodone
hydrochloride in the presence of its related substances from drug substances. The developed
method can be routinely used in the quality control laboratory for the detection and
quantitative estimation of known and unknown impurities in bulk form.
7. REFERENCES
1. Tripathi K.D. (2003). Essentials of Medical Pharmacology; 6 thEdn; Jaypee Brothers Publishers, New Delhi,
439-441.
2. Pub Chem, “Trazodone Hydrochloride”, accessed on October 2018,
https://pubchem.ncbi.nlm.nih.gov/compound.
3. Santacruz Technology, “Trazodone Hydrochloride- santacruz technology”, accessed on August 2016,
https://www.scbt.com/scbt/product/-90729-43-4.
4. Guidance for Industry (2008), Q3A – Impurities in new drug substances, Federal register, International
Conferance on Harmonization, 1-14.
5. United State Pharmacopoeia and National Formulary. (2013). Asian Edn, United StatesPharmacopoeia twin
brook parkway, Rochville, MD, III, 6549-6551.
6. Saimalakondaiah D., Reddy R.M., Ajitha A., Rao V. M. (2014).Stability Indicating HPLCMethod
Development and Validation.IJPRR, 2(2), 221-224.
7. Gindy A.E, Faruk M. and Abdullah E. A. (2009).Stability Indicating Assay of Trazodone Hydrochloride
using HPLC. Journal of Applied Sciences Research, 5(11), 2028- 2034.
8. Yasser A., Rabie S., Farag S. (2015). Spectrophotometric method for the determination oftrazodone
hydrochloride in pharmaceutical formulations.IJPRR, 2(2), 1-5.
9. Harikrishna K., Sudhirkumar R. and Manjunatha D. (2006).Sensitive extractionspectrophotometric methods
for the determination of trazodone hydrochloride in pureformand pharmaceutical formulations.JSCS.
10. Ravi Prakash P., Sumadhuri L.S. and Srikanth (2013). Validated HPLC-MS/MS Methodof Determination of
Trazodone in Human Plasma.Open Access Scientific Reports, 2(2), 1-5.
11. Nandigam V.,Ambavaram V., Gajulapalle M., Jafariah J., Vemula M. and Kalluru R. (2014).Trace Level
Qualification of 1-(3- Chloropropyl)-4-(3-chlorophenyl)piperazineHClgenotoxic impurity in trazodone using
LC-MS. Arabian Journal of Chemistry, 2(2),1-5.
ISBN: 978-93-5351-069-5 638

PCP062
STABILITY INDICATING RP-HPLC METHOD FOR SIMULTANEOUS
ESTIMATION OF MUPIROCIN AND HALOBETASOL PROPIONATE
IN PHARMACEUTICAL DOSAGE FORM
Dr. Hiral Panchal Ms. Vanessa James

Professor (Quality Assurance) PhD Research Scholar
K.B. Raval College of Pharmacy, K.B. Raval College of Pharmacy,
Gujarat Technological University, Gujarat Technological University
hir_panchal@ymail.com vanessajames807@yahoo.com
__________________________________________________________________________________
Abstract
A Simple, Precise and Rapid Stability Indicating RP-HPLC method has been developed for
the simultaneous estimation of Halobetasol propionate and Mupirocin in pharmaceutical
dosage form. The chromatography separation was achieved on C18 (25 cm ×4.6 mm i.d., 5
μm) Hypersil BDS column. Mobile phase comprises mixture of 0.05 M Potassium
Dihydrogen Phosphate Buffer (pH4.5): Methanol (10:90 v/v).The flow rate was 1.0 ml/min.
The retention times (RT) of Halobetasol propionate and Mupirocin were found to be 3.133
min and 1.827 min respectively. The products were separated. Acid, Base, Oxidative,
Thermal and Photolytic degradation was carried out and significant degradation was
achieved. The method was found to be specific enough to separate degradation products from
main analyte.
The method was linear in the range of 0.5-1.5μg/ml (r = 0.9998) and 20-60μg/ml (r=0.9997)
for Halobetasol propionate and Mupirocin respectively. The described method was validated
with respect to specificity, linearity, accuracy, precision, LOD and LOQ. Results of each
parameter was met with its acceptance criteria.
So it was concluded that the method is accurate, precise and it suitable for analys is of two
drugs in presence of degradation product.
Key Words: RP-HPLC, validation, Halobetasol propionate, Mupirocin, Stability

__________________________________________________________________________________
1. INTRODUCTION
Halobetasol propionate is antiinflammatory agent and steriod. Halobetasol propionate is

soluble in acetone, acetonitrile and sparingly soluble in water. Chemically it is
[(6S,8S,9R,10S,11S,13S,14S,16S,17R)-17-(2-chloroacetyl)-6,9-difluoro-11-hydroxy 10, 13,
16-trimethyl-3-oxo-6, 7, 8, 11, 12, 14, 15, 16 octahydrocyclopenta[a]phenanthren-17-yl]
propanoate[3]. Mupirocin is bacteriostatic at low concentrations and bactericidal at high
concentrations.Mupirocin is soluble in acetone and slightly soluble in water. Chemically it is
9-[(E)-4-[(2S,3R,4R,5S)-3,4-dihydroxy-5-[[(2S,3S)-3-[(2S,3S)-3hydroxybutan-2-yl]oxiran-2-
yl]methyl]oxan-2-yl]-3-methylbut-2-enoyl]oxynonanoic acid[4]. Combining these two drugs
in gel form can be used for the treatment for the topical treatment of inflammatory dermatitis
such as psoriasis. Psoriasis is a chronic autoimmune disease causing flaking, inflammation
white or red patches on skin[1].
639 ISBN: 978-93-5351-069-5

There is no method for simultaneous estimation of Halobetasol propionate and Mupirocin is

available in literature. Literature survey reveals that spectrophotometric and HPLC methods
for the estimation of Halobetasol propionate from bulk drugs and pharmaceutical formulation
have been developed either alone or in combination with other drugs. Whereas, there are
spectrophotometric methods for the estimation of Mupirocin from bulk drugs and
pharmaceutical formulation have been developed either alone or in combination with other
drugs. However, no stability indicating method has been reported so far for simultaneous
estimation of both drugs in combined pharmaceutical dosage form by HPLC. The present
study describes the development and validation of a stability indicating RP-HPLC method for
the simultaneous determination of Halobetasol propionate and Mupirocin in the presence of
its degradation products according to the ICH guidelines. The developed method is applied
for the routine analysis of Halobetasol propionate and Mupirocin in pharmaceutical dosage
form.The objective is to develop simple, rapid and precise HPLC (High Performance Liquid
Chromatography) method for estimation of Mupirocin and Halobetasol propionate in gel.
2 EXPERIMENTAL WORK:
2.1 Materials and Methods

The pure Halobetasol propionate and Mupirocin were procured from Yash Pharma, India.
HPLC grade Methanol and Acetonitrile were purchased from MerckChemLtd, India. HPLC
grade Water was purchased from Finar Ltd., India. Analytical grade Orthophosphoric acid,
Potassium Dihydrogen Phosphate and Hydrogen Peroxide solution 30% w/v were of
Analytical grade.
2.2 Apparatus
The method was developed using a HPLC instrument equipped with a photo diode array
detector, isocratic pump system, auto injector, and HypersilBDS column (250 X 4.6 mm id,
and 5 μm particle size).
2.3 Chromtographic condition

The BDS HypersilC18 column was used. The mobile phase consisted of 0.05 M Potassium
Dihydrogen Phosphate Buffer adjusted with pH 4.5: Methanol (10:90, v/v)and at a flow rate
of 1 mL/min. The mobile phase was filtered through vaccum filter using filter membrane
(filter disc) and degassed. Wavelength was 240 nm and the injection volume was 20 μL.
2.4 Preparation of standard stock solution of Halobetasol propionate and Mupirocin

mixture
Twenty milligrams of standard Halobetasol propionate and 800 mg of standard Mupirocin
were accurately weighed and transferred to a 100 ml volumetric flask. Volume was made up
to the mark with the methanol to give a solution containing 200 μg/ml of Halobetasol
propionate and 8000μg/ml of Mupirocin. The above solution was diluted with 1 ml of stock
solution to 10 ml using mobile phase.
2.5 Sample preparation for determination of Halobetasol propionate and Mupirocin in

gel form
Ten grams of gel (equivalent to 20 mg of Halobetasol propionate and 800 mg of
Mupirocin) was transferred to a 50 ml beaker and 30 ml of mobile phase was added. The
flask was shaken for 15 minutes and this solution was transferred in 50 ml volumetric flask
and volume was made up to the mark with mobile phase. The above solution was then
filtered through Whatman filter paper no. 42.
ISBN: 978-93-5351-069-5 640


Validation of the developed HPLC method was carried out as per the International
Conference on Harmonization (ICH) guidelines Q2 (R1)[6].
2.6.1.1 Acid degradation

One ml of standard stock solution was transferred in to 10 ml volumetric flask and 2 ml of
stock solution of sample was transferred in 10 ml of volumetric flask. 2 ml of 0.1 N HCl
solutions was added in above two volumetric flasks and mixed well and kept for 4 hrs at room
temperature ( 27C). After 4 hrs, solution was neutralized with 2 ml of 0.1 N NaOH solution.
Then the volume was adjusted with diluent to get Mupirocin (800 μg/ml) and Halobetasol
propionate (20 μg/ml).
2.6.1.2 Base degradation

stock solution of sample was transferred in 10 ml of volumetric flask. 2 ml of 0.1 N NaOH
solution was added and mixed well and kept for 4 hrs at room temperature ( 27C). After 4hrs,
solution was neutralized with 2 ml of 0.1 N HCl. Then the volume was adjusted with diluent to
get Mupirocin (800 μg/ml) and Halobetasol propionate (20 μg/ml).
2.6.1.3 Oxidative degradation

stock solution of sample was transferred in 10 ml of volumetric flask. 2 ml of 3% H2 O2 solution
was added in above two volumetric flasks and mixed well and kept for 4 hrs at room
temperature ( 27C). Then the volume was adjusted with diluent to get Mupirocin (800
μg/ml) and Halobetasol propionate (20 μg/ml).
2.6.1.4 Photo degradation

stock solution of sample was transferred in 10 ml of volumetric flask. Volumetric flask was
placed for 18 hrs in UV Chamber. Then the volume was adjusted with diluent to get Mupirocin
(800 μg/ml) and Halobetasol propionate (20 μg/ml).
2.6.1.5 Thermal degradation

stock solution of sample was transferred in 10 ml of volumetric flask. The volumetric flask was
stored in oven at 70°C for 18 hrs.
After that the contents were cooled to room temperature. Then the volume was adjusted with
diluent to get Mupirocin (800 μg/ml) and Halobetasol propionate (20 μg/ml).
2.6.2 Calibration curve (linearity of the HPLC method)

The linearity for Halobetasol propionate and Mupirocin were assessed by analysis of
combined standard solution in range of 0.5-1.5 μg/ml and 20-60 μg/ml respectively in
term of slope, intercept and correlation co-efficient value. The calibration curve was plotted
using concentration verses peak area.
2.6.3 Precision
The repeatability studies were carried out by estimating the response of 1μg/mL Halobetasol
propionate and 40μg/mL Mupirocin were injected six times and results are reported in terms
of relative standard deviation. The intra-day and inter-day precision studies were carried for
641 ISBN: 978-93-5351-069-5

0.5, 1, 1.5 µg/ml ofHalobetasol propionate and 20,40,60 µg/ml of Mupirocin for three times on
same day and three times on different day respectively and RSD calculated.
2.6.4 Limit of Detection and Limit of Quantification

The LOD and LOQ were estimated from the set of 3 calibration curves which were used
to determine linearity. The LOD and LOQ were calculated as:
LOD = 3.3 × (SD/Slope)
LOQ = 10 × (SD/Slope)
Where, SD= Standard deviation of response of 3 calibration curves.
Slope= Mean slope of the 3 calibration curves.
2.6.5 Accuracy (% recovery)

It was carried out to determine the suitability and reliability of the proposed method.
Accuracy was determined by calculating the % Recovery of Halobetasol propionate and
Mupirocin from the marketed formulation by the standard addition method in which
standards samples of Halobetasol propionate (0.5 µg/ml) and Mupirocin (20 µg/ml) at 80%,
100% and 120% levels were added to the preanalysed samples. Area of each solution peak
measured at 240 nm.
2.6.6 Robustness
Robustness of the method was studied by changing the flow rate (±0.2 ml/min), the pH (±0.2
units) of mobile phase and ratio of mobile phase ((±2%) buffer.
3.1 HPLC method development and optimization

A suitable separation with good peak symmetry and steady baseline was achieved with BDS
HypersilC18 column and Potassium Dihydrogen Phosphate Buffer: Methanol (pH 4.5) (10:90,
v/v) as the mobile phase at a flow rate of 1.0 mL/min. The quantitation of Halobetasol
propionate and Mupirocin were achieved at 240 nm. Fig.1 shows a characteristic
chromatogram obtained by the proposed RP-HPLC method, demonstrating the resolution of
the symmetrical peak corresponding to Halobetasol propionate and Mupirocin. The retention
time observed1.82 and 3.13 min for Halobetasol propionate and Mupirocin respectively.
Figure 1: Chromatogram of Halobetasol propionate (1 μg/ml) and Mupirocin (40 μg/ml)

in KH2 PO4 Buffer (pH4.5): Methanol (10:90, v/v) (Flow rate-1.0 ml/min)
ISBN: 978-93-5351-069-5 642

3.2 Method Validation

Forced degradations are performed to provide indications of the stability- indicating properties
of an analytical method. The results from the stress testing studies indicated that the method
was highly specific for Halobetasol propionate and Mupirocin. The drug was found to be
unstable in acid, base and photo degradation condition.
(a)
(b)
(c)
(d)
(e)
Figure 2 Chromatogram of Halobetasol propionate and Mupirocin and degradation

products (a) Acid degradation (b) Alkali degradation (c) Photo degradation
(d) Peroxide degradation and (e) Thermal degradation.
643 ISBN: 978-93-5351-069-5

Table 1 Area and % degradation of Halobetasol propionate and Mupirocin

Degradation Area % Degradation
condition
Standard Sample Standard Sample
Halobetasol Mupirocin Halobetasol Mupirocin Halobetasol Mupirocin Halobetasol Mupirocin
Acid 439.54 3859.52 445.35 3869.19 28.19 13.75 27.24 13.54
Base 527.09 3776.03 537.62 3764.20 13.89 15.62 12.16 15.88
Oxidation 486.63 3746.92 493.17 3743.48 20.50 16.27 19.43 16.35
Thermal 530.05 3813.19 543.35 3830.14 13.40 14.79 11.23 14.41
Photo 536.44 3583.24 540.47 3581.82 12.36 19.93 11.70 19.96
Specificity is the ability to accurately and specifically measure the analyte of interest in the
presence of other components that may be expected to be present in the sample matrix. The
linearity of a method is defined as its ability to provide measurement results that are directly
proportional to the concentration of the analyte[6]. The precision, evaluated as the
repeatability of the method, was studied by calculating the RSD for six determinations of the
1μg/mL of Halobetasol propionate and 40 μg/mL of Mupirocin performed on the same day
and under the same experimental conditions. The obtained RSD values were 0.61% and
0.98% for Halobetasol propionate and Mupirocin respectively. Accuracy was determined
over the range from lowest sample concentration to highest concentration (i.e. at 80%, 100%
and 120%). According to acceptance criteria individual % recovery should be in the range of
98-102 %. The LOD and LOQ were determined from slopes of linear regression curves.
There were no significant changes in the chromatographic pattern due to changes made in the
experimental conditions, thus showing the method to be robust. These results indicate that the
developed method is accurate, precise, simple and rapid.
Table 2 Summary of validation parameters

Parameters Halobetasol Mupirocin
propionate
Linearity 0.9997 0.9998
Accuracy (% 98.72 -101.45 % 100.56 -101.28 %
Recovery) (n=3)
Precision (%CV)
Repeatability (n=6) 0.61 0.98
Intraday (n=3) 0.37-0.58 0.12-0.51
Interday (n=3) 0.49 - 1.12 0.70 - 1.03
LOD (μg/mL) 0.024 0.989
LOQ (μg/mL) 0.072 2.998
Robustness (RSD)
Change in Flow Rate 0.43 0.56
Change in pH 0.52 0.38
Change in Mobile 0.57 0.43
Phase Ratio (%v/v)
3.3 Method application

The proposed RP-HPLC method was applied for the determination of Halobetasol propionate
and Mupirocin in pharmaceuticalformulations. The assay results were comparable to labeled
value of each drug in gel dosage form. It can be used in the routine quality control of dosage
form in industries.
CONCLUSION:
ISBN: 978-93-5351-069-5 644

A simple, accurate and precise RP-HPLC method has been developed and validated as per
ICH guideline for simultaneous estimation of Halobetasol propionate and mupirocin in
pharmaceutical dosage form. The degradation behaviour of Halobetasol propionate and
mupirocin was investigated under different stress degradation (acid, base, oxidative,
photolytic and thermal condition) as per recommendation by ICH using HPLC. A stability
indicating RP-HPLC method was developed that could separate drug from degradation
product formed under various stressed conditions. Halobetasol propionate and Mupirocin was
found to degrade significantly in acid and oxidation condition as well as in photo degradation
and base condition validation parameters were tested and observation of all these parameters
indicates that developed RP-HPLC method is specific, linear, precise, accurate, robust and
system suitable.
REFERENCES:
1) Warrell D.A., Co x T.M., Firth J.D. (2010). Oxford Textbook of Medicine, 5th Edn. New Yo rk, NY: Oxford
University Press. pp. 4610–4617.
2) Levine, D., Gottlieb, A. (2009). Evaluation and management of psoriasis: an internist’s guide. Medical
Clinics of North America, 93(6), 1291–1303.
3) O'Neil, M .J., (2006). The Merck Index: An Encyclopedia of Chemicals, Drugs, and Biologicals, 14th Edn,
New Jersey, NJ: Merck, pp. 794.
4) O'Neil, M .J., (2006). The Merck Index: An Encyclopedia of Chemicals, Drugs, and Biologicals, 14th Edn;
NJ: Merck, pp. 1089-1090.
5) ICH Stability Testing of New Drug Substances and Products Q1A (R2) in Proceedings of the International
https://www.ich.org/filead min/Public_Web_Site/ICH_Products/Guidelines/Quality/Q1A_R2/Step4/Q1A_R
2__Guideline.pdf
6) ICH Validation of Analytical Procedures: Text and Methodology Q2 (R1), in Proceedings of the
International Conference on Harmonization, 2005.
https://www.ich.org/filead min/Public_Web_Site/ICH_Products/Guidelines/Quality/Q2_R1/Step4/ Q2_ R1__
Guideline.pdf
7) Lakka, N.S., Goswami, N. (2012). A Stability Indicat ing RP-HPLC Method for Simultaneous
Determination of Halobetasol Propionate and p -Chlorocresol in Creams. International Journal of
Pharmaceutical Sciences and Drug Research, 2(5), 13-19.
8) Parmar, A.P., Maheshwari, D.G. (2015). Develop ment and Validation o f Analytical Method for
Simu ltaneous Estimation of Mupirocin and Mometasone Furoatein Topical Formulat ion by RP -HPLC.
International Journal of Pharmceutical Science and Research , 6(4), 758-766.
9) Nalwade, S., Reddy, V.R., Kulkarni, D., Todamol, S. ( 2015). Quantification of Halobetasol propionate and
its Impurities Present in Topical Dosage Forms by Stability -Indicat ing LC Method. Journal of
Chromatographic Science, 53, 127-134.
10) Pasha, K., Banu, S., Ali, M. (2015). Simultaneous Estimation o f Halobetasol propionate and Salicylic Acid
by RP- HPLC Method. Inernational Journal of Pharmacy and Pharmaceutical Sciences, 4(4), 198-204.
11) Ankam, R., Mu kkanti, K.., Durgaprasad, S., Naidu, P.V. (2010). Simu ltaneous Determination of
Halobetasol propionate and Fusidic Acid Related Substances by Reversed Phase High Performance Liqu id
Chromatographic Method. Asian Journel of Chemistry, 22(5), 3376-3380.
12) Redasani, V.K., Tambo li, P.S., Kalal, D., Surana, S.J. (2015). Develop ment and Validation of
Spectroscopic Methods for the Estimation of Mupirocin Calciu m in Bulk and in Ointment Formulat ion.
Journal of Forensic Toxicology and Pharmacology, 4(2).
13) Gunasekar, M. (2016). Develop ment and Validation of a stability indicat ing RP-HPLC method for the
estimation of Mupirocin in bulk and oint ment dosage form. European Journal of Pharmaceutical Medical
Research, 3(10), 470-476.
645 ISBN: 978-93-5351-069-5

PCP075
FORMULATION AND EVALUATION OF MICROEMULSION

LOADED GEL OF DIACEREIN FOR PSORIATIC ARTHRITIS
Dr. SunitaA. Chaudhary
Arihant School of Pharmacy and BRI, Adalaj,
Gandhinagar
sunitaankitchaudhary@gmail.com
Abstract
Psoriatic arthritis is specific conditions of arthritis that targets some population who are
suffered from psoriasis. The condition shows red patches of skin topped with silvery scales.
Dicerein would be safe and effective drug for psoriatic arthritis. The aim of present
Investigation was to enhance the solubility of poorly aqueous soluble diacerein by preparing
microemulsion loaded gel for transdermal application for better penetration. Microemulsion
formulation of Diacerein developed by using Acrysol K-140 as oil, Tween 80 as surfactant
and PEG 400 as co surfactant after preliminary screening of excipients. The system was
optimized by pseudo ternary phase diagram. The prepared formulations were characterized
for phase separation, pH, Viscosity, the droplet size distribution, ζ potential, and in-vitro
diffusion. The optimized system contains no phase separation good opticle transparency,
mean globule size of 15.70 nm and zeta potential (ζ) -16.9 mV and In-vitro drug diffusion
94.76 %. The optimized microemulsion was loaded in gel made of carbopol and evaluated for
various parameters like spreadibility, pH, viscosity and drug diffusion. It could be concluded
that microemulsion loaded gel could be explored for further dosage form design of drug with
poor aqueous solubility BCS class-II drugs like diacerein.
Keywords: Diacerein, Microemulsion, Transdermal gel
1.INTRODUCTION:
Psoriatic arthritis and psoriasis are both caused by inflammation. The processes of
inflammation are very similar in your skin and your joints. Particular combination of genes
makes some people more likely to develop psoriasis and psoriatic arthritis. A combination of
genetic, immune, and environmental factors is likely involved. Some important symptoms of
psoriatic arthritis includes, pain and stiffness in and around your joints, Swelling of your
fingers or toes (dactylitis), caused by inflammation occurring simultaneously in joints and
tendons, Inflammation of the knees, ankles, and joints in the feet. Joints become stiff,
painful, swollen, hot, and red. Anti-inflammatory drugs are used to treat psoriaticarthritis.
ButNSAIDS have potential side effect of gastrointestinal bleeding. Diacerein is anti-
inflammatory drug and not showing effect on PGE2 production by minimizing the effect of
gastrointestinal upset. So that it is a best candidate for the treatment of psoriatic
arthritis.Microemulsions have the ability to deliver larger amounts of water and topically
applied agents into the skin than water alone or other traditional vehicles such as lotions or
creams because they act as a better reservoir for a poorly soluble drug through their capacity
for enhanced solubilization. In topical formulations, microemulsions have been proved to
increase the cutaneous absorption of both lipophilic and hydrophilic medicaments when
compared to conventional vehicles (emulsions, pure oils, aqueous solutions). For topical
delivery, microemulsion is incorporated in polymer gel base to prolong the local contact to
ISBN: 978-93-5351-069-5 646

the skin. Many widely used topical agents like ointments, creams, lotions have many
disadvantages like sticky in nature, causing uneasiness to the patient when applied, have
lesser spreading co-efficient so applied by rubbing and they also exhibit the problem of
stability. Microemulsion is having stability problem due to having low viscosity but can be
overcome by incorporation into gel causes improved viscosity and hydrating stratum
corneum which will increase drug dermal permeation and the skin flux. Thus the aim of
present work is to develop and evaluate microemulsion loaded gel for treatment of psoriatic
arthritis.
2. LITERATURE REVIEW:
Pawar AY, et al developed and evaluated topical microemulsion gels for
nimsulideAceclofenac
Kalra R, et al studied on development and characterization of microemulsion formulation for
transdermal delivery of Aceclofenac
Gohel MC et al studied fabrication and evaluation of hydrogel thickened microemulsion of
ibuprofen for topical delivery Ketoprofen
Sakeena MH et al formulated and in vitro evaluated of ketoprofen in palm oil esters
nanoemulsion for topical delivery Ketoprofen
Dhamankar AK, et al had developed the novel formulation of o/w microemulsion of
ketoprofen for improving transdermal absorption Diclofenac.
Dima S, et al developed topical delivery of diclofenac using microemulsion systems
Indomethacin
Zabka M et al developed Microemulsions as vehicles for transdermal permeation of drugs
Piroxicam
Paolino D et al studied Lecithin microemulsions for the topical administration of ketoprofen:
Percutaneous adsorption through human skin and in vivo human skin tolerability Ketoprofen.
Rhee YS et al designed Transdermal delivery of ketoprofen using microemulsions.
3. OBJECTIVES:
 To select oil, surfactant and co-surfactant for the formulation of microemulsion by
preliminary screening.
 To optimize the surfactant, co-surfactant ratio with help of ternary phase diagram.
 To optimize the formula for Microemulsion by experimental design.
 To characterize Microemulsion formulation for various parameter.
 To formulate microemulsion loaded gel.
 To carry out stability testing as per ICH guidelines.
 Carry out skin irritation study.
4. EXPERIMENTAL WORK:
4.1 Identification of Diacerein
4.1.1: By Melting Point
4.1.2 By FTIR Spectra
4.2Analytical estimation of drug by UV

4.2.1 Determination of UV absorption maxima (λ max) in phosphate buffer (pH 7.4)
4.2.2 Calibration curve of Diacerein in DMF and phosphate buffer (pH 7.4)
4.3 Solubility study of Diacerein in various excipients

Solubility of Diacerein was determined in each component required for Microemulsion
includes oils, surfactant and co - surfactants. 2 ml of each component was taken in screw cap
647 ISBN: 978-93-5351-069-5

vials with known quantity (50mg) of excess drug. Thevials were heated on water bath at 40°C
for easy solubilisation. The mixtures were agitated on a rotary shaker for at 25±2°C for 48
hours. Then Sonicate for 40 minutes. Then after equilibrium the samples were centrifuged at
5000 rpm for 15 minutes. Supernatant was collected. Collected solution was appropriately
diluted with DMF and UV absorbance was measured at 256 nm. And concentration was
calculated.
4.4 Construction of pseudo-ternary phase diagram

Surfactant (Tween 80) and co-surfactant (PEG 400) were mixed (Smix) in different volume
ratios (1:1, 2:1, 3:1, 1:2, 1:3). For each phase diagram, oil (Acrysol K 140) and specific Smix
ratio were mixed thoroughly in different volume ratios from 1:9 to 9:1 in different glass vials.
Pseudo ternary phase diagrams were developed using the aqueous titration method.
Formulation of F1-F7 batch by varying concentration.
Table: 1Formulation composition of Microemulsion

Formulation Code X1 X2 X3
F1 4.5 4.5 11
F2 11 4.5 4.5
F3 4.5 11 4.5
F4 7.5 5 7.5
F5 5 7.5 7.5
F6 7.5 7.5 5
F7 6.66 6.67 6.67
4.5 Evaluation of Microemulsion formulations

The prepared batches of Microemulsion were evaluated for optical transparency, phase
separation, pH, viscosity, and zeta potential invitrodiffusion study and skin irritation study.
4.6Formulation of Microemulsion loaded emulgel

Microemulsion based gel was prepared by dispersing 1% carbopol in water at 700C. After
complete dispersion, triethanolamine was added in to swollen polymer to adjust the pH. Now
optimized Microemulsion was incorporated in to prepared gel to get smooth Microemulsion
loaded gel. Gel was evaluated for viscosity, permeation and drug content.
4.7 Short term stability study

The optimized Microemulsion loaded gel was subjected to short term stability conditions:
40ºC ± 5 º C temperatures and 75% ± 5% relative humidity in stability for 1 month.

Melting point of Diacerein was found to be 215-220°C which was in the ranges as given in
literature, hence the drug could be stated as pure.The UV absorption maximum of Diacerein
in DMF was found to be 259.12 nm. Calibration curve of diacerein in DMF was taken from
range 0-24 μg/ml. The R2 value was found to be 0.998 which shows good linearity.
Calibration curve of diacerein was taken from range 0-10 μg/ml. The R2 value was found to
be 0.996 which shows good linearity. For solubility studies various oils, surfactant and co-
surfactants were selectedas shown in fig:1Amongst the oils tested the maximum solubility of
diacerein was found in the Acrysol K 140 (4.25±0.215mg/ml) Among various surfactants
ISBN: 978-93-5351-069-5 648

tested, Diacerein shown maximum solubility in Tween80 (1.74±0.035 mg/ml), diacerein has
also good solubility in all co-surfactant tested, PEG 400 (4.30±0.52 mg/ml) is Selected as Co-
surfactant.
6
solubility study
Solubility(mg/ml)
5
4
3
2
1
0
Oil/surfactant/Co-surfactant
Fig:1 Solubility study of drug in oil/surfactant /cosurfactan
A ternary phase diagram was investigated to choose the proper concentration of excipients
i.e., oil proportion and optimum Smix ratio in the formulation to produce emulsions with
good stability. After observing clarity, stability after 48 h, it was noted that formulations with
S/CoS ratio of 1:1 and oil/Smix ratio of 50:50 produced stable emulsions.
Fig: 2 Ternary Phase diagram
Table 2: Evaluation of microemulsion

FORMULA Optical *Viscosity(cp) Phase *pH Particle PDI
TION transparency separation size(nm)
Transparent 670.003 No 6.200.2 64.71 0.263
F1
15
Transparent 720.20 No 6.340.0 40.25 0.310
F2
20
649 ISBN: 978-93-5351-069-5

Transparent 700.005 No 6.300.0 19.80 0.459

F3
04
Transparent 740.10 No 6.290.1 28.53 0.343
F4
24
Transparent 780.140 No 6.250.2 26.13 0.365
F5
25
Transparent 680.004 No 6.350.0 36.60 0.411
F6
09
Transparent 750.006 No 6.270.1 22.96 0.661
F7
40
(*Values are mean ±SD (n=3)
The zeta potential of the formulation was found to be -19.9. In general, the zeta potential
value of ±30 mV is sufficient for the stability of a microemulsion. F3 formulation complies
with the requirement of the zeta potential for stability as shown in fig3.
Fig:3 Zeta potential of optimized formulation F3
Prepared gel showed pH of 5± 0.3 to avoid the risk of irritation. Drug content was found to be
in the range of 95± 0.2 to 97. ± 04%. The formulation F3 loaded gel was found to be stable
after 1 months of storage and no change in clarity, phase separation, viscosity, pH and In-
vitro drug diffusion observed. Results were shown in table 3.
Table 3 Evaluation parameters after 1 month of stability study

Evaluation Initial formulation After 1 month formulation
Phase separation No No
pH 6.300.004 6.310.002
Viscosity(cp) 7000.005 6900.004
In-vitro drug diffusion 95.86±0.340 95.09±0.402
6. CONCLUSION: From this study it was concluded that Microemulsion loaded gel is the
suitable colloidal carrier for better pearmeation and spreadability of poorly soluble drug.
7. REFERENCE:
1. Venkateswara Rao, S., Vijaya Sri, P. and Padmalatha, K,. “Formulation and evaluation of
Oxiconazoleemulgel for topical drug delivery”.International Journal of Current Research. 2017;9 (10):
58876-58878.
2. Dhobale Shankar, ShelkeGajanan, Jadhav Suresh, Gaikwad Dushyant,. Formulation and Evaluation of
LuliconazoleEmulgel for Topical Drug Delivery. Int. Res. J. of Science & Engineering.2018; A3: 85-
90.
3. Pottalaswathi, Kiran vema,. Formulation and Evaluation of AceclofenacEmulgel for topical drug
delivery. International Journal of Advance Pharmaceutical Science & Innovative Research
Development .2015;3(1):0052-0056 .
ISBN: 978-93-5351-069-5 650

4. Dignesh M. Khunt, Ashish D. Mishra, Dinesh R. Shah., Formulation Design & Development of
PiroxicamEmulgel. International Journal of PharmTech Research.2012; 4(3):1332-1344.
5. Joshi Baibhav, Singh Gurpreet, Rana AC, Saini Seema,. “Development and Characterization of
Clarithromycin Emulgel for topical delivery”. Int. J.Drug Dev. &Res..2012: 4(3): 310- 323.
6. A. S. Panwar, N. Upadhyay, M. Bairagi, S. Gujar, G. N. Darwhekar, D. K. Jain,.Emulgel: a review.
Asian Journal of Pharmacy and Life Science.2011;1 (3):333-343.
7. Nitin PrabhakarAmbhore, PanchaxariMallapaDandagi, AnandPanchaxariGadad, Paresh
Mandora,.Formulation and Characterization of Tapentadol Loaded Emulgel for Topical Application.
Indian Journal of Pharmaceutical Education and Research, 2017;51(4 ): 526-531.
8. Jaise Thomas, S Kuppuswamy, AnwaraAliyar,Sahib, Ashinaa Benedict, Eby George,. Review on
Emulgel as a Current Trend in Topical Drug Delivery System. Ijppr.Human, 2017; Vol. 9 (3): 273-281.
9. Anil R. Phad, NandgudeTanajiDilip, R. SundaraGanapathy,. Emulgel: A Comprehensive Review for
Topical Delivery of Hydrophobic Drugs. Asian Journal of Pharmaceutics.2018;12 (2) :382.
10. Kumar D, Singh J, Antil M and Kumar V,.Emulgel-novel topical drug delivery system–a
comprehensive review. Int J Pharm Sci Res. 2016; 7(12): 4733-42.
11. Asish Dev, RehaChodankar, Om Shelke., Emulgels: a novel topical drug delivery
system.Pharmaceutical and biological Evalution.2015; 2(4).
12. Ritika Arora, Rukhsar Khan, AnupOjha, KumudUpadhyaya, Himansu Chopra,. Emulgel: a novel
approach for hydrophobic drugs. International Journal of Pharmacy and Biological
Sciences.2017;7(3):43-60
651 ISBN: 978-93-5351-069-5

PCP078
ISOLATION, CHARACTERIZATION AND ESTIMATION OF AN

ACTIVE CONSTITUENT FROM AEGLE MARMELOS
SINDHU EZHAVA
Lecturer
Department of Quality Assurance, L. M. College of Pharmacy
sindhulmcp@gmail.com
Isolation, characterization and estimation of an active constituent from Aegle marmelos.

Phytochemical screening of Aegle marmelos fruit revealed the presence of Alkaloids,
Tannins, Carbohydrates, Coumarin and Steroids. Marmelosin was isolated from the fruit and
was characterized by various spectroscopic methods. Validated HPTLC method was
developed for the estimation of marmelosin in fruit of Aegle marmelos. The separation was
performed on followed by detection of marmelosin at310nm.Camag TLC scanner 3 with
CATS4 software was used for scanning.The aim of the present study is to isolate and to
quantitate marmelosin from Bael fruit pulp powder and its formulations using High
Performance Thin Layer Chromatography techniques.The proposed method was validated in
terms of linearity,precision,accuracy and sensitivity as per ICH guidelines.
Key words: Aegle marmelos, Marmelosin, HPTLC
1. INTRODUCTION
Aegle marmelos, commonly known as Bael belonging to the family Rutaceae, is amoderate-
sized, slender, aromatic and indigeneous tree of India. It has been in use in Indian traditional
medicine, ‘Ayurveda’ since antiquity.[1,3,4]. The ancient systems of medicine, including
Roman, Ayurveda, Greek, Siddha and Unani have mentioned its therapeutic applications in
cardiovascular disorders, diabetes, diarrhoea and dysentery.[2] Other actions like antifungal,
antibacterial, antiprotozoal, hypoglycaemic, antioxidant, antiviral and cardio protective
effects have been studied using various parts of the plant.The root of Aegle marmelos, is one
of the ingredient in most popular ayurvedic preparation “DASHAMULA”.[4]
Formulations containing Bael fruit pulp proved to show potent biological activity and is
largely being used in day-to-day life. Standardization of herbal formulation in terms of
quality of raw materials, manufacturing practices, and composition is important to ensure
quality and optimum levels of active principles for their bio-potency. Identification of major
and unique compounds in herbs as markers and development of analytical methodologies for
monitoring them are the keys steps involved in marker-based standardization. HPTLC has
recently emerged as a preferred analytical tool for fingerprints and quantification of markers
compounds in herbal drugs because of its simplicity, sensitivity, accuracy, suitability for high
throughput screening, etc. Although number of analytical methods are available for
estimation of marmelosin from Aegle marmelos, the estimation of aegle marmelos from
different market formulations of Aegle marmelos was not reported. Therefore the present
study states a simple method for isolation of marmelosin from fruits of Aegle marmelos and
the use of HPTLC method for the estimation of marmelosin from different plant part and
market formulations of Aegle marmelos.
ISBN: 978-93-5351-069-5 652


2.1 Materials
Aegle marmelos ripe fruits were purchased from the local market. (LVG,
Ahmedabad,Gujarat,India).The fruit pulp was then sun dried.The dried pulp was ground
using mortar pestle to form powder. Then this crude powder was further used for extraction
of active constituents.For the identification and Taxonomic authentication, sample of plant
material was given to department of Botany, M.G.Science Institute, Ahmedabad,Gujarat.
2.2 Chemicals
All the chemicals used during experiment were of analytical grade.
2.3 Instruments
HPTLC plates:LC Aluminum sheet pre-coated with silica gel G60 F254 20×20cm2 layer
thickness- 0.2mm (Merck, Darmstadt, Germany), Applicator: CamagLinomat IV
(Semiautomatic spotting device), Developing chamber:Camag Twin trough Chamber (10 ×10
cm2), Densitometer: TLC Scanner 3 linked toCATS4 Software, Camag, UV-1700
PharmaSpec, Veego melting point Apparatus VMP-D
2.4 Method
Isolation,extraction and purification of compound:
500gm of fruit powder of Aegle marmelos was taken in 500 ml of round bottom flask.The
contents were refluxed with 500ml of petroleum ether for 2 h, extract was filtered from fruit
powder by using muslin cloth . The Marc was again extracted twice using same volume of
petroleum ether for same time.(2×500ml) and the solution was filtered. All three extract were
combined and filtered through whatman filter paper no 42 to remove any traces of powder
left. The filtrate was then concentrated to 100ml(approx.). Petroleum ether extract (100ml)
was evaporated to dryness till the waxy residues was obtained. To the residue n-Hexane
(50mlx3) was added and shake the contents and filter using whatman filter paper no 42. The
off white solid mass obtained was dissolved in 50 ml di ethyl ether ( 4-5 times), filtered the
solution and kept it at room temperature for 10min ,crystalline solid was obtained (125mg).
Melting point (97-100֩C) of white crystalline solid was taken in veego melting point
apparatus.
2.5 Characterization of isolated compound:

The isolated compound was characterized by melting point, UV, IR and Mass Spectroscopic
datas.
2.6HPTLC Method development:

2.6.1 Mobile phase optimization:
In order to develop an optimized mobile phase for separation and resolution of marmelosin
from that of other components which is present in Aegle marmelos, different mobile phases
were tried.The combination of Toluene:Ethyl acetate (80:20 v/v) at room temperature with
10 min saturation time provided optimum polarity for proper migration, separation and
resolution of marmelosin with Rf0.66±0.03.
2.7 Preparation of standard solutions:

Isolated Marmelosin (10mg) was weighed accurately and transferred into 10 ml volumetric
flask and diluted with methanol up to the mark. 5ml of the stock solution of Marmelosin
was transferred into 50 ml volumetric flask and was diluted with methanol up to the mark.
From the working standard (100 μg/ml) solution (1ml, 1.5ml, 2ml, 2.5ml, 3ml) of
653 ISBN: 978-93-5351-069-5

Marmelosin was transferred into 10 ml volumetric flask and was diluted with methanol up to
the mark.
2.8Calibration curve for standard Marmelosin:

Working standard solutions (10µl) of marmelosin (100-300 ng/spot) was spotted on Pre-
coated TLC plate. The TLC plate was then developed in a solvent system of Toluene:Ethyl
acetate (80:20 v/v).After development, the plate wasdried and analysed at 310nm. The
calibration curves were prepared by plotting concentration (ng/spot) verses peak area
corresponding to each spot.
2.9HPTLC Method validation

2.9.1 Linearity:
Trial and error method was used for establishing linearity and several spots of varying
concentrations were spotted. Plate analyzed and linear equation was generated on basis of
peak area, and linear regression was calculated. A good linearity was achieved in the
concentration range of 100-300ng/spot for marmelosin.Theregression equations and
correlation coefficient for the reference were:
Marmelosin [y = 23.079x + 39.892, R² = 0.9994]
2.9.2 Precision:
1) Intermediate precision
a) Intraday
A variation of result within same day is called intraday variation. It was determined by
repeating calibration curve 3 times on same day. (100, 200 and 300 ng/spot).The results
were expressed as %RSD and were found to less than 2%.
b) Interday
A variation of result amongst day is called interday variation. It was determined by
repeating calibration curve daily for 3 different days. (100, 200 and 300 ng/spot).The
results were expressed as %RSD and were found to less than 2%.
2) Repeatability
a) Repeatability of measurement of peak area (n=6):
10μl of Marmelosin solution (250ng/spot) was spotted on pre-coated TLC plate.The plate
was then developed, dried, and analyzed. The area of spot was measured six times without
changing the position of plate and %RSD of obtained data was calculated.
b) Repeatability of sample application (n=6):
10 μl of Marmelosin solution (250 ng/spot) was spotted on pre-coated TLC plate six times.
The plate was developed, dried, and analyzed. The areas of six spots were measured and %
RSD was calculated.
2.9.3 Accuracy
Accuracy of an analytical method is defined as closeness between the actual (true) value and
analytical value obtained by applying test method for a number of times. It was determined
by calculating the recovery of the standard by standard addition method at three different
concentration levels of standard. Along with standard calibration curve, extract 23μL solution
containing 130 ng was spotted on TLC plate. 10, 20,30μL (10μg/ml) was added on
succeeding spot to obtain final concentration range. The plate was developed dried and
analyzed. The amount of drug was calculated by employing corresponding calibration curve
equation.
Average recovery obtained at all 3 levels was reported as % recovery.
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2.9.4 Limit of Detection (LOD)

It is the lowest amount of analyze in a sample that can be detected, but not necessary quantify
under the stated experimental conditions. LOD is commonly used to substantiate that an
analyteconcentration is above or below a certain level. According to ICH guidelines it can
also be calculated by the following equation.
LOD = (3.3×σ) /S
σ = Standard deviation of the Y intercept
S = Slope of the calibration curve equation
2.9.5 Limit of Quantification (LOQ)

It is the minimum amount of analyte in a sample that can be quantitated with suitable
precision and accuracy. The different amount of standard solution was used and minimum
quantifiable limit was determined. According to ICH guidelines it can also be calculated by
the following equation.
LOQ = (10×σ) /S
σ = Standard deviation of the Y intercept
S = Slope of the calibration curve equation
2.9.6 Specificity
Specificity is the ability to assess unequivocally the analyte in the presence of components
which may be expected to be present. Typically these might include impurities, degradants,
matrix, etc.
2.10 Quantification of Marmelosin in fruit and Marketed formulations:

2.10.1 Preparation of extract of Aegle marmelos from fruits.
Accurately weighed fine Aegle marmelos fruit powder (1g) was transferred to 250 mL round
bottom flask. The mixture was refluxed with petroleum ether (50×2) for 30 min and
filtered.10 mL of the solution for detection at 310 nm in duplicate was spotted on pre coated
TLC plate and plate was developed as stated, dried and analysed.(figure:2)
2.10.2 Preparation of marketed formulations:

Marketed formulations (250mg×2) powdered and extracted with petroleum ether
(25mL×2).filtered the solution and diluted with petroleum ether in 50 ml volumetric flask.
25µL from the resulting solution was spotted with standard solution of marmelosin on TLC
plate.(figure:2)
2.11 RESULTS AND DISCUSSION

The isolated marmelosin was identified by melting point, UV, IR and Mass Spectroscopy.
The melting point was found to be 97-100֩C, which was compared with standard value. The
wavelength of maximum absorbance was found to be 300nm, IR frequencies obtained were
3110.68, 1139.85, 1712.67, 1625.88 cm-1which indicated the presence of C-H, C-O, C=O and
C=C in the structure. The mass spectra gave base peak at 203g/mol and molecular ion peak
[M+1] obtained at 271.1g/mol. Different mobile phases in various proportions were
examined. The combination of Toluene:Ethyl acetate (80:20 v/v) at room temperature with
10 min saturation time provided optimum polarity for proper migration, separation and
resolution of marmelosin with Rf0.66±0.03.The linearity was found to be within range 100-
300 ng/spot.The correlation coefficient was 0.9994.The LOD and LOQ were found to be 8.70
ng/spot and 26.4 ng/spot respectively.(Table 1)A sensitive and selective HPTLC method for
655 ISBN: 978-93-5351-069-5

estimation of marmelosin in fruit extract of Aegle marmelos was developed and amount of
marmelosin in fruit was found to be 0.251%w/w.(Table 2)
Tables
Table 1: Summary of validation parameters
NO PARAMETER MARMELOSIN
1. Linearity (n=6) 100-300 ng/spot
2. Correlation coefficient 0.9994
3. Precision
Repeatability (n=6)
Repeatability of measurement of 0.59

peak area
Repeatability of sample application 0.62

4. Intermediate precision (%R.S.D)
• Intraday precision 0.5135-1.8075
•
Interday precision 0.2000-1.5696
5. Accuracy (n=3) 100.31 %
6. Limit of Detection 8.70 ng/spot
7. Limit of Quantitation 26.4 ng/spot
Table:2 Quantification of marmelosin in Aegle marmelos fruit extract

and marketed formula
Extract Yield(n=3)
Fruit extract 0.251±0.001 %w/w
Marketed formulation-1 0.056±0.0008%w/w
Marketed formulation-2 0.099±0.0006 %w/w
Figures
Figure: 1 Structure of marmelosin
ISBN: 978-93-5351-069-5 656

Figure: 2 Chromatogram for quantification of marmelosin in fruit

extract and marketed formulation
657 ISBN: 978-93-5351-069-5

REFERENCES
1. Shailajan, S., Menon, S and Hande, H. (2011) Method validation of Marmelosin from fruit pulp of
Aegle marmelos (L.) Correa using HPTLC Technique. J of Pharm Research 4, 1353-55.
2. Prajapat, R. P., Gupta, V., Soni, B., Choudhary, D., Veerma, R and Bhandari, A. (2012). Extraction and
Isolation of Marmelosin from Aegle Marmelos, Synthesis and Evaluation of Their Derivative as
Antidiabetic Agent. Der Pharmacia Lettre 4, 1085-92.
3. Indian Herbal Pharmacopoeia. Revised new ed: Indian drug manufacturers association, Mumbai; 2002.
4. The Ayurvedic Pharmacopoeia of India.1st ed: Ministry of Health and Family Welfare, Department of
Indian system of medicine and Homoeopathy, New delhi: 1990.
5. Iyengar,M.A. Study of crude drugs.14th ed: Manipal publication;2010.pp.23-25.
6. Patkar, A.N., Desai N.V., Ranage, A.A.,Kalekar, K.S. (2012) A review on Aegle marmelos: a potential
medicinal tree. International Research Journal of Pharmacy 3, 86-91.
7. Singh, S., Singh, P., Singh, S., Trivedi, M., Dixit, R., Shanker, P.(2013) Biological activities and
therapeutic potential of Aegle marmelos (Bael).a review. International Research J of Pharm and
AppliedSci 3, 1-11.
8. Stahl E. Thin-Layer Chromatography: a laboratory handbook; 2nded: Academic press Inc. Publisher,
Kolkata; 1962. p. 1-9.
9. International Conference on Harmonisation (ICH). Validation of Analytical Methods: Methodology
ICH Q2-B;2005.
ISBN: 978-93-5351-069-5 658

PCP079
CLINICAL INVESTIGATIONS INTO BENEFITS OF DOLICHOS

BIFLORUS WITH REFERENCE TO ITS ANTIUTOLITHIATIC
ACTIVITY
DR. SIDDHI U. UPADHYAY
Associate Professor
Sigma Institute of Pharmacy
Abstract
We conducted an open multi centric clinical study based on parallel group design. Tablets
prepared from the aqueous extract of the seeds of Dolichos biflorus (known as Horse gram
or Kulthi) were given to 21patients having kidney stone showed beneficial effects. The X-
Ray KUB and Sonography before and after the therapy gave clear indication of decrease in
size of the bigger stones from 8-9 mm to 3 mm within 30 days of treatment and they passed
though the urine. It was also observed that if the size of the stone is less than 6 mm then the
no. of days of treatment were reduced to 20 days. The pain due to stone was found to be
reduced to almost nil. The seeds can be directly taken as food but it was observed that even
after overnight soaking the seeds and then boiling them in pressure cooker next day the
seeds remain hard to eat and that is the reason patient does not continue the treatment for
longer time if seeds are to be consumed as such. The tablets prepared from the powder of
the seeds were easy to swallow and at the same time tablets gave good results. Therefore
tablets were accepted by the patients in a big way.
Keywords: Dolichos boflorus, Antiurolithiatic activity, Clinical study, X- Ray KUB,

Sonography
INTRODUCTION
Kidney stone formation or Urolithiasis is a complex process that results from series of several
physicochemical events including super-saturation, nucleation, growth, aggregation and
retention within the kidneys[1,2].Urinary stones are typically classified by their location in
the kidney (nephrolithiasis), ureter (ureterolithiasis), or bladder (cystolithiasis). Kidney stones
may be Calcium oxalate/calcium phosphate stones, Magnesium ammonium phosphate stones,
Uric acid stones and struvite stones. The hallmark of stones that obstruct the ureter or renal
pelvis is excruciating, intermittent pain that radiates from the flank to the groin or to the
genital area and inner thigh. This particular type of pain, known as renal colic, is often
described as one of the strongest pain sensations known. Dietary factors that increase the risk
of stone formation include low fluid intake and high dietary intake of animal protein, sodium,
refined sugars, fructose and high fructose corn syrup, oxalate, grape fruit juice, apple juice,
and cola drinks. Treatment of kidney stone is listed in the prioritized area of Govt. of India
which should be given prime attention.
LITERATURE REVIEW
Dolichos biflorus (Family Leguminosae) is a well known medicinal plant which has been
used in folklore for its medicinal properties since ages[3-8]. It is known as Kultha in Sanskrit,
Horsegram in English, Kulthi in Hindi and Kalthi in Gujarati. Dolichos biflorus has been
used in various ailments by the people in the society. It is an official drug which has been
659 ISBN: 978-93-5351-069-5

included in The Ayurvedic Pharmacopoeia of India. It is distributed across different countries

of Asia and Africa.
Taxonomical classification of Dolichos biflorus

Kingdom: Plant
(Unranked): Angiosperms
(Unranked): Eudicots
Family: Fabaceae
Genus: Macrotyloma
Class- Dicotyledons
The seeds are having good source of protein. They are cooked and eaten as beans(9-11).
Microscopical studies of seeds, Phytochemical evaluation and TLC of was undertaken. The
data will help in identification of the authenticated drug sample (12). The following
constituents have been confirmed to be present in Dolichos biflorus(13).
(a) Crude Proteins (Histidine, Lysine, Phenylalanine, Tyrosine, Valine, etc), Lectin,
Niacin, Vitamin C, Dipeptide (Pyroglutamyl glutamine), Dolichin A and Dolichin B
(b) Minerals like Zn, Mn, Co, Cr, Cu, Ca, Mg, K and Fe.
(c) Phytosterols and Coumesterol.
(d) Flavanoids (Genistein, Dalbergioidin, Kievitone, Phaseollidin, Isoferreirin)
Dolichos biflorus have been employed traditionally to treat stones in kidney and gallbladder,
asthma, colic pain, cold, cough, hiccoughs, leucorrhoea and menstrual disorders, Eye
diseases, Piles, Worm infestation, Tumours etc (14-20). Studies of Growth, Hematological
Parameters, Biomolecules and Lipid Profile in Albino Rats proved that Consumption of seeds
of Dolichos biflorus is Non Toxic (21). Methanolic extract of Dolichos biflorus seeds
exhibited Antioxidant activity (22-25). The Antimicrobial Activity of Dolichos biflorus is
observed against Bacillus cereus (Gram positive bacteria). Dolichos biflorus exhibited
antibacterial; activity against Gram-negative bacteria like Aeromonas hydrophila,
Enterobacter aerogenes, Escherichia coli and Klebsiella pneumonia (26). Dolichos biflorus
showed Anti-Hyper Lipidemic activity in high fat diet fed rats and rabbits (27-28). Alcoholic
extract of Dolichos biflorus seed has been found to be effective in the Weight Reduction in
human volunteers (29). Dolichos biflorus demonstrated remarkable Diuretic and Anti-
inflammatory action in albino mice (30). Dolichos biflorus significantly Reduces Tumour
incidence (up to 33 %) and tumour multiplicity (up to 61 %) in Forestomach Papillomagnesis
model (31). Seeds are used as Hepatoprotective, Astringent, Antipyretic, in the treatment of
leucorrhoea and menstrual disorders as well as a valuable protein supplement (32). Dolichos
biflorus (horse gram), exhibits amazing Pesticidal effect due to its richest source of
lipoxygenase activity which in turn is due to the presence of Lectin in the seed (33). Dolichos
biflorus can have multifold actions (as mentioned below) which may lead to a collective
powerful anti Urolithiatic action for the treatment of Kidney stone. It is postulated that
Dolichos biflorus may be acting as an antiurolithiatic agent by dissolving the kidney stone
(34). Hydro-methanolic extract of Dolichos biflorus significantly reduced the increased levels
of creatinine and uric acid in serum and urine of the Ethylene Glycol induced nephrotoxic rat
model (35).
Dolichos biflorus has shown the potential as an Anti-urolithiatic agent during in

Vitro experimentation (36-37). Dolichos biflorus exhibited Nephro-protective activity in male
Albino rats (38). In Vitro Anti-urolithiatic model involving the crystallization is helpful for
prophylaxis purpose while In Vivo model helps us for the therapeutic treatment of kidney
ISBN: 978-93-5351-069-5 660

stone (39). Clinical studies proved Anti-urolithiatic efficacy of Dolichos biflorus in Humans
(40). Dolichos biflorus has been found to be one of the ingredients of many of the Herbal
formulations used to treat Kidney stone. We have performed the Pharmacognostical,
Physicochemical studies as well as in vitro anti-urolithtiatic activities of Dolichos biflorus
[41]. We got encouraging results and therefore we were tempted to undertake this clinical
studies.
OBJECTIVES
On the basis of all the reviews and research work till date we decided to check the Anti-
urolithiatic action of the tablets prepared from aqueous extract of seeds of Dolichos biflorus
(Kalathi) by clinical studies.
EXPERIMENTAL WORK
Dolichos biflorus. Linn seeds were collected from local market of Vadodara. The seeds were
identified by Dr. Padmanabh Nagar, Taxonomist, M.S. University, Vadodara (Herbarium
Number 28490/13). Aqueous extract of Kalathi seeds was prepared. The tablets were
prepared from the aqueous extract and each tablet represented 5 gm of Kalathi seeds (42-43).
We contacted different urological hospitals in Vadodara. We contacted the patients visiting

these hospitals with a complaint of kidney stone and we enrolled them for the present study.
Patients, of any sex (male or female), having previously reported kidney stone having age
(from 10-69 years) and have more than 3 mm and less than 9 mm size of the stone were
included in the study. Patients having age more than 70 years were excluded from the study.
Patients having kidney stone more than 9 mm size were also excluded from the present study.
Clinical history sheet (Appendix–4) and Participant consent forms (Appendix-5) were filled
separately for every patient. Approval for Protocol for Clinical study was sanctioned by the
Ethics committee (Appendix–6). Patients were asked to come with their previous reports and
their X- Ray KUB, as well as Sonography of Urinary system. The patients were asked to take
Four tablets twice a day for 30 days. They were also instructed to report immediately, if stone
comes out before 30 days or they feel any side effects like gastric pain, headache, diarrhoea,
uneasiness etc. Kalathi Tablets were to be given simultaneously along with the other
medications. Therefore they were asked to continue their other medications (if at all they
were taking).
Patients were asked to collect urine by using “Strainer (Tea Filter)” every time, whenever
he/she goes for urination once the therapy started. This could give us information about the
stone coming out with the urine and it could be immediately collected. Such collected stones
were sent to pathology laboratory, so that laboratory analysis will reveal the composition of
the kidney stones. And this analysis will help the patient to plan to prevent more kidney
stones in future.

We could enroll total 21 patients (14 males and 7 females) upon random collection of
information from the Urological hospitals of Baroda. Stone formation occurs more frequently
in males as compared to females. After 30 days the stones were recovered in 6 patients. Ultra
Sonography of Kidney showed absence of stone in 10 patients at the end of the treatment and
there are chances that the stone must have got fragmented and the small fragments must have
passed through the urine while in 5 patients the presence of stone was found even after 30
days and these patients showed complete removal of stone after 60 days of starting of the
therapy. One patient was having stone in Gall Blader and these tablets could not remove her
661 ISBN: 978-93-5351-069-5

stone from her liver (Table 1).
Occurrence of Kidney stones is becoming a global problem(44). Studies of Growth,

Hematological Parameters, Biomolecules and Lipid Profile in Albino Rats proved that
Consumption of seeds of Dolichos biflorus is Non Toxic(9). Traditional use of Dolichos
biflorus as an anti-urolithiatic has been confirmed by In Vitro experiments (21) by other
research workers and also in our own laboratory (41). Dolichos biflorus exhibited Nephro-
protective activity in male Albino rats (36). Clinical studies proved Anti-urolithiatic efficacy
of Dolichos biflorus in Humans (38). The soup (prepared in hot water) to be taken once a day
(as a single ingredient or in combination with many other herbs) of Horse gram (Dolichos
biflorus) has been used for removal of Kidney stone. Dolichos biflorus is inhibits the growth
of Bacillus cereus, Aeromonas hydrophila, Enterobacter aerogenes, Escherichia coli and
Klebsiella pneumonia (40). Dolichos biflorus has demonstrated Diuretic and Anti-
inflammatory action in albino mice (26) which is helpful in relieving ureteric colic and
burning micturation. It is found as a single drug formulation or as one of the main ingredient
of most of the Polyherbal Ayurvedic formulations available for the treatment of kidney stone
(Table 2).
Various mechanisms are postulated for its powerful anti-urolithiatic action for the treatment
of Kidney stone. Dolichos biflorus can have multifold Mechanism of actions which may lead
to a collective powerful anti-urolithiatic action for the treatment of Kidney stone (45-46).
Table 1: Effect of Kalathi Tablets on Kidney Stone

Ultra Sonography
Patient Observation in Left Observation in
Sex Abdomen/ Result
No. Kidney Right Kidney
X Ray KUB
Stone dissolved
3 mm Right Kidney and passed
1 F42 Ultra Sonography NA
Stone lower pole through urine
after 15 days
Mild left
hydronephrosis &
Ultra Sonography Upper Hydrourator NA
suggesting possibility of Stone dissolved
Distal Obstruction and passed
2 F19
Small Radio opacity in through urine
left side of pelvis after 15 days
X Ray KUB suggesting lower NA
ureteric calculus or
phlebolith
Stone from
both kidneys
fragmented and
3.9 mm calculus in 4 mm calculus in
the patient
3 M40 Ultra sonography middle calyx with no upper calyx with no
could collect
hydro nephrosis. hydro nephrosis.
using tea
strainer after 20
days
Stone dissolved
4 mm calculus in upper
6 mm calculus in and passed
4 M19 Ultra sonography pole calyx & mid pole
upper pole calyx through urine
calyx
after 40 days
Stone dissolved
3 mm calculus in lower
5 M35 Ultra sonography NA and passed
pole calyx
through urine
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Ultra Sonography
Sex Abdomen/ Result
X Ray KUB
after 10 days
4 freely mobile stones

of 2 mm, 3 mm, 3 mm
6 F31 Ultra sonography No effect
and 4 mm of size in Gall
bladder
Stone from
3 mm calculus in
both kidneys
2 stones of 5 mm and 9 upper and mid
fragmented and
Ultra sonography mm calculus in mid calyx & 5 mm
passed through
calyx calculus in lower
7 M33 urine after 40
calyx
days
Stone dissolved
5 mm calculus in upper 9 mm calculus in and passed
X Ray KUB
calyx upper calyx through urine
after 40 days
Stone dissolved
Mild hydronephrosis in
and passed
8 M52 Ultra sonography left kidney with Upper
through urine
Hydrourator of 7 mm.
after 40 days
Stone dissolved
4 small calculi on left 6 small calculi on
and passed
9 M54 Ultra sonography side measuring 3 to left side measuring
through urine
4mm 3 to 4mm
after 50 days
Stone dissolved
6.7 mm calculus within 5.3 mm calculus
and passed
10 F46 Ultra sonography a lower pole simple within a lower mid
through urine
renal cortical cyst calyx
after 60 days
Stone from
right kidney got
4 to 7 mm upper middle One 21 mm middle
fragmented and
11 M38 Ultra sonography pole and lower middle pole, one 6mm
recovered in
pole (4 calculi) lower pole
the tee strainer
after 28 days
Right renal small
crystal aggregate,
Mild to moderate
hydronephrosis and Stone dissolved
hydroureter with and passed
12 M23 C.T Scan-KUB
upper ureteric through urine
calculus, Right within 20 days
perinephric
periureteric fat
stranding
A11.3X7 mm
radiopacity noted in Stone from
X-ray -KUB pelvis on left, right kidney got
suggestive of lower fragmented and
13 M29 ureteric calculus recovered in
the tea strainer
calculi measuring 3.7 after 22 days
5.4mm calculus
mm in upper while and
Ultra sonography noted in lower
4.5 mm in middle
collecting system
collecting system
663 ISBN: 978-93-5351-069-5

Ultra Sonography
Sex Abdomen/ Result
X Ray KUB
Stone passed
3 mm calculus in lower
14 M32 Ultra sonography through urine
pole calyx
after 12 days
Stone from
Right kidney shows right kidney got
11mm sized fragmented and
15 M34 Ultra sonography
calculus in lower recovered in
calyx the tee strainer
after 60 days
Stone got
Calculus measuring
fragmented and
about 27mm is seen
Calculus measuring still treatment
in right renal pelvis,
about 2.17 cm is seen in is continuing
calculus measuring
left upper ureter causing after 4 months.
13mm is seen in
mild proximal Right kidney
lower calyx &
16 M45 Ultra sonography hydronephrosis and shows only 1
calculus measuring
hydroureter, ureter distal stone of 23mm
about 4.5mm is
to the calculus is in renal pelvis,
seen in interpole
prominent up to in left kidney
calyx, mild right
crossing of iliac vessels the size of
hydronephrosis is
stone is 9mm in
seen.
renal pelvis
4mm calculus mid, stones passed
2 calculi of 3 and 4
17 M32 Ultra sonography 5mm in lower calyx no through urine
mm in mid calyx
hydronephrosis after 30 days
5 mm in lower stones passed
18 M31 Ultra sonography calyx, no through urine
hydronephrosis after 25 days
stones passed
left distal ureteric
19 F38 X Ray KUB through urine
calculus
after 35 days
Stones passed
3.7mm calculus in upper
20 M48 Ultra sonography through urine
calyx
after 17 days
Stone from
right kidneys
fragmented and
9mm calculus at the patient
21 M47 Ultra sonography
mid calyx could collect
using tea
strainer after 52
days
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Table 2: Ayurvedic formulations containing Kalathi (Dolichos biflorus) as one of the

ingredient for the treatment of Kidney Stone
Sr.
Trade Name Name of the Company
No.
1 Cystone Tablet and Syrup Himalaya, Bombay
2. Ural Capsule and Syrup VASU Healthcare Pvt. Ltd., Baroda
3. Yastone Tablet SHRI YASH Remedies Pvt. Ltd., Ahmedabad
4 Rencal Syrup VITAL CARE Pvt. Ltd., Baroda
5 Uristonil Tablet AYURLAB HERBALS Pvt. Ltd., Baroda
6 N.T.Stone Syrup Karani Pharmaceuticals Ltd., Bombay
7 Stonil Syrup Jabuca Laboratories, Anand
8 Stone Hit syrup Austro Labs Ltd. New Delhi
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CONCLUSION
During the clinical studies tablets prepared from Dolichos biflorus showed beneficial effects
on the kidney stones in humans. The X- Ray KUB and Sonography before and after the
therapy gave clear indication of decrease in size of the bigger stones from 8-9 mm to 3 mm
over the period of 30-60 days of active treatment.Present study has proved that Dolichos
biflorus is having strong anti-urolithiatic action. If the people in the society can either
switchover or start using this legume in their regular diet then the chances of occurrence of
kidney stone will definitely decrease over the time and those with the existing kidney stone
will get immediate encouraging results.
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2(4): 589-594.
22. Rao KN, Somasundarm G, Kumar DS, Manavalan R and Muthu AK. Antioxidant potential of various
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28. Menka C and Helitha A. Role of Methanolic Extract of Dolichos biflorus Seeds in Hyperlipidemic
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29. Sengupta K, Mishra AT, Rao MK, Sarma KV, Krishnaraju AV and Trimurtulu G. Efficacy of an
Herbal Formulation LI10903F Containing Dolichos biflorus and Piper betel extracts on weight
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Seeds Extract of Dolichos biflorus. Pak J Pharma Sci 2014; 27(2): 335.
31. Nanta R and Kale R. Chemomodulatory Effect of Dolichos biflorus Linn. on Skin and Forestomach
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34. Tiwari A, Soni V, Londhe V, Bhandarkar A, Bandawane D and Nipate S. An Overview on potent
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37. Atodariya U, Barad R, Upadhyay S and Upadhyay UM. Anti –Urolithiatic Activity of Dolichos
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management against Kidney stones. J Pharmacog Phytochem. 2016; 5(3): 28-35.
40. Singh RG, Singh AK, Wani IA et al. Evaluation of litholytic property of Varun (Crataeva nurvala)
and Kulattha (Dolichos biflorus Linn.) on renal calculus. J Res Edu Ind Med. 2007; 13(2): 17-21.
41. Atodariya U, Barad R, Upadhyay S and Upadhyay UM. Anti –Urolithiatic Activity of Dolichos
biflorus Seeds. J Pharmacog Phytochem. 2013; 2(2): 209-213.
42. Jain.SK, Shashi Alok, Pandey M, Hussain N. In vitro antilithiatic studies on Dolichos biflorus Linn.
(seeds) and Asparagus racemosus Willd.(roots). Inter. J. of Plant Sciences. 200; 3(1): 184-189.
43. Tiwari A, V Soni, V londhe, Ashish bhandarkar. An Overview on potent indigenous herbs for urinary
tract infirmity: urolithiasis. Asian Journal of Pharmaceutical and Clinical Research. 2012; 5(1): 7-12.
44. Upadhyay SU, Jain VC, Upadhyay UM. Glossary of Dolichos biflorus - A Legume with miraculous
activities. Res J Pharmacol Pharmacodynamics. 2015; 7(2): 103-116.
45. Yadav RD, Jain SK, Shashi A,Mahor A, Bharti JP and Jaiswal M. Herbal plants used in the treatment
of Urolithiasis : A Review. Int J Pharma Sci Res. 2011; 2(6): 1412-1420.
46. Garimella TS, Jolly CI and Narayanan S. In vitro Studies on Antilithiatic Activity of Seeds of Dolichos
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Appendix - 4: Clinical history sheet for Dolichos biflorus

[01] Name of the Participant:-
[02] Participant’s No.
[03] Area:-
[04] Sex: - Male /Female
[05] Age:-
[06] Address:-
[07] Telephone No:-
[08] Income (Rs. /month):- LIG / MIG / HIG
(<6000) (6001-14000) (>14001)
[09] Chief Complaints:-
667 ISBN: 978-93-5351-069-5

[10] Past History :- Pain since_________

[11] Anthropometry: - Waist (meter)
Hips (meter)
Height (meter)
Weight (kg)
B.M.I. (kg/sq.mt)
[12] Profession:
[13] Life Style: - Heavy Work/Medium work/Sedentary life
[14] Food Habits: - Low/High Fluid intake
Vegetarian/Non- Vegetarian
[15] Tobacco Consumption: - Yes/No
[16] Pattern of sleep: - Regular/Irregular
[17] Presence of Constipation: - Yes/No
[18] Frequency of Urination: - During Day time
During Night time
[19] Menstrual History: - Regular Menstruation/Irregular Menstruation
Onset of Menopause since_____years back
[20] Obstetric History: - Age of marriage
No. of Children
Abortions/Still birth
[22] Sonography Report:-
[23] Present Medicinal therapy:-

Name of the medicine taken Contents of the Dose per day
by the patient medicine
[24] Any other Informations:-
Place:-
Date of Admission:-
Signature of Participant Signature of Principal Investigator
ISBN: 978-93-5351-069-5 668

Appendix - 5: Participant consent form for Dolichos biflorus

I am participating in the research project on the topic of Clinical investigations of Dolichos
biflorus to be conducted by Prof. Siddhiben Upadhyay as Principal investigator, who is a
Ph.D student at R. K. University, Rajkot. The broad goal of this research study is to explore
Effect efficacy of Dolichos biflorus in the treatment of Kidney Stone. Dolichos biflorus is
commonly known as Kalathi in Gujarati and it is widely used as a legume as an ingredient of
food in the societies in general. Traditionally if the seeds are macerated overnight followed
by boiling with the same water to prepare hot aqueous extract and given to the patients of
kidney stone then remarkable results are obtained. The Research team has prepared tablets of
the aqueous extract of Dolichos biflorus and this leads to ease of administration as well as
the known dose can be administered to the patients in this dosage form. I have been asked to
take these tablets for treatment of my kidney stone. I know that I can leave this study at any
time whenever I feel to leave. I am given sufficient information about the project and I know
that in future also if I have any questions then I can get answers from Prof. Siddhiben
Upadhyay at M 09909976788, siupa.pharma@gmail.com, 12, Shakuntal Bungalows,
Harni road, Nr. Sugam Park, Opp. Hotel Airport, Baroda-390022.
Signature of Participant Date

I have given all information related with the present project to the patient and will keep one
copy of this consent letter for documentation purpose.
Signature of Principal Investigator Date
669 ISBN: 978-93-5351-069-5

Appendix -6: Format of Notification of Decision of the Independent Ethics Committee

for Clinical Investigations of the effect of Dolichos biflorus for Antiurolithiatic Activity
ISBN: 978-93-5351-069-5 670

671 ISBN: 978-93-5351-069-5

ISBN: 978-93-5351-069-5 672

PCP082
TOPICAL SPRAY OF MISOPROSTOL FOR TREATMENT OF BURNS

Zubiya I Surti Janki S. Desai Naazneen Surti
Student F&D Executive Research Professor
Babaria Institute of Scientist Babaria Institute of
Pharmacy Unique Pharmaceuticals Ltd. Pharmacy
Zubsurti97@gmail.com Desaijanki29@gmail.com naazsurti@gmail.com
Abstract
Burns are characterized by severe skin damage that causes the affected skin cells to die.
Misoprostol is a synthetic PGE1 analogue; it has been found to modulate bacterial clearance
in mice following a burn injury; it accelerates wound healing. Topical spray for burn
treatment would form a clear transparent thin film, provides more patient compliance and
reduces the chances of further contamination. The aim of present work was to develop a
topical spray formulation of misoprostol for treatment of burns. Spray solution contained
HPMC K4M, chitosan and sodium hyaluronate as polymers, propylene glycol as a plasticizer,
ethanol and water as solvent. Solutions for topical sprays were filled in aluminium containers
fitted with continuous spray valve. Box-behnken design was selected to study the effect of
independent variables-HPMC K4M, chitosan and sodium hyaluronate on dependent
variables- viscosity, time for 80% drug release and film formation time. Formulation with
HPMC K4M(0.1gm), chitosan(0.6 gm) and sodium hyaluronate(0.4 gm) was found to give
minimum viscosity with lower film formation time and time for 80% drug release. The
results of skin irritation studies and in-vivo studies performed on male wistar rats showed the
developed misoprostol spray to be non-irritant and more effective than standard burn
treatments. Hence, misoprostol spray could prove to be a better alternative in treatment of
burns.
Keywords: Topical Spray, Misoprostol, Chitosan, Sodium Hyaluronate.
1. INTRODUCTION
Burns are a type of traumatic injury to the skin or other organic tissue primarily caused by
heat or due to radiation, radioactivity, electricity, friction or contact with
chemicals.1Treatment of burns depend on the severity of the burn and may vary from
application of cold compresses, for first-degree superficial burns, to IV or oral antibiotics,
functional and cosmetic reconstruction for third-degree full-thickness burns.1Conventional
treatments with ointments and dressings suffer from the disadvantages of uneasiness to the
patient when applied, lesser spreading coefficient, need to apply with rubbing and irritation.
Topical aerosols are products that are packaged under pressure. The active ingredients are
released in the form of fine liquid droplets or fine powder particles upon activation of an
appropriate valve system2. Topical spray for burn treatment provides more patient
compliance and reduces the chances of further contamination or spread of infection at the site
of burn.
Misoprostol is a synthetic analogue of prostaglandin E1(PGE1) that is known to attenuate the
inflammatory process and promote collagen formation by inhibiting IL-1 and TNF. In the
past, topical compositions having misoprostol have been found to be therapeutically effective
in wound healing.3Topical spray of misoprostol is expected to produce a thin film which
covers the burn and acts as a reservoir for the active ingredient to promote wound healing.
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This would also avoid the need of rubbing the product on the skin, minimizing pain and
irritation and hence increasing patient compliance.
James Mahoney et al undertook observational investigation focused on the application of
misoprostol powder suspended in saline in a 1:1000 concentration on a surgically prepared
wound. This investigation offered data concluding that topically applied misoprostol results
in decreased healing time when applied daily to an acute surgical wound. The authors offered
the assumption that prostaglandins exert their greatest effect in the inflammatory phase of
wound healing4.
Bhadra Sulekha et al observed that silver sulfadiazine creams or ointments are used as
antimicrobial agents in the treatment of second and third degree burns. But application by
touching the wounded surface is painful and may spread secondary infection. They
formulated topical spray for wound healing to provide more patient compliance and reduce
the chances of further contamination or spread of infection at the site of wound5.
Antonio Francesko et al reviewed naturally derived polymers that possess a number of

properties beneficial to wound healing and tissue engineering. They reported that
polysaccharides chitin and chitosan appear to be suitable candidates for the preparation of
dressing materials and scaffolds for tissue regeneration due to their unique structural,
physico-chemical and functional properties6.
3. OBJECTIVES
The objective of this study was to develop a topical delivery system, in the form of a spray,
which can form a film over the burn wound, preventing microbial attack and which can be
applied without rubbing.
4.1 Preparation of solution for topical spray
Film forming agents HPMC K4M and sodium hyaluronate were dissolved in water.Chitosan
was dissolved in of 0.5% acetic acid solution. These solutions of polymers were mixed and
ethanolic solution of drug was added to it. This resulting solution was stirred with the help of
magnetic stirrer at 45°C to ensure uniform mixing. The weights of the solutions were made
up to 100 % with the addition of ethanol. Approximately 20ml of the solution was filled into
each of 50 ml aluminium canister (container). The product concentrate was placed in the
container, the valve assembly was inserted and crimped into place, and then the liquefied gas,
under pressure, was added through the valve by using aerosol-filling machine at Vimsons
Pharmaceutical Aerosol, Anand.
4.2 Optimization of formulation

Preliminary studies were done, with different concentrations and combinations of HPMC
K4M, chitosan, and sodium hyaluronate, to study formation of film, film formation time and
viscosity. From the results of preliminary study, combination of 1% w/v HPMCK4M, 3%
w/vchitosan, and 2% w/v sodium hyaluronate was found to give minimum film formation
time and viscosity. Further optimization was done using Box-Behnken Design; the
independent and dependents variables were as mentioned in table1. Table 2 shows the coded
values of the experimental design. These batches were studied for film formation time,
viscosity and drug release.
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4.3 Evaluation of Topical Spray

Topical spray was evaluated for net content/ minimum fill, delivery rate and amount, pressure
test, flammability, leakage test and spray pattern, as per USP.
4.4 In-vivo study

For in-vivo wound healing study, healthy rats were used. Animals were maintained on
standard animal feed and had free access to water. The animals were divided into three
groups randomly. The dorsum hairs of the rats were shaved using an electric clipper carefully
and incision burn was created with help of 100°C boiling water for 10 seconds exposure. The
first group was treated with the optimized formulation. The second group was treated with
the marketed cream formulation containing silver sulfadiazine. The third group was untreated
control group.
viscosity (cps)
Design points below predicted value Design-Expert® Software
Factor Coding: Actual Design-Expert® Software
5.8
film formation time (min) Factor Coding: Actual
Design points above predicted value time for 80% drug release (min)
3.5 6 Design points above predicted value
Design points below predicted value 5
4.88 Design points below predicted value
X1 = A: HPMC K4M 90
5.5 4.5
X2 = B: Chitosan 2
55
film formation time (min)
100
4
Actual Factor 5 X1 = A: HPMC K4M
X1 = A: HPMC K4M
time for 80% drug release (min)

C: sodium hyaluronate = 0.4 X2 = B: Chitosan 3.5 90
X2 = B: Chitosan
viscosity (cps)
4.5 Actual Factor 3 Actual Factor 80

C: sodium hyaluronate = 0.4
C: sodium hyaluronate = 0.4
2.5
4 70
2
60
3.5
0.8 50
0.7
0.8 0.3
0.8 0.3
0.7 0.25 B: Chitosan (gm) 0.6
0.7 0.25
0.6 0.2
0.5 0.6 0.2
0.5 0.15 0.3
B: Chitosan (gm) A: HPMC K4M (gm) 0.2
0.25
0.5 0.15
0.4 0.1
0.15 B: Chitosan (gm) A: HPMC K4M (gm)
0.4 0.1
0.4 0.1
A: HPMC K4M (gm)
(a) (b) (c)

Fig 1: Response surface plots for (a) viscosity (b) film formation time (c) time for 80%
drug release
Factor Coding: Actual Overlay Plot
0.8
Overlay Plot
viscosity
film formation time
time for 80% drug release
Design Points
0.7
X1 = A: HPMC K4M
B: Chitosan (gm)
X2 = B: Chitosan
Actual Factor
C: sodium hyaluronate = 0.4 viscosity: 4
0.6 5
0.5
viscosity: 3.54625
film formation time 4.825
time for 80% drug r 56.0809
X1 0.1
X2 0.4
0.4
0.1 0.15 0.2 0.25 0.3
A: HPMC K4M (gm)
Fig 2: Overlay plot
675 ISBN: 978-93-5351-069-5

(a) (b) (c)
Fig 3: (a) untreated control, (b) silver sulphadizine treated (c) misoprostol spray treated

Table 2 shows coded values of Box-Behnken design with measured responses. The analysis
of variance study of the data obtained by applying Box-Behnken design revealed HPMC
K4M (X1), Chitosan (X2) and Sodium Hyaluronate (X3) as significant variables (p value <
0.05) for time for 80% drug release as response point, and HPMC K4M (X1) as a significant
variable for viscosity and film formation time responses. ANOVA was done using Stat- Ease
Design Expert 10 software. The response surface plots were generated (Fig. 1) to observe the
effect of independent variables on the responses.
Overlay plot in fig 2 shows the regions not meeting the specifications greyed out and
operating region in yellow.
The results of all evaluation parameters of spray like minimum fill, delivery rate and amount,
pressure test, flammability, leakage test and spray pattern were within the specified limits.
The Burn healing activity conducted on wistar rats revealed that the optimized formulation of
misoprostol topical spray gives better result than marketed formulation silversulfadiazine
cream after 60 minutes, whereas control group shows that it will not heal on its own at the
end of 60 min (Fig. 3).
Table 1: Independent and Dependent Variables

Code Independent Variable Lower Middle Higher
Value (-1) Value (0) Value (1)
X1 HPMC K4M (gm) 0.1 0.2 0.3
X2 Chitosan (gm) 0.4 0.6 0.8
X3 Sodium Hyaluronate (gm) 0.3 0.4 0.5
Code Dependent Variables
Y1 Viscosity (cps)
Y2 Film Formation Time (min)
Y3 Time for 80% Drug Release (min)
Table 2: Box-Behnken Design with measured responses

Batch X1 X2 X3 Y1 Y2 Y3
F1 -1 0 +1 3.88 ± 0.04 4.2 ± 1.02 60±2
F2 -1 -1 0 3.5 ± 0.03 4.88 ± 1.04 55±1
F3 0 -1 -1 4.55 ± 0.08 3.92 ± 0.76 70±3
F4 0 +1 -1 4.83 ± 0.05 3.8 ± 0.98 82±5
F5 -1 +1 0 3.75 ± 0.02 4.5 ± 0.08 58±2
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F6 +1 +1 0 5.8 ± 0.01 2.55 ± 1.05 90±8

F7 0 +1 +1 4.98 ± 0.07 3.15 ±0.76 85±5
F8 0 -1 +1 4.75 ± 0.04 3.25 ± 0.88 75±3
F9 0 0 0 4.68 ± 0.01 3.5 ± 0.89 75±2
F10 -1 0 -1 3.68 ± 0.04 4.75 ± 0.98 58±4
F11 +1 0 -1 5.59 ± 0.05 2.98 ± 1.02 87±3
F12 +1 -1 0 3.88 ± 0.04 4.2 ± 1.02 60±2
F13 +1 0 +1 3.5 ± 0.03 4.88 ± 1.04 55±1
CONCLUSION
Burn causes damage to the skin or deeper tissues. Misoprostol, apart from being used as an
abortifacient, gastric mucosa protectant and antiulcer agent, shows regeneration of collagen-
containing tissues, and all epithelial tissues. Misoprostol topical spray was formulated to
overcome disadvantage associated with conventional topical dosage forms like stickiness,
lesser spreading coefficient and need to apply with rubbing.Box-Behnken design was applied
for optimization of formulation, where HPMC K4M, chitosan and sodium hyaluronate were
the independent variables and viscosity, film formation time and time taken for 80% drug
release were the dependent variables. HPMC K4M, chitosan and sodium hyaluronate in the
ratio of 0.25:1:1werefound to be optimum parameters. The viscosity, film formation time and
time for 80% drug release was found to be 3.68±0.5 cps, 4.7±1.2 min and 54±2 min
respectively. In-vivo study shows that after 60 minutes, misoprostol topical spray gives better
result than marketed silversulfadiazine topical cream formulation. Hence, topical spray of
Misoprostol could prove to be a better alternative as a topical drug delivery system for
treatment of burn wounds.
REFERENCES
1. Moss, L. S. (2010). Treatment of the burn patient in primary care. Advances in skin & wound care, 23(11),
517-524.
2. Lachman, L., Lieberman, H. A., & Kanig, J. L. (1976). The theory and practice of industrial pharmacy (pp.
210-212). Philadelphia: Lea & Febiger. McKee, R. N., & Wingrove, F. A. (1999). U.S. Patent No.
5,994,399. Washington, DC: U.S. Patent and Trademark Office.
3. McKee, R. N., & Wingrove, F. A. (1999). U.S. Patent No. 5,994,399. Washington, DC: U.S. Patent and
Trademark Office.
4. Mahoney, J., Ponticello, M., Nelson, E., & Ratz, R. (2007). Topical misoprostol and wound healing in
rats. Wounds: a compendium of clinical research and practice, 19(12), 334-339.
5. Sulekha, B., & Avin, G. (2016). Topical spray of silver sulfadiazine for wound healing. Journal of
Chemical and Pharmaceutical Research, 8(7), 492-498.
6. Francesko, A., & Tzanov, T. (2010). Chitin, chitosan and derivatives for wound healing and tissue
engineering. In Biofunctionalization of Polymers and their Applications (pp. 1-27). Springer, Berlin,
Heidelberg.
677 ISBN: 978-93-5351-069-5

PCP091
SYNTHESIS AND BIOLOGICAL EVALUATION OF NOVEL

QUINAZOLINE DERIVATIVES AS AN ANTICANCER AGENT
Malleshappa N. Noolvi Sweta K. Shah Nilesh S. Khairnar

Principal, Professor Assistant Professor Assistant Professor
Shree Dhanvantary Shree Dhanvantary Shree Dhanvantary
Pharmacy College (SDPC), Pharmacy College Pharmacy College (SDPC),
Kim(E), Surat-394110 (SDPC), Kim(E), Surat- Kim(E), Surat-394110
noolvimalleshappa@gmail.com 394110 nskphd2015@gmail.com
13swets@gmail.com
Abstract
Synthesis of novelsubstituted 2-amino thiadiazole 2-(4-nitrophenyl) quinazolin-4(3H)-one
6(a-d)has been synthesized and characterized by IR, 1H NMR spectroscopy, further their
biological evaluation as antitumor agents using National Cancer Institute (NCI) disease
oriented antitumor screen protocol are investigated. Among the synthesize compounds, two
compounds were granted NSC code and screened at National Cancer Institute (NCI), USA
for anticancer activity at a single high dose(10-5 M) in full NCI 60 cell panel. Among the
selected compounds, 3-(5-(benzo[d][1,3]dioxol-5-yl)-1,3,4-thiadiazol-2-yl)-2-(4-
nitrophenyl)quinazolin-4(3H)-one, 6b was found to be most active candidate. We have used
the methodology of fusion for the synthesis of 2-substituted amino thidadiazole-2-(4-
nitrophenyl) quinazoline 4(3H)-one6(a-d) at 250-260 0C, instead of using solvent, to avoid
the problemof ring opening, which is commonly observed while synthesizing quinazolines
from bentranil or benzooxazin-4-one. Fusion method is simple, more convenient, eco-
friendly process and time saving method. It is a pace towards green chemistry.
Keywords: Quinazoline, Quinazolin-4(3H)-one, Anticancer, Fusion, Substituted 2-

amino thiadiazole.
1. INTRODUCTION
Cancer is the second leading cause of death in the world. Now a days, chemotherapy,
surgery, radiotherapy and endocrine therapy have been the standard treatment available
for patients. It is an urgent need to develop newer more effective therapies to improve
patient outcome. Protein tyrosine kinases have emerged as new promising targets for
cancer therapy1.
Protein tyrosine kinases (PTKs) are enzymes involved in many cellular processes such as cell
proliferation, metabolism, survival and apoptosis. Several PTKs are known to be activated in
cancer cells and to drive tumor growth and progression. Blocking tyrosine kinase activity
therefore represents a rational approach to cancer therapy. PTKs catalyze the phosphorylation
of tyrosine and serine or threonine residues in various proteins involved in the regulation of
all functions2. They can be broadly classified as receptor such as Epidermal Growth Factor
Receptor (EGFR) or non-receptor kinases. Inappropriate or uncontrolled activation of many
of these kinases, by over-expression, constitutive activation or mutation, has been shown to
result in uncontrolled cell growth3.
We have used the methodology of fusion for the synthesis of 2-substituted amino
thidadiazole2-(4-nitrophenyl) quinazoline 4(3H)-one6(a-d) at 250-260 0C, instead of using
ISBN: 978-93-5351-069-5 678

solvent, to avoid the problemof ring opening, which is commonly observed while
synthesizing quinazolines from bentranil or benzooxazin-4-one. Fusion method is simple,
more convenient, eco-friendly process and time saving method. It is a pace towards green
chemistry4.
The literature survey was carried out for various Quinazolin-4-ones.A Brief Literature Survey
on Biological Interest of 4-oxo-derivatives of Quinazoline. Quinazoline moieties have been
reported to exhibit broad spectrum of biological activities such as antitumor, anticancer,
antimicrobial, antifungal, anti-inflammatory, anticonvulsant etc.Some articles of anticancer
activities are presented here.
Noolvi et al.,showed synthesis of some 2-furano-4(3H)-quinazolinones, diamides (open ring

quinazolines), quinoxalines and their biological evaluation as antitumor agents using National
Cancer Institute (NCI) disease oriented antitumor screen protocol are investigated. Among
the synthesize compounds, seventeen compounds were granted NSC code and screened at
National Cancer Institute (NCI), USA for anticancer activity at a single high dose (10-5 M) in
full NCI 60 cell panel. Among the selected compounds, 3-(2-chloro benzylideneamine)-2-
(furan-2-yl) quinazoline-4(3h)-one (Structure A) was found to be the most active candidate
of the series at five dose level screening against Ovarian OVCAR-4 and Non-small cell lung
cancer NCI-H522 with GI50 1.82 & 2.14 mM respectively5.
Noolvi et al., reported synthesis of 3-(substituted benzylideneamino)-7-chloro-2-phenyl

quinazoline-4(3H)-one and tested for their in vitro antitumor activity. Among the synthesized
compounds, (Structure B) is most active6.
Yadav et al., reported the synthesis of a series of substituted 6,7-dimethoxyquinazoline

derivative and tested their cytotoxic against HCT116p53+/+ and HCT116p53−/− colon
cancer cells and a HEY ovarian cancer cell line naturally resistant to cisplatin. Among the
synthesized compound, (Structure C) shows promising antitumor activity7.
Govindaraj et al showed Synthesis of six 2-{[Bis-(2-chloroethyl) amino] methyl}-6, 8-

dinitro-1-(4-substituted ethyl)-1H-quinazolin-4-one derivatives (Structure D)were carried
out. The compounds contain nitro groups at position 6 and 8 position of Quinazolinone
moiety and a phenyl group at position 1. All the six compounds were incorporated with
nitrogen mustard moiety. The synthesized compounds were screened for their anticancerous
activity by short-term in-vitro antitumor activity and in-vivo anticancer activity8. (As shown
in fig. 1)
3. OBJECTIVES
In our present work quinazoline was chosen as the basic moiety because from the earlier
literature, it was clear that quinazoline nucleus possess anticancer activity. We are also
substituting 1, 3, 4-thiadiazole to the 3rd position of Quinazolinone. In the view of biological
importance of these two moieties, the present work was undertaken to synthesize a new series
of 4-oxo derivatives of quinazoline containing thiadiazole derivatives and to evaluate the new
compounds for anti-cancer activity.
Therefore keeping these in view of the main objective, the present project has been aimed at
achieving the following.
1. To design 4-oxo-derivatives of quinazoline analogs based on literature survey.
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2. To synthesize designed quinazoline analogs, using appropriate synthetic approach.

3. To monitor purity and the progress of the reaction using TLC technique.
4. To purify compounds by recrystallization or column chromatography using suitable
solvent.
5. To determine physical constant of synthesized compounds.
6. To characterize and confirmed the structures of newly synthesized compounds by spectral
analysis like FTIR, 1HNMR, and Mass spectra.
7. To evaluate anti-cancer activity of the newly synthesized compounds.
4. EXPERIMENTAL WORKS
The chemicals employed in the synthetic work, p-nitrobenzoyl chloride were purchased from
Sigma-Aldrich while all other chemicals i.e. anthranilic acid, pyridine, Acetic anhydride etc.
were purchased from Spectrochem. All the solvents were used after distillation. Most of the
solvents and chemicals used were of LR grade. The purity of the compounds was confirmed
by thin layer chromatography using precoated aluminium sheets and solvent system of
Chloroform: Methanol (9:1). The spots were visualized using iodine chamber or UV Cabinet.
Infrared (IR) and 1H nuclear magnetic resonance (1H NMR) spectra were recorded for the
compounds on SHIMADZU A400S8 (Vmax in cm-1) Spectrophotometer in KBr pellets and
Bruker Model Advance (500 MHz, 1H NMR) instrument, respectively. Chemical shifts are
reported as δ parts per million (ppm) using tetramethylsilane (TMS) as an internal standard.
4.1. SynthesisofQuinazolin-4-one Compounds

The Condensation of anthranilic acid 1with para-nitro benzoyl chloride 2afforded 2-(4-
nitrobenzamido) benzoic acid 3,which was further cyclized in presence of acetic anhydride to
2-(4-nitrophenyl)-4H-benzo[d][1,3]oxazin-4-one 4. The reaction of 2-(4-nitrophenyl)-4H-
benzo[d][1,3]oxazin-4-one 4 with various substituted 2-amino thiadiazole 5(a-d) derivatives
by fusion at high temperature afforded various 2-(4- (benzylideneamino)phenyl quinazolin-4-
amine 6(a-d).(As shown in scheme of fig. 3)
4.1.1.2-(4-nitrobenzamido)benzoic acid (3)

Para-nitro benzoyl chloride 2 (0.01 mol) was added slowly to a stirred solution of Anthranilic
acid 1 (0.01 mol) in pyridine (50 mL) and the reaction mixture was stirred at room
temperature for 3h. The reaction mixture was poured into cold 5% dil. HCl solution (100
mL). The solid obtained was filtered, washed several time with water, dried and crystallized
from ethanol.
IR (KBr) cm-1: 3322 (Ar. NH), 1769 (C=O), 1599 (Ar. NO2), 1533(RCONHR).
4.1.2. 2-(4-nitrophenyl)-4H-benzo[d][1,3]oxazin-4-one (4)

A mixture of 3 (0.01 mol) and Acetic anhydride (0.1 mol) was heated under reflux for 4h.The
solvent was removed under pressure. The residue was triturated with pet. Ether (40-60 mL),
the separated solid was collected by filtration and crystallized from ethanol.
IR (KBr) cm-1: 3110(C=C), 1768 (C=O), 1698 (C=N), 1597 (Ar. NO2), 1111 (RCOOR’).
4.1.3. Substituted-1,3,4-thiadiazol-2-yl-2-(4- nitrophenyl)quinazolin-4(3H)-one 6(a-d)

Equimolar amount of 4 and substituted 2-amino thiadiazole derivatives 5(a-d) was fused
together at 250 °C in an oil bath for 6h. The mixture was cooled and crystallized from glacial
acetic acid. IR (KBr) cm-1: 2892 (CH str.), 1690 (C=O), 1522 (Ar. NO2). 1H NMR (δ ppm):
1.91 3H (s, CH3); 3.82 3H (s, OCH3); 4.06 1H (s, CH); 7.22-8.42 14H (m,Ar.).
4.2 Anticancer Screening at NIH, Bethesda, Maryland, USA
ISBN: 978-93-5351-069-5 680

NCI-60 DTP HUMAN TUMOR CELL LINE SCREEN9

The screening is a two stage process, beginning with the evaluation of all compounds against
the 60 cell lines at a single dose of 10µM. The output from the single dose screen is reported
as a mean graph and is available for analysis by the compare program. Compounds which
exhibit significant growth inhibition are further evaluated against the 60 cell panel at five
concentration level. (As shown in fig. 2)
Table 1: Physical data of synthesized compounds

COMP MOL RECRYSTALLIZ-
MOL MELTING Rf
COD WEIGHT TLC SOLVENT ATION % YIELD
FORMULA POINT°C VALUE
E gm/mole SOLVENT
C29H21N5O4S Glacial acetic
6a 525.57 Chloroform:Methanol(9:1) 250-252 36.8 0.47
acid
C23H13N5O5s Glacial acetic

6b 471.44 Chloroform:Methanol(9.5:0.5) 236-238 41.1 0.40
acid
C28H25N5O3s Glacial acetic

6c 522.59 Chloroform:Methanol(9:1) 208-210 63.0 0.68
acid
C28H19N5O5S Glacial acetic

6d 537.55 Chloroform:Methanol(9:1) 155-158 53.0 0.64
acid
Figures
Figure 1: Compounds shown anticancer activity from literature survey
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ISBN: 978-93-5351-069-5 682

Figure 3: Schematic Synthetic route for the synthesis of 4-oxo derivatives of Quinazoline

In the present work, Substituted-1,3,4-thiadiazol-2-yl-2-(4-nitrophenyl)quinazolin-4(3H)-one
wereprepared according to reaction Scheme. The spectral data of 6(a-d) showed IR band at
2892 (CH str.), 1690 (C=O), 1522 (Ar. NO2). Further 1H NMR of compounds 6(a-d)showed
1
H NMR (δ ppm): 1.91 3H (s, CH3); 3.82 3H (s, OCH3); 4.06 1H (s, CH); 7.22-8.42 14H
(m,Ar.).
The tumor growth inhibition properties of compounds 6b 3-(5-(benzo[d][1,3]dioxol-5-yl)-
1,3,4- thiadiazol-2-yl)-2-(4-nitrophenyl)quinazolin-4(3H)-one with the NCI codes NSC D-
754967/2 selected among 6(a-d) synthesized compounds (Scheme) by the National Cancer
Institute(NCI), USA, were screened on human tumor cell lines at the NIH, Bethesda,
Maryland, USA, under the drug discovery program of the NCI, for one and five dose anti-
cancer assay. The tested quinazoline derivative showed a distinctive pattern of selectivity.
With regard to sensitivity against individual cell lines (Fig. 2), compound 6b showed
remarkably lowest cell growth promotion against CNS Cancer, SF-295 cancer cell line of -
35.00, SNB-75 cancer cell line of -22.67, Non Small Cell Lung Cancer (NSCLC), HOP-62
cancer cell line of -16.97, Melanoma Cancer, SK-MEL-2 cancer cell line of -14.72and
Renal Cancer, RXF-393 cancer cell line of -3.86 apart from this it also exhibited broad
spectrum cell growth inhibition againstLeukemia cancer MOLT-4 cell line (cell growth
promotion 67.74%, inhibition 32.26%), Non-Small Cell Lung Cancer NCIH522 cell line (cell
growth promotion 23.53%, inhibition 76.47%), Colon cancer HCT-116 cell line (cell growth
promotion 34.56%,inhibition 65.44%), CNS cancer SF-268 cell line (cell growth promotion
30.54%, inhibition 69.46%), Melanoma cancer SK-MEL-5 cell line (cell growth promotion
33.19%, inhibition 66.81%), Ovarian Cancer SK-OV-3 cell line (cell growth promotion
39.56%, inhibition 60.44%), Renal cancer ACHN cell line (cell growth promotion 00.43%,
inhibition 99.57%) also TK-10 cell line (cell growth promotion 12.53%, inhibition 87.47%),
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Prostate Cancer PC-3 cell line (cell growth promotion 58.24%, inhibition 41.76%) and Breast
cancer MDA-MB-231/ATCC cell line (cell growth promotion 12.40%, inhibition 87.60%) at
concentration of 10-5 M in one dose primary assay(As shown in fig. 2).
6. CONCLUSION
Conclusively, 4-oxo derivatives of Quinazoline have been successfully synthesized in
appreciable yields and screened for their anticancer activity. Different 2-substituted amino
thiadiazole-2-(4-nitrophenyl) quinazolin-4(3H)-one6(a-d)derivative have been always
synthesized in appropriate yields from reaction scheme. All the newly synthesized
compounds were characterized on the basis of their physical(As shown Table 1) and spectral
data. The IR spectra, NMR spectra of the representative compounds were analyzed, studied
and ascertained. Among the 6a, 6b, 6c and 6d synthesized compounds, 6b compound was
selected for anticancer testing at NCI, U.S.A and submitted. Results are obtain for 6b
compoundwas screened for in- vitro anticancer activity against 60 cell lines at NCI, U.S.A.,
6b compound showed good anticancer activity.
REFERENCES
1. Madhusudan, S., Trivedi, S. G. (2004). Tyrosine kinase inhibitors in cancer therapy. Clinical Biochemistry,
37, 618-635.
2. Blume-Jensen, P., Hunter, T.(2001). Oncogenic kinase signalling. Nature, 411, 355.
3. Jordan, J.D., Landau, E.M., Iyengar, R.(2000). Signaling of networks:the origin of the multicellular multi-
tasking. Cell. 103, 193.
4. Noolvi, M. N., Patel, H. M. (2013). Synthesis, method optimization, anticancer activity of 2,3,7-
trisubstituted Quinazoline derivatives and targeting EGFR-tyrosine kinase by rational approach. Arabian
Journal of Chemistry, 6, 35–48.
5. Noolvi, M. N., Patel, H. M., Bhardwaj, Varun., Chauhan, Ankit. (2011).Synthesis and in vitro antitumor
activity of substituted quinazoline and quinoxaline derivatives:Search for anticancer agent. European
Journal of Medicinal Chemistry,46, 2327-2346.
6. Noolvi, M. N., Patel, H. M. (2011). Synthesis, method optimization, anticancer activity of 2, 3, 7-
trisubstituted Quinazoline derivatives and targeting EGFR-tyrosine kinase by rational approach. Arabian
Journal of Chemistry.doi:10.1016/j.arabjc.2010.12.031.
7. Yadav, M. R., Grande, F.F., Chauhan, B. S., Naik, P. P., Giridhar, R., Garofalo, A., Neamati, V. (2012).
European Journal of Medicinal Chemistry, 48, 231-243.
8. Govindaraj, Y., Sathyamoorthy, Karthikeyan, V., Melanaphuru, V.,Agrahari, V., Gupta, S., Nema,R. K.
(2009). Synthesis and In-vivo Anticancer Screening of 2-{[Bis-(2-Chloroethyl) Amino] Methyl}- 6, 8-
Dinitro-1- (4-Substituted Ethyl)-1h-quinazolin-4-One Derivatives.Academic Journal of Cancer Research,2
(2), 73-77.
9. Kapetanovic, I. M. (2008).Computer-aided drug discovery and development (CADDD): in silico-chemico-
biological approach.Chemco Biological Interaction,171 (2),165-176.
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PCP092
A STUDY ON REGULATORY REQUIREMENTS TO PREVENT

COUNTERFEIT DRUGS IN USA, EUROPE AND INDIA
Rahul Jadav Dr. Kashyap Thummar

M.Pharm Pharmaceutical Regulatory Affairs Assistant Professor,
Graduate School of Pharmacy, Graduate School of Pharmacy,
rahuljadav31@gmail.com ap_kashyap@gtu.edu.in
Abstract
The present work focuses on regulations and strategies that are required to prevent the
counterfeit medicines from entering the legal supply chain distribution. Counterfeit drugs have
created a worldwide problem for all countries, pharmaceutical manufacturing companies and the
patients. The percentage of counterfeit drugs present in countries with strict regulations was
found to be less than 5% of the total market, whereas in countries which do not have strict
regulation or cannot enforce the regulations effectively were found to have counterfeit drugs as
high as 30% of the total market. In India, the amount of counterfeit drugs was about 25% which
was alarming. The regulation of the US and the EU were studied in order to determine the
strategies and regulations that have proved to be effective in combating the entry of counterfeit
drugs in the supply chain. Serialization of product at the package and an effective tracking
system of the serialization was found to be an effective way in enabling to recognize the product
to be legitimate or counterfeit. Serialization can thus prove to be a very effective way in
preventing the counterfeit drugs in India from entering the supply chain which poses a danger to
the health of patients.
Keywords: Counterfeit drugs, Falsified medicines, Drug supply chain, Serialization,

Unique identifier, Product identifier, Repository, Tracking system, Spurious drug
1. INTRODUCTION
1.1 Definition
Counterfeit drugs are considered as fake drugs that pass themselves off as genuine and
authorized drugs. It may contain low-quality ingredients or ingredients at the wrong doses; be
intentionally and falsely mislabeled with respect to their identity or source of the manufacturer;
have counterfeit packaging of the products; may contain wrong ingredients or the active
ingredients at a low level than what is labeled.(1)(2)(3)
1.2 Background Information

Illegal trade is taking place all around the world. The World Health Organization (WHO)
estimates that fake medicines worth 73 billion Euros are traded every year. In several regions of
Africa, Asia, and South America, more than 30% of medicines in distribution are counterfeit. In
a few countries in Eastern Europe, the number of counterfeit medicines is more than 20%. In
Europe, the USA as well as other developed countries, counterfeit is less than 1%. According to
the WHO, it is estimated that about 25% of the drugs in India are counterfeit. The exact number
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cannot be identified because the counterfeit drugs pass themselves into the supply chain and
cannot be determined effectively. (1) (4)
1.3 Factors Facilitating Counterfeiting of Medicines

Lack of legislation, Deficient or weak national drug regulatory authority, Lack of enforcement of
existing legislation, Lenient or lack of penal sanctions, Corruption and conflict of interest,
Transactions involving many intermediaries, Demand exceeding supply, High prices,
Sophistication in clandestine drug manufacture, Lack of regulation by exporting countries and
within free trade zones. (1)
2.1 Global Perspective of Regulatory Systems to Spurious, Adulterated and not of
Standard Quality Drugs and to recommend measure for their effective eradication in the
Indian Regulatory System, Khan M. and Shivkumar H., Pharma Times, Vol. 50 No. 12,
December 2018, pg. 10-21.
The quality of drugs in India is found to be low and the main reason for this is the amount of
regulatory person are very few than what is required for the effective working of the regulatory
authority. (5)
2.2 USFDA, Guidance for Industry, Standards for Securing the Drug Supply Chain –
Standardized Numerical Identification for Prescription Drug Packages.
The standardized numerical identifiers (SNIs) for prescription drug products introduced in the
label. The SNI is a combination of the National Drug Code (NDC) and serial number which are
to be affixed in the label for the supply chain integrity. (6)
2.3 Title II of The Drug Quality and Security Act (DQSA), the Drug Supply Chain Security
Act (DSCSA).
This act specifies the details of securing the supply chain by recording every transaction that
takes place between the manufacturer, wholesaler, distributor and the licensed pharmacist in
electronic format and to retain the record for a specified period of time in order to determine the
authenticity of the product and secure the supply chain. (7)
2.4 Directive 2011/62/EU of The European Parliament and of The Council of 8 June 2011
amending Directive 2001/83/EC on the Community code relating to medicinal products for
human use, as regards the prevention of the entry into the legal supply chain of falsified
medicinal products
The Falsified medicine directive has included the unique product identifier, anti-tampering
device and an EU wide logo for online pharmacies. Thus the tracking and tracing of the product
are to be done by for securing the supply chain from the counterfeit products. (8)
2.5 EU 2016/161 of 2 October 2015 supplementing Directive 2001/83/EC of the European

Parliament and of the Council by laying down detailed rules for the safety features
appearing on the packaging of medicinal products for human use.
The details about the characteristics of the unique identifier and the handling of the transaction
are detailed in this directive in order to stop the entry of the counterfeit drugs in the legal supply
chain by the establishment, management and handling the repository system. (9)
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3. OBJECTIVES
To study the regulations of the USA and Europe and determine the effective ways of preventing
counterfeit drugs from entering the supply chain.
To study the regulations of India and determine the most effective way from the USA and
Europe that can be introduced into the Indian regulations to prevent counterfeit drugs in the
supply chain.
4. USA
4.1 Standards for Securing the Drug Supply Chain - Standardized Numerical Identification
for Prescription Drug Packages, March 2010.
The SNI for the majority of prescription drug packages must be a serialized National Drug Code
(sNDC). The sNDC is made up of the National Drug Code (NDC) that corresponds to a
particular drug product which is combined with a unique serial number, generated by the
manufacturer or repackager for every single package. Serial numbers can be numeric or
alphanumeric which should not have more than 20 characters. An example is shown below with
a 10 character NDC. (6)
Figure 1: Example of a serialized National Drug Code (sNDC) (Source: USFDA)
4.2Title II of the Drug Quality and Security Act, the Drug Supply Chain Security Act
(DSCSA)
Every manufacturer, repackager, wholesale distributor and dispenser has to comply with the
requirements of this act. A product identifier i.e. 2D or linear barcode is to be printed or affixed
on the package by the manufacturer. During every transaction between the manufacturer,
wholesaler, and dispenser the verification of the product is to be done by scanning the barcode.
At every transaction, the transaction information, transaction history, and record are to be
provided in an electronic form and retained for a period of 6 years after the transaction.
The transaction information that should be exchanged during the trading are Proprietary or
Established Name of the Product, Strength and Dosage Form of the Product, National Drug Code
Number of the Product, Container Size, Number of Containers, Lot Number of the Product, Date
of the Transaction, Date of the Shipment, Business Name and Address of the Person From
Whom Ownership Is Being Transferred, Business Name and Address of the Person to Whom
Ownership Is Being Transferred, Transaction history, Transaction statement.
If any suspect product is identified then such product should be quarantined and reporting should
be done to the manufacturer, trading partner, and the regulatory authority. If any illegitimate
product is determined then reporting should be done to the regulatory authority as well as trading
partners and such product should be destroyed. (7)
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5. EUROPE
5.1 Falsified Medicines Directive
Falsified medicines directive was published on 1 July 2011, and is applicable from 2nd January
2013. This Directive has introduced new measures to prevent medicine falsifications and make
sure that medicines are safe and that the trade in medicines is strictly controlled. Measures
include Compulsory safety features – a unique identifier and an anti-tampering device on the
packaging, A logo to recognize legal online pharmacies in the EU, Strict rules on import of API
and Strict record keeping requirements for wholesale distributors. (8)
5.2 Commission Delegated Regulation (EU) 2016/161

A unique identifier should be placed on the package of the medicinal product which should
contain a maximum of 20 alphanumeric characters, batch number, and expiry date. It should be
in machine readable and human readable format. The quality of printing has to be evaluated by
the manufacturers. Central, national and supranational repository is established where the unique
identifier of every product should be stored by the manufacturer before releasing the batch in the
market. Verification of the unique identifier should be done for all the transaction that takes
place between the manufacturer, wholesaler, distributor and dispenser against the one stored in
the repository system. A manufacturer who places the unique identifier should record all the
operations of that unique identifier and store them for 1 year after the expiry of product or 5
years from the date of release of batch whichever is longer. (9)
Figure 2: Unique identifier of a product. (Source: trendingpackaging.com)
Brexit will have an impact on the Falsified Medicines Directive(FMD) according to the deal that
takes place between the European Union and the United Kingdom. In case of a no deal Brexit,
UK will not have access to the central repository and will no longer be bound to the FMD in case
of a no deal Brexit after 29 March, 2019 which seems very likely.
6. INDIA
6.1 Sale and Manufacturing in India
The regulations for manufacture, distribution, and sale of drugs in India are not very strict, which
is the main reason the amount of counterfeit drugs in India is about 25% which is very alarming.
The main reason is that the average percentage of actual working strength against the sanctioned
strength is only about 63%. Thus the amount of work to be done by the regulatory department is
huge compared to the number of strength that is sanctioned. And when the sanctioned strength is
not completely filled then the work of the regulatory department will be slow because of
personnel. This is the main reason for the counterfeiting of drugs in India. And the counterfeiters
find a way to escape from the system as the penalty is very less as compared to the profit they
gain by counterfeiting. (5)
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6.2 Export
India's export of pharmaceutical to other countries which include the developed countries is very
high and the Directorate General of Foreign Trade (DGFT) has framed regulations for the export
of pharmaceuticals from India to other countries by including serialization and 2D barcode on
the product which is helpful for preventing counterfeiting and also tracking the product in the
supply chain. A central server id developed named Drugs Authentication and Verification
Application (DAVA) for verification of the product by scanning the barcode. (10) (11) (12)

By studying the regulations of the USA and Europe it can be concluded that serialization is a
very effective way of tracking and tracing a drug product in a supply chain. The serialized
number stored in the repository system can be useful in determining the status of all the products
that are released for sale in the market. The verification of the product at every transaction in the
supply chain is very helpful in determining that all the authentic products are sold in the market.
8. CONCLUSION
Serialization is a very effective way of preventing counterfeit drugs from entering the supply
chain. India has been using the serialization method for the pharmaceutical products that are
exported from India. If the serialization is introduced for the product that is sold in India, then
the number of counterfeit drugs can be drastically reduced and the safety of the patients who
consume such a product can be ensured.
9. REFERENCES
1. Substandard and falsified medical products [Internet]. WHO. [cited 2018 Sep 26]. Available
from:http://www.who.int/news-room/fact-sheets/detail/substandard-and-falsified-medical-products
2. Counterfeit Medicine [Internet]. USFDA.[cited 2018 Sep 24]. Available from:
https://www.fda.gov/drugs/resourcesforyou/consumers/buyingusingmedicinesafely/counterfeitmedicine/
3. Falsified medicines [Internet]. EMA.[cited 2018 Sep 29]. Available from:
https://www.ema.europa.eu/human-regulatory/overview/public-health-threats/falsified-medicines
4. Verma S, Kumar R, Philip PJ. The Business of Counterfeit Drugs in India: A Critical Evaluation. Int J
Manag Int Bus Stud [Internet]. 2014; 4(2):141–8. Available from: http://www.ripublication.com
5. Global Perspective of Regulatory Systems to Spurious, Adulterated and not of Standard Quality Drugs and
to recommend measure for their effective eradication in the Indian Regulatory System, Khan M. and
Shivkumar H., Pharma Times, Vol. 50 No. 12, December 2018, pg. 10-21.
6. USFDA. Guidance for Industry: Standards for Securing the Drug Supply Chain - Standardized Numerical
Identification for Prescription Drug Packages [Internet]. 2010 [cited 2018 Oct 19]. p. 8–11. Available from:
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/
Guidances/default.htm%5Cnhttp://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatory
Information/Guidances/default.htm
7. Title II of the Drug Quality and Security Act, DRUG SUPPLY CHAIN SECURITY [Internet]. USFDA.
[cited 2018 Sep 24]. Available from: https://www.fda.gov/Drugs/DrugSafety/
DrugIntegrityandSupplyChainSecurity/DrugSupplyChainSecurityAct/ucm376829.htm
8. European Commission. Directive 2011/62/EU of the European Parliament and of the Council of 8 June
2011 amending Directive 2001/83/EC on the Community code relating to medicinal products for human
use, as regards the prevention of the entry into the legal supply chain of false [Internet]. Official Journal of
the European Union. [cited 2018 Oct 23]. Available from:
https://ec.europa.eu/health/sites/health/files/files/eudralex/vol-1/dir_2011_62/dir_2011_62_en.pdf
9. European Commission. Regulation (EU) 2016/ 161 supplementing Directive 2001/ 83/ EC [Internet]. Vol.
2016, Official Journal of the European Union. 2016 [cited 2018 Oct 21]. p. 1–27. Available from:
http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/? uri=CELEX:32016R0161 &from=ES
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10. A portal for Indian Drugs Authentication, Track, and Trace (DAVA), Drugs Authentication and
Verification Application, GOVERNMENT OF INDIA, Available from: http://dava.gov.in/
11. All about Barcoding for Drugs exported from India, Pharmaceuticals Export Promotion Council of India.
Available from: https://pharmexcil.org/barcoding/
12. Handbook of Procedures, Directorate General of Foreign Trade, Ministry of Coerce and Industry. Available
from: http://dgft.gov.in/
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Segment III
Pharmacy
Theme:
Part – II
Abstracts of Papers
Sponsored By
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PCP042
SURFACE SOLID DISPERSION APPROACH FOR SOLUBILITY AND
DISSOLUTION ENHANCEMENT OF POORLY SOLUBLE
FENOFIBRATE AND ROSUVASTATIN CALCIUM IN FIXED DOSE
COMBINATION
Ruby R. Christian Jolly R. Parikh Rajnikant M. Suthar

Assistant Professor, Professor, Lecturer,
Anand Pharmacy College, A. R. College of A. R. College of
Anand Pharmacy & G. H. Patel Pharmacy & G. H. Patel
christianruby@ymail.com Institute of Pharmacy Institute of Pharmacy
jollyparikh87@gmail.com rmsuthar@gmail.com
___________________________________________________________________________
Abstract
The present investigation was aimed to enhance the solubility and thereby bioavailability of
BCS class II drug by formulating Fenofibrate (FEN) and Rosuvastatin (RST), loaded Surface
Solid Dispersion (SSD) and its optimization using 33 Box-Behnken Design.
Superdisintegrants and adsorbents like Crosspovidone (CP), Aerosil 200 and Avicel pH 101
were used to formulate SSDs by Solvent co-evaporation method. Crosspovidone was selected
as final carrier based on preliminary study of saturation solubility and in vitro drug release
profile. SSD with Crosspovidone was optimized by Box Behnken Design (BBD) using 3
independent variables i.e. Drug: Carrier ratio, Stirring time and Evaporation temperature.
Optimized batch of SSD showed the highest dissolution rate of 81.34% for FEN and 86.21%
for RST at 30 min and was further characterized by FTIR, DSC and XRPD analysis. The
spectral data revealed no drug-polymer interactions. Both DSC and X-ray diffraction showed
a decrease in the melting enthalpy and reduced drug crystallinity in optimized SSD
consequently indicating conversion of drug to amorphous form. Crosspovidone has a popcorn
like irregular matrices of the carrier due to its porous nature with the fine particles of the
drugs embedded in it thereby stabilizing the SSD and preventing devitrification. In vitro
dissolution profile of optimized batch showed increase in solubility thus providing proof of
enhanced bioavailability.
Keywords: Surface Solid Dispersion (SSD), Solubility Enhancement,

Superdisintegrants, Crosspovidone, Fixed dose combination, Colloidal Silicon Dioxide.
___________________________________________________________________________
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Segment IV
Engineering
Theme:
Scientific Revolution through

Engineering and Technical Research
Part – I
Full Papers
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PCE270
SELECTION AND INVESTIGATION OF SOLVENTS BASED ON
THERMODYNAMIC PREDICTIVE MODEL FOR AN EXTRACTION
OF PHENOL FROM WASTE WATER
Dr. Milind H. Joshipura Mr. Krunal J. Suthar Ms Heena A. Yadav

Professor Research Scholar B.E. Final year
Chemical Engineering Nirma University Chemical Engineering
Nirma University kjs.srict@gmail.com Shroff S R Rotary
milind.joshipura@nirmauni.ac.in Institute of Chemical Technology
yadavheena98@gmail.com
Abstract
Phenol is an example of a highly toxic and commonly involved substance in a chemical process
industry. The permissible limit of phenol content in potable water is 0.001 mg/L. Phenol is extracted
using solvent from wastewater via various methods like enzymatic polymerization, electrochemical,
Adsorption, ion exchange and membrane-based methods. The present study investigates the potential
of solvent extraction of phenol from wastewater. The primary selection of solvents with basic criteria
would also screen a large number of solvents. The purpose of the present investigation is to screen the
best few solvents using a thermodynamic predictive model based on the activity coefficient at infinite
dilution. The activity coefficient at infinite dilution is predicted using a non-random two liquid model
in a process simulator. The solvents considered for the study include benzene, n-hexadecane,
cyclohexene, n-hexene, toluene, and ethyl acetate. The top three solvents based on screening with
selection criteria were investigated experimentally at a lab scale to validate thermodynamic
predictive model. Ethyl acetate was able to extract 82.15% of phenol from synthetically produced
phenol-water mixture with 8.59% wt. of phenol. Toluene and benzene ware able to extract 80.77%
and 79.97% phenol respectively. The experimental result showed good agreement with the employed
predictive model.
Keywords: Solvent extraction, thermodynamic model, phenol-water
INTRODUCTION
Phenol is one of the manmade hazardous organic chemicals that is classified under a toxic pollutant.
Phenol is a very common chemical with 8.34 million tonnes of global production in 2010 and 8.9
million tonnes in 2012 which is constantly growing at a rate of 04-05% [01]. The world demand for
phenol increased to almost ten million tonnes. Bisphenol is one the largest end-use product for phenol
and other wide application of phenol as an intermediate and raw material in various industries can be
speculated by Figure-I [02]. Phenol and its derivatives are being discharged by industries through
various activities courses harmful effect on the environment. Phenol is major pollutant with serious
threats and it is ranked 11th out of 126 undesirable chemicals as per Acta Technica Corviniensis
bulletin published in 2017 [03]. The growing production of phenol demands for more effective
treatment methods. Many researchers over decades have been fighting this issue with many achieving
better recoveries. With regulation getting stringent day by day, more effective recovery methods need
to be developed.
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Figure 1 World phenol demand: 2015 [2]
Alkylphenol othoxylenol
others
Nylon
Bisphenol
Phenol
formaldehyde
resin
Source: www.acs.org/content/acs/en/pressroom
Phenol recovery using solvent extraction is practiced since long and it is preferred over other steam
stripping as water-phenol system forms azeotrope. Other methods used for phenol recovery includes
polymerization of phenol, use of membrane bioreactors, enzymatic degradation, pervaporation,
oxidation, adsorption [4-6]. The phenol concentration in the effluent for coal industry was reported to
be 48.5% and for coking operations, it is 27.82% [07]. Adsorption using nanoparticles is one of the
current interests of many researchers. The cost incurred in synthesizing nanoparticles hinders the
large-scale application. The physical properties of phenol are listed in table-1.
Table: 1 Physical Properties of a Phenol [08]

Properties Values
Molecular weight(g/mol) 94.144
Molar volume (cm3/mol) 90
Boiling point (°C) 181.7
Melting point (°C) 40.5
Solubility in water(mg/L) 50-100
Liquid density(g/cm3) 1.06
pH of aqueous solution 6
Vapour pressure(mm/hg) 0.41
The methods used for phenol recovery have merits as well as demerits. The commonly used enzyme
is horseradish peroxidase [09-11]. In the polymerization process, phenol polymerized in presence of
an enzyme which is a slow process and the cost of enzymes with desirable properties is a strong
constraint. The solid-liquid operation is employed further for separation of polymers which are water-
soluble. The process has shown the result of almost 90% phenol removal. These polymers are water-
insoluble and may be removed by solid-liquid operations.
Electrochemical methods have shown better results relatively for a lower concentration of phenol. It is
reported that the recovery decreases with an increasing concentration of phenol [12-13]. The use of
biological methods is limited by the low concentration of phenol. Adsorption and ion exchange
methods use a bed of packing in a column for removal of phenol. Adsorption technique is one of the
most widely used methods for phenol recovery. The method has shown attractive results though
regeneration of costly ion exchange resin is a concern whilst natural packings have poor removal
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comparatively [14-16]. Membrane-based technology is employed in form of membrane-based solvent

extraction, emulsion liquid membrane as well as membrane bioreactor. All the membrane-based
methods were critically reviewed in a recent article summarizing that the stability and selective
membrane material are a major hindrance for large-scale phenol recovery plants [17]. Various
methods have been reviewed for phenol recovery in table-2.
Solvent extraction is one of the conventional methods but the selection of a solvent with a desirable
combination of thermo-physical properties, to meet the needs of a particular set of system, has been
done using experimental studies which are costly.
Table: 2 Various methods for Phenol recovery from water

SR % Of Phenol Process Solvent used % Recovery Reference
No. present in Selection of Phenol
1. water
6 to 7 Polymerization H2O2 90 [18]
2. 6.8 Photodecomposition TiO2 & H2O2 70 [18]
3. 6.8 Adsorption Activated carbon 98 [19]
4. 6.8 Ion-exchange Polymeric resin 90 [20]
5. 6 to 7 Adsorption Bentonite 90 [21]

flocculation
6. 6.8 Adsorption Iron nanoparticles 88 [22]
7. 8 Membrane technique Polyurethane urea 80 [23]

(pervaporation)
8. -- Adsorption Citrullus 70 [24]
colocynthis
wasteash
The present study focuses on an extraction method for recovery of phenol from wastewater and
selection of solvent prior experimentation. Solvent extraction consumes low energy and also have
good separation effect [25]. The list of solvent is very large and screening a few based on basic
properties may also result in large numbers. Many solvent selection models has been studied but
every model is studied with a specific requirement as well as for a specific system. A predictive
model in an important solvent selection criterion can be helpful in reduction of cost and time. The
solvent selection criteria are discussed prior to developing one for a phenol-water system.
SOLVENT SELECTION CRITERIA

Solvent extraction operation has an advantage when high boiling components like phenol must be
removed from a wastewater stream [26]. The extraction processes separate the feed into two streams
i.e. raffinate and extract. The further solvent must be separated from an extract phase for better
technical as well as economical accounting. Solvent selection criteria have been suggested in many
articles [27-30]. The important properties considered in the present study involves solvent power,
solvent loss, and selectivity. Separation factors in the distillation columns should be considered in
case of solvent extraction separated via distillation. The separation factor in the present study is
neglected as the primary need is to screen solvents from a larger list.
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Figure 2 scheme of an extraction of phenol from water
Selectivity: The selected solvent should show high selectivity which would reduce the number of
extraction stages. The selectivity of solvent is further predicted from activity coefficient of water and
phenol at infinite dilution in solvent.
Where i, j indicate water and phenol is our case where as s indicates solvent.
Another important solvent selection criteria is solvent capacity which is determined as an inverse of
activity coefficient of the extracted component i (phenol) at infinite dilution in the solvent S. And
other criteria considered in the present study is solvent loss which is determined as inverse of activity
coefficient of solvent at an infinite dilution of raffinate i.e. water in our case.
* + ( )
In the solvent selection criteria, considered in the present case, the weighing factor is taken from
reference article [29] for weighing factor for selectivity was taken as 1, weighing factor for solvent
capacity is taken as 1.5 and weighing factor for solvent loss is taken as 3.
SOLVENT SELECTION BASED ON THERMODYNAMIC PREDICTIVE MODEL

The model considered depends highly on the determination of the activity coefficient at infinite
dilution. The values of the activity coefficient at infinite dilution was predicted using the activity
model Non-Random Two Liquids (NRTL) using a process simulation DWSIM. The interacting
parameters are determined using Modified UNIFAC. The reason for selection of NRTL as activity
model for prediction of activity coefficient at infinite dilution is the better agreement of the model
with an experimental data for the phenol-water system [31]. The solvents considered for the study
included benzene, n-hexadecane, cyclohexene, n-hexene, toluene, and ethyl acetate. The purpose of
the study is to screen the best three amongst six considered solvents. The Table-3 shows the results
that were obtained using predicted values of activity coefficients at infinite dilution.
Table: 3 Result of the Solvent Selection for the Phenol-Water Separation with the help of predicted
activity coefficients at Infinite Dilution at 298.15 K temperature
Solvent power Selectivity
Solvent Solvent loss Sel. Criteria Rank
Sp(1) Sp(2) Sa (1/2)
Ethyl acetate 6.526778 0.07383837 88 0.00787427492 1.976584 1
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Toluene 0.174812 0.00160955 109 0.00008299016 1.694338 2

Benzene 0.118934 0.00246493 48 0.00041467672 1.606956 3
n-hexadecane 0.088939 0.0013923 64 0.00000000119 0.936651 4
Cyclohexane 0.059312 0.00053289 111 0.00016192127 7.936199 5
n- hexane 0.053841 0.00071794 75 0.00009423584 1439.346 6
EXPERIMENTAL STUDY:
The synthetic mixture of phenol-water was taken for Figure 4 Experiment set-up
experimentation. The phenol-water mixture was synthesized
using 8.59% wt. of phenol in distilled water. As per suggested
by thermodynamic predictive model, top three solvents i.e.
ethylbenzene, benzene and toluene were selected for
experimentations. Phenol-water mixture and solvent were
mixed with a molar ratio of 1:1 and it was allowed to settle in a
separating funnel. After few minutes of settling, two distinct
layers were visible. The samples were collected and were
tested using standard procedure [32]. The steps for the analysis
of phenol composition is as follow;
The phenol solution is diluted with distilled water up to the 100
ml mark in the volumetric flask. The burette is filled with
Na2S2O3 Solution. Then pipette out 10 ml of diluted phenol in
an iodine flask and 20 ml of brominating solution. Stopper the
flask immediately after adding about 5 ml concentrated HCL with the measuring cylinder and shake
the mixture for 3 minutes. Then add about 10 ml of KI Solution on the mouth of iodine flask and
slowly open the stopper, then wash the stopper and mouth with little water. Titrate this reddish
coloured mixtures against Na2S2O3 solution till the colour changes to yellow. The last step is to add
1ml (10 drops) of starch solution as indicator into the mixture and the mixture turns dark blue. Then
ccontinue to titrate the dark blue coloured mixture till the colour disappears and note the reading. The
results are tabulated in table-4 which showed good agreement with the predictive model.
Table: 4 Extraction of Phenol using three different Solvent

Exp. No. Solvent Average Normality of Volume Raffinate Extract
burette raffinate of phase phase
reading (ml) Raffinate (ml) (gm) (gm)
1 Ethyl acetate 1.8 0.18 99 1.68 7.72
2 Toluene 1.9 0.19 99 1.8 7.60
3 Benzene 2.0 0.20 98 1.89 7.51
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The result table-5 shows the efficiency of solvent for phenol recovery. The recovery of 82.15%
phenol was determined using ethyl acetate whereas toluene and benzene showed almost similar
performance extracting 80% phenol approximately.
Table: 5 Efficiency of solvent for phenol recovery

Sr. No. Solvent Phenol in Phenol in extract Phenol in Extraction
feed phase(gm) raffinate efficiency (%)
(gm) phase(gm)
1 Ethyl
9.4 7.72 1.68 82.15
acetate
2 Toluene 9.4 7.60 1.8 80.77
3 Benzene 9.4 7.51 1.89 79.97
The same result can be noticed from solvent selection criteria where toluene and benzene had a
difference of 5.15%. Ethyl acetate performed better with a difference of 14.28% from toluene and
18.7% from benzene based on thermodynamic predictive model.
SUMMARY AND CONCLUSIONS

Phenol being carcinogenic, needs to be eliminated from waste-water. On other hands, it is a valuable
component used widely in a chemical process industries. Efficiently extracting phenol from
wastewater would benefit both ways, environmentally as well as monetarily. An accurate predictive
model allows consideration of wide range solvents. It not only helps technically by selecting the best
solvent but also saves the time of excess experimentation. The thermodynamic model predicted rank
of 6 solvents which were in line with rank analysed from an experimental study. Ethyl acetate,
toluene, and benzene were screened out of 6 considered solvent. Ethylbenzene extracted 82.15% of
phenol from a synthetically produced mixture of phenol-water. The model depends on the activity
coefficient at infinite dilution which is predicted using an activity model using a process simulator.
The accurate prediction of activity coefficient at infinite dilution can make the predictive model more
accurate. The weighing factors for predictive models were taken from literature which can be varied
depending on the need of separation system. The necessary thermophysical properties can also be
considered with an appropriate weighing factor. Separation factors in the distillation columns can be
considered if distillation operation is used for recovery of the solvent used for extraction.
REFERENCES
1. Chahkandi, M. (2017). Mechanism of Congo red adsorption on new sol-gel-derived hydroxyapatite nano-
particle. Mater. Chem. Phys 202, pp. 340-351.
2. www.acs.org/content/acs/en/pressroom/cutting-edge-chemistry/what-s-new-in-phenol - production- 2016
3. Tomic, M., Bujanovic, L.N., Cekerevac, M., Zdravkovic, M. (2017). Acta Technica Corviniensis-Bulletin
of Engineering, 39.
4. Kulkarnia, S., Tapre, R., Patilc, S., Sawarkard, M. (2013). Adsorption of Phenol from Wastewater in
Fluidized Bed Using Coconut Shell Activated Carbon. Procedia engineering.
5. Munguia, A. (2001). Residual compost of Agaricus bisporus as a source of crude laccase for enzymic
oxidation of phenolic compounds. Process Biochem. Article process biochemistry.
6. González-Muñoz, M.J., Luque, S., Álvarez, J.R., Coca J. (2002). Recovery of phenol from aqueous soltions
using hollow fibre contactors. Journal of membrane science.
7. Berardinelli S., Resini C., Arrighi L. (2008) Journal of Hazardous Materials 160, pp. 265-288.
8. Keerthana, S R, Muthappa, R. (2016). Studies on different methods for removal of phenol in waste water-
Review, International Journal of Science, Engineering and Technology Research. 5(7).
ISBN: 978-93-5351-069-5 702

9. Stanisavljevic, M., Neldic, L. (2004). Removal of Phenol from Industrial Wastewaters By rseradish
(Cochlearia Armoracia L) Peroxidase. Working and Living Environmental Protection, 2(4), pp. 345 – 349.
10. Nicell, J.A., Saadi, K.W, Buchanan, I.D. (1995). Phenol polymerization and precipitation by horseradish
peroxidase enzyme and an additive. Bioresource Technology 54(1), pp. 5–16.
11. Anupama, M., Hampannavar, U.S. (2012). Polymerization of Phenol using Free and Immobilized
Horseradish Peroxidase. Journal of Environment and Earth Science, 2(1), pp. 2224-32.
12. Abdelwahab, O, Amin, NK. (2009). Electrochemical removal of phenol from oil refinery wastewater.
Hazard Mater. 163, pp. 711-716.
13. Mohammad, Z. Mahmoud, T. (2012). Phenol Removal from Aqueous Solutions by Electrocoagulation
Technology Using Iron Electrodes: Effect of Some Variables. Journal of Water Resource and Protection. 4,
pp. 980-83,
14. Caetano, M., Valderrama, C. (2009). Phenol removal from aqueous solution by adsorption and ion
exchange mechanisms onto polymeric resins. Journal of Colloid and Interface Science, 338(2), pp. 402–09.
15. Qadeer, R., Hameed, A. (2002). A Study of the Adsorption of Phenol by Activated Carbon from Aqueous
Solutions, Turk J Chem, 26, pp. 357-361.
16. Girish, C. and Murty, V. R. (2012). Adsorption of phenol from wastewater using locally available
adsorbents. Journal of Environmental Research and Development, 6.
17. Razaa, W., Lee, J., Raza, N., Luo, Y. (2018). Removal of phenolic compounds from industrial waste water
based on membrane-based technologies, Journal of Industrial and Engineering Chemistry.
18. Subha, R., Sridevi, O.A., Anitha, D. (2015). Treatment methods for the removal of phenol from water- A
Review. International Conference on Systems, Science, Control, Communication, Engineering and
Technology pp. 199-203.
19. Kennedya, L. J., Vijayab, J., Kayalvizhia, K., Sekaran, G. Adsorption of phenol from aqueous solutions
using mesoporous carbon prepared by two-stage process, Chemical Engineering Journal. 132(3), pp 279-
287.
20. Kujawski, W., Warszawsk, A., Ratajczak, W., Porbski, T, Capata, W., Ostrowska, I. (2004). Removal of
phenol from wastewater by different separation techniques, Desalination 163, pp. 287-296.
21. Kulkarni, S., Kaware, J. (2013). Review on Research for Removal of Phenol from Wastewater, 3 (4).
22. Sridhar, R., Ramanane, U., Rajasimman, M. (2018). ZnO nanoparticles - Synthesis, characterization and its
application for phenol removal from synthetic and pharmaceutical industry wastewater, Environmental
Nanotechnology, Monitoring & Management, 10, pp. 388-393.
23. Ruixue, K., Lin, S., Sifan, L., Shuangchun, Y. (2013). Study on Treatment Methods of Phenol in industrial
Wastewater, International Journal of Scientific & Engineering Research, 4(5).
24. Qasemi, M., Afsharnia, M., Zarei, A., Najafpoor, A. A., Salari, S., Mahmoud, S. (2018). Phenol removal
from aqueous solution using Citrullus colocynthis waste ash, Data in Brief. 18, pp. 620–628.
25. Chuan, H. (2010). The study of dephenolization by solution extraction, J. Henan Chemical Industry, 27(4).
pp. 40-41.
26. Hampe, M. (1978). Liquid−liquid extraction: Applications and choice of solvent. Chem. Ing. Tech., 50, pp.
647.
27. Wauquier, J. P. (2000). Separation Processes; Editions TECHNIP: Paris,.
28. Rydberg J., Cox, M., Musikas, C., Choppin, G. R. (2004). Marcel Dekker: New York.
29. Gmehling, J., Andre, S. (2014). Selection of Solvents or Solvent Mixtures for Liquid−Liquid Extraction
Using Predictive Thermodynamic Models or Access to the Dortmund Data Bank, Ind. Eng. Chem. Res.,53
(45), pp 17794–17805
30. Cockrem, M. C. M., Flatt, J. H., Lightfoot, E. N. (1989). Solvent Selection for Extraction from Dilute
Solution, Separation science and technology, 24(1 l), pp. 769-807.
31. HwangSo., H., C., Park., S., J., (2011). Liquid–liquid equilibria of ternary mixtures of dimethyl carbonate,
diphenyl carbonate, phenol and water at 358.15 K, Fluid Phase Equilibria, 301(1), pp. 18-21.
32. Gondkar, V., Mahale, A., Shinde, Y., Khetri, G. and Tambe, S. (2013). A Novel Technique for Extraction
of phenol from the industrial Waste water by using York- Scheible column, International Journal of
Advanced Research. 1(4), pp. 447-453.
703 ISBN: 978-93-5351-069-5

PCE149
DIELECTRIC CONSTANT OF NICKLE OXIDE NANOPARTICLES IN
PRESENCE OF POLYVINYLPYRROLIDONE (PVP)
Shivani Singh Nainata Hilramani

Student, Assistant Professor,
Maharaja Sayajirao University GEC Bharuch
sshivani994@gmail.com nainatahilramani7@gmail.com
9428302388 9428690901
Abstract
Metal oxides have gained much attraction and technological interest due to their remarkable properties
and its wide applications in industry and research. The increasing demand for energy in the world has
led to a focus on low cost energy storage devices. The charge storage capacity of capacitors can be
improved by utilizing metal oxides.
Nanoparticles of nickel oxide (NiO) have been prepared by foaming technique with different polymer
Polyvinylpyrrolidone(PVP) concentration. Nickel nitrate hexahydrate as a source of nickel and
cetyltrimethylammonium bromide (CTAB) as a surfactant were used for the synthesis of nickel oxide.
Nickel oxide nanoparticles were prepared at 3000 C. Air flow rate of 0.3 lpm through sparger was
controlled by rotameter. NiO was prepared by calcination of nickel hydroxide. Characterization
confirmed strong interaction between PVP and NiO nanoparticles. Dielectric constant decreased by
increasing PVP concentration. The decrease in particle size from 16.92 mm to 7.69 mm was reported
with the addition of 1% PVP.
Keywords: Nanoparticles, Nickel oxide, Foam Fractionation, Dielectric Constant.
INTRODUCTION
Nanosized metal oxide particles synthesis using aqueous foam as a template is an important area of
research. Perumalet. al. reviewed and reported NiO nanoparticle synthesis particularly in the period of
1980-2015.NiO can synthesize in various size ranges using different techniques.[1] But there exist limited
reports on synthesizing nanoparticles by foam fractionation by the foaming technique using a nucleating
agent as polymer and surfactant present in the form of liquid film lamellae in foam. Advantages of using
this technique as compared to others are uniformly monodispersed of high purity particles are synthesized
and it is a low-cost process with a simple environmental friendly setup that uses water as a solvent and
also air at room temperature to form a bubble which enables the recovery of heat-sensitive substances or
substances prone to oxidation. [2] Atla et al. reported synthesis of ZnO nanoparticles with particle size
as 20.6 nm. [3]
The electrochemical properties of the metal oxides and their charge storage capacities rely on their size,
morphology and porosity. The properties of metal oxides might be tuned by modifying their
morphologies and surface area. Nickel oxides have several advantages such as low cost, commercial
availability and higher electrochemical performance.
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EXPERIMENTAL PROCEDURE
Nickel oxide nanoparticles were synthesized in absence and presence of non – ionic polymer
polyvinylpyrrolidone (PVP) at different PVP concentration 0.5%, 1%, 2%, 3% and 4% (w/v%) using
the foaming technique .
Materials and Reagents

Nickel Nitrate Hexahydrate Ni(NO3)2.6H2O (Merck) as a metal salt source, Cetyltrimethyl Ammonium
Bromide (CTAB) (Sigma Aldrich) as cationic surfactant, Polyvinyl Pyrrolidone (PVP) as polymer of
molecular weight 40,000g/mole, Sodium Hydroxide (NaOH) (Merck) as to adjust pH and distilled water
were used in this study. Air was passed through feed solution.
Experimental Technique
Feed solution of 200 ml containing Ni(NO3)2.6H2O and CTAB using distilled water and other containing
Ni(NO3)2.6H2O, CTAB, and PVP at different concentration that is 0.5%,1%,2%,3% and 4% (w/v%) was
stirred on magnetic stirrer at 500 RPM for 1hr.The final concentration of Ni(NO3)2.6H2O and CTAB
were 0.1M and 0.01M in the 200 ml of the solution.
A larger diameter cylindrical glass column having 0.10 m diameter and 1 m height with sample outlets at
a distance of 0.04, 0.24, 0.50 and 0.88 m. Feed solution enters from the top of the vertical glass column.
Amount of NaOH required for the experiment was calculated using speciation diagram. The speciation
nature of Nickel Nitrate in water corresponding to the initial feed concentration of 0.1M was obtained
using the Visual Minteq 2.15 software. Precipitation of the Nickel Hydroxide starts above pH 8 .NaOH
was introduced to the glass column through the second sample outlet at a distance 0.24m from sparger to
adjust pH 10 for nickel hydroxide formation.
Dispersion of the rising bubbles was created by sparging the air through the base of the column. Ceramic
sparger was used to inject the air uniformly at the rate of 0.3 lpm using a compressor at pressure
1.5kg/cm². The CTAB and Nickel Hydroxide in absence and presence of PVP adsorb to the surface of the
bubbles. After 30 mins green precipitates were seen on the surface of the bubble and porous network was
generated inside the foam by bubbles. The foam gets the mechanical support by its contact with the
column walls. Then the foam was collected from the top of a glass column at a distance of 0.88 m from
column sparger into and kept overnight for the foam to collapse.
The green hydroxide precipitates obtained were washed multiple times with distilled water using vacuum
filtration .The precipitates were again kept overnight at room temperature for drying. Further calcination
of dried precipitates was carried out at temperature 3000C for 2 hrs to obtain NiO nanoparticles in absence
and presence of PVP. Due to calcination, the green precipitates were converted to precipitates possessing
dark grey color.
Mechanism explains the interaction between nickel, cetyltrimethyl ammonium bromide (CTAB) and
polymer PVP. Nickel oxide in absence and presence of polymer polyvinylpyrrolidone(PVP) was
characterized by X-ray diffraction, and Fourier Transform Spectroscopy.
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Mechanism in foam column

Feed solution contains Nickel nitrate hexahydrate, CTAB and PVP. NaOH is added to adjust pH. Ni+2
ions are directly attached to the negatively charged end of PVP at oxygen atom via ionic dipole
interaction. Interaction between CTAB and PVP polymer chain in presence of air bubble results in
adsorption of CTAB hydrophobic polar end chain onto air bubble .Ni (OH)2 along with PVP chain on
CTAB hydrophilic head makes PVP to cap the air bubble as shown in Figure 3.1 .
Figure 3.1 Representation of feed solution in presence of PVP
X-ray diffraction (XRD) Studies

X-ray diffraction is useful to provide information about crystalline structure of particles. It can also
measure the purity and dimensions of a unit cell that makes the structure. X-ray diffraction (XRD)
measurements were carried out with (CuKα), radiation (λ = 1.542Å). Debye Scherrer equation was used
to calculate the crystallite size of formed nickel oxide particles and is given by equation.
D = 0.9λ/ βcosθ
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Where D is the crystallite size, λ is the wavelength of the X-ray source, β is the full width at half
maximum of the diffraction peak and θ is the angular position of the peak.
Fig. 3.2 and 3.3 shows XRD peaks of NiO prepared in absence and in presence of PVP.
0
Figure 3.2 XRD peaks of NiO in absence of PVP calcined at 300 C
0
Fgure 3.3XRD peaks of NiO in presence of 1% PVP calcined at 300 C.
XRD results for NiO and NiO in presence of 1%PVP shows that the value of 2θ that is 37.26°, 43.3°,
62.87°, 75.39°, 79.38° corresponded to standard JCPDS data (04-0835) [4].There is absence of Nickel
hydroxide and any other impurities peaks. NiO particle size reported as 16.92 mm. Particle size decreased
to 7.69 mm in presence of 1% PVP.
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The average crystallite size decreases because of the nucleation rate increases with the addition of PVP
capping agent. It is also observed that degree of crystallinity decreases with the addition of PVP as the
peaks got broader.
Fourier Transform Infrared Spectroscopy

FTIR peaks of NiO nanoparticles synthesized with 1% PVP before and after calcination to identify
chemical bonds in a molecule in the range of 4000-400 cm⁻¹ are shown in Fig.3.4, and 3.5respectively.
Figure 3.4 IR spectrum of NiO nanocomposites with 1% PVP before calcination
0
Figure 3.5 IR spectrum of NiO nanocomposites with 1% PVP after calcination at 300 C
ISBN: 978-93-5351-069-5 708

From the FTIR results of NiO nanoparticles synthesized in presence of 1% PVP is that there is a shift in
wave number of C=O stretching in PVP from 1661 cm⁻¹ to 1603 cm⁻¹ (300°C) due to the interaction of
PVP on synthesized nanoparticles. This result indicates a strong interaction between PVP and
nanoparticles occur through C=O. The highest percentage of intensity is at wave number 433 cm⁻¹ that
indicates the formation of NiO after calcination at 3000C.
Dielectric Constant of synthesized particles in presence of PVP

It is a quantity measuring the ability of a substance to store electrical energy in an electric field. Dielectric
constant as a function of frequency were measured using computer-interfaced LCR Q- meter [Model –
Agilent 4284 A] at room temperature. The samples of synthesized particles NiO and NiO in presence of
PVP calcined at temperature 3000C were poured into a die and then prepared into a pellet form using a
pellet making machine [Model UTM]. The prepared pellets of NiO and NiO in presence PVP
nanoparticles were used for experimental measurements of capacitance to study the dielectric constant in
a frequency range of 20Hz to 100Hz.The dielectric constant (ε´) at room temperature is obtained using the
experimentally measured data of capacitance with the help of equation given below:
Where C is capacitance in Farad, d is a thickness in meter, A is area m2 and εo is permittivity of free space
Farad per meter [5].
Figure 3.6 Dielectric Constant at 300ºC
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Conclusions from dielectric results are as follows

 As shown in fig .3.6 Dielectric constant is high at low frequency due to rapid polarization and
gets decreased by increasing the frequency because of relaxation polarization process as there is
an inability of dipoles to orient rapidly leading to a lag between the frequency of oscillating
dipoles and that of the applied field.
 At 300°C, when the concentration of PVP increases there is a decrease in dielectric constant at a
lower frequency. The distance between NiO in presence of PVP nanoparticles is reduced, thereby
increasing the interaction between nanoparticles that could reduce the dipole-dipole interaction,
leads to a reduction in the dielectric constant as shown in Fig 3.6.
CONCLUSIONS
NiO in absence and presence of polymer PVP at different concentration were successfully synthesized by
foam fractionation using Ni(NO)3.6H2O , surfactant CTAB and NaOH. The influence by the addition of
PVP on the size and interaction was investigated by using different characterization techniques, i.e.,
XRD, and FTIR, respectively. The decrease in particle size from16.92 nm to 7.69 nm was observed with
the addition of 1% PVP.FTIR Analysis confirmed the formation and interaction of NiO .Dielectric
constant decreased by increasing PVP concentration.
REFRENCES
[1] Raj KP, Thangaraj V, Uthirakumar AP (2015). Synthetic Routes to Nickel Oxide Nanoparticles - An Overview.
ChemSci Rev Lett. 4 (14), pp. 494-501.
[2] Burghoff B (2012) Foam fractionation applications. Journal of Biotechnology, 161, pp. 126– 137.
[3] Atla SB, Chena CY, Yang J, Chen CC, Sun AC, Lin KH, Maity JP, Pan W, Cheng KC (2012). Foam
fractionation of crystal growth for nanotechnology. Chem. Eng. J. 184, pp.333–341.
[4] Kemary ME, Nagy N, Mehasseb I (2013). Nickel oxide nanoparticles: Synthesis and spectral studies of
interactions with glucose. Mat. Sci. Semicond. Process 16, pp. 1747-1752.
[5] Ambalagi SM, Nagaraja S, Manjula VT, Hogade S, Inamdar HK et al (2016).Dielectric Properties of
Polyvinylpyrrolidone Doped with Copper Oxide Nanoparticle. Inter. J. Inno. R. Sci.Eng. and Tech.,5(2), pp. 2033-
2040.
ISBN: 978-93-5351-069-5 710

PCE125
STUDY ON THE EFFECT OF KINETIC PARAMETERS

ON CONTROLLED RELEASE OF CHLORPYRIPHOS
THROUGH POLYUREA SHELL SYNTHESIZED BY
INTERFACIAL POLYCONDENSATION
Ujvala P. Christian Dr. Shrikant J. Wagh

Assistant Professor, Principal,
Chemical Engineering Department Gujarat Power Engineering & Research
Vishwakarma Government Engineering Institute (GPERI)
College (VGEC) sjwagh@gmail.com
ujvala.christian@gmail.com +919624946457
+919429001082
Abstract
Polyurea is widely used as a shell material for microencapsulation of various agrochemicals like
pesticides, herbicides, insect growth regulators, fertilisers and anti germinating agents due to its
properties such as better encapsulation efficiency, biodegradability, and controlled/sustained release
action. Interfacial polycondensation (IP) is one of the important chemical methods for synthesis of
insecticide loaded polyurea microcapsules. In this experimental work interfacial polycondensation
(IP) method was applied to synthesize polyurea from monomer Hexamethylene-1, 6-diamine (HMDA)
and hexamethylene-1, 6-diisocyanate (HMDI) under constant condition of phase volume ratio,
emulsifier concentration and stirring rate at 30⁰C and atmospheric pressure. Various formulations
were developed for encapsulation of insecticide chlorpyriphos with constant loading 4% (w/v) as a
core material in polyurea shell in order to study effect of two kinetic parameters: (i) monomer mole
ratio (R) and (ii) moles of limiting monomer per unit volume of dispersed phase (nL/Vd) on
encapsulation efficiency and release rate through polyurea shell. X-ray diffractogram indicates that
the IP synthesized polyurea is a reasonably crystalline polymer with a percentage crystallinity of
20.51 to 26.76 depending on the reaction kinetic parameters.Crystallinity is high with high value of R
and low value of nL/Vd. FTIR spectrum indicated that there was no interaction between core and shell
material. Cumulative percentage release of chlorpyriphos through polyurea shell in methanol was
measured in controlled release studies it revealed that IP method is a successful microencapsulation
method. Different kinetic models were tested in order to study the release kinetics of chlorpyriphos
through poyurea shell.The encapsulation efficiency of insecticides increases and cummulative release
rate decreases with decrease in R and increase in nL/Vd. Cummulative release rate of chlorpyriphos
largely depends on the properties of polyurea shell, especially the crystallinity.
Keywords: Polyurea, Microencapsulation, Insecticide, Chlorpyriphos, Interfacial
Polycondensation.
INTRODUCTION
Interfacial Polycondensation (IP) is a step polymerization technique which is effectively applicable

for synthesis of polyamide, polyester, polycarbonate, polyurea and polyurethane polymers [1].
Microencapsulation of an active ingredients (AI) e.g. pharmaceuticals, agrochemicals, catalyst, food
ingredients etc. in polymeric shell is one of the key applications of IP, both monocore type and matrix
type microcapsules are produced by IP, depending on the solubility of the polycondensate in the
droplet phase [2].
In process of encapsulation with interfacial polycondensation, monomers in their respective phases
diffuse onto the oil-water interface where they react with each other to form a polymer surrounding
the droplets. Usually, the water-soluble monomer can participate in both the aqueous and the oil
711 ISBN: 978-93-5351-069-5

phases, while the oil-soluble monomer can only be dissolved in the oil phase. Therefore, the
membrane thickness grows towards the oil phase [3]. When the initial membrane is formed, the water-
soluble monomer has to diffuse across the membrane into the oil phase to react with the oil-soluble
monomer to thicken and to strengthen the membrane. The increment of the membrane thickness
depends on both the diffusion of the monomers and the reaction between the monomers [4].
Polyurea synthesized by IP can be widely used as a shell material for microencapsulation of various
agrochemicals like pesticides, herbicides, insect growth regulators, fertilisers and anti germinating
agents due to its properties such as better encapsulation efficiency, biodegradability, and
controlled/sustained release action.
Controlled release insecticide formulations via microencapsulation offer following advantages:
i. Reduction of toxic effects.
ii. Enhancement of the duration of activity for an equal level of insecticide.
iii. Overall reduction in total consumption of insecticide.
iv. Reduction in evaporative losses.
v. Protection of/from external environment.
vi. Increase in convenience to use and handling [5].
OBJECTIVES
Key objective of this experimental work is to study effect of kinetic parameters to encapsulate
insecticide chlorpyriphos in polyurea shell which was synthesized by interfacial polycondensation of
functional monomers Hexamethylene-1, 6-diamine (HMDA) and hexamethylene-1, 6-diisocyanate
(HMDI) under constant condition of phase volume ratio, emulsifier concentration and stirring rate
(3000 RPM) at 30 ⁰C and atmospheric pressure. Encapsulation efficiency and release of chlorpyriphos
through polyurea shell was studied.
Laboratory scale experiments were conducted to prepare formulations for constant loading 4% (w/v)
of insecticide chlorpyriphos as a core material in polyurea shell, was synthesized by IP in order to
study effect of two kinetic parameters: (i) monomer mole ratio (R) and (ii) moles of limiting monomer
per unit volume of dispersed phase (nL/Vd) on encapsulation efficiency and release rate through
polyurea shell.Five different such formulations with different values of R and nL/Vd were prepared at
constant temperature of 30⁰C as tabulated in Table:1 [6].Chlorpyriphos loaded polyurea was
characterized by FTIR, XRD and TGA. Release of encapsulated chlorpyriphos in methanol was also
experimentally studied and different kinetic models were tested in order to study the release kinetics
of chlorpyriphos through poyurea shell.
Table:1 Kinetic Parameters Employed for Encapsulation of Chlorpyriphos in Polyurea
Formulation Kinetic Parameters
Monomer Mole Moles of Limiting Monomer
Ratio (R) Per Unit Volume of Dispersed
Phase (nL/Vd)
CLP1 2.4 0.18
CLP2 2.4 0.36
CLP3 2.4 0.72
CLP4 1.2 0.36
CLP5 1.2 0.72
LITERATURE REIVIEW
S. K. Yadav et al. studied preparation of polyurea microcapsules from HMDA and HMDI for
encapsulation of cyclohexane. The capsules produced had a size range of 0.5 μm to 10 μm, the
polyurea membrane permeability was in range from 6.5x10-9 to 3.75x10-8 m/sec, which was
determined by monitoring the rate of release of cyclohexane into n-heptane.They also concluded that
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the rate of release of cyclohexane in n-heptane was strongly influenced by degree of crystallinity of
polymeric shell [7]. Athena et al. prepared polyterphthalamide membranes by IP method for
encapsulation use , concluded that membrane wall thickness increases with increase in monomer
molar ratio of HMDA/DETA [8].E. Jabbari synthesized polyurethane microcapsules by IP and
remarked that the polyurethane wall thickness was remain unchanged with increase in reaction time
[9]. Wagh et al.developed a correlation of various process variables with experimental variables to
examine kinetics of polyurea synthesized from HMDA and HMDI synthesis by IP method with use of
cyclohexane and carbon tetra chloride as an organic solvents. They observed that the crystallinity of
polyurea governed by kinetic parameters [10].Hong K. and Park S. reported applicability of polyurea
for microencapsulation of both solid and liquid bioactive compounds [11].
Z. El Bahri and J.-L. Taverdet developed a model for study of different process parameters like
stirrring speed, polymer-solvent ratio and dispersed phase viscosity for microspheres of ethyl
cellulose and cellulose acetate loaded with pesticide ethyl benzoate (BzE) synthesized by solvent
evaporation technique followed by complex coaservation.They investigated release mechanism of
BzE from microspheres according to Fick’s law and diffusion coefficients was calculated [12].
Preparation of reservoir-type polyurea capsules containing model organic fills such as xylene and
xylene/butyl acetate mixtures was described by Janis Hickey et al. reported studies on electrostatic
deposition of delaminated montmorillonite clay and polycations onto polyurea microcapsules by
optical and electron microscopy, and thermo gravimetric analysis. This research was also applicable
for variety of controlled release applications of various agrochemicals [13].Various researchers had
reported a process of microencapsulation of pesticides chlorpyriphos, neem seed oil using urea
formaldehyde cross linked starch and guar gum matrices [14-16]. Hirech et al. developed a two step
method for synthesis of insecticide diazinon loaded microcapsules of polyurea synthesized by IP in
order to study their controlled release with different size of microcapsules [17]. Chitosan and natural
rubber matrices based advanced polymeric materials were synthesized for controlled release of
pesticides (1-hydroxynaphthalene and 2-hydroxynaphthalene) in aqueous solution by M. Rahim et al.
[18]. L. You et al. developed a urease-responsive delivery system of pendimethalin was established
by introducing urea bonds between functionalized mesoporous silica microcapsules and polymers
with amino groups through an interfacial polymerization method. This method effectively enhances
the thermal and light stability of pendimethalin. The release curves agreed with the Ritger and Peppas
equation, and the release of pendimethalin was diffusion-controlled [19]. In- situ polymerization
method was effectively applied to encapsulate chlorpyriphos in UF- Resin as a wall by B. Zhang.
Particle size and encapsulation efficiency of microcapsules were investigated and optimized [20].
MATERIALS AND METHOD
Materials:
Hexamethylene-1, 6-diamine (HMDA) and hexamethylene-1, 6-diisocyanate (HMDI) of purity >99%

were obtained from Sigma-Aldrich, USA. Both were used without further purification. The emulsifier
Tween-85 (Sigma-Aldrich, USA) was used to stabilize the o/w emulsions in which the reaction was
carried out. The organic solvents n-Octane was purchased from S D fine chemicals Ltd. India and
methanol used as a media for controlled release studies was purchased from Merk, Germany.
Chlorpyriphos insecticide is of technical grade (99%) was kindly donated by UPL-II, Ankleshwar,
India.Its molecular formula and selected properties are as listed in Table:2.
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Table:2 Properties of Chlorpyriphos

Pesticide Molecular Molecular Physical and Chemical Properties
Formula Weight
gmol-1
Chlorpyriphos C9H11Cl3NO3PS 350.6  Colorless to white crystalline solid.
 Mild mercaptan (thiol) odor.
 Vapor pressure = 1.87 x 10-5 mmHg at 25 °C
 Octanol-Water Partition Coefficient (Log Kow) = 4.70
 Solubility (in water) = 0.0014 gL-1 at 25 °C
 Other Solvents: i-Octane, n-Octane, Methanol, Acetone,
Benzene, Diethyl Ether.
 Soil Sorption Coefficient (Koc) = 360 to 31,000.
(depending on soil type and environmental conditions).
Source: Reference No. 21.
Method:
Encapsulation of Chlorphyriphos in Polyurea Shell Synthesized by IP:
The polyurea microcapsules were synthesized by interfacial polycondensation of Hexamethylene-1, 6-

diamine (HMDA) and hexamethylene-1, 6-diisocyanate (HMDI) according to the procedure reported
in the literature [7, 10]. A two- step procedure is adopted and total volume of aqueous phase is
constant in all experiments. In first step oil- water emulsification was carried out at 3000RPM using
high speed emulsifier. Phase volume ratio (Vd/Vc) i.e. ratio of volume of dispersed phase (Vd) to
volume of continuous phase (Vc), was 0.05 constant for all experiments. In second step, appropriate
emulsion was added to an aqueous solution of HMDA and was continuously stirred at 200 RPM. n-
Octane was used as solvent for organic phase monomer HMDI and chlorpyriphos both. Reaction was
carried out at constant temperature of 300C. Values of two kinetic parameters i.e. initial mole ratio of
the monomers, R and number of moles of limiting monomer per unit volume of dispersed phase,
nL/Vd were selected as given in Table:1 [6].
Studies for Release of Encapsulated Chlorpyriphos:

Polyurea microcapsules containing insecticide sample (as an active ingredient and core material) with
constant loading content of 4% (w/v) were filtered, washed with distilled water, lightly blotted to
remove excess surface moisture. 1 gm of these microcapsules was added into release cell containing
100 ml methanol and kept in a sonicated bath kept at 28 0C. At regular time intervals 10 ml of sample
was withdrawn by a syringe, fitted with a filter paper and its absorbance was recorded with a pre-
calibrated UV-spectrophotometer (UV-1800, UV-VIS Shimadzu, Japan). Fresh methanol was added
to cell in order to maintain constant volume of continuous phase. % Encapsulation efficiency and
%release of insecticide on the basis of initial input of insecticide to the feed were determined. [22, 23]
weight of insecticide encapsulated in microcapsules
% Encapsulation efficiency = [ ] × 100
Total weight of insecticide taken in feed
% Release of insecticide
weight of insecticide released from microcapsules at any time, t
=[ ] × 100
Total weight of insecticide encapsulated in microcapsules
Release model and kinetic mechanism:

In order to describe the kinetics of active ingredient (chlorpyriphos) release process from the
controlled release formulations, various models and mathematical equations are applied, which are
listed in Table:3.
Table: 3Various Release Kinetic Models and Corresponding Mathematical Equations
Release Kinetic Model Mathematical Equation Remark
Zero- Order Qt = Q0 + k0t Qt the amount of insecticide released in time, t
Q0 the amount of insecticide released at t = 0
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k0 the zero-order kinetic constant

First- Order Qt = Q0 exp(- k1t) k1 the first-order kinetic constant
Higuchi -Equation Qt = kH t1/2 kH the Higuchi kinetic constant
Korsmeyer- Peppas Qt / Q0= k tn k the Korsmeyer- Peppas kinetic constant
Equation n the release exponent
Hikson -Equation (Qt)1/3− (Q0)1/3= κt κ the Hikson kinetic constant
Source: Reference No. 24.
Effect of Monomer Mole Ratio (R) on Release of Chlorpyriphos:
As shown in Figure 1, percentage cummulative release of chlorpyriphos from polyurea shell was
decrease with decrease in monomer mole ratio. R is the bulk mole ratio of aqueous phase monomer
HMDA to that of organic phase monomer HMDI, which indicates molar concentration of HMDI is
half for formulation CLP2 (R=2.4) than CLP4 (R=1.2). Since polyurea formation by IP is occured at
organic side of interphase, rate of polymerization is high for large value of R results into less
crystalline polymer which provide ease for diffusive release of chlorpyriphos. After a constant period
of 100 minutes cummulative release (%) for CLP2 is 75.71% while that for CLP4 is 71.50%.
Effect of Moles of Limiting Monomer per Unit Volume of Dispersed Phase (nL/Vd) on
Release of Chlorpyriphos:
The cummulative release (%) of chlorpyriphos from polyurea shell is strongly governed by second
kinetic parameter selected for this studies i.e. moles of limiting monomer per unit volume of dispersed
phase (nL/Vd) as shown in Figure 2. Cummulative release (%) of chlorpyriphos from polyurea shell
was increase with decrease in is nL/Vd (nL/Vd for CLP1, CLP2 and CLP3 is 0.18,0.36, and 0.72
respectively) for saame value of R=2.4. Since HMDA acts as a limiting monomer for all values of
R>1, low concentration of HMDA as nL/Vd decreases hence the polymerization reaction rate
increases results into incease in cummulative release (%) of chlorpyriphos for formulation as CLP1>
CLP2> CLP3. After a constant period of 100 minutes cummulative release (%) for all three
formulations is 79.80%, 75.71% and 64.30% espectively.
Figure 1 Effect of Monomer Mole Ratio (R) on Cummulative Release (%) of Chlorpyriphos(n L/Vd =0.36)
715 ISBN: 978-93-5351-069-5

Figure 2 Effect of Moles of Limiting Monomer per Unit Volume of Dispersed Phase (n L/Vd)on Cummulative
Release (%) of Chlorpyriphos (R=2.4)
Effect of Polymer Crystallinity on Release of Chlorpyriphos:

XRD pattern (Intensity Vs 2θ in range of 10-50) of sample CLP2 is shown in Figure 3, a semi
crystalline polyurea was synthesized. Percentage crystallinity (X c) was determined by considering
ratio of area of crystalline phase to that of total area using ORIGIN 85 is 20.51. Polyurea was more
crystalline for decrease in R and increase nL/Vd resulted into decrease in diffusive release rate of
clhorpyriphos.Table 4 summarized results of Xc for different formulations.
Figure 3 XRD pattern for CLP2 (R=2.4, (nL/Vd)=0.36)
Effect of Encapsulation Efficiency (%EE) on Release of Chlorpyriphos:

Percentage encapsulation efficiency of polyurea for all different formulations was increased with
decrease in R and increase in nL/Vd. For CLP4 %EE was 81.67 and for CLP5 the %EE was 93.83 due
to increased in Xc value from 21.20 to 26.76 resulted into decrease in cummulative release (%) of
chlorpyriphos to a 12.16%.Table 4 summarized results of %EE for different formulations.
FTIR of Chlorpyriphos Encapsulated in Polyurea:

FTIR spectrum of polyurea microcapsule sample containing chlorpyriphos as a core material is shown
in Figure 4 which shows transmission band at 1628.85 cm-1 for the C=O stretching of urea formation.
Two peaks at 3355 cm-1 and 1280 cm-1 are associated with stretching of N—H and N—C group of
secondary amine [6, 25]. Stretching of C—H group observed at 2924 cm-1. There was no obvious
peak was observed at 2220 cm-1 to 2280 cm-1 which suggests N=C=O was completely reacted. Cl—C
and P=S group of chlorpyriphos were observed at 646.10 cm-1 and 846.31 cm-1confirmed its
encapsulation.
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Figure 4 FTIR Spectrum for CLP2 (R=2.4, (nL/Vd)=0.36)
Table: 4 Summary for Results of Various Formulations of Chlorpyriphos Encapsulated in

Polyurea Shell Synthesized Under Various Preperative Conditions:
Formulation Encapsulation Crystallinity Cummulative Release (%) after
Efficiency (%EE) (%), Xc constant time, t=100 minutes
CLP1 35.79 — 79.80
CLP2 64.48 20.51 75.71
CLP3 78.55 24.72 64.30
CLP4 81.67 21.20 71.50
CLP5 93.83 26.76 58.05
Thermogravimetric Analysis (TGA) of Chlorpyriphos Encapsulated in Polyurea:

The TGA profile in Figure 5 indicate that 80% of mass loss of chlorpyriphos loaded polyurea is at
403⁰C while that of pure chlorpyriphos blank sample is at 321⁰C.Thus encapsulated formulation had
more thermal stability and less mass loss at high temperature due to polyurea shell.
Figure 5 TGA for CLP2 (R=2.4, (nL/Vd)=0.36)and Pure Chlorpyriphos
Release Kinetics of Chlorpyriphos:

Results for concentration of chlorpyriphos release through polyurea shell in methanol indicated with a
pre- calibrated UV-spectrophotometer and release kinetics were studied using different models as
listed in Table-3. Values of correlation coefficient (R2) was estimated for each model and reported in
Table-5 for all five different formulations of chlorpyriphos loaded polyurea. In release kinetics study
data of formulation CLP2 controlled release was best fitted to model of Korsmeyer- Peppas equation
at a correlation coefficient value (R2)>0.93 and value of constant n is 1.05, which indicates release of
chlorpyriphos follows non-Fickian transport. Release kinetics of formulations CLP3 and CLP4 was
best represented by Highuchi equation which described release of chlorpyriphos follows Fickian
transport i.e. diffusion controlled.
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Table:5 Values of Ccorrelation Coefficient Estimated By Different Kinetic Models

Formulation of Value of Correlation Coefficient (R2) for Different Kinetics Models for
Chlorpyriphos Release Kinetics of Chlorpyrifos
loaded Polyurea Zero- First- Higuchi - Korsmeyer- Hikson -
Microcapsule Order Order Equation Peppas Equation Equation
CLP1 0.435 0.589 0.735 0.886 0.534
CLP2 0868 0.900 0.904 0.934 0.892
CLP3 0.798 0.853 0.937 0.912 0.834
CLP4 0.752 0.849 0.907 0.755 0.818
CLP5 0.636 0.715 0.879 0.848 0.688
CONCLUSION
Insecticide chlorpyriphos was effectively encapsulated in polyurea shell synthesized by interfacial

polycondensation of functional monomers Hexamethylene-1,6-diamine (HMDA) and hexamethylene-
1, 6-diisocyanate (HMDI). Kinetic parameters, (i) monomer mole ratio (R) and (ii) moles of limiting
monomer per unit volume of dispersed phase (nL/Vd) are controlling factors for polyurea crystallinity
via controlling the reaction rate in interfacial polycondensation reaction. Percentage encapsulation
efficiency (%EE) of polyurea to encapsulate chlorpyriphos was increased with decrease in R and
increase in nL/Vd.Controlled release studies for chlorpyriphos through polyurea shell in methanol
revealed that IP method is a sucessful microencapsulation method for sustained release. Different
kinetic models were tested in order to study the release kinetics of chlorpyriphos through poyurea
shell. Formulation of chlorpyriphos loaded polyurea microcapsules synthesized with R=2.4 and nL/Vd
= 0.36 (i.e.CLP2) had controlled release data best fitted to model of Korsmeyer- Peppas equation at a
correlation coefficient value >0.93 and value of constant n is 1.05, which indicates release of
chlorpyriphos through this formulation follows non-Fickian transport. Release kinetics of
formulations CLP3 and CLP4 was best represented by Highuchi equation which described release of
chlorpyriphos follows Fickian transport i.e. diffusion controlled. Cummulative release rate of
chlorpyriphos largely depends on the properties of polyurea shell, especially the crystallinity.
REFERENCES
[1] K. C. Khilar, Encapsulation – A State-of--art report. Department of Science & Technology, Government
of India, pp. 2-5, (1987).
[2] P. W. Morgan, S. L. Kwolek, Interfacial polycondensation, II. Fundamentals of polymer formation at
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[4] Peihong Ni, Mingzu Zhang, Nianxi Yan, Effect of operating variables and monomers on the formation of
polyurea microcapsules, Journal of Membrane Science, vol.103, pp. 51-55, (1995).
[5] A. Roy, S. K. Singh, J. Bajpai, A. K. Bajpai, Controlled pesticide release from biodegradable polymers,
Central European. Journal of Chemistry, vol. 12(4), pp. 453-469, (2014).
[6] U. Christian, S. Wagh, "Controlled Release of Insecticides through Polyurea Microcapsules Synthesized
by Interfacial Polycondensation", Asian Journal of Chemistry, vol. 30(11), pp. 2571-2576 (2018).
[7] S. K. Yadav, K. C. Khilar, A. K. Suresh , Release rates from semi-crystalline polymer microcapsules
formed by interfacial polycondensation, Journal of Membrane Science, vol.125, pp. 213-218, (1997).
[8] Athena T., Costas K., Synthesis and characterization of polyterephthalamide membranes for encapsulation
use: effect of the amine type and composition on the membrane permeability, Journal of Membrane
Science , vol.146 pp. 15-29, (1998).
[9] E. Jabbari, Morphology and structure of microcapsules prepared by interfacial polycondensation of
methylene bis (phenyl isocyanate) with hexamethylene diamine, Journal of Microencapsulation, vol. 8
(6), pp. 801-809, (2001).
[10] S.J. Wagh, S.S. Dhumal and A.K. Suresh, An experimental study of polyurea membrane formation by
interfacial polycondensation, Journal of Membrane Science, vol. 328, pp. 246- 256 , (2009).
[11] K. Hong, S. Park, Journal of Applied Polymer Science, vol. 78, pp. 894- 898, (2000).
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[12] Z. El Bahri, J.-L. Taverdet, Elaboration and characterisation of microcapsules loaded by pesticide model,
Powder Technology, vol. 172, pp. 30-40, (2007).
[13] J. Hickey, N. A. D. Burke, Harald D.H. Stöver, Layer-by-layer deposition of clay and a polycation to
control diffusive release from polyurea microcapsules, Journal of Membrane Science , vol. 369, pp. 68-76,
(2011).
[14] A. R. Kulkarni, K. S. Soppimath, T. M. Aminabhavi, A. M. Dave, M. H. Mehta, , Urea- formaldehyde
cross linked starch and guar gum matrices for encapsulation of natural liquid pesticide: swelling and
release kinetics, Journal of Applied Polymer Science, vol. 73, pp. 2437-24, (1999).
[15] P. G. Shukla, N. Rajgopalan, C. Bhashkar, S. Sivaram, Cross linked starch-urea formaldehyde as a
hydrophilic matrix for encapsulation: studies in swelling and release of carbofuran, Journal of Controlled
Release, vol. 15, pp. 153- (1991).
[16] S. G. Kumbar, A. R. Kulkarni, A. M. Dave, T. M. Aminabhavi, Encapsulation efficiency and release
kinetics of solid and liquid pesticide through urea formaldehyde cross linked starch, guar gum and starch +
guar gum matrices, Journal of Applied Polymer Science, vol. 82, pp. 2863-2866, (2001).
[17] K. Hirech, , S. Payan, G. Carnelle, , L. Brujes, J. Legrand, Microencapsulation of an insecticide by
interfacial polymerisation, Powder Technology, vol.130, pp. 324-330, (2003).
[18] M. Rahim, M. R. Hakim, H. M. Haris, Application of advanced polymeric materials for controlled release
pesticides, IOP Conf. Series: Materials and Engineering, pp.1-4, (2016).
[19] L. You, G. Mingcheng, F. Chen, D. Hongqiang, D. Guanglong, Z. Wenbing, T. Gang, Y.Jiale, K. Dandan,
C. Yongsong, Development of Novel Urease-Responsive Pendimethalin Microcapsules Using Silica-
IPTS_PEI As Controlled Release Carrier Materials, ACS Sustainable Chemistry and Engineering, vol. 5,
pp. 4802-4810, (2017).
[20] B. Zhang, optimization of encapsulation conditions for chlorphyriphos microcapsules, Journal of
Chemical and Pharmaceuitical Research, vol. 5 (12), pp. 1244- 1248, (2013).
[21] https://pubchem.ncbi.nlm.nih.gov/compound/ chlorpyrifos, accessed on 7May 2017.
[22] T. Takahashi, Y. Taguchi, M. Tanaka, Microencapsulation of Hydrophilic Solid Powder as Fire Retardant
Agent with Epoxy Resin by Droplet Coalescence Method,Journal of Applied Polymer Science., vol. 107,
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[24] Shifeng Yan, Jie Zhu, Zhichun Wang, Jingbo Yin, Yanzhen Zheng, Xuesi Chen, Layer-by-layer assembly
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[25] Z. Gao, L. Pang, H. Feng, S. Wang, Q. Wang, M. Wang, Y. Xia, S. Hu, Preparation and characterization
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pp. 1562-1568, (2017).
719 ISBN: 978-93-5351-069-5

PCE122
IONIC LIQUIDS FOR PRETREATMENT OF LIGNOCELLULOSIC

BIOMASS: TECHNOLOGY FOR ENHANCED BIOFUEL
PRODUCTION
Rima C. Gajjar
V.V.P Engineering College, Rajkot
rimagajjar@gmail.com
Abstract
The conventional fossil fuel usage as a source of energy and value-added chemicals are both
exhaustible and polluting. Therefore, the shift towards utilization of renewable energy sources which
contribute less towards pollution has gained much attention. The lignocellulosic biomass generated in
abundance each year has lead to its effective utilization for production of energy, biofuels, and
various bio based chemicals via the concept of biorefinery. The pretreatment of lignocellulosic
biomass which contains mainly cellulose (40-50 %), hemicellulose (25-30 %) and lignin (15-25%) is
a key step in order to access cellulose from the packed biomass structure and converting it into
fermentable sugars, mainly glucose for the production of bioethanol. The acid hydrolysis or enzymatic
hydrolysis of the pretreated biomass followed by fermentation of the sugar leads to production of
bioethanol. Common chemical pretreatment practices of the lignocellulosic biomass is carried out
with acids, alkalis, and solvents which are corrosive and volatile in nature requiring higher
temperatures, and lead to lesser yield of sugar from cellulose. Replacing the acids, alkalis and
solvents with ionic liquids leads to increased sugar yields (upto 100%) and ethanol production at
milder reaction conditions. Ionic liquids (ILs) commonly known as molten salts consisting of an
anion and a cation that have melting point below 100⁰C have negligible vapour pressure, are non
corrosive, non flammable, have high conductivity, good solvent properties, tunable physical and
chemical properties and are thus designer solvents. This work is a short review highlighting the
advantages of biomass pretreatment with ionic liquids over other methods, various ionic liquids used
for lignocellulosic biomass pretreatment for the production of bioethanol, highlighting the research
trends, process economics and future scopes in the field.
Keywords: Ionic Liquids, Lignocellulosic biomass, Pretreatment, Biofuel production
INTRODUCTION
With the rapid increase in human population and the industrial growth, the deposits of fossil fuels are
coming to an end. The shift of focus towards the usage of renewable resources is the need of the hour.
Biomass resource is generated in abundance which is thought to be a renewable recourse for
utilization in production of biofuels (bio ethanol and butanol) and various bio based chemicals. The
concept of biorefinery has gained much attention these days and the research trends observe much
importance given to the development and optimization of the processes to produce bio fuels and
chemicals by utilizing the lignocellulosic biomass. Though the concept is green enough in theory but
the practical implementation sees vast challenges in terms of the process economics and
environmental damage.
The process of bio fuel production, mainly ethanol has gained much attention recently. Ethanol being
a green replacement for conventional fossil fuels, the researches focus on production on ethanol from
the lignocellulosic biomass. The importance of utilizing lignocellulosic biomass stems from the
debate of the ‘food vs. fuel’ when starchy biomass is used as the raw material. The recalcitrant
lignocellulose biomass structure is a hindrance to expose the crystalline cellulose towards hydrolysis
to produce fermentable sugars. Conventionally ethanol is produced by acid hydrolysis of the
lignocellulosic biomass to produce sugar and then the sugar is fermented to produce ethanol.
Pretreatment of the lignocellulosic biomass is a key step before heading for its hydrolysis. The
ISBN: 978-93-5351-069-5
pretreatment 720crystalline along with dissolution of lignin [1].
exposes the cellulose and makes it less
The researches clearly indicate better sugar yields on reduction of cellulose crystallinity. The
pretreatment step therefore gains prime importance. Various pretreatment methods have been
explained in literature [2], majorly classified as physical, chemical, Ionic Liquid (IL) pretreatment and
thermal. These pretreatment techniques face various advantages and disadvantages. With requirement
of harsh conditions and low yields of sugar, the conventional chemical treatments have lost
importance. ILs known as room temperature molten salts which have melting point below 100 ⁰C are
potential solvents to pretreat lignocellulosic biomass as they are non volatile, non flammable, non
toxic, and are more selective towards cellulose extraction.
RECENT TRENDS IN BIOMASS PRETREATMENT AND PROCESSING
The solvent polarity parameters were evaluated and the relationship between them has been
established for maple wood flour pretreatment with ILs [Emim][OAc], [Bmim][OAc], and
[Bmim][MeSO4], showing that the acetate containing ILs provide better yield of glucose (> 65%) [3].
The crystallinity was reduced by pretreating softwood with [Emim][Ac] at 60-100 ⁰C for 2-8 hours.
The new method has been described showing the pretreatment of lignocellulosic biomass without
cellulose and lignin dissolution. The crystallinity index improved and recyclability of the IL was
tested which gave a positive result [4].
The researches have focused on use of IL [Emim][Ac] to pretreat plant Guinea grass in order to
increase the efficiency of enzymatic hydrolysis and the yield of bioethanol (81.9%), by optimizing the
pretreatment conditions. The research led to the conclusion of getting a high ethanol yield at 157 ⁰C,
with 30 min reaction time for 14% of biomass concentration [5]. [Emim][Ac] used to pretreat sawdust
of Pinus sp. and Eucalyptus sp., which has shown to produce 40 and 47L of ethanol per ton of
biomass respectively [6].
Rice straw was pretreated with a combination of ultra high pressure IL micro emulsion ([Emim]Ac)
under mild condition of temperature of 50⁰C for 4 hours. The result was an increase in the cellulose
content of rice straw (62.5%), lignin removal of 66.2% and the glucose yield increased to 89.6%,
leading to a good reduction of crystallinity of the biomass [7].
Sugarcane bagasse was pretreated with a combination of [BMIM][Cl] and PEG (1-5% by weight) and
the pretreatment conditions were optimized by Response Surface Methodology (RSM). The optimized
conditions were found to be 154 ⁰C, 5 wt% Polyethylene Glycol (PEG) and 60 min for getting 84%
bioethanol yield in comparison to that with usage with only IL [8].
Another method of separating biomass products and thus processing it has been reviewed [9] wherein
the separation is facilitated by creation of a biphasic system using the right solvent (MIBK, Acetone,
Water, Ethanol, Propanol) and a catalyst to separate cellulose, lignin and sugars. This work focuses on
effective recovery and separation of biomass products after the pretreatment. This work surely
requires further research. Use of water as a co solvent with 50% and 80% IL [Emim][Ac] increases
the Acetate- cellulose interactions which results in decreased cellulose crystallinity [10]. Further 90%
glucose was produced by using a combination of IL and aqueous Ammonia (1:1) for the pretreatment
of sugarcane leaves, rather than using ILs alone [11].The pretreatment cost can be reduced by using a
low cost IL triethylammonium hydrogen sulfate ([TEA][HSO4]) with 20% water as co solvent for
high loadings of biomass in short time of 15 minutes and high temperature of 180 ⁰C, providing more
than 75% enzymatic saccharification yield [12,13]. The process economics were tried to be improved
by testing 2-hydroxy-N-(2-hydroxyethyl)-Nmethylethanaminium methanesulfonate ([BHEM]- mesy)
IL with corn stover, which resulted in more than 90% of cellulose I material being produced [14].
721 ISBN: 978-93-5351-069-5

It was observed that the pretreatment with simultaneous addition of [C2mim][Cl] and endo-Xylanases
to hard and softwood, increased the yield of bioethanol, reducing the number of stages for ethanol
production [15]. The simultaneous hydrolysis and fermentation carried out on the lignocellulosic
biomass also proves to be effective in reducing the time and energy consumed in bioethanol
production along with reduction of economy [16].
An effective delignification and decrystallization technique was studied [17] wherein the corn stover
biomass was pretreated with a combination of IL ([Emim][OAc]) and biomass derived gamma-
valerolactone (GVL). This enhanced the enzymatic hydrolysis providing a higher sugar and glucose
yield (0.69 and 0.38 g.g-1 respectively). A similar work was carried out [18] to study the
morphological effect of pretreating rice straw with a mixture of (IL [C2mim][Cl]/ [C4mim][Cl] +
water + Inorganic salt K2CO3/ K3PO4) at 95 ⁰C for 3 hours. A higher removal of lignin and
hemicelluloses was observed with a sugar yield of 82.45%.
The glucose yields from cellulose can be enhanced in less time by the use of heterogeneous silica-
based catalysts (Si-propylsulfonic and Si-tosic acid) catalysts and Amberlyst 70 catalyst at
temperatures of 120, 140 and 160 ⁰C [19]. The study proved that about 50% of glucose yield was
attained in 5 hours. This is because the cellulose gets adsorbed on the surface of the catalyst. 1-
methyl-3-(3-sulfopropyl)-imidazolium hydrogen sulfate IL was used as catalyst for pretreating jute
biomass to produce 90% sugar yield at high temperature of 250 ⁰C [20].
Biocompatible IL Choline Acetate was tested [21] with bagasse in order to increase the efficiency of
bioethanol yield. It was learnt that lesser IL/biomass ratio of 1.5 sufficed ethanol production by 95%.
This was good for high loadings of biomass (100g/L). A similar work showcased this by using
[Emim][OAc] for high loadings of biomass [22]. pretreating high loadings of bagasse, erianthus,
cedar and eucalyptus with [EMIM][OAc] showed an effective result [23]. Biphasic solvents have
been tested by combining IL and supercritical CO2 which enhanced cellulose dissolution to produce
ethanol [24].
ENHANCEMENT OF BIOETHANOL YIELD BY USING ILs
Breaking the cystallinity of biomass is important to extract cellulose and hydrolyze it to sugars to give
ethanol. Many studies focus on the enhancement of hydrolysis and fermentation of sugars to improve
ethanol yields. ILs have proved that they provide better glucose and ethanol yields. The
morphological studies of the pretreated biomass shows the structural changes caused in biomass
samples when treated with ILs or mixtures of IL and water [25]. This shows that lignin-
polysaccharide interactions have to be broken down and lignin removal has to be enhanced, focusing
on increasing the specific surface area of the biomass for improving enzymatic hydrolysis. Using
protic ILs like 1-butylimidazolium hydrogen sulfate (HBIMHSO4) improved lignin removal and
addition of water to it was useful further as enzymatic hydrolysis is enhanced and the specific surface
area of biomass can be increased by using a relatively cheap IL [26].
Efforts have been made to reduce the crystallinity of sugarcane bagasse and wheat straw cellulosic
biomass by a combination of IL ([Bmim][OAc]) and ultrasound treatment at various frequencies [27].
The structure of the biomass was intact but the crystallinity reduced. The mechanical agitation
improved the accessibility of biomass to the enzymes through creation of fractures and cavities.
[AMIM] Acetate and [AMIM] Formate have shown to enhance enzymatic hydrolysis of biomass by
increased interactions of IL- hemicellulose [28].
ILs being designer solvents provide the facility of choosing its cation and anion which affects the
dissolution characteristics and interaction of the biomass with ILs. The effect of basicity of
Imidazolium IL was examined to study its effect on biomass pretreatment, but which lead to the
conclusion that along with basicity, the size of cation and anion of IL have a significant effect on
reducing crystallinity of biomass [29].
ISBN: 978-93-5351-069-5 722

Table 1: A list of all the Ionic Liquids used

[Emim][OAc]/ 1-ethyl-3-methylimidazolium
[Emim][Ac] Acetate
[Bmim][OAc] 1-butyl-3-methylimidazolium Acetate
[Bmim][MeSO4] 1-Butyl-3-methylimidazolium methyl sulfate
[BMIM][Cl]/ 1-butyl-3-methylimidazolium chloride
[C4mim][Cl]
[TEA][HSO4] triethylammonium hydrogen sulfate
[BHEM]- mesy 2-hydroxy-N-(2-hydroxyethyl)-Nmethylethanaminium
methanesulfonate
[C2mim][Cl] 1-ethyl-3-methylimidazolium chloride
HBIMHSO4 1-butylimidazolium hydrogen sulfate
[AMIM] Acetate 1-Allyl-3-methylimidazolium Acetate
[AMIM] Formate 1-Allyl-3-methylimidazolium Formate
CONCLUSION
This review leads to the understanding that biomass processing with ILs is a recent and important area
of research that has lead to a number of publications in the field. Pretreatment of biomass is an
important step to reduce the crystalline nature of biomass, remove lignin and access the cellulose to
produce fermentable sugars. Ionic Liquids being a unique and promising class of solvents can be
designed and manipulated by using it with co solvents to pretreat lignocellulosic biomass. The recent
trends in biomass processing involve testing various ILs for biomass pretreatment and focus on high
loading capacity of the process. Biocompatible ILs and low cost ILs further aid in improving the
efficiency of the process and process economics. The morphological changes and the biomass- IL
interactions have also been studied in depth to recognize factors responsible for high yields of
fermentable sugars and hence ethanol. Imidazolium based ILs with Acetate anions have proved their
potential for producing high sugar yields. Researchers are focusing on testing various other
Imidazolium based ILs and optimizing the pretreatment process parameters to increase the bioethanol
yield. The area of lignocellulosic biomass pretreatment with ILs has much scope for research and
improvements. This review briefly states the recent work and trends in the field such that it can be a
guide for directing the research.
AKNOWLEDGEMENTS
I am thankful to V.V.P Engineering College, Rajkot for supporting this work.
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[11] Singh A., Dubey A., Chandra Verma V., Lekhak B. and K. Verma A. (2018) Enhanced Saccharification in
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[12] J. V. Gschwend F., Malaret F., Shinde S., Brandt-Talbot A. and P. Hallett J. (2018) Rapid pretreatment of
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[13] L. Chambon C., Y. Mkhize T., Reddy P., Brandt‑Talbot A., Deenadayalu N., S. Fennell P. and P. Hallett J.
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Pentosan Analysis Present in Jute Biomass and Its Conversion into Sugar Monomers Using Acidic Ionic Liquid.
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M., Takahashi K. (2018) Pretreatment of bagasse with a minimum amount of cholinium ionic liquid for
subsequent saccharification at high loading and co-fermentation for ethanol production. Chemical Engineering
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[22] Mon Aunga E., Endoa T., Fujiia S., Kurodaa K., Ninomiyad K., Takahashi K. (2018) Efficient pretreatment
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[23] Takatsugo E., Shunsuke F., Ei Mon A., Kosuke K., Takayuki T., Kasuaki N., Kenji T. (2018) Cellulose
Structural Change in Various Biomaas Species Pretreated by Ionic Liquid at Different Biomass Loadings. Bio
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[24] Hiraga Y., Duereh A., L. Smith R. Jr. (2017) Aspects of solvent polarity and solvent properties
indeveloping efficient systems for processing biomass with ionic liquid mixtures and supercritical CO 2. J. of
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[25] Hua X., Chenga L., Gua Z., Hong Y., Lia Z., Li C. (2018) Effects of ionic liquid/water mixture
pretreatment on the composition, the structure and the enzymatic hydrolysis of corn stalk, Industrial Crops &
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[26] Semercia I., Guler F. (2018) Protic ionic liquids as effective agents for pretreatment of cotton stalks at high
biomass loading. Industrial Crops & Products, 125, pp. 588–595.
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liquid enhanced enzymatic and acid hydrolysis of biomass Cellulose. Ultrasonics Sonochemistry.
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[28] Moyer P., Dean Smith M., Abdoulmoumine N., C. Chmely S., C. Smith J., Petridis L., Labbé N. (2018)
Relationship between lignocellulosic biomass dissolution and physicochemical properties of ionic liquids
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Application for Biomass Dissolution. International Journal of Chemical Engineering, pp. 1-8.
725 ISBN: 978-93-5351-069-5

PCE095
DEVELOPMENT OF LOOPING SYSTEM FOR RECYCLING OF

URINAL WASTEWATER USING ELECTROLYTIC PROCESS
Anjali Manubhai Patel Mr. Nirjar Rajendra Bhatt Prof. Minarva Jignesh
Student, Director, Pandya
L.D. College of Engineering Reciclar Technologies Pvt. Ltd. Associate professor
patelanji28@gmail.com voravishani@gmail.com L.D. College of Engineering
minarva.pandya@ldce.ac.in
Abstract
India is facing its worst water shortage in history because of its global population along with lacking
in hygienic facilities that near about all of us might have experienced at the public toilets. Public
toilets are unhygienic and smelly, unergonomic, requires continuous water for flushing purpose and
maintenance, and they lead to the water and land pollution. This study mainly focused on developing
looping system for the treatment of urinal wastewater based on electrolytic process using Ti-RuO2 as
both anode and cathode. This resulted in direct oxidation by dehydrogenation and indirect oxidation
by hydroxyl radicals that will degrade NH3-N of urea present in urine and its reuse as the flushing
water again and again as a means to tackle sanitation and water shortage problems. Experiments
were conducted by varying space between electrodes, varying NaCl concentrations and current
density on urinal wastewater. Results showed that after 3 hrs treatment under appropriate conditions
such as current density of 20 mA/cm2, spacing between electrodes as 0.5 cm and NaCl concentration
of 300 mg/L, NH3-N removal rate was 94%. The treated water was harmless without any
objectionable odour and colour and the chlorine remained in the treated water acted as the
disinfectant automatically cleansing the entire urinal system. Thus, the treatment enables the reuse of
water for flushing purpose number of times along with its application in various fields such as bus
depots, railway stations, recreational areas, commercial buildings, schools, colleges, etc along with
making this system easy to use, cleanse and repair.
Keywords: Urine, DC panel, Electrolytic Process, Ti-RuO2 Electrodes
INTRODUCTION
Sanitation and health issues: Indian perspective
According to UNICEF, India having 14% of world’s population suffers by 50% of world’s total
diseases due to poor sanitation as large percentage of Indian population is poor and illiterate not
realizing the importance of sanitation. It has been estimated by UN that one in every ten deaths in
India is linked to poor sanitation & hygiene as diseases are spread rapidly due to poor conditions. In
public utilities such as in bus depots, railway stations, highway urinals, public places, tourist’s places,
schools, common toilets, hostels, commercial buildings, recreational areas etc., due to poor sanitation
and hygiene, people due to the risk of getting diseases do not use the toilets most of the time. Open
defecation has been a huge problem which has serious health implications due to no toilets and lack of
unsafe and uncomfortable toilets. Although effective policies such as Swachh Bharat mission have
been implemented to improve the sanitation and hygienic issues at the public toilets we are unable to
make our country open defecation free.
Linkage of fresh water and sustainable sanitation
India is facing its worst water shortage in history as it has 4% of global water and 16% of global
population [4]. Apart from the overpopulation of India the main reason behind poor sanitation is lack
ISBN: 978-93-5351-069-5 726

of fresh water availability for the flushing purpose at the public utilities. Under Swachh Bharat
Abhiyan government planned to spend 2 lakh crores over next five years to construct 12 crore toilets
in India to make our country open defecation free maintaining the sanitary conditions. But how will
the sanitary conditions will be maintained without the availability of water for flushing purpose.
Water shortage results in improper flushing of the toilet leading to bad odour and uncomfortable
environment in most of public utilities. This unhygienic environment creates discomfort to the users
along with diseases. Without water, sanitary conditions in common toilets are not maintained and
faecal bacteria can be transferred to the environment when they get into there catching germs from
strangers and hence many of the times people do not use the public toilets.
Technology for flush water management and its reuse
Standard toilets use 6 litres per flush, while older toilets can use as much as 13-25 litres per flush [13].
Human urine is comprised of approximately 96% water and 4% other constituents [3]. Urea is the
most abundant nitrogen carrier in human urine [7]. Depending on time of the day, climatic factors,
diet and physical activity other constituents in urine are uric acid, creatine, urea, hippuric acid,
glutamine, oxalic acids, urinary pigments contributing to organic compounds and sodium, potassium,
chlorides, sulphates, phosphates, ammonia, calcium, magnesium, etc contributing to the inorganic
compounds [10]. In the present study a looping system for recycling of urinal wastewater was
designed based on electrolytic process that will degrade the NH3-N of the urea present in urine and
hence render the treated water harmless, without any objectionable odour and colour.Ti-RuO2 will be
used as an anode and cathode and NaCl will be used as an electrolyte.RuO2 was used as an electrode-
coating material because of its relatively high oxidizability and long service life[5] and the present
study will focus analysing number of times the treated water be recycled and reused for the flushing
purpose thereby saving huge quantity of water and maintainting the santitation and hygiene and public
utilities.
OBJECTIVES
To recycle the urinal wastewater by electrolytic process
To reduce the amount of fresh water usage for flushing purpose.
To remove the main parameter ammonia which is responsible for objectionable colour and odour.
To maintain the sanitation and hygiene facilities at the public utilities.
Characterisation of urinal wastewater
To run the labscale plant
To optimize the Experimental Conditions
Analysis of the selected parameters
Conclusions
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LITERATURE REVIEW
Liang Li et al.2008 showed that oxidation of NH3-N: indirect oxidation by HOCl & direct oxidation
at electrode at anode. initial NH3-N: 32 mg/L, final NH3-N: 0.2 mg/L. Requirement for ammonia in
receiving bodies are met.
Wei-wu HU et al.2008 concluded that NH3-N degraded with a Ti/RuO2-Pt electrode, generating N2.
The removal of NH3-N increases with NaCl and current density. Indirect electrochemical oxidation
with a Ti/RuO2-Pt electrode used. Optimal conditions: current density: 20 mA/cm2, space size 1
cm,0.5 g/L of NaCl, time: 30 min, removal rate: COD 90%, NH3-N concentration 88.3%.
Mineo Ikematsu et al. 2007 reported the electrochemical treatment of human urine to enable its
storage without accompanying unpleasant odor and determined the electrochemical treatment of
human urine for its reuse as a flush water along with the activity of urease supressed by the
electrochemically produced chlorine.
Veronique Amstutz et al. 2012 proposed that in fresh urine, urea & ammonia can be oxidised on
IrO2 electrodes, but not in stored urine due to (CO32-). Conversion of active chlorine to chlorate due to
the high pH values in the carbonate buffer. Further research on ammonia removal for finding
electrodes that have higher OP for (CO32-) than for chloride and ammonia.
Zöllig, Hanspeter et al. 2017showed that BDD is more efficient for COD removal. TDIROF is suited
for ammonia removal .Serial reactor setup can achieve both COD and ammonia removal. Formation
of chlorination by-products The high specific energy demand results from low current efficiencies &
high cell voltages.
Sondos Dbira et al. 2014 reported that oxidation with (BDD) anodes eliminate organic content of
synthetic urine, nitrogen and chlorine. Complete depletion of COD and TOC.Chloramines was
obtained as intermediates. Efficient conditions: low current density, high temperature, formation of
hazardous by-products such as chlorates and perchlorates.
Hanspeter Zöllig et al.2015 showed that at 20 mA/cm2, chloride was constantly removed from urine.
Chloride oxidation was more efficient on BDD. COD low in the experiment with BDD (~400 mg
COD/L) whereas with TDIROF it was still high (~1200 mg COD/L). Chlorate was formed strongly
with both the anodes. Electrolysis units that produce OCBPs should be equipped with and off gas
treatment.
Agnieszka Kapałkaa, ∗ et al.2010 concluded that the electrochemical oxidation of ammonia on IrO2
electrodes. During ammonia oxidation, TDIROF is deactivated by adsorbed products of ammonia
oxidation. AIROF seems not to be blocked during ammonia oxidation indicating its fast regeneration
during the potential scan. To regenerate the TDIROF surface it is necessary to polarize the electrode
in the hydrogen evolution region. Oxidation of ammonia is strongly pH dependent.
M. Cataldo Hernández et al.2014 reported the Pt, the Ti–Ru oxide, and the antimony-doped tin
oxide led to a removal of 75%, 60% and 85% of urea, respectively. BDD anode was used, the urea
was completely mineralized. NaCl as electrolyte resulted to a direct electrooxidation on the active
surface of the electrodes. Indirect oxidation reactions in the presence of chloride ions effective in
decreasing the concentration of ammonium and nitrate.
Bizot and Sausse et al.1986 concluded that in 100 mol/m3 NaCl solutions, the products of urea (0.5
kg/m 3) electrooxidation at the RTTOE are N2 and CO2.At current densities on the order of 20 mA/cm
2
and above, urea is chlorinated to monochlorourea and then dichlorourea. pH>7.5.
NALYSIS PART
Urinal wastewater characterisation
ISBN: 978-93-5351-069-5 728

Table 1: Range of urinal wastewater based on laboratory studies

Parameter Range
pH 6.0 - 7.40
Conductivity (ms/cm) 1.9 - 3.5
DO (mg/L) 1.5 - 4.9
Ammoniacal nitrogen
9 – 32
(mg/L)
COD (mg/L) 340 – 811
BOD (mg/L) 54 – 380
Chloride (mg/L) 300 – 739
Labscale performance
Experimental setup
Experimental setup included the beaker with a volume of 2L and 4L containing urinal wastewater
equipped with the Ti-RuO2 electrodes both anode and cathode having the same effective area as
(10cm*12cm*0.2cm) connected to the external DC source with a current of (0-5) A and voltage of (0-
30) V. Magnetic stirrer was used for the turbulence and homogeneity of the solution. NaCl was used
an electrolyte in the concentration of 100mg/L, 200mg/L, 300mg/L, 400 mg/L. Current was adjusted
to 1A, 2A, 3A, 4A. Spacing between the electrode was kept 0.5 cm & 1cm. Samples were analysed at
1hr, 2hrs, 3hrs, 4hrs to check for the parameters to measure the removal efficiency.
Figure 1 Schematic diagram of electrolytic process
DC
+ +-
+ +
Anode + - Cathode
Electrolytic cell
Urinal wastewater
Magnetic Bar
Magnetic stirrer
Methodology
Urinal wastewater was collected from single subject on the day experiments were conducted and
dilution ratio was kept 1:10 in the beaker of capacity 2L and 4L. Ti-RuO2 was used as an electrode as
both anode and cathode of equal area. Electrode was selected because of its high oxidizability.
Electrode dipped in the urinal wastewater was connected to the external DC power source as a result
cathode becomes negatively charged and anode becomes positively charged which will cause the
migration of ions in the solution generating the electric current in the entire solution. NaCl was added
as an electrolyte for the reaction to take place rapidly. Room temperature and neutral pH was
maintained in the beaker to avoid the formation of the hazardous by-products.The direct oxidation at
the anode take place by stepwise dehydrogenation by the formation of potent oxidant HOCl and the
729 ISBN: 978-93-5351-069-5

stepwise dehydrogenation liberating nitrogen gas at the end of the process. The indirect oxidation also
took place as the slow process.
Reaction chemistry:
1) Dissociation of NaCl: NaCl → Na+ + Cl- …………………………………………………... (1)
2) At cathode: 2H2O → H2 + OH-……………………………………………………………(2)
3) At anode: 2Cl- → Cl2 + 2e-……………………………………………………………... (3)[8]
4) In solution:
Cl2 + H2O → HOCl + H+ + Cl-…………………………………………………………. (4)[8]
a) Indirect oxidation
HOCl+(2/3) NH3 → (1/3) N2+H2O+H++Cl-…………………………………………………. (5)[8]
HOCl+(2/3) NH4+ →(1/3) N2+H2O+(5/3) H+ +Cl-……………………………………………(6)[8]
b) Direct oxidation
HOCl + NH3 → NH2Cl + H2O……………………………………………………………….(7)[12]
NH2Cl + HOCl → NHCl2 + H2O…………………………………………………………….(8)[12]
NHCl2 + HOCl → NCl3+ H2O……………………………………………………………….(9)[12]
NCl3 → N2 + 3Cl2……………………………………………………………………………(10)
Figure 2. Lab scale plant of electrolytic process
The chlorine remained in the solution at the end of the process which acts as a disinfectant making the
system automatically clean. The plates were washed with the sulphuric acid or water at the end of one
set of the treatment.
Measurement methods
Ammoniacal nitrogen was measured by titrimetric method [IS:3025 (part 34)-1988], chlorine was
measure using iodometric method [IS:3025 (part 26)-1986], pH was measured using electrometric
method [IS:3025 (part 11)-1983], conductivity was measured by conductivity meter and temperature
was measured by thermometer.
FINDINGS
The losing rate of electrons for the chlorine ion and generation of chlorine in the solution increases
with increase in the current density. Initial chloride ion concentration also plays an important role in
the formation of the potent oxidant hypochlorous acid. pH in the neutral range resulted in the
formation of the nitrogen gas at the end of one cycle of treatment. Acidic pH resulted in the removal
of ammonium ion and ammonia in the solution remained inert whereas basic pH resulted in the
removal of ammonia whereas ammonium ion remain inert hence it is necessary to maintain pH at the
neutral condition. pH was found to increase with increase in active chlorine formation. The
temperature in the beaker was maintained at the room temperature as higher temperature leads to the
formation of chlorate and perchlorate and other hazardous by products and lower temperature leads to
the formation of nitrite or nitrate. The treatment time for the treatment of urinal wastewater was same
for both the monopolar and bipolar arrangement in the 2L and 4L solution showing the effectiveness
and advantage of the electrode used for this purpose. Increase in the NaCl concentration increases the
ISBN: 978-93-5351-069-5 730

removal efficiency. At the higher currents monochloramine formation takes place which also acts as a
disinfectant to make the treated water free from any bacteria.
Ammonia nitrogen removal with increase in the current and detention time
As shown in graph 1, the concentration of ammonia decreases with increase in the time and current.
Spacing between the electrode was kept 0.5cm and the amount of NaCl added as 300 mg/L. At 1hr,
2hrs, 3hrs and 4hrs the removal efficiency of the ammoniacal nitrogen was found to be 30%,50%,94%
and 95% respectively. The magnetic stirrer was maintained at 700-800 rpm to ensure the turbulence in
the beaker.
Table 2: Removal of Ammoniacal Nitrogen with time and Current

Inlet Outlet NH3-N
Current Time
Date NH3-N NH3-N Removal Efficiency
(A) (hrs)
(mg/L) (mg/L) (%)
14/8/2018 1 42.84 37.69 12
14/8/2018 2 42.84 36.41 15

1
14/8/2018 3 42.84 35.55 17
3/9/2018 4 29 19.72 32
3/9/2018 1 29 23.78 18
6/9/2018 2 38.8 26.6 30

2
7/9/2018 3 30.4 18.24 40
6/9/2018 4 38.8 19.4 50
11/9/2018 1 32.2 22.54 30
11/9/2018 2 32.2 16.1 50

3
11/9/2018 3 32.2 4.83 94
23/8/2018 4 30.8 3.69 95
23/8/2018 1 30.8 14.78 52
22/8/2018 2 46.2 19.40 58

4
22/8/2018 3 46.2 5.54 95
14/9/2018 4 40 3.2 97
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Graph 1 Ammoniacal nitrogen vs Time
NH3-N vs Time
(300 mg/L NaCl)
150
NH3-N Removal(%)
97
100 95 95
52 58
50 94 50
40 32
50 30 30
18 15 17
12
0
1 2 3 4
Time(hrs)
1A 2A 3A 4A
Active chlorine formation with increase in the current and detention time
The formation of chlorine plays an important role in the stepwise dehydrogenation and formation of
hypochlorous acid. with the NaCl of 300 mg/L and spacing between the electrode as 0.5 cm, the
chlorine formation reduces with increase in detention time. With increase in the current the chlorine
formation increases. At 3hrs the chlorine formation for 1A, 2A, 3A, 4A are 28 mg/L, 17mg/L,
8.96mg/L, 8 mg/L respectively.
Table 3: Results of Free chlorine generation with time and current
Current Time Outlet
Date
(A) (hrs) (mg/L)
14/8/2018 1 77
14/8/2018 2 47
1
14/8/2018 3 28
3/9/2018 4 17
3/9/2018 1 42
6/9/2018 2 28
2
7/9/2018 3 17
6/9/2018 4 15
11/9/2018 1 32
11/9/2018 2 28
3
11/9/2018 3 8.96
23/8/2018 4 7
23/8/2018 1 32
22/8/2018 2 27
4
22/8/2018 3 8
14/9/2018 4 8
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Graph 2 Free chlorine vs Time

Free Chlorine vs Time
(300 mg/L NaCl)
100 77
Free Chlorine (mg/L)
42 47
50 32
28 28
32 28 17 17
8.96 15
27
8 8
0 7
1 2 3 4
Time (hrs)
1A 2A 3A 4A
CONCLUSIONS
Recycling of urinal wastewater by the development of the system on the basis of electrolytic process
can be done efficiently. Ammonia which is responsible for the unpleasant odour and colour in the
urinal wastewater was removed by 94% by direct oxidation at the anode by stepwise dehydrogenation
due to formation of hypochlorous acid thereby breaking the bonds of complex compound urea present
in the urine to end product nitrogen gas leaving no solids at the end of the process. The optimum
conditions at which the effective removal efficiency was achieved are 0.5cm spacing between the
electrodes, 3A, 300 mg/L NaCl, 3hrs of detention time. Increase in the current density and NaCl
concentration resulted in faster ammonia removal rate. Nitrogen and hydrogen gas were liberated at
the end of electrolytic process. Conditions like neutral pH and room temperature resulted in the favour
of unhazardous end products and successful degradation of ammonia and urea at Ti-RuO2 electrode.
Treated water was transparent in colour. Free chlorine and monochloramine remained in the solution
acts as a disinfectant making system easy to clean and free from contamination thereby solving the
problem of water shortage and maintaining sanitation and hygienic conditions at the public utilities.
The present study has shown the applicability of the recycling system for the treatment of urinal
wastewater and reducing the quantity of the freshwater usage for flushing purpose.
REFERENCES
[1] Agnieszka Kapałkaa,∗, Stéphane Fierroa, Zacharias Frontistisb, Alexandros Katsaounis, Electrochemical
oxidation of ammonia (NH4+/NH3) on thermally and electrochemically prepared IrO2 electrodes
Electrochimica Acta 56 (2011) 1361–1365
[2] Bizot and Sausse, Electrooxidation of Urea at the Ruthenium
Titanium Oxide Electrode September 1986 Vol. 32, No. 11 AIChE Journal
[3] Considerations for reduced water consumption rates of urinal fixtures, Sloan valve,2015
[4] Composite water management index(CWMI),Niti Aayog,14 june 2018
[5] Farhad moradi,changiz dehghanian, addition of IRO2 to RuO2+TIO2 coated anodes in acid
media,progress in natural science Materials internaltionals,2014
[6] Hanspeter Zöllig, Annette Remmele, Cristina Fritzsche, Eberhard Morgenroth, and Kai Uder
Formation of Chlorination By-products and Their Emission Pathways in Chlorine Mediated
Electrooxidation of Urine on Active and Non-active Type Anodes, Environmental Science &
Technology
[7] Kangwoo cho, yan qu,Daejung kwon,Hao Zhang,Clement A. Cid,Asghar Aryanfar, and Michael
r.Hoffmann, Electrochemically generated reactive chlorine species products and reaction
pathways,Environmental science and Technology 2014,48(4),2377-2384.
[8] Liang Li, Yan Liu, Ammonia removal in electro-chemical oxidation: Mechanism and pseudo-kinetics,
Journal of Hazardous Materials 161 (2009) 1010–1016.
[9] M. Cataldo Hernández a, N. Russo a, M. Panizza b, P. Spinelli a, D. Fino, Electrochemical oxidation of
urea in aqueous solutions using a boron-doped thin-film diamond electrode Diamond & Related
Materials 44 (2014) 10-116.
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[10] Mineo Ikematsu ⁎, Kazuhiro Kaneda, Masahiro Iseki, Masashi Yasuda, Electrochemical treatment of
human urine for its storage and reuse as flush water, Science of the Total Environment 382 (2007) 159–
164
[11] Sondos Dbira & Nasr Bensalah & Ahmed Bedoui & Pablo Cañizares & Manuel A. Rodrigo Treatment
of synthetic urine by electrochemical oxidation using conductive-diamond anodes Environ Sci Pollut
Res DOI 10.1007/s11356-014-3831-6
[12] Ve´ronique Amstutz , Alexandros Katsaounis ,Agnieszka Kapalka , Christos Comninellis ,Kai M.
Udert, Effects of carbonate on the electrolytic removal of ammonia and urea from urine with
thermally prepared IrO2 electrodes, J Appl Electrochem (2012) 42:787–795
[13] Water sensed labelled Toilets,2013
ISBN: 978-93-5351-069-5 734

PCE080
RAINFALL TREND ANALYSIS USING NON-PARAMETRIC TEST: A
CASE STUDY OF JAFFNA DISTRICT, SRI LANKA.
RASENTHIRAM MOHAMMED SUHAIL DARSHAN J MEHTA

ATHAVAN UG STUDENT ASSISTANT PROFESSOR
UG STUDENT GUJARAT DGGEC,
GUJARAT TECHNOLOGICAL SURAT
TECHNOLOGICAL UNIVERSITY darshanmehta2490@gmail.
UNIVERSITY muhammadhsuhail16369@ com
rathavan1995@gmail.com gmail.com
Abstract
Rainfall is a vital climatic factor which can affect the development and progress of a nation. Analysis
of rainfall trend plays a major role in studying the impacts of water resources and agriculture
activities. Variations in rainfall and other forms of precipitation are most unavoidable factors which
determine the overall impact of all seasons. The current study is centered to analyze the trends in the
annual and seasonal (Pre-monsoon, Monsoon, Post-monsoon) total rainfall at Jaffna district, North
of Sri Lanka by using the available 44 years (1972-2015) monthly rainfall data of rain-gauge station
at Tirunelveli. The trend analysis was carried out by using Mann-Kendall test and Sen’s slope
estimator. The study area is characterized by average rainfall which receives an annual average
rainfall of 1298 ± 683 mm but the long-term trends in the analysis of the annual rainfall indicates an
increasing of the trend (+2.058 mm per year) and annual rainy days which also had insignificantly
decreased (-23.625 days per year). The graphical representation of the trend in annual and seasonal
rainfall series expressed by Mann-Kendall Zc value seasonally, Monsoon (0.017), Post-monsoon
(0.196) and Annual (0.055) are showing positive trend and Pre-monsoon (-0.135) depicting negative
trend. Sen’s Slope estimator also reflects the increase during the Monsoon (0.504), Post-monsoon
(1.649), Annual (2.058) and decreasing in Pre-monsoon (-1.967) magnitude of slope in
correspondence with the MK test values. Annual and seasonal analysis resembles both positive and
negative trend in the area although not significant (P>0.05).
Key words: Jaffna district, Mann-Kendall test, Sen’s slope estimator, Rainfall trend.
INTRODUCTION
Water is one of the most important substance in the universe, which greatly known to be the essence
of all life. Water exists in three states of matter such as gas, solid and liquid. The identical
characteristics of water makes it very special in the universe and its life sustaining chemical properties
have nurtured life on earth for centuries of years. Researches have portraited that global warming is
occurring at a rate of 0.74 ± 0.18oC in between the period of 1906-2005 (IPCC, 2007). According to
the IPCC reports there will be an imbalance in rainfall trend due to the climate change. These studies
show that by the middle of the 21st century, there will be a decrease in runoff and available fresh water
up to 10-30% (IPCC, 2007). Exploration of different time series data are indicating that rainfall trend
is either falling or rising.
OBJECTIVES
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The main purpose of this study is to simulate rainfall trend of Jaffna district under varying climate
conditions by using Mann-Kendall test and Sen’s slope estimator.
STUDY AREA AND DATA COLLECTION
Sri Lanka is a tropical island located in the Indian Ocean in between Arabian Sea and the Bay of
Bengal (7.87310N, 80.7780E) with the current population of 20 million. Every year around 1,861 mm
of rainfall, equivalent to 120 BCM (National Statistical Department, Colombo, Sri Lanka, 2012) is
received per year in Sri Lanka. About two thirds of this precipitation reverts to the hydrological cycle
or into the sea. Of the remaining 35%, two thirds flow into waterbodies, and is not therefore fit for
usage of human beings. A total of some 15 BCM (National Statistical Department, Colombo, Sri
Lanka, 2012) of water is therefore available for drinking, crop irrigation and industrial use. However,
there are significant differences in the distribution of usable water in specific regions.
The Jaffna Peninsula lies in the northern-most part of Sri Lanka. The Peninsula is narrow and
elongated and it is uniformly low with a maximum elevation of about 10 m, has an area of 1036 km2
which includes of 104km2 of water bodies and a coastline of 160km, and an annual mean rainfall of
1298±638 mm and a population of about 583,378 people. (National Statistical Department, Colombo,
Sri Lanka, 2012) Though the climate in Sri Lanka is dominated by two monsoons, Jaffna receives
75% of its rainfall between September and December of North-East monsoon each year while most of
the rainfall is in November and entire district is fully depend on that rainfall. The estimated annual
evaporation for the Peninsula is 1706 mm and it compares well with observations made at Tirunelveli
Farm pan evaporation rate is 1676mm. In Jaffna Peninsula current demand for drinking water is
31400 m3/ day and the drinking demand in year 2028 will be 88,500 m3/day because of resettlement
after civil war, increase in the industrial development and infrastructure had caused water demands.
The shortage is 57100 m3/day equivalent to 20.8 MCM per year (National Statistical Department,
Colombo, Sri Lanka, 2012).
Figure 1 Map of Jaffna district.
Source: www.jaffna.dist.gov.lk
Methodology
Tirunelveli station was selected for rainfall trend analysis at Jaffna, Sri Lanka. Historical monthly and
annual rainfall data were used of 44 years (1972-2015). Annual data along with seasonal trends were
collected and assessed by using mean, standard deviation (SD) and Coefficient of Variation (CV). The
following months intervals were considered for the classification of the seasons are shown in Table 1
Table 1: Seasonal classification.

Sr. no Seasons Month interval
1 Pre-monsoon May-September
2 Monsoon October-January
3 Post-monsoon February-April
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Non-parametric methods are used to precisely estimate an unknown distribution (non-parametric

density estimation or regression or testing) precisely where the number of samples are asymptotically
infinite and the parameters are at the very least high dimensional.
Trend Analysis
In this exploration, trend analysis is carried out by using Mann (1945) for non-parametric test to
detect the trend and for testing of non-linear trend the statistic distribution of Kendall (1975) is used.
The combined method is known as Non-parametric Mann-Kendall (MK) test. Estimation of Sen’s
slope is carried out by Sen (1968) method.
Mann-Kendall Test
The Mann-Kendall test is a non-parametric test to detect trends in time series. This test compares the
relative magnitude of data rather than data values themselves (Gillbert,1987). The advantage of this
analysis confirms that any specific distribution from the data collected are not required. The Mann-
Kendall statistics (S) is taken as zero at initial stage, and if value of a data in consecutive time periods
is more than a value of a data in previous period of time, 1 will be added to value of S, and vice-versa.
The final value of S is given by the net results of all increasing and decreasing values. The given
Mann-Kendall statistic (S) is,
S=
The time series observations Xi and Xj are in chronological order, the utilization of trend test is done
to a series of time, Xi which is given from whole numbers i=1 to n-1 and Xj which is given from
whole numbers j=i+1 to n. The rest of the data points Xj are compared by each data point of Xi, where
Xi is a reference point. n is the length of time series.
Sign (Xj-Xi) =
A positive value of S indicates a rising trend, and a negative value indicates a falling trend. The
variance statics is calculated as
Var(S) =
Where n, m, t is the number of data points, number of time value and number of ties respectively.
The test statistic Zc is calculated as
Zc =
The upward and Downward trend is predicted by positive and negative value of Zc. For testing either
an upward or downward monotone trend (Two tailed test) a significance level α is also utilized. If Zc
appear greater than Z∞/2 where α depict the significance level, then the trend is considered as
significant (Patle et al.,2015)
Sen’s Slope Estimator
Sen (1968) slope estimator is found to be a powerful tool to develop the linear relationships. The
Sen’s slope is estimated as the median of all pair-wise slopes between each pair of points in the data
sets (Thiel,1950; Sen,1968; Helsel and Hirsch,2002). The magnitude of slope (sen,1968) is calculated
using
Qi=
Where Xj and Xk are the data values at time j and k (j>K) respectively.
Positive value of Qi shows as rising trend and a negative value of Qi shows falling trend in the time
series data.
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LITERATURE REVIEW
Journals of Impact of climate change in Jaffna peninsula and Possible adaption measures by Professor
C. Shanthi De Silva and Climate Change & Sri Lanka by Ajith Silva (Director, Ministry of
Environment and Natural Resources Sri Lanka) had been referred to identify the variation in the
trends of rainfall in Jaffna peninsula. According to the results of Professor C. Shanthi De Silva the
monthly rainfall pattern of the past 30 years base line and recent past decade has fair match with the
monthly rainfall predicted for 2050 by HadCM3 except few discrepancies in April, November and
December months due to climate change impacts. Accordingly, the North East monsoon which brings
rains has decreased by 5 % during the recent past decade and the HadCM3 predicts about 23%
decrease towards 2050.
RESULT AND RESULT ANALYSIS
The rainfall data from 1972-2015 of Tirunelveli rainfall station is used for the results of the trend
analysis using Mann-Kendall and Sen’s slope estimator had excellent quality datasets with precise and
adequate record length.
Statistical Analysis of Rainfall
The statistical analysis of rainfall data is presented in Table 2. Evidence from the table shows that
monsoon season receives maximum (1754.300 mm) rainfall and Post-monsoon season receives
minimum (4.700 mm) rainfall. While the mean rainfall varies from 130.782 mm (post-monsoon
season) to 952.159 mm (monsoon season) and mean of the annual rainfall is 1298.057 mm. The
Annual rainfall varies from 597.000 mm to 1964.500 mm in the years of 1997 and 2001 respectively.
The Coefficient of Variance (CV) of the seasonal rainfall varies from 30.94% (monsoon season) to
91.774% (post-monsoon) and the coefficient of variance of the annual rainfall is 26.909%.
Table 2: Annual and seasonal wise statistical property.

Season Observations Variance Minimum Maximum Mean Standard Coefficient
deviation of variation
Pre- 44 9773.333 14.500 564.600 215.116 118.179 54.937

monsoon
Monsoon 44 0.000 482.800 1754.300 952.159 294.604 30.940
Post- 44 9774.333 4.700 607.800 130.782 120.025 91.774

monsoon
Annual 44 0.000 597.000 1964.500 1298.057 349.302 26.909
Annual Trends
Annual trends of rainfall and their magnitude (in mm per year) obtained by the Mann-Kendall trend
test and Sen’s slope estimator are given in Table 3.
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Table 3: MK and Sen’s slop test results for Annual rainfall.

Kendall’s Tau (Zc) 0.055
S-Statistic 52.000
Var(S) 0.000
p-value (Two tailed) 0.608
Sen’s slope 2.058
In the non-parametric Mann-Kendall test, trend of rainfall for 44 years for the Annual season from
January to December had been calculated from each month all together. With a Sen’s slope value
2.058 and Mann-Kendall statistics (Zc) = 0.055 this value shows that there is insignificant increase in
trend condition.
Graph 1: Annual rainfall trend.
Source: XLSTAT MK test results.
The average rainfall is least for the month of June (18.5 mm) and maximum at the month of
November (394.891 mm) for past 44 years in Graph 1.
Seasonal Trend
The seasonal wise classification for the month intervals is given in Table 1.
Pre-Monsoon
According to the procedure the results of Pre-monsoon seasonal trend analysis are obtained as
follows,
Table 4: MK and Sen’s slop test results for Pre-monsoon rainfall.
Kendall’s Tau (Zc) -0.135
S-Statistics -128.000
Var(S) 9773.333
p-value (two tailed) 0.199
Sen’s slop -1.967
It is showing a Sen’s slope value -1.967 and Mann-Kendall statistics (Zc) = -0.135 this negative trend
representing almost insignificant falling trend condition.
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Graph 2: Pre-monsoon rainfall trend.
The average rainfall is least for the month of June (18.5 mm) and maximum at the month of
September (74.153 mm) for all these 44 years of Pre-monsoon period as shown in Graph 2.
Monsoon
Monsoon seasonal trends of rainfall and their magnitude (in mm per year) obtained by the Mann-
Kendall test and Sen’s slope estimator are given in Table 5.
Table 5: MK and Sen’s slop test results for Monsoon rainfall.

S-Statistics 16.000
Var(S) 0.000
p-value (two-tailed) 0.880
Sen’s slope 0.504
It is showing a Sen’s slope value 0.504 and Mann-Kendall statistics (Zc) = 0.017 this positive trend
representing almost insignificant rising trend condition.
Graph 3: Monsoon rainfall trend.
The average rainfall is least for the month of January (61.339 mm) and maximum at the month of
November (394.891 mm) for all these 44 years of Monsoon period as shown in Graph 3.
ISBN: 978-93-5351-069-5 740

Post-monsoon
According to the procedure the results of Post-monsoon seasonal trend analysis obtained are shown in
the Table 6.
It shows a Sen’s slope value 1.649 and Mann-Kendall statistics (Zc) = 0.196 this positive trend
representing almost insignificant rising trend condition.
Table 6: MK and Sen’s slop test results for Post-monsoon rainfall.

S-Statistics 185.000
Var(S) 9774.333
p-value (two-tailed) 0.063
Sen’s slope 1.649
The average rainfall is least for the month of February (36.439 mm) and maximum at the month of
April (56.495 mm) for all these 44 years of Post-monsoon period as shown in Graph 4.
Graph 4: Post-monsoon rainfall trend.
FINDINGS
Results of the annual trend detection tests for annual and seasonal rainfall in Tirunelveli station is
given in Table 7.
Table 7: Statistical trend of rainfall.

Periods MK test Sen’s slope test Nature of trend
Zc p-value β (mm per year)
Pre-monsoon -0.135 0.199 -1.967 Insignificant Falling
Monsoon 0.017 0.880 0.504 Insignificant Rising
Post-monsoon 0.196 0.063 1.649 Insignificant Rising
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Annual 0.055 0.608 2.058 Insignificant Rising

*Critical value of test statistic at 5% significance level.
If p > 0.05 insignificant, else significant.
CONCLUSIONS
In the Past 44 years (1972-2015) rainfall behavior showed the variations of the seasonal and annual
rainfall at Tirunelveli station of Jaffna District on the basis of Mann-Kendall and Sen’s slope
estimator. The following conclusions were derived from the study:
1. The study area is optimized by average rainfall which receives an annual average rainfall of 1298 ±
683 mm but the analysis of long-term trends in the annual rainfall indicates an increasing of the
trend (+2.058 mm per year) and annual rainy days which also had insignificantly decreased (-
23.625 days per year).
2. The graphical representation of the trend in annual and seasonal rainfall series expressed by
Mann-Kendall Zc value seasonally, Monsoon (0.017), Post-monsoon (0.196) and Annual (0.055)
are showing positive trend and Pre-monsoon (-0.135) depicting negative trend.
3. Sen’s Slope estimator also reflects the increase during the Monsoon (0.504), Post-monsoon
(1.649), Annual (2.058) and decreasing in Pre-monsoon (-1.967) magnitude of slope in
correspondence with the MK test values.
4. Annual and seasonal analysis resembles both positive and negative trend in the area although not
significant (P>0.05).
REFERENCE
A. Mondal, S. Kundu, A. Mukhopadhyay, "Rainfall trend analysis by Mann-Kendall test: A case study of north-
eastern part of Cuttack district Orissa", International Journal of Geology Earth and Environmental Sciences, vol.
2, no. 1, pp. 70-78, 2012.
Dore, M. H. I., 2005, “Climate change and changes in global precipitation patterns, what do we know”,
Environment Int., 31, 1167-1181.
G. T. Patle, D. K. Singh, A. Sarangi, A. Rai, M. Khanna, R.N. Sahoo, "Temporal variability of climatic
parameters and potential evapotranspiration", Indian Journal of Agricultural Sciences, vol. 83, no. 5, pp. 518-24,
2013.
Gilbert, R. O., 1987, “Statistical methods for environmental pollution monitoring”, Van No strand Rienhold
Company, Inc., New York.
Helsel, D. R. and Hirsch, R. M., 2002, “Statistical methods in water resources”, U. S. Geological survey
technique of water resources investigations, book 4, chapter A3, p524.
IPCC (2007), Intergovernmental Panel on Climate Change, “summary for policy makers”, in climate change
2007: the physical science basis (ed.by S. Solomon, D. Qin, M. Manning, Z. Chen), Cambridge university press,
UK.
Jayawardene, H.K.W.I., Sonnadara, D.U.J. and Jayewardene, D.R. 2005. Trends of Rainfall in Sri Lanka over
the Last Century. Sri Lankan Journal of Physics 6: 7-17.
K. H. Hamed, A. R. Rao, "A modified Mann-Kendall trend test for auto correlated data", Journal of Hydrology,
no. 204, pp. 182-196, 1998.
Kendall (1975), “Rank correlation methods”, 4 th edition, Charles Griffin, London.
Mann (1945), Non-parametric tests against trend. Econometrica 13, 245-259.
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National Statistical Department, Colombo, Sri Lanka, 2012.
Sen (1968), “Estimates of the regression coefficient based on Kendall’s”, J.Am.Assoc.,63,1379-1389.
743 ISBN: 978-93-5351-069-5

PCE103
PERFORMANCE EVALUATION OF SUBMERGED MEMBRANE

BIOREACTOR USING PHYSICAL RECIPROCATION FOR FOULING
PREVENTION
Rashmikumari Vinod Singh Mr. Nirjar Rajendra Bhatt Prof. Minarva Jignesh Pandya
P.G.Student, Director, Associate Professor,
L. D. College of Engineering Reciclar Technologies Pvt. Ltd. L. D. College of Engineering
singhrashmi231@gmail.com voravishani@gmail.com minarva.pandya@ldce.ac.in
Abstract
Membrane bioreactor (MBR) technology is a combination of biological wastewater treatment and
membrane filtration, which is widely used in industrial and municipal wastewater treatment and its
reuse. The applicability of MBR is increasing recently due to many advantages like smaller footprint,
high quality treated effluent and less sludge production. However, the major drawback of MBR is
membrane fouling on the membrane surface and within the pores due to concentration polarization,
colloids adsorption, cake build-up, and bio fouling. The membrane fouling reduces long term flux
stability and affect MBR performance, and necessitates membrane cleaning and replacement which
increases operation and maintenance cost of MBR. The various methods for fouling prevention are
flux reduction, providing mechanical turbulence to limit the thickness of the fouling layer, intermittent
physical and chemical cleaning. The mechanical turbulence is provided to membrane for fouling
prevention by vibration, rotation and oscillation of membrane module. In the present study, a pilot
plant MBR with polyvinylidene fluoride (PVDF) hollow fibre membrane using physical reciprocation
for membrane module is investigated for fouling prevention. The reciprocation membrane bioreactor
(rMBR) creates the inertia forces on membrane module which loosen the membrane fibres preventing
sludge clogging inside the fibre bundle and shook foulants from the membrane surface. Experiments
conducted at varying reciprocation, MLSS and flux of membrane modules while transmembrane
pressure (TMP) was measured to evaluate rMBR performance for fouling prevention. The effective
decrease in TMP rise was up to 50 mm of Hg at 25 rpm when only reciprocation was provided to
membrane module. The results showed that reciprocation membrane bioreactor (rMBR) at 32 cm
amplitude and 25 rpm reciprocation enhance mechanical turbulence at the membrane surface
provides high quality treated effluent and found to be effective in fouling prevention.
Keywords: Membrane bioreactor, membrane fouling, rMBR, mechanical turbulence,reciprocation.
INTRODUCTION
Membrane bioreactor (MBR) is an efficient and advanced technology widely used for the municipal
and industrial wastewater treatment and its reuse. Membrane bioreactor is the combination of
biological wastewater treatment, usually activated sludge with solid-liquid separation by membrane
filtration using micro or ultrafiltration technology. The membrane bioreactor technology has several
advantages over conventional biological wastewater treatment which includes small reactor volume
ISBN: 978-93-5351-069-5 744

and footprint requirement, high quality treated effluent, good disinfection capability, less sludge
production, high volumetric loading, longer sludge retention time (SRT) (5-20 days), shorter
hydraulic retention time (HRT) (4-6 hours) and high MLSS loading (15000-25000 mg/L). However,
the major drawback of membrane bioreactor which constraints its wide range applicability despite all
the advantages is membrane fouling. The membrane fouling is the deposition of dissolved or
suspended substances at its pore opening, within the pores and external surfaces of membrane which
results in the loss or reduction of performance of membranes. The major characteristics causing the
membrane fouling in MBR are: (1) membrane characteristics (material, configuration, pore size,
hydrophobicity, roughness, porosity); (2) fluid characteristics (feed composition, floc properties and
biomass activity) and (3) operational conditions (flux, HRT/SRT, aeration, TMP, F/M ratio). The
membrane fouling can be physical or biological caused by the deposition of bio-solids, colloidal
particles, concentration polarization, scalants or macromolecular species on the membrane surface.
The membrane fouling leads to decline in flux and permeability which increases the need and
frequency of membrane cleaning and replacement of membranes which ultimately increases
operational and maintenance cost of MBR. In the present study, a pilot plant of MBR with PVDF
hollow fibre membrane using physical reciprocation for membrane module is investigated for fouling
prevention. The reciprocation membrane bioreactor (rMBR) module creates the inertia forces
toreciprocate the membrane module back and forth. The rMBR increases shear enhancement at the
liquid-membrane interfacewhich shook foulants from the membrane surface and loosen the membrane
fibres preventing sludge clogging inside the fibre bundle. The reciprocation membrane bioreactor
(rMBR) with physical reciprocation enhance mechanical turbulence at the membrane surface provides
high quality treated effluent and found to be effective in fouling prevention.
OBJECTIVES
The objectives of this research paper are:

 To evaluate the performance of rMBR in fouling prevention.
 To evaluate the efficiency of rMBR by measuring TMP reduction.
 To operate the rMBR at varying MLSS, flux and rpm for obtaining optimum amplitude and
rpm.
Installation of pilot scale rMBR plant
Varying the MLSS, flux and rpm
Analysis of the Transmembrane Pressure (TMP)
Conclusions
LITERATURE REVIEW
The literature review is based on the various mechanical shearing techniques for shear enhancement at
the liquid-membrane interface for fouling prevention. The reciprocation membrane bioreactor (rMBR)
can prevent fouling with 0.48 Hz or larger frequency with 38 mm amplitude and 44 mm or larger
amplitude with 0.43 Hz frequency and minimize TMP increase (J.Ho et al. 2014). The rMBR resulted
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in enhanced nutrient removal with reduction in total nitrogen (TN) and total phosphorous (TP) to
95.2±2.2 % and 87.2±15.9% respectively (J.Ho. et al. 2015). Shaleena Smith et al. (2015) reported
that rMBR has 75% less energy consumption compared to coarse air scouring MBR and could
overcome the hydrodynamic limitation of conventional MBR with air scouring. S.C. Low et al. (2005)
investigated three different mechanical motions i.e., cross oscillation, lengthwise oscillation and the
vibrating shear enhanced process (VSEP) and kept the stabilized flux upto 70% of the clean
membrane. In the pendulum type oscillation(PTO) submerged membrane bioreactor, the membrane
permeability is 11 times higher than conventional MBR with clear advantages in terms of improved
oil degradation and fouling reduction in membrane due to increases turbulence at the liquid-
membrane interface ( L.Qin et al. 2015). Ali Altaee et al. (2010) studied the application of vibratory
system in submerged hollow membrane microfiltration process to improve the critical flux at high
vibrating speed. A. Kola et al. (2012) studied transverse vibration by imposing linearly transverse
vibratory motion to membrane and oscillating liquid with a stationary membrane module and found
effective in membrane fouling reduction by controlling formation of cake and concentration
polarization on the membrane surface. T. Li et al. (2013) showed the reduction in membrane fouling
by mechanical vibration of vertical hollow fibres using feed solution of inorganic bentonite particles.
The improvement in critical flux and fouling control in membranes by novel magnetically induced
membrane vibration (MMV) over conventional membrane bioreactors (Bilad et al. 2012). The
transverse and longitudinal vibrations of submerged hollow fibre membranes were compared and the
former found more effective than later in fouling reduction even at low frequency of 1 Hz (T. Li. Et
al. 2014). G. Wu. et al. (2008) studied rotatable, rounded, flat-sheet membrane module submerged in
rotating membrane bioreactor and fixed on the axes moved by an electromotor for the treatment of
synthetic sewage. The reduction in fouling of membrane module was observed with increasing
rotation speed.
ANALYSIS PART
Pilot Scale Reciprocation Membrane Bioreactor (rMBR)
The pilot scale rMBR consists of submerged hollow fibre PVDF membrane that uses membrane
physical reciprocation for fouling prevention. The rMBR utilizes physical reciprocation for membrane
scouring instead of air scouring by aeration provided in conventional MBR. The submerged
membrane module is supported by reciprocating frame and the frame is attached to the shaft
connected to a rotor. The rotor attached to shaft converts rotational motion into reciprocation motion.
Materials
The volume of rMBR was 2000 L with the reactor size of 1m*1m*1.8m. The pore size of PVDF
hollow fibre membrane was 0.1 µm and the number of module used was four with effective total
surface area of 40 m2. The feed pump, permeate pump and backwash pump each of capacity 1 HP was
installed to introduce the feed solution, draw the clean waterand backwash the clean water into the
membrane module for cleaning respectively. The blower of 1 HP capacity was provided for mixing
the feed solution. The rotor has diameter of 16 cm and the length of shaft was 32 cm. The frequency
of the reciprocation unit was adjusted using variable frequency drive.
Methodology
The pilot scale rMBR was filled with synthetic water after the leakage and equipment test. The
synthetic wastewater was prepared using kaolin clay and tap water. The flux was maintained at 12, 15
and 20 LMH. The MLSS was maintained from 5000-8000 mg/L. The pilot scale rMBR plant was
operated with 7 minute filtration followed by 30 s idling, 60 s back-flushingand 30 s idling again
before starting filtration. The reciprocation unit was maintained at 10,15,20 and 25rpm. The amplitude
ISBN: 978-93-5351-069-5 746

of the reciprocation unit was 32 cm. The pilot scale rMBR was operated at varying flux, MLSS and
the rpm and studied their effect on TMP which shows membrane fouling.
Analytical measurement
The flux was measured using flow-meter. The TMP which is indicator of membrane fouling was
measured using online TMP meter attached to the pilot scale rMBR plant. The MLSS was measured
using APHA methods.
Figure 2. Pilot Scale rMBR Plant
FINDINGS
The effect on TMP at varying rpm and flux at 5000 mg/L MLSS
The synthetic wastewater was prepared using 30 kg kaolin clay in 2000 L for maintaining 5000 mg/L
MLSS in the bioreactor tank. The reciprocation unit at 10, 15, 20 and 25 rpm was operated for four
hours each at 12, 15 and 20 LMH. The pilot scale rMBR plant was operated in two pattern: 1) Only
reciprocation and 2) Reciprocation with blowers provided for aeration. In both the pattern, the blower
was provided for mixing of synthetic wastewater in the bioreactor. In the graph 1, 2 and 3, the
comparison was made between two patterns at different flux at 5000 mg/L based on the TMP
measured.
747 ISBN: 978-93-5351-069-5

Graph 1:TMP (mm of Hg) vs.RPM at 12 LMH Flux
FLUX=12 LMH
600
500
TMP (mm of Hg)
400
300
200
100
0
10 15 20 25
RPM
Reciprocation Reciprocation with aeration
Graph 2: TMP (mm of Hg) vs.RPM at 15 LMH Flux
FLUX=15 LMH
700
600
500
TMP (mm of Hg)
400
300
200
100
0
10 15 20 25
RPM
ISBN: 978-93-5351-069-5 748

FLUX=20 LMH
700
600
500
TMP (mm of Hg)
400
300
200
100
0
10 15 20 25
RPM
The effect on TMP at varying rpm and flux at 8000 mg/L MLSS
The synthetic wastewater was prepared adding additional 20 kg in the reactor of 2000 L for
maintaining 8000 mg/L MLSS in the bioreactor tank. The reciprocation unit at 10, 15, 20 and 25 rpm
was operated again for four hours each at 12, 15 and 20 LMH. The pilot scale rMBR plant was
operated in two pattern as mentioned above with the blower was provided for mixing of synthetic
wastewater in the bioreactor in both the patterns. In the graph 4, 5 and 6, the comparison was made
between two patterns at different flux at 8000 mg/L based on the TMP measured.
FLUX=12 LMH
700
TMP (mm of Hg)
600
500
400
300
200
100
0
10 15 20 25
RPM
749 ISBN: 978-93-5351-069-5

FLUX=15 LMH
700
600
TMP (mm of Hg)
500
400
300
200
100
0
10 15 20 25
RPM
FLUX=20 LMH
800
700
TMP (mm of Hg)
600
500
400
300
200
100
0
10 15 20 25
RPM
CONCLUSION
The reciprocation membrane bioreactor (rMBR) was operated efficiently at varying flux, MLSS and
rpm. The comparison was made by operating the pilot scale rMBR plant with only reciprocation and
reciprocation with aeration. The increase in TMP was measured which indicate fouling in the
membranes. The results showed that TMP increase was less for plant operated at reciprocation only
when compared to reciprocation with aeration. It also shows that with the increase in flux and MLSS,
the TMP also increases but less when operated at only reciprocation condition. The pilot scale rMBR
operated at 10, 15, 20 and 25 rpm. However, with the increase in rpm, there is decrease in TMP,
which showed that the optimum reciprocation was 25 rpmand amplitude was 32 cm for effective
decrease in TMP. The effective decrease in TMP rise was upto 50 mm of Hg at 25 rpm when only
reciprocation was provided to membrane module. Thus, the present research showed that
reciprocation membrane bioreactor (rMBR) at 32 cm amplitude and 25 rpm reciprocation enhance
mechanical turbulence at the membrane surface and found effective in fouling prevention.
ISBN: 978-93-5351-069-5 750

REFERENCES
[1] Ali Altaee, A. E. Al-Rawajfeh,and Y. J. Baek, (2010) “Application of Vibratory System to Improve the
Critical Flux in Submerged Hollow Fibre MF Process”, Separation Science and Technology, 45, 28-
34
[2] Anusha Kola, Yun Ye, Amy Ho, Pierre Le-Clech, Vicki Chen, (2012) “Application of low frequency
transverse vibration on fouling limitation in submerged hollow fibre membranes”, Journal of
Membrane Science, 409 –410 , 54 –65
[3] Armando, A.D.; Culkin, B.; Purchas, D.B. (1992) “New separation system extends the use of
membranes. In: Proceeding of the Eurmembrane”; Lavoisier: Paris, Vol. 6, 459–462.
[4] Beier, S. P.; Guerra, M; A.; Jonsson, G., (2006) “Dynamic Microfiltrattion with a Vibrating Hollow
Fiber Membrane Module: Filtration of Yeast Suspensions”, Journal of Membrane Science,281, 281-
287
[5] Cerqueira, A. C., Lopes, T., Santiago, V.(2013) , Vallero, M., Trovati, J., Arntsen, B. & Syed, W.,
“Design and performance of the first full scale membrane bioreactor plant treating oil refinery
effluent in Brazil”. Proceedings of the 86th Annual Water Environment Federation Technical
Exhibition and Conference, Chicago, Illinois, Water Environment Federation: Alexandria, Virginia,
5–9 October (2013).
[6] Genkin, G; Waite, T.D; Fane, A.G.; Chang S., (2006) “The Effect of Vibration and Coagulant Addition
on the Filtration Performance of Submerged Hollow Fibre Membranes”, Journal of Membrane Science,
281, 726-734
[7] Giuseppe Guglielmi, Devendra Prakash Saroj, Daniele Chiarani, Gianni Andreottola, (2007)
“Subcritical fouling in membrane bioreactor wastewater treatment: Experimental investigation and
mathematical modelling”, Water Research 41, 3903-3914
[8] Guiping Wu, Longzhe Cui, Youyi Xu, (2008) “A novel submerged rotating membrane bioreactor and
reversible membrane fouling control”, Desalination 228255-262
[9] J. Ho, S. Smith and H. K. Roh, (2014) “Alternative energy efficient membrane bioreactor using
reciprocating submerged membrane”, Water Science and Technology, 70(12), 1998-2003
[10] Jaeho Ho , Shaleena Smith, Jaren Patamasank, Petia Tontcheva, Gyu Dong Kim, Hyung Keun Roh,
(2015)“Pilot Demonstration of Energy-Efficient Membrane Bioreactor (MBR) Using Reciprocating
Submerged Membrane”,Water Environment Research 87(3), 266-273
[11] Jaeho Ho, Shaleena Smith, Gyu Dong Kim and Hyung Keun Roh, (2005) “Performance evaluation of a
novel reciprocation membrane bioreactor (rMBR) for enhanced nutrient removal in wastewater
treatment: a comparative study”, Journal of Water Science and Technology 72(6),917 -927
[12] Lei Qin , Zheng Fan, Lusheng Xu , Guoliang Zhang, Guanghui Wang , Dexin Wu ,Xuwei Long, Qin
Meng, (2005) “A submerged membrane bioreactor with pendulum type oscillation (PTO) for oily
wastewater treatment: Membrane permeability and fouling control”, Desalination,183, 353–362
[13] Low, S., Han, H. J. & Jin, W. X.,“Characteristics of a vibration membrane in water recovery from fine
carbon-loaded wastewater”. Desalination 160 (2004), 83–90.
[14] Muhammad R. Bilad, Gergo Mezohegyi, Priscilla Declerck , Ivo F.J. Vankelecom , (2012) “Novel
magnetically induced membrane vibration (MMV)” , Water research, 46 63-72
[15] Oliver Terna Iorhemen, Rania Ahmed Hamza and Joo Hwa Tay, “Membrane Bioreactor (MBR)
Technology for Wastewater Treatment and Reclamation: Membrane Fouling”, Membranes, 2016.
[16] P.Cornel, S. Krause, Membrane Bioreactors for wastewater Treatment, Advanced Membrane
Technology and Applications, 2008.
[17] Pierre Le-Clech, Vicki Chen, Tony A.G. Fane, (2006)“Fouling in membrane bioreactors used in
wastewater treatment”, Journal of Membrane Science, 284, 17-53
[18] Tian Li , Adrian Wing-Keung Law, Merve Cetin, A.G. Fane, (2013) “Fouling control of submerged
hollow fibre membranes by vibrations”, Journal of Membrane Science, 427, 230–239.
[19] Tian Li, Adrian Wing-Keung Law, A.G. Fane, (2014) “Submerged hollow fibre membrane filtration
with transverse and longitudinal vibrations”, Journal of Membrane Science, 455, 83-91
[20] S.C. Low, Han Hee Juan, Low Kwok Siong, (2005) “A combined VSEP and membrane bioreactor
system”, Desalination, 183, 353–362.
[21] S.Judd, The MBR Book: Principles and Applications of Membrane Bioreactors in Water and
Wastewater Treatment, Elseveir, Oxford, 2006.
751 ISBN: 978-93-5351-069-5

PCE009
Analysis and Design of Overhead Water Tank using Precast Concrete

Beam and Column Components with Vertical and Lateral Load Resist
Connection
Kurbanhusen I. Momin
P.G. Student in Structural Engineering
Gujarat Technology University
kurbanhusain99@gmail.com
Abstract
In the construction industry, time, cost and quality are the main three components for the construction
of structures it is can be achieve by used to the precast concrete technology. In the International arena
precast concrete sector has experienced reasonable growth in the recent years. There are many
advantages to using precast technology. Precast concrete structures are accepted in many countries for
potential use. Benefits - reduced requirements for formwork and scaffolding, as well as reduced use of wet
concrete at construction site. In precast construction, formwork, scaffolding and wet concrete
conservation was observed at 75, 75-90 and 90%, respectively, compared to reinforced concrete
structures. In addition, the construction time for precast concrete structures is 20% less than for similar
construction sites. Prefabricated elements are produced at the factory, quality control is maintained, layers
of components are of high quality, and the production process does not depend on climatic conditions. The
need for skilled labor in all places has been reduced and reduced by 50-80% through the use
of prefabricated elements. Prefabricated systems significantly reduce the amount of waste materials such
as concrete mix, wooden, nail and cut reinforcement. With all these potential benefits, precast concrete
production continues throughout the world. Even when buildings are built-in areas prone to earthquakes,
they must withstand lateral loads. The characteristics of prefabricated building systems under strong
earthquake conditions depend on the behavior of the connection between members. In this paper used Dry
joints of steel connectors, such as angels, embed plate, anchors, bolt, dowel bar etc.
Keywords: Precast method, static analysis, staging system design of water tank, Connection design
INTRODUCTION
In the construction industry, time, cost and quality are the main three components for the construction of
structures it is can be achieved by use of the precast concrete technology. In the International arena precast
concrete sector has experienced reasonable growth in the recent years. There are many advantages to using
precast technology. Precast concrete structures are accepted in many countries for potential use. Benefits -
reduced requirements for formwork and scaffolding, as well as reduced use of wet concrete at construction
site. In precast construction, formwork, scaffolding and wet concrete conservation was observed at 75, 75-
90 and 90%, respectively, compared to reinforced concrete structures. In addition, the construction time for
precast concrete structures is 20% less than for similar construction sites. Prefabricated elements are
produced at the factory, quality control is maintained, layers of components are of high quality, and the
production process does not depend on climatic conditions. The need for skilled labor in all places has been
reduced and reduced by 50-80% through the use of prefabricated elements. Prefabricated systems
significantly reduce the amount of waste materials such as concrete mix, wooden, nail and cut
reinforcement. With all these potential benefits, precast concrete production continues throughout the
world. Even when buildings are built in areas prone to earthquakes, they must withstand lateral loads. The
characteristics of prefabricated building systems under strong earthquake conditions depend on the
behavior of the connection between members. In this paper used Dry joints of steel connectors, such as
angles, embed plate, anchors, bolt, dowel bar etc.
Environmental effect today’s environmentally conscious world. Now it is a more important to reduce air
pollution. Precast methods could be an eco-friendly compared to traditional cast-in-situ construction. Most
ISBN: 978-93-5351-069-5 752

of buildings carbon emissions are during its life. In precast method case the carbon emission can be control
and lead to reduce during manufacturing of precast components.
OBJECTIVES
The main aim of this study is adopting new technology for staging method in Elevated Water Tank using
Precast concrete components and connection methods for beam to column and column to the foundation
and analysis and design of the overhead water tank staging system by using precast concrete components
(beam and column) with vertical and lateral load resist connection for seismic zone III in hard soil. Also,
comparative analysis, design and cost with monolithic staging system.
RESARCH METHODOLOGY
Selection of The Connection: There are so many different types of connection are invented. In this precast
staging system has used best connection type after preferred research paper and with the help of some
reference books. This connection is economical and easy to fixed and applicable to the site.
Analysis of Staging System: In analysis of the traditional frame structure connection between column to
beam and column to foundation both are considered as rigid. But in precast frame structure connection
rigidity are depending on connection type, which type of connection has used in a frame structure. In this
analysis of precast staging system consideration of rigidity of connection between beam to column are
semi-rigid from reference of the papers and connection between column to foundation column are as rigid
connection from paper ETA tests and design of HPKM Column Shoe Connections.
Comparison of Focuses Results with Precast/Cast in Situ: Two model of the overhead water tank with
same staging system is analyzed. In first model was Cast-In-Situ frame and second was Precast frame
staging system are analyzed with considered connection rigidity and compared both frame structure forces
result of bending moment, shear force and displacement etc.
Design of Precast Components: There are two steps for designing process of precast components. First is
precast members design and the second is the member erection design. The process of precast members of
beam and column design would be same as traditional methods, but formwork might be different because
of connection and used erection design hook. In this design of precast components are as per Eurocode.
Design of Connection: A Connection design is one of the most important considerations when designing a
precast concrete structure. And also, difficult part in the precast structure connection [PCI Design
Handbook. For connection design has used PCI design book for the beam to column connection design and
Peikko Column Shoe designer has used for the column in foundation column connection design.
3D Modeling of Staging System: For 3D modeling has used the Tekla structure software.
Comparison of Precast/Cast in Situ Staging System: Design of beam and column detailing is compared
with Cast-In-Situ method and Precast method. Construction time of Cast-In-Situ and Precast staging
system has compared. Labor and machine cost of Cast-In-Situ and Precast method has compared.
Figure 1 Steps of Methodology
753 ISBN: 978-93-5351-069-5

LITERATURE REVIEW
In the following literature review has in three phase first about the benefits of precast concrete technology,
second about major project of precast frame structure for selecting a good precast staging system and its
behavior under lateral load and third about experimental and analytical projects in connection between
beam to column and column to foundations to find out better connection type.
1 VPS Nihar Nanyama*, Riddha Basua, Anil Sawhneyb, Harsh Vikrama , Gourav Lodha [12] in this
paper they Analyze Cost and Time Comparison between Precast and Conventional method. They find
time saving of 20 to 30 % demonstrated using the precast method to compare to the traditional method and
also Better use of precast technology can use the potential for cost savings.
Gul Polat[4] studied one of the factors that was considered is that it affects the use of precast concrete
systems in the United States and has changed over the past 11 years compared to more common systems
since 1995. Key respondents noted that this preference was stronger than in 1995, when most contractors
and designers worked with certified PCI manufacturers. Most designers believe that this type of building is
useful performs well in earthquakes and 93% of Contractors said cost saving can be achieved after using
the precast method.
Ya Hong Dong, Lara Jaillon, Peggy Chu, C.S. Poon[14] in this paper they Compared investigation
between carbon emissions of precast and traditional construction methods and case studied on high rise
residential building. Cement being the important thing element of concrete is liable for 5-7% of the sector’s
anthropogenic carbon emission. They conclude that using Precast production techniques can reduce per
10% carbon for 1m3 concrete.
Paolo Negro a, Dionysios A. Bournas , Francisco J. Molina [9] They experimented Pseudodynamic test on
a full-scale 3-storey precast concrete building. As shown in the figure four frame prototype used in 3story
precast frame building. They conclude from the experimental result of the seismic response of The
Prototype 1 was extremely effective in qualifying for the
maximum interstate drift ratios for both the serviceability and
ultimate limit states. The seismic response of Prototype 2 was
extremely determined by the effects of higher modes.
Prototype 2 did not stand substantial damage in its structural
members during the 0.30 g PsD test. Prototype 3, emulative
beam-column joints at the top floor only was effective as a
means of reducing inter-storey drifts compared to Prototype 2
and in Prototype 3 overall displacements of the structure the
proposed connection system is quite effective as a means of
implementing dry precast (quasi) emulative moment-resisting
frames. In case of prototype 4, where lower maximum Figure 2 Staging Prototype System [4]
interstate drifts were recorded and the first vibration mode dominated the parsed response. In the design
level test (0.30 g), prototype 4 underwent extensive damages and approached the non-collapse limit state
with very wide force-drift cycles. The major part of inelasticity and damage were centered at the base of all
ground floor columns which reached at a drift ratio of about 6%.
R. Vidjeapriya and K. P. Jaya [10] Graph 1 Comparison of Strength
In this paper they the observational Study using of the
Reverse Cyclic Loading test on Two Simple Mechanical
Precast Beam-Column Connections. They tested on
monolithic specimen and precast specimen were designed as
per IS codes with similar strength. The results showed that
ultimate load-carrying capacity of the monolithic specimen
is higher in strength to that of both the precast specimen. The
precast specimens were found to exhibit satisfactory
behavior compared with the monolithic specimen in terms of
ductility and energy dissolution. Load capacity of the
connection in the monolithic specimen 11.3kN and 11.75kN positive and negative direction. In PC-SS
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5.7kN and 8.1kN positive and negative direction and specimen PC-DS 9.18kN and 8.64kN positive and
negative direction. In comparing, of both precast connections, Specimen PC-DS performed much safer than
Specimen PC-SS. The suggested connection PC-DS is a simple dry connection that can be used for the
construction of low-rise moment resisting frames.
Hussein M. Elsanadedy , Tarek H. Almusallam, Yousef A. Al-Salloum, Husain Abbas[5] in this paper
they Investigated of precast RC beam-column assemblies under column-loss Scenario. In this study
developed a nonlinear finite element (FE) model with help of
LS-DYNA software to predict the performance of precast non-
prestressed RC beam-column. The results shows that in figure
the monolithic specimen with continuous top and bottom beam
reinforcement had higher ultimate load and dissipated energy
compared to precast specimens. The existing precast beam-
column connections PC-A and PC-B are very vulnerable to
progressive collapse once column is removed suddenly in an
extreme event. It is therefore highly recommended to improve
their connection details using steel plates, angles and headed
high strength rods (or metal studs) for connecting the beam
ends with the corbel and the column The highest peak load
efficiency of 65% was provided by revised precast connection Figure 3 Specimen PC-A-PBA-G-T[6]
PC-A-PBA-G-TA; however, the highest energy efficiency of 38% was achieved in connection PC-B-PBA-
G-TA. Both Connections are thus recommended for exterior RC frames of multi-storey buildings to
minimize the progressive collapse potential.
Ioannis N. Psycharis, Harris P. Mouzakis[6] Carried out Shear resistance capacity of dowel bars used to
monotonic and cyclic loading tests. They used different size of diameter dowel bars as 2Ø25, 1Ø25, 2Ø16
and 1Ø32.The main conclusions from the experiment: The thickness of the cover concrete of the dowels
has an important role in loading response. The cross section of the dowels is the main parameter that
determines the resistance of the joint. Use of high strength grout increases the resistance of the connection.
This ductility capacity, however, is used only as a reserve of the connections for better seismic
performance. Based on the experimental results, a formula is proposed for the estimation of the shear
resistance of pinned connections that can be used in the seismic design.
Jorma Kinnunen[7] carried out ETA tests and design of HPKM Column Shoe Connections. In this
experimental testing there were 24 precast column
connections tested with different column dimensions
and type of HPKM® Column Shoes for Bending
Stiffness Resistance (BSR), Bending Resistance (BR),
Shear Resistance and Fire Resistance. From The
experimental test they observed that concrete unit tests
have confirmed that the stiffness of Peikko column
connection is at least as rigid as a continuously
reinforced cast-in-situ column connection.
PROPERTIES DATA OF OVERHEAD

WATER TANK
The Following Properties of Elevated Water Tank Are
Given Below
Water Tank
Tank Capacity: 40,000 litters
Water Tank Dimension: 4500×4500×2250mm
Tank Wall Thickness: 270mm
755 ISBN: 978-93-5351-069-5

Tank Base Slab Thickness 350mm

Tank Cover Slab Thickness 120mm
Frame Properties
Monolithic Slab Supported
Beam (MSSB): 700X400mm
Monolithic Foundation
Beam (MFB): 350x350mm
Monolithic Foundation
Column (MFC): 500x500mm
Precast Beam (PB): 350x350mm
Precast Column (PC): 400x400mm
Height of Staging to G.L: 11750mm
Density of Concrete: 25 kN/m3
Earthquake Data
Static Analysis
Zone Factor: 0.16 - Zone III
Type of Soil: Hard Soil
Response Reduction Factor: 4 (S. RC.M.R.F.)
Important Factor: 1.5
Damping Ratio: 0.5%
Ground Level: 1.05m
Figure 4 Elevation of Water Tank Frame
Note: MSSB, MFB, PB, PC colures represent types of beam and column
ANALYSIS COMPARITION BETWEEN CAST-IN-SITU AND PRECAST STAGING

SYSTEM
Displacement of Monolithic and Precast Frame

As shown in Figure 5 and Table 1 are represented the results of monolithic and precast overhead water
tank frame displacement of different level at beam-column junction. Precast frame structure
displacement has more than monolithic frame structure because of the connection between beam-
column as considered as semi-rigid. So moment would be less transfer from column to beam.
Table 1: Displacement of Frame

Load Case: 1.2 EQ X + DL + LL
MONOLITHIC PRECAST
Height Displacement Displacement
(M) (mm) (mm)
12.8 31.176 43.562
9.2 23.641 32.404
5.6 12.273 14.033
2 2.113 2.362
Figure 5 Displacement Comparison
Axial Force (AF) and Bending Moment (BM) Reaction at the foundation column
6.66 % axial force has more than the Cast in Situ staging system compare to the precast staging
system
ISBN: 978-93-5351-069-5 756

Table 2: Comparison of Reaction at foundation SF & BM
S.F. at C1 & C2 B.M. at C1 & C2

Fx 32.012 31.709 kN Mx 1.442 1.606 kNm
Fy 267.072 290.688 kN
Fz 2.306 2.781 kN Mz 68.99 111.366 kNm
S.F. at C3 & C4 B.M. at C3 & C4
Fx 36.62 37.707 kN Mx 1.44 1.595 kNm
Fy 605.624 595.264 kN
Fz 2.306 2.768 kN Mz 71.873 114.802 kNm
Graph 2 Comparison of Axial (vertical Shear) Force at Foundation
Graph 3 Comparison of BM at Foundation
Shear Force (SF) and Bending Moment (BM) Reaction in column

21.49 % bending Moment has more than in the precast staging system compare to the Cast in Situ
staging system
Table 3: Comparison of Reaction in Beam SF & BM
B.M. Reaction in Column S.F. Reaction in column

TOP AC1 -53.675 18.85 kN-m 36 35.55 kN
BOTTOM AC1 75.935 -93.77 kN-m 36 35.55 kN
TOP BC1 65.692 52.06 kN-m 35.34 34.31 kN
BOTTOM BC1 -61.531 -49.32 kN-m 35.34 34.31 kN
TOP CC1 91.187 116.15 kN-m 36.21 35.72 kN
BOTTOM CC1 -39.151 -13.557 kN-m 36.21 35.72 kN
Graph 4 Comparisons of BM & SF in Column
757 ISBN: 978-93-5351-069-5

Shear Force and Bending Moment Reaction in Beam
31.1 % bending Moment and 21.14 % Shear force has more than in the Cast in Situ staging
system compare to the precast staging system
Graph 3 Comparisons of SF & BM in Column
ISBN: 978-93-5351-069-5 758

DESIGN OF PRECAST COMPONENT AND CONNECTION DESIGN

Member Design
Column Design
Column
Figure 5(A) Section View of Precast Column
Column input details

Column geometry
Overall depth (perpendicular to y axis) d 400 mm; h = 400 mm
Overall breadth (perpendicular to z axis) b 400; mm
Stability in the z direction; Braced
Stability in the y direction; Braced
Concrete details
Concrete strength class; C30/37
Partial safety factor for concrete ; C 1.50
Maximum aggregate size;dg 14 mm
Reinforcement details
Nominal cover to links; cnom 30 mm
Longitudinal bar diameter; 16 mm
Link diameter; v 8 mm
Characteristic yield strength; fyk 415 N/mm2
Partial safety factor for reinft S 1.15
Modulus of elasticity of reinft Es 200 kN/mm2 Figure 5(B) 3D View of Precast Column
Axial load and bending moments from frame analysis

Design axial load; NEd 596.0 Kn
Moment about y axis at top; Mtopy ;110.0; kNm
Moment about y axis at bottom;Mbtmy ;-110.0; kNm
Moment about z axis at top; Mtopz ; 40.0; kNm
Moment about z axis at bottom; Mbtmz
;40.0; kNm
Corbel
Corbel geometry
Width of the corbel; 350 mm
Breadth of the corbel; 400 mm
Depth of the corbel at front face of column; 400 mm Figure 6(A) Loading of Representation of Corbel
759 ISBN: 978-93-5351-069-5

Depth at front face of corbel; hcorbel 200 mm

Chamfered corner; dchamfer 35mm
Load plate geometry (Bearing)
Width of the bearing; abearing 100 mm
Breadth of the bearing; bbearing 200 mm
Height of the bearing;hbearing 10 mm
Concrete details
Characteristic compressive cylinder strength;fck 30 N/mm2
Partial factor for concrete c 1.5
Characteristic yield strength of reinforcement; fyk 400 N/mm2
Partial factor for reinforcing steel s 1.15
Design yield strength of reinforcement fyd 348 N/mm2
Loads
Vertical force; FEd 72.0 kN
Horizontal force; HEd 65.0 kN
Distance from the face of the
Column to FEd; ac 150 mm
Reinforcement
Number of bars for main tension;N = 4
Diameter of bars for main tension D main = 10 mm Figure 6(B) Detailing of Corbel
Area of main tension provided As = N Dmain2) / 4 = 314 mm2
Nominal cover to reinforcement; cnom = 30 mm
Beam design
Figure 7(A) Section View of Precast Beam Figure 7(B) 3D View of Precast Beam
Concrete strength class; C30/37

Characteristic compressive cylinder strength; fck 30 N/mm2
Mean value of axial tensile strength; fctm 2.9 N/mm2
Maximum aggregate size; hagg 14 mm
Characteristic yield strength of reinforcement;fyk = 415 N/mm2
ISBN: 978-93-5351-069-5 760

Nominal cover to reinforcement

Nominal cover to top reinforcement; cnom_t 30 mm
Nominal cover to bottom reinforcement; cnom_b 30 mm
Nominal cover to side reinforcement; cnom_s 35 mm
Connection Design
In this research paper has used the dry connection (bolted and welted) connection because of dry
connection has better performs in ductility and energy dissipation compared to wet connection under
seismic condition [5,6,7]. In help beam to column and column to foundation column connection design
has used PCI design handbook [8] to sympathize the behavior of the connection has chosen some past
research papers as show in literature. In precast staging system connection between columns to
foundation column has considered as above (show in figure 4) because safety from the corrosion issue
of steel connection and also more substantial behave in lateral load resisting and less displacement.
Column to Beam Connection: As shown figure 8(A) all measurement of connection are in Millimeter
Figure 8(A) Section View of Precast Figure 8(B) 3D View of Precast

Beam-Column Connection Beam-Column Connection
Table 4: Connection Element Capacity

Tension Shear
Hardware Description
Capacity (kN) Capacity (kN)
Column
64.054 63
Embed Plate
Beam
148.93 113
Embed Plate
Cleat Angle with

233-182 143-109
Two Stiffener
761 ISBN: 978-93-5351-069-5

Figure 8(C) 3D View of Precast Beam to Column Connection Design
column to cloumn foundation connection:
as shown figure 9(B) in given two graphs lines are representes −−−−−−−− connection capacity
and - - - - - - - - column capacity
Figure 9(A) 3D View of Precast Column to foundation Figure 9(B) Capacity Graph of Connection and Design
Connection Design Column Design
ISBN: 978-93-5351-069-5 762

Figure 9(C) Detailing of Precast Column to Foundation Connection
Table 5: Detailing of Precast Foundation Column

No diameter a(mm) b(mm) c(mm) d(mm) L(mm) pcs kg/pcs kg
1 6 550 324 550 0 1400 2 0.31 0.62
2 6 550 324 550 0 1400 2 0.31 0.62
3 8 96 340 340 96 1472 3 0.58 1.74
4 8 96 340 340 96 1472 11 0.58 6.4
Total weight: 9.39
COST COMPARITION BETWEEN CAST IN SITU AND PRECAST STAGING
Overall cost required for constructing the building using the precast frame staging system structure is
reduced with compared to monolithic method. Cost savings are getting through reduced requirements
for formwork, access scaffolding and less labor required at site work. Reduced on site - supervision of
the main contractor is also a saving due to too less construction time. Manufactory production secures
increased accuracy and quality of finish and decreases weather dependency.
763 ISBN: 978-93-5351-069-5

Material Comparison
As show in above section the analysis results of BM and SF of beam-column following design
comparison are given below. In precast frame structure maximum bending moment and shear force
reaction in beam has less compared to monolithic frame structure and as similarly BM and SF results
in the precast frame staging column more compared to monolithic frame.
Beam and column reinforcement comparison
Figure 10(A) Detailing of Monolithic Column and Beam
Figure 10(B) Detailing of Precast Column and Beam
Table 5: Comparison of reinforcement
Reinforcement Area
Cast In Situ Column 1256
3768
Cast In Situ Beam 2512
Precast Column 1607.68
3215.36
Precast Beam 1607.68
14.67 % less in precast
Time Comparison Graph 4 Time Comparison

The monolithic frame staging method is take 7 days
to finished to build cast in situ staging and the
precast frame staging structure take just maximum
to maximum 10 hours to install of precast members
(beam and column) . One column takes the
maximum time to install is 1 hour and beam take 30
minutes including erection, welding and connecting
process.
ISBN: 978-93-5351-069-5 764

Labour and machinery Cost Comparison
Table 5: Labour and Machinery Cost Graph 5 Cost Comparisons
Labour and Machinery Cost

Labour Machine Duration Cost
Monolithic 4 - 7 Days 11200
Precast 2 1 10 Hours 9800
12.5% cost can be save
CONCLUSIONS
• The analysis precast frame structure might be complicated in an irregular staging system.
• Precast staging frame get more displacement than monolithic frame structure because of the
connection between beam-column as considered as semi-rigid. So displacement of frame are
depends on connection rigidity. In semi rigid connection moment would be less transfer from
column to beam that’s way moment at the bottom of the column is more.
• In precast frame structure at the reaction to foundation vertical load reaction has low compared
to monolithic frame structure, but bending moment has high compared to monolithic frame
structure.
• In this precast frame structure, bending moment and shear force reaction in beam has less
compared to monolithic frame structure and similarly opposite in a column bending moment
and shear force reaction has more compared to monolithic frame structure.
• Precast frame structure designing has more complicated to the monolithic frame structure
designing because in part of connection design has too difficult to analysis and design. In the
design of beam and column design would be same as monolithic frame structure. Also erection
design is one more added difficult part in the design process.
• From results of the cost comparison precast frame structure would be economical to construct
and more than 80% time saving in construction of the frame staging system. But in high
seismic zones this dry connection (welded and bolted connection) of precast frame would be
economical and risky. We can use wet connection method for high seismic zones.
REFERENCES
[1] A. G. K. Dora and N. H. A. Hamid, “Seismic Performance of SFRC Beam-Column Joint with Corbel
under Reversible Lateral Cyclic Loading,” vol. 4, no. 1, 2012.
[2] Buildings Department, “Code of Practice for Precast Concrete Construction,” p. 73, 2003.
[3] D. A. Bournas, P. Negro, and F. J. Molina, “Pseudodynamic tests on a full-scale 3-storey precast concrete
building : Behavior of the mechanical connections and floor diaphragms,” Eng. Struct., vol. 57, pp. 609–
627, 2013.
[4] G. Polat, “Factors Affecting the Use of Precast Concrete Systems in the United States,” no. March, pp.
169–178, 2008.
[5] H. M. Elsanadedy, T. H. Almusallam, Y. A. Al-salloum, and H. Abbas, “Investigation of precast RC
beam-column assemblies under column-loss scenario,” Constr. Build. Mater., vol. 142, pp. 552–571,
2017.
[6] I. N. Psycharis and H. P. Mouzakis, “Shear resistance of pinned connections of precast members to
monotonic and cyclic loading,” Eng. Struct., vol. 41, pp. 413–427, 2012.
[7] J. Kinnunen, “ETA tests and design of HPKM Column Shoe Connections,” Procedia Eng., vol. 172, pp.
521–528, 2017.
[8] PCI Design Handbook 5th Edition Precast and Prestressed Concrete, PCI DESIGN HANDBOOK 5th
edition, no. April.1999.
765 ISBN: 978-93-5351-069-5

PCE042
GROUNDWATER CHARACTERISTICS IN DIFFERENT ZONES OF
SURAT, GUJARAT, INDIA.
Dharmendra V. Jariwala
Lecturer
Dr. S & S.S. Gandhay College of Engineering and Technology
dv_jariwala@yahoo.com
9824131167
Abstract:
Groundwater is one of an essential source to cater the daily needs of the water. Due to increasing the
daily demand, people force to fetch subsurface sources of water from much depth. Urbanization,
industrial activities and discharge of wastewater without treatment, may led to pollute the
groundwater. Due to unawareness regarding recharging of the groundwater, most of the sources
were polluted in urban area. This study aimed to determine physico-chemical characteristics for the
groundwater in different zones of the Surat. For these total 117 samples had been collected from the
different 7 zones of the city. Parameters included in the study were pH, conductivity, turbidity,
alkalinity, hardness, total dissolved solid, sulphate, chloride. Average value of pH, conductivity,
turbidity, alkalinity, hardness, total dissolved solid, sulphate and chloride found were 7.25, 2.72 mS,
3.38 NTU, 335.96 mg/L, 501.64 mg/L, 1432.44 mg/L, 5.4 mg/L and 1234.99 mg/L respectively.
Keywords: Groundwater, hardness, physico-chemical, total dissolve soild.
INTRODUCTION
Water is an essential commodity for living organism. History shows that all civilization in the ancient
time developed around the rivers or where water was available. Urbanization, industrialization,
increases in population and living standard are some of the major factors which lead to increase in the
consumption of water. World data shows that only 2.5% of water from all available resources is
suitable for human consumption (Gaur S. et al. 2011). In all major urban areas local authority supply
drinking water for limited time. So due to insufficient supply of water people are depending on
ground water sources for their purposes (Mangukiya R. et al., 2012). In rural area or hilly region it is
difficult for local authority to distribute treated water due to haphazard location of the houses. So, in
such areas peoples are mostly depend on the ground water to cater their needs.
Ground water quality is largely depends on the percolation of rainwater, recharging of borewell,
construction of checkdams and geochemical structure of the soil / rock. In urban areas due
industrialization and illegal discharge of polluted water, surface and sub surface source of water get
polluted more and more. Temporal or periodical change in the quality of ground water is observed in
the various seasons and also due to withdrawal of ground water (Reza R. et al. 2010). Absence of
awareness on recharging and scarcity of water situation critical situation may observed during
summer season (Palanisamy P.N. et al, 2007). Water pollution not only degrades the quality of water
but it also affects the health, economic development and prosperity.
AIMS AND OBJECTIVES
The objectives of the present work were to determine the suitability of groundwater for human
consumption based its physical and chemical property and to determine the area in which quality of
water is more deteriorate.
767 ISBN: 978-93-5351-069-5

LITERATURE REVIEW
Outcomes of the research work carried out on the ground water in India reflect the quality of ground
water in that area. Reza R. et al., (2010) used water quality index (WQI) for determining quality of
water in the angul-talchar region of Orissa and found that 25% of water sample had poor quality.
Gaur S. (2011), in his study found that ground water in Haridwar, Vikasnagar, Mussoorie, Dehradun
& Dakpathat region of Uttarakhand having higher hardness and alkalinity than standard. Sharma H.P.
(2011) focused his study in the Barpeta district of Assam. He revealed in the study that most of the
water sources in that area is polluted and required some treatment before using for drinking purpose.
Mangukiya R. et al. (2012) carried ground water study in Surat city of Gujarat; using WQI and found
that around 33.3% samples shows WQI more than 100, which indicate poor water quality. Desai H.
and Desai B (2012) found ground water in the Surat city was highly polluted due to over population,
higher usage and paving of open areas. Satyanarayana et al. (2013) had been made to assess the urban
groundwater quality in Vishakhapattanum of Andrapradesh. He also found that ground water quality
in various area was highly polluted. Ambiga et al. (2016), also used WQI method to find out
suitability of water for drinking purpose and conclude that most of the samples were not suitable for
drinking purpose. Same had also been concluded by Ramakrishnaiah et al. (2009) in his study carried
out in the region of Tumkur, Karnataka.
STUDY AREA
The current study area is Surat city, shown in Figure 1, which is located in the southern part of the
Gujarat on the bank of the Tapti River (Tapi). Surat is one of the cleanest cities of India and is also
known by several other names like "THE SILK CITY", "THE DIAMOND CITY", "THE GREEN
CITY", etc. Industrial development in Surat city could be attributed to the presence of a large number
of diamond processing, textiles and chemical and petrochemical industries. Hazira is the major
industrial area where major MNC’s are located. Total area of the city is 326.515 sq.km.
Geographically Surat is located between 72.38° to 74.23° East (Longitude) 21.0° to 21.23° North
(Latitude). Population of Surat city is about 44.26 lacs as per census 2011. For the better
administrative purpose Surat is divided into seven zones, detail is presented in Table: 1. All zones
consist of 29 wards in whole city.
Table: 1 Details of different zone of Surat

Population as per
Sr.No Zone Area (sq. km)
census 2011
1 Central 8.18 408769
2 East 37.525 1137138
3 West 51.279 424986
4 North 36.363 705163
5 South 61.764 695028
6 South-East 19.492 748304
7 South-West 111.912 242466
Source: Surat Municipal Corporation
ISBN: 978-93-5351-069-5 768

Figure:1 Location Map of Surat
Surat
METHODOLOGY
Samples had been collected from all seven zones of the Surat city. Total 117 Samples were collected
in the plastic pet bottles directly from the tap attached with the rising main of ground water to the
water tank. Samples were collected during the monsoon seasons. Latitude and longitude of the each
location were noted and presented on map showing in figure 2.Samples which were collected from the
different zones showed in the table 2.
Table: 2 Zonewise sample collection

Sr.No Zone Nos of samples
1 Central 05
2 East 07
3 West 31
4 North 26
5 South 16
6 South-East 18
7 South-West 14
Figure:2 Mapping of sample location
769 ISBN: 978-93-5351-069-5

Parameters which were taken into consideration includes pH, conductivity, turbidity, total solid, total
dissolved solid, total suspended solid, total hardness, calcium hardness, magnesium hardness,
alkalinity, sulphates and chloride. Method adopted for analysis is shown in the table 3. Desirable limit
for drinking water as per the Indian Standard for above said parameters is presented in table 4.
Table: 3 Parameters of the study

Sr. NO Parameters Methods
1 pH Digital pH meter
2 Conductivity Digital conductivity meter
3 Turbidity Digital turbidity meter
4 Total solid Gravimetric method
5 Total dissolved solids Evaporation method
6 Alkalinity Gravimetric method
7 Total hardness EDTA titration method
8 Calcium hardness EDTA titration method
9 Magnesium hardness EDTA titration method
10 Sulphate Turbidimetric method
11 Chloride Argentometric method
Table:4 Indian Standard Limits of Study Parameters

Sr. NO Parameters Indian Standard Limits
1 pH 6.5 – 8.5
2 Conductivity -----
3 Turbidity 5 – 10 NTU
4 Total solid ------
5 Total dissolved solids 500 – 2000 mg/L
6 Alkalinity 200 – 600 mg/L
7 Total hardness as CaCO3 300 – 600 mg/L
8 Calcium hardness 75 – 200 mg/L
9 Magnesium hardness 30 – 100 mg/L
10 Sulphate 200 – 400 mg/L
11 Chloride 250 – 1000 mg/L
RESULT AND ANALYSIS
The physico-chemical characteristics of ground water of the different zones in the form of minimum,
maximum, average and standard deviation under study area are presented in Table 5. The result
indicates that the quality of water considerably varies from location to location.
ISBN: 978-93-5351-069-5 770

pH
The pH of the groundwater samples were neutral or close to it as they all range from 6.6 to 8.03
(except one) which were within the permissible limit of 6.5- 8.5 given by Indian Standards. Average
pH value found was 7.68 in central zone, 7.13 in east zone, 7.23 in west zone, 7.28 in north zone, 7.29
in south zone, 7.19 in south east zone and 7.13 in south west zone. Frequency distribution presented in
figure 3 shows that about 97.43% samples fall within the permissible limits.
Figure:3 Frequency Distribution of pH

80 74
Frequancy distribution of pH
70
60
Nos of Samplesa
50
40
30
19 20
20
10
2 1 0 1
0
6-6.5 6.5-7 7-7.5 7.5-8 8-8.5 8.5-9 9-9.5
pH Value
Conductivity
The Conductivity of the ground water samples varies from 0.49 – 13.98 mS. Conductivity can serve
as an indicator of other water quality problems like sea water intrusion or increment in hardness.
Water with high salt content tends to have higher conductivity and vica versa. It also shows a general
indication of high dissolved solid concentration of the water. Therefore, conductivity can be used as a
quick way to locate potential water quality problems.
Turbidity
The World Health Organization, establishes that the turbidity of drinking water should not be more
than 5 NTU, and should ideally be below 1 NTU. Analysis shows that only 13 samples having
turbidity higher than 5 NTU. Highest turbidity of 44.31 NTU was found in west zone.
771 ISBN: 978-93-5351-069-5

Table: 5 Minimum, Maximum, Average and Standard Deviation of parameter for different zone
Parameters pH Conductivity Turbidity Alkalinity TH Ca2+ Mg2+ TDS Sulphate Chloride
(mS) (NTU) (mg/L) (mg/L) hardness hardness (mg/L) (mg/L) (mg/L)
MIN 7.1 1.43 0.23 232 372 156 152 791 0.5 992.6
MAX 9.47 8.6 21.28 352 2492 1196 1296 4220 7.8 3049
CENTRAL
AVG 7.682 3.572 5.056 283.2 957.6 491.2 466.4 1871 5.2 1560
SD 1.006 2.889 9.107 51.64 875.2 414.7 473.9 1389 1.9 884.1
MIN 6.75 0.89 0.12 288 196 72 20 488 0.2 283.6
MAX 7.45 4.57 3.56 380 528 280 248 3680 1.8 1489
EAST
AVG 7.133 1.783 0.987 342.3 284 157.1 126.9 1288 0.9 749.5
SD 0.24 1.273 1.239 33.61 111 80.52 82.58 1285 0.5 497.7
MIN 6.5 0.54 0.9 136 36 10 16 196 1.2 354.5
MAX 7.75 12 44.31 568 1128 908 660 5500 6.4 4395.8
WEST
AVG 7.233 2.835 6.197 343 465 271.29 193.74 1474 3.4 981.16
SD 0.331 2.486 11.46 102.6 276.9 204.24 169.98 1318 1.2 889.52
MIN 6.6 1.1 1.21 196 124 64 12 325 1.1 354.5
MAX 8.03 3.14 36.59 536 912 660 388 2060 8.9 7090
NORTH
AVG 7.285 1.793 4.052 324 410.6 299.1 113.84 809.3 3.4 908.06
SD 0.369 0.586 9.744 77.36 204.9 184.8 106.06 423.2 1.1 1286.71
MIN 6.65 0.83 0.53 180 180 80 40 311 2.4 354.5
MAX 7.86 11.83 7.21 588 1540 776 972 9610 11.2 16661.5
SOUTH
AVG 7.294 3.945 1.511 349.3 679.5 407.8 271.8 2641 5.2 2902.47
SD 0.286 3.232 2.184 109.5 464.5 228 306.6 2405 1.3 4088.94
MIN 6.08 0.58 1.25 192 84 24 16 220 0.9 283.6
SOUTH – MAX 7.7 6.83 8.31 564 1776 1620 284 2890 5.8 3545
EAST AVG 7.197 2.151 1.074 356.4 403.8 294.4 109.3 953.2 1.8 823.23
SD 0.378 1.55 1.95 76.35 359.7 346.1 71.48 638.6 0.9 789.56
MIN 6.55 0.49 0.89 132 104 64 20 210 0.9 212.7
SOUTH - MAX 7.6 13.98 8.59 488 1960 1436 1480 6140 6.3 5175.7
WEST AVG 7.136 3.699 1.599 316.9 620.3 351.1 269.1 1647 2.1 1154.65
SD 0.28 3.659 2.366 88.77 598.4 354.3 380.2 1727 1.3 1333.81
ISBN: 978-93-5351-069-5 772

Hardness
Total Hardness
Total Hardness (TH) varies from 36 - 2492 mg/L as CaCO3. The hardness in the study area was found
higher than desirable limits of 300 mg/L in around 62% samples shown in figure 4. Average TH
value found in central zone was 957.6 mg/L, in east zone was 284 mg/L, in west zone was 465.03
mg/L, in north zone was 410.61 mg/L, in south zone was 679.5 mg/L, in south east zone was 403.8
mg/L and in south west zone was 620.3 mg/L. East zone shows hardness within the permissible limits
may be due to less urbanization.
Figure: 4 Percentage wise total hardness variation
Total hardness variation
0-300 300-600 >600
24%
38%
38%
Ca2+ Hardness
The value of Calcium hardness varies from 10 – 1620 mg/L. Average Calcium hardness found was
491.2 mg/L in central zone, 157.1 mg/L in east zone, 271.0 mg/L in west zone, 299.10 mg/L in north
zone, 407.8 mg/L in south zone, 294.4 mg/L in south east zone and 351.1 mg/L in south west zone.
Mg2+ Hardness
The magnesium hardness in the study area varies from 12 – 1480 mg/L. Average magnesium hardness
found was 466.4 mg/L in central zone, 126.9 mg/L in east zone, 194.10 mg/L in west zone, 111.54
mg/L in north zone, 271.8 mg/L in south zone, 109.3 mg/L in south east zone and 269.1 mg/L in
south west zone.
Alkalinity
The amount of Alkalinity should be in the range of 20-200 mg/L for typical drinking
water. Alkalinity is basically dissolved minerals in the water that help neutralize the water we drink.
From total 117 samples only 8 samples shows alkalinity with the desirable limit of 200 mg/L, rest of
samples were above the desirable limit but within the permissible limit of 600 mg/L. Average
alkalinity found in central zone was 283.2 mg/L, in east zone was 342.3 mg/L, in west zone was
342.96 mg/L, in north zone was 324 mg/L, in south zone was 349.25 mg/L, south east zone was
356.44 mg/L, in south west zone was 316.85 mg/L. Figure 5 shows the average alkalinity in the study
area.
773 ISBN: 978-93-5351-069-5

Figure: 5 Zonewise Variation of Average Alkalinity
Average Alkalinity
400
Average Alkalinity in
300
200
100
mg/L 0
ZONES
Total Dissolved Solids (TDS)
Total dissolved solids level in ground water was found in the range of 196-9610 ppm. Analysis shows
that only 24 (20.51%) samples show TDS within the limits prescribe by Indian standard. Average
TDS found in central zone was 1871 mg/L, in east zone was 1288 mg/L, in west zone was 1474 mg/L,
in north zone was 809 mg/L, in south zone was 2641 mg/L, south east zone was 953 mg/L, in south
west zone was 1647 mg/L. Figure 6 shows the average TDS in the study area.
Figure:6 Frequency Distribution of TDS
Frequency Distribution of TDS

50 43
Nos of Samples
40
30 24 26
20 9
8
10 3 2 1 0 0 1
0
TDS in ppm
Chloride
One sample out of all show the chloride value 16661.5mg/L, which may indicate interference of some
ions and was neglect in further analysis. Chloride concentration in ground water samples were in the
range of 212.7 - 7090 mg/L. Average value of chloride concentration found in central zone was
1559.8 mg/L, for east zone 749.51 mg/L, for west zone 981.16 mg/L, for north zone 908.06mg/L, for
south zone 1985.2mg/L, for south east zone 823.23mg/L and south west zone 1154.65mg/L.
Sulphate
Sulphate concentration in groundwater samples were ranged from 0.2 – 11.2 mg/L as in the
permissible limit of 200 mg/L as per Indian standards and 250mg/L as per WHO Standards. Average
concentration of sulphate found in central zone was 5.2 mg/L, for east zone 0.9 mg/L, for west zone
ISBN: 978-93-5351-069-5 774

3.4 mg/L, for north zone 3.4 mg/L, for south zone 5.2 mg/L, for south east zone 1.8 mg/L and south
west zone 2.1 mg/L.
CONCLUSION
The ground water samples which were collected from the different zones of Surat, analyzed with
respect to pH, conductivity, turbidity, hardness, alkalinity, total dissolved solid, sulphates and
chloride. Result shows that pH of samples found within neutral range. Also hardness of 62% samples,
alkalinity of 99.93% samples, TDS of 79.49% samples and chloride of 99.98% fall above the
desirable limit prescribe by Indian Standard. It is seen that ground water quality in the zones was
deteriorate continuously due to urbanization and industrialization. Analysis of ground water in
summer season is required to check the impact of season.
ACKNOWLEDGEMENT
The authors gratefully acknowledge the efforts of final year student of civil engineering department,
Dr. S & S.S. Gandhay College of Engineering and Technology for samples collection and analysis.
REFERENCES
1 Ambiga K. (2016), Assessment of Groundwater Quality Index Using GIS at Tirupathi, India, International
Research Journal of Engineering and Technology, 3(2), 552-563.
2 Desai B. and Desai H. (2012), Assessment of water quality index for the ground water with respect to salt
water intrusion at coastal region of Surat city, Gujarat, India, Journal of Environmental Research And
Development, 7(2), 607-621.
3 Gaur S, Joshi M.C, Saxena S.K and Dutt H.K. (2011), Analytical Study of Water Safety Parameters in
Ground Water Samples of Uttarakhand in India, Journal of Applied Pharmaceutical Science 01 (09), 166-
169.
4 Mangukiya R., Bhattacharya T. and Chakraborty S. (2012), Quality Characterization of Groundwater using
Water Quality Index in Surat city, Gujarat, India, International Research Journal of Environment Sciences,
1(4), 14-23.
5 Palanisamy P.N., Geetha A., Sujatha M., Sivakumar P. and Karunakaran K. (2007), Assessment of Ground
Water Quality in and around Gobichettipalayam Town Erode District, Tamilnadu, Journal of Chemistry,
4(3), 434-439. http://dx.doi.org/10.1155/2007/547380.
6 Ramakrishnaiah C.R., Sadashivaiah C. and Ranganna G. (2009), Assessment of Water Quality Index for the
Groundwater in Tumkur Taluk, Karnataka State, India, Journal of Chemistry, 6(2), 523-530.
http://dx.doi.org/10.1155/2009/757424.
7 Reza R. and Singh G. (2010), Assessment of Ground Water Quality Status by Using Water Quality Index
Method in Orissa, India, World Applied Sciences Journal, 9 (12),1392-1397.
8 Satyanarayana P., Appala Raju N., Harikrishna K. and Viswanath K. (2013), Urban Groundwater Quality
Assessment: A Case Study Of Greater Visakhapatnam Municipal Corporation Area (Gvmc), Andhra
Pradesh, India, International Journal of Engineering Science Invention, 2(5), 20-31.
9 Sharma H.P. and Haloi N. (2011), Ground Water Quality Assessment of some parts of Brahmaputra Flood
plain in Barpeta district, Assam with special focus on Fluoride, Nitrate, Sulphate and Iron analysis,
International Journal of ChemTech Research, 3(3), 1302-1308
775 ISBN: 978-93-5351-069-5

PCE312
DENDROCHRONOLOGY OF TECTONA GRANDIS AND IT’S

CORRELATION WITH WEATHER PARAMETER- TEMPERATURE
AND PRECEPITATION
AlayMehta Prof. M.K. Vyas Prof. Himanshu A. Pandya Prof. R. Ramesh

Research Scholar Assistant Professor Professor, Sr. Scientist
Department of Botany, Department of Department of Botany, Senior Scientist,
Bioinformatics and Mechanical Bioinformatics and Climate PRL, Ahmedabad
Climate change Impacts Engineering, change Impacts
Management, Gujarat LDCE Management, Gujarat
University University
Abstract
Dendrochronological investigations were carried out on teak trees collected from in and around
Gujarat. 4 mm diameter cores were taken out from healthy trees, dried and polished. They were dated
by ring counting and knowing the date of coring trees age. Ring widths were measured using a hand
held microscope to a precision of 0.1 mm. Temperature and rainfall data were available from the
India Meteorological Department. Correlation coefficients were calculated between the ring widths of
each tree with the ambient Temperature and Rainfall respectively. Results show that most trees do not
respond to either Temperature or rainfall variations because they have a permanent source of ground
water for their growth. In a few places, however, trees respond to Temperature and rainfall albeit
with a low sensitivity.
Keywords: Green Accounting -Calculate Trees Age, Global Environment - Correlation Weather
Parameter
Introduction Dendrochronology
The chronology provides two main types information

 Dendron (= “tree”)
 chromos (= “time”)
 - logy (= the study of)
Dendrochronology: The science that uses tree rings dated to their exact year of formation to analyze
temporal and spatial patterns of processes in the physical and cultural sciences.
What is a Dendrochronology?
 Dendrochronology is the analysis of tree rings, including the dating of annual rings and study
of patterns of ring characteristics, such as widths, density and isotopic composition. In mid -to
upper latitudes, or areas where there is seasonality in Temperature and/ or precipitation,
many spices from trees from annual tree growth rings.
 Because of the same set of environmental factors influence tree growth throughout region,
the patterns of ring characteristic, such as ring widths is often common from the tree to tree .
 This pattern can be matched between trees in a processes called cross-dating Which is used
to assign exact calendar year dates to each individual ring .
 Dated and measured ring from a number of trees in a region are combined to form a tree
ring chronology.
ISBN: 978-93-5351-069-5 776

Dendrochronology in context to Dendroclimatology
 Dendroclimatology is the science of determining past climates from trees (primarily

properties of the annual tree rings).
 Using tree rings, scientists have estimated many local climates for hundreds to
thousands of years previous.
 By combining multiple tree-ring studies, scientists have estimated past regional and
global climates (see Temperature record of the past 1000 years)
Tree rings
• when conditions
Wider
favor growth
• when times are

Narrower
difficult
 Other properties of the annual rings, such as maximum latewood density (MXD) have been
shown to be better proxies than simple ring width.
Sample collection
Increment Borer
 An increment borer is a precision instrument designed to extract a thin cylinder of wood from
a tree.
 Although the increment borer is a very simple instrument, it is relatively expensive. Proper
operation and maintenance can prolong the life of the increment borer and minimize
problems.
 An increment borer has three pieces:
A. The extractor
B. The borer bit
C. The handle
Flagging the extractor makes it highly visible to help avoid losing it or stepping on it
777 ISBN: 978-93-5351-069-5

Increment borer use to collect the sample
ISBN: 978-93-5351-069-5 778

Basan( Gandhinagar)
Gujarat Forest Department Range Raigadh
Antersumba Range
779 ISBN: 978-93-5351-069-5

POLO FOREST (vijaynagar)
Collected tree ring sample Finishing and Polishing
Sample ring counting and measuring a width
Ring widths were counting and measured using a hand held microscope.To a precision of 0.1mm
ISBN: 978-93-5351-069-5 780

Teak Tree ring sample ring no and GPS Reading
Sr.
Place Ring no GPS (North) GPS (East)
No.
1 Polo Forest 38 23̊ 59.919` 73̊ 16.669`
2 Polo Forest 21 23̊ 59.910` 73̊ 16.665`
3 Polo Forest 40 23̊ 59.915` 73̊ 16.672`
4 Polo Forest 28 23̊ 59.935` 73̊ 16.742`
5 Polo Forest 34 23̊ 59.928` 73̊ 16.735`
6 Polo Forest 30 23̊ 59.945` 73̊ 16.756`
7 Basan (Gandhinagar) 20 23̊ 12.235` 72̊ 40.766`
10 Raigadh 55 23̊ 36.333` 73̊ 10.724`
11 Raigadh 63 23̊ 36.346` 73̊ 10.735`
12 Raigadh 55 23̊ 36.365` 73̊ 10.735`
13 Raigadh 47 23̊ 36.372` 73̊ 10.742`

781 ISBN: 978-93-5351-069-5
14 Antersumba (dholwani range) 21 23̊ 59.094` 73̊ 12.594`
16 Antersumba(dholwani range) 19 23̊ 59.100` 73̊ 12.593`
20 Dehgam 15 23̊ 10.756` 72̊ 50.431`
21 Dehgam 13 23̊ 10.766` 72̊ 50.428`
Average Temperature and Rainfall Formula
Average temperature (c)= min temperature + max temperature

(March to November) 18
Average Rainfall = Add Total Rainfall in all the month (in mm)
Results Data by IMD(Indian Meteorological Department)
RAYGADH III
Ring No Year Rainfall Temperature Width(mm)
1 2011 1184 31.05 1.8
2 2010 922 29.68 1
3 2009 825 29.9 1.4
4 2008 765 30.55 3
5 2007 1265 27.6 2
6 2006 140 27.51 1.4
7 2005 1145 30.37 2.4
8 2004 716 30.51 1.8
9 2003 929 30.17 1
10 2002 369 31 0.8
11 2001 828 30.11 0.8
12 2000 386 30.02 1.2
13 1999 377 29.39 1.2

ISBN: 978-93-5351-069-5 782
14 1998 876 29.88 1.4
15 1997 460.7 30.15 1
16 1996 728.4 29.6 1
17 1995 1.4
18 1994 29.14 1.2
19 1993 30.02 1.2
20 1992 22 29.29 1
21 1991 601 29.9 1.2
22 1990 962.9 29 3.8
23 1989 427.6 29.75 2.2
24 1988 692.4 28.92 1.8
25 1987 115 31.07 1.6
25 1987 115 31.07 1.6
26 1986 0 27.82 3.2
27 1985 460.4 29.17 2
28 1984 190 28.47 1.8
29 1983 836.3 28.32 1
30 1982 139.8 28.92 1.2
31 1981 144.2 27.81 2.2
32 1980 472.9 31.4 1
33 1979 80.6 28.8 1.2
34 1978 703.8 28.45 2
35 1977 1310.7 29.05 1.2
36 1976 55 28.77 1
37 1975 65 28.45 1.6
38 1974 351.1 29.68 1
39 1973 1341.6 28.65 1.4
40 1972 616.6 29.13 1.4
41 1971 770.3 28.92 2.2
783 ISBN: 978-93-5351-069-5

42 1970 1125.1 29.09 1.2
43 1969 389.8 28.81 2
44 1968 646 29.27 1
45 1967 749 29.00 1.8
46 1966 595.8 28.92 1.2
47 1965 655.1 29.12 0.9
48 1964 637.5 27.3 2.6
49 1963 1293.5 28.82 3.8
50 1962 605.8 28.82 3.4
51 1961 973.1 28.62 4.4
52 1960 703 28 1.6
53 1959 1276.1 26.81 2.4
54 1958 976.4 28.72 2
55 1957 464.6 26.79 4
Chart 1 Raigadh-3 sample Year and width
Width(MM)
6
3
WIDTH(MM)
2
0
1950 1960 1970 1980 1990 2000 2010 2020
ISBN: 978-93-5351-069-5 784

Chart1 2 Raigadh-3 sample Correlation with Rainfall
5
4.5
y = 0.0005x + 1.4423
4
R² = 0.0524
3.5
3
2.5 Series1
2 Linear (Series1)
1.5
1
0.5
0
0 500 1000 1500
 Graph shows variation in rain fall with respect to time and space and a negative transitory
Manor leading to a negative variation in width of tree ring sample
Chart 3 Raigadh-3 samples Correlation with Temperature
5
4.5
4 y = -0.3323x + 11.446
R² = 0.1515
3.5
3
2.5 Series1
2 Linear (Series1)
1.5
1
0.5
0
26 27 28 29 30 31 32
• Graph shows variation in temperature with respect to time and space and a positive transitory
Manor leading to a positive variation in the width of tree ring sample
Note - Average rainfall with respect to years
Average temperature respect to years
Rain fall and width are shown in x and y respectively
Temperature and width are shown in x and y respectively
785 ISBN: 978-93-5351-069-5

Table 2 Polo-2 sample Year, width, Rain-fall and Temperature table Data by IMD(Indian Meteorological
Department)
POLO-2
Ring no YEAR Rainfall(mm) Temperature(c) Width(mm))
1 2011 1020 31.25 2.4
2 2010 852 29.09 4.2
3 2009 1168 29.14 1.6
4 2008 1063.4 30.02 2.2
5 2007 1072 29.29 1.9
6 2006 1223 29.9 2.4
7 2005 830.8 29 4.6
8 2004 874.7 29.75 4.6
9 2003 397.3 28.92 4.4
10 2002 725.1 31.07 3.2
11 2001 742.6 27.82 3.8
12 2000 598 29.17 2.4
13 1999 983.2 28.47 2.4
14 1998 1306 28.32 1.2
15 1997 787.5 28.92 2
16 1996 379.5 27.81 3.6
17 1995 1300 31.4 4.4
18 1994 679.8 28.8 3
19 1993 556.4 28.45 6.4
20 1992 1341.6 29.05 3.8
21 1991 616.6 28.77 8
ISBN: 978-93-5351-069-5 786

Chart 4 Polo-2 sample Year and width
9
8
7
6
5
Series1
4
3
2
1
0
1990 1995 2000 2005 2010 2015
Chart 5 Polo-2 sample Correlation with Rainfall
9 y = -0.0025x + 5.6943
8 R² = 0.2043
7
6
5
4
3
2
1
0
0 500 1000 1500
Graph shows variation in rain fall with respect to time and space and a positive transitory Manor
leading to a positive variation in the width of tree ring sample
Chart 6 Polo-2 sample Correlation with Temperature
9
y = -0.1887x + 8.9719
8 R² = 0.0134
7
6
5
Series1
4
Linear (Series1)
3
2
1
0
27.5 28 28.5 29 29.5 30 30.5 31 31.5 32
787 ISBN: 978-93-5351-069-5

Graph shows variation in temperature with respect to time and space and a negative transitory
Manor leading to a negative variation in the width of tree ring sample
Basan-3 sample Year, width , rainfall and Temperature table Data by IMD(Indian
Meteorological Department)
BASAN-3
Ring no Year Rainfall(mm) Temperature(c) Width(MM)
1 2011 1230 31.05 5
2 2010 1180 28.4 2.4
3 2009 804 31.05 7.4
4 2008 1168 30.15 5
5 2007 1063.4 29 6
6 2006 1072 29.5 4.2
7 2005 1223 29.33 1.6
8 2004 830.8 29.4 1.2
9 2003 874.7 30.04 1
10 2002 397.3 29.9 5.6
11 2001 725.1 30.31 1.4
12 2000 742.6 29.62 2.4
13 1999 598 30.04 2
14 1998 983.2 29.85 3
15 1997 1306 27.29 2.8
16 1996 787.5 28.8 1.2
17 1995 379.5 31.07 3.6
ISBN: 978-93-5351-069-5 788

Chart 7 Basan-3 sample Year and width
8
7
6
5
4
Series1
3
2
1
0
1990 1995 2000 2005 2010 2015
Chart 8 Basan-3 sample Correlation with Rainfall
8
7 y =- 0.321x + 3.1526
6 R² = 0.130
5
4 Series1
3 Linear (Series1)
2
1
0
0 200 400 600 800 1000 1200 1400
Graph shows variation in rain fall with respect to time and space and a positive transitory
Manor leading to a positive variation in width the width of tree ring sample
Chart 8 Basan-3 sample Correlation with Temperature
8
y = 0.6972x - 17.486
7 R² = 0.1261
6
5
4 Series1
3 Linear (Series1)
2
1
0
27 28 29 30 31 32
789 ISBN: 978-93-5351-069-5

Graph shows variation in temperature with respect to time and space and a positive transitory Manor
leading to a positive variation in width the width of tree ring sample
CONCLUSION
 Our results show that by and large the ring widths of trees investigated do not respond to ambient
temperature and rainfall. The Calculated linear correlation coefficients (R) are not significant at
0.05 levels. The R values are mostly less than 0.32.
 This means most trees have access to permanent sources of ground water for their growth.
 However a few trees did show significant correlation with their ambient temperature and rainfall
data. The trees from Raigadh and Basan showed a significant relation with ambient temperature.
 The tree from Basan also was related significantly to ambient rainfall. Thus our investigations
reveal that the trees from Basan site are suitable for long term Dendroclimatological
reconstruction.
Observation
 All the samples of tree rings have Correlation with Rainfall and temperature a few trees did show
significant correlation with their ambient temperature and rainfall data.Antersumba-1 Polo-2,
Antersumba-2, Basan-3, Antersumba-3 tree ring sample Affected Rain fall and Raigadh-3, Basan-
3 and Dehgam-1 sample affected by temperature.
 The tree from Basan III also was related significantly to ambient rainfall. Thus our investigations
reveal that the tree from Basan III site is suitable for long term Dendroclimatological
reconstruction.
REFERENCE
http://www.gsdma.org/rf_data11.html
 Becker B. and Schmidt B. (1989). Extension of the European oak chronology to the past 9224 years; PACT,
29, 1-10.
 Cook E. R. (1990). A conceptual linear aggregate model for tree rings. In: Methods of Dendrochronology
(eds. E. R. Cook and L.A. Kairiukstis). Kluwer, Boston, 98–104.
 Ferguson C.W. and Graybill D.A. (1983). Dendrochronology of bristlecone pine: a progress report.
Radiocarbon, 25, 287—288.
 Fritts H.C. (1976). Tree Rings and Climate. Academic Press.
 Kress A., Saurer M., Büntgen U., Treydte K.S., Bugmann H., Siegwolf R.T.W. (2009). Summer
temperature dependency of larch budmoth outbreaks revealed by Alpine tree-ring isotope chronologies.
Oecologia, 160, 253-265.
 Ramesh R., Bhattacharya S.K. and Gopalan K. (1985). Dendrochronological implications of isotope
coherence in trees from Kashmir Valley, India. Nature, 317, 802-804.
 Ramesh R., Bhattacharya S.K., Gopalan K., (1986a). Stable isotope systematics in tree cellulose as
palaeoenvironmental indicators — a review. Journal of the Geological Society of India 27, 154–167.
 Ramesh R., Bhattacharya S.K. and Gopalan K. (1986b). Climatic correlations in the stable isotope records
of silver fir (Abies pindrow) trees from Kashmir, India. Earth and Planetary Science Letters, 79, 66-74.
 Ramesh R., Bhattacharya S.K., and Pant G.B. (1989). Climatic significance of D variations in a tropical
tree species from India, Nature, 337, 149– 150,
 Yadava M.G. and Ramesh R.R. (2005). Monsoon reconstruction from radiocarbon dated tropical
speleothems. The Holocene, 15, 48-59.
ISBN: 978-93-5351-069-5 790

PCE124
APPLICATION OF ELECTROMAGNETIC FIELD AS A POLISHING

TREATMENT OF DAIRY EFFLUENT FOR REUSE
Dipika Valabhai Parmar Bina Birenkumar Patel

Student Assistant professor
L.D. College of Engineering L.D. College of Engineering
parmardipika95@gmail.com binapatel27@gmail.com
Abstract
Water is the most important natural resource required to sustain all life forms on earth. Due to the
water scarcity, it becomes imperative to explore the option of reusing treated wastewater and use it as
source of water for various purposes. Many advanced wastewater treatment technologies are
available to treat wastewater to meet the desire water quality standards for reusing the wastewater
and reuse it but, as it has high installation cost, there is a need of new technology. EMF
(Electromagnetic field) is one of the effluent treatment technologies which have low cost as it does not
require expensive chemicals. This research study highlights the effect of electromagnetic field on the
dairy effluent of the secondary outlet and to give as a polishing treatment using a developed lab scale
model. The experimental trials are conducted by varying time and current on developed lab scale
model and analysing various parameters to check the pollution reduction of dairy effluent for reuse
the effluent.
Keywords: Electromagnetic Field, Magnetic treatment, wastewater, Dairy effluent
INTRODUCTION
Background
Ever increasing industrialization and rapid urbanization have considerably increased the rate of water
pollution. The dairy industry is among the most polluting of the food industries in volume in regard to
its large water consumption. In dairy industries, water has been a key processing medium. Water is
used throughout all steps of the dairy industry including cleaning, sanitization, heating, cooling and
floor washing — and naturally the requirement of water is huge. Dairy wastewater is distinguished by
the high BOD and COD contents, high levels of dissolved or suspended solids including fats, oils and
grease, nutrients such as ammonia or minerals and phosphates and therefore require proper attention
before disposal.
Nowadays, water scarcity has become a world-wide problem. Hence, it becomes imperative to
explore the option of reusing treated wastewater and use it as source of water for various purposes.
Reuse of treated wastewater effluents in irrigation of agriculture lands is gaining considerable
attention in arid and semi-arid regions of the world where fresh water resources are scare. In many
countries, domestic wastewater effluents constitute an additional source of water required for land
reclamation, landscaping and crop production. On the other hand, wastewater effluents generated by
some industries, e.g. the food industry has a great potential for reuse in irrigation after receiving
appropriate treatment. In particular, the dairy processing plants and the dairy farms generate
considerable quantities of wastewater that could be treated and reused at a reasonable cost.
Electromagnetic Field in Wastewater Treatment
Electromagnetism is a unique physical property that helps in wastewater purification by influencing

the physiochemical properties of contaminants in water. In addition, antimicrobial and antibacterial
791 ISBN: 978-93-5351-069-5

properties of magnetism are useful in wastewater treatment. In case of electromagnets, there is a

solenoid of electrical conducting wire wounded on the core made up of cardboard, plastic or iron.
Magnetic field is generated on the passage of electric current through the solenoid. Magnetic field is
generated due to the motion of charged particles. Magnetic field intensity of a solenoid depends on the
number of turns, current intensity, material of core, length of wire, etc. The magnetic field is
concentrated into a nearly uniform field in the centre of a long solenoid. The field outside is weak and
divergent. The magnetizing mechanism for the pollutant reduction is given as: The organic molecules
in wastewater would absorb the energy when the wastewater flowed through the magnetic field. Some
energy enhance molecules where they induced to an excited state, which was unstable relative to the
ground state, this increased the rate of chemical reactions for the degradation of organic substance in
the magnetizing process. However, wastewater exposed to the EMF by reducing surface tension and
in contact with the atmosphere they adsorb paramagnetic particles of oxygen. High concentration of
molecular oxygen in the wastewater have accelerated the processes of degradation of organic
matter.[5]
This research study highlights the effects of electromagnetic field on the dairy effluent after secondary
treatment using a developed lab scale model.
OBJECTIVES
To study the effect of electromagnetic field on dairy effluent characteristics.

To reduce the amount of fresh water consumption.
To reuse the treated effluent for gardening.
Characterisation of wastewater
Fabrication of the lab scale model
Experimental Trials
Initial and Treated effluent analysis
Conclusion
LITERATURE REVIEW
Zularisam A. et al. 2001 showed that the sewage was treated by the electromagnetic reactor which is
designed with sixteen solenoids (coils of insulated wires wound in the form of a helix with iron
cores). Magnetic strength range:148 to 670 Gauss. 63% of SS removal at 670 guass was observed and
suspended solids removal increases as the magnetic strength is increased[7]. M. Srinivasa Rao et al.
2013 showed that the reduction of COD: 67%, Hardness: 74%, and SS: 57% was obtained by the
treatment of sugar factory wastewater by electromagnetic fields generated by a solenoid coil (diameter
50 mm, 80 mm high, copper wire, 700 turns/m, self-inductance L = 3 mH, ohmic resistance 3 Ω) with
magnetic field intensity - 175 T to 879 T[4].M.Krzemieniewski et al. 2004 showed that the synthetic
wastewater prepared from milk powder and sewage was treated by the lab scale model which were
conducted with the use of devices for magnetic activation of liquids. Each magnetizer consisted of a
steel cylindrical body and a magnetic pile. The magnetic pile, made of permanent magnets was
generating a constant-induction magnetic field of an intensity between 0.4T and 0.6T. Removal rate
was COD:25-55%, chlorides:(25-40%) and ammonium nitrogen: (50-66%)[1].M.Krzemieniewski et
al. 2005 reported that the Fe packing in the technological system influence on higher pollutants
ISBN: 978-93-5351-069-5 792

reduction. COD removal in the dairy wastewater: 60% and COD removal for the sewage: 62% was
observed P-PO4 and P total after 48 hours in both the wastewaters reached to 0. The cylindrical
container is made of plastic material of diameter 200mm and height of 740mm and electromagnetic
coil was wound on the circumference of the container and the coil is joint to an electromagnetic
disintegrator. Current frequency: 10 kHz, Radiation intensity: 100µWb, Time interval:3,24,48 hr.
Two types of metal spirals-Aluminium and steel are used.[3]M. Krzemieniewski et al. 2004 reported
that the most efficient was the system that combined simultaneously steel filling and electromagnetic
field system under magnetic flux intensity Φ = 100.0 μWb and Φ = 135.0 μWb and The research was
carried out in three stages: First stage: Only metal packing system, second stage: Only
electromagnetic field system and third stage: Combined simultaneously the metal packing and
electromagnetic field system.[2]Nulhazwany Abdul Malik et al. 2015 reported that colour removal
was 54.8% that occurred at magnetic field and exposure time of 9 mT and 6.0 hour, respectively and
COD removal was 72.8% was observed at magnetic field and exposure time of 19.5 mT, and 15.0
hour, respectively[5].Moh Faiqun Ni’am1∗ et al. 2004 showed that two monopolar iron (Fe) plate
anodes and cathodes were employed as electrodes. DC current was varied from 0.5 – 1 A, and
operating time between 30 – 480 minutes. Three permanent magnets with different strengths were
used in this experiment, namely NdFeB of 0.55T, SmCo of 0.16T and AlNiCo of 0.08T. Reduction
was obtained by combined Process: SS removal – 92.3% and Turbidity – 81.25% and by EC process
SS removal – 89.3% and Turbidity – 75.16%[6]
ANALYSIS PART
Wastewater characterisation
The sample was collected from the Dairy industry. The sample was the effluent after the UASB from
the ETP Plant. The collected sample was analysed by the standard method of APHA.
Table 1. Collected sample analysis
Parameter Range
pH 6.59
COD (mg/L) 684
BOD (mg/L) 223
TSS (mg/L) 370
Lab scale performance
Experimental setup
The experimental work was carried out in the Environmental Laboratory of L.D College of
Engineering. The lab scale model was fabricated by Chlorinated polyvinyl chloride pipe (CPVC)
which is a thermoplastic pipe of 40 mm diameter and of length 500 mm. The copper wire of 25 gauge
was used to make 1400 turns in 5 layers on the CPVC pipe. The DC Power Supply was used to
convert the AC current to the DC current and to control the Ampere. The fire proof paper was used at
each layer to reduce the damage caused to the coil due to the heat generated. The ball valve was used
at the bottom to collect the effluent. The reactor is placed in a vertical position as to enable all the
magnetic field lines to pass through the air and water phase and thus the EMF can be introduced
without any losses. The magnetic field intensity is proportional to the current I in the coil.
793 ISBN: 978-93-5351-069-5

Figure 1. Schematic diagram of lab scale model
Methodology
The experimental trials are carried out in batches at ambient temperature. The experimental work was
done at varying magnetic field intensity and exposure time of 2,4,6 and 8 hours. The sample was
introduced from the top of the lab scale model. 1 litre of sample was filled in the assembly at various
current range such as 0.5 A, 0.7 A and 1 A with magnetic field intensity 0.15 mT,0.21 mT and 0.3 mT
and voltage was kept constant i.e; 22 V. After introducing the water into the EMF for 2,4,6 and 8
hours the COD, BOD and SS was calculated by the experimental procedure given in APHA manual.
The initial and final readings are compared at the end.
Figure 2. Working Lab scale model
ISBN: 978-93-5351-069-5 794

FINDINGS
The experimental results shown that as the magnetic field intensity increases, the pollutant removal
increases. It was also observed that the pollutant removal increases with increasing exposure time.
Effect of EMF on COD
The COD of the samples was determined by the standard dichromate reflux method. Longer exposure
time would give better reduction of COD. The highest 63% of COD reduction was obtained at 0.3 mT
and at 8 hours.
Graph 1 COD vs Exposure time
COD
800
684
677
665
COD (mg/L)
600 590
578
486 502
465 475
400 400 403 428
332 353
200 245
0
0 2 4 6 8
Exposure Time (Hr)
.15mT .21mT .3mT
Effect of EMF on BOD
As the Exposure time and magnetic field intensity increases, the BOD reduction increases. At 0.3 mT
and at 2,4,6,8 hours BOD reduction obtained was 178,132,111 and 84 mg/L respectively.
Graph 2 BOD vs Exposure Time
BOD
250
223
217
207
200 202
BOD (mg/L)
187
178 190
172
150 152 137 149
132
100 111 109
84
50
0
0 2 4 6 8
Exposure Time (Hr)
.15mT .21mT .3mT
Effect of EMF on TSS
TSS removal increases as exposure time and magnetic field intensity increases. The highest TSS
removal obtained was 198 mg/L at 8 hours and at 0.3 mT.
795 ISBN: 978-93-5351-069-5

Graph 3 TSS vs Exposure Time
TSS
400
370
353 353
341 345
300 311 311
TSS (mg/L)
282 284 284

255 257
227
200 198
100
0
0 2 4 6 8
Exposure Time (Hr)
.15mT .21mT .3mT
CONCLUSIONS
Electromagnetic field have shown a good potential for the wastewater treatment. EMF have low
installation cost and have simple operation and does not require expensive chemicals. By varying
time for 2,4,6 and 8 hours and at 0.3 mT, the COD reduction of 63 % whereas BOD reduction of
59% and TSS reduction of 44% was observed. As magnetic field intensity increases, the pollutant
reduction increases. The effluent was found to be reusable for gardening as per given discharge
standards of land for irrigation by CPCB, hence the usage of fresh water consumption for
gardening purpose will reduce.
REFERENCES
[1] Krzemieniewski M., Debowski M., Janczukowicz W, Pesta J, 2004, Effect of the constant
magnetic field on composition of dairy wastewater and domestic sewage, Polish journal
Environmental Studies, Vol.13, No.1,45-53.
[2] Krzemieniewski M., Debowski M., Janczukowicz W, Pesta J, 2004, The Influence of
Different Intensity Electromagnetic Fields on Phosphorus and COD Removal from Domestic
Wastewater in Wastewater in Steel Packing Systems, Polish Journal of Environmental
Studies, Vol. 13, No. 4,381-387.
[3] Krzemieniewski M., Debowski M., Janczukowicz W, Pesta J, 2005, The influence of a
constant electromagnetic field on phosphorus removal from wastewater in metal packing
systems, Polish Journal of Environmental Studies, Vol. 31, No.1,24-37.
[4] M. Srinivasa Rao, Omprakash Sahu,2013, Study of Electromagnetic Waves on Industrial
Waste Water, Physics and Materials Chemistry, Vol. 1, No. 2, 34-40.
[5] Nulhazwany Abdul Malik, Khalida Muda. Effect of Magnetic Field in the Treatment of
Textile Wastewater, Malaysian Journal of Civil Engineering,109-119.
[6] Su-Hee Shin, Yong-Ha Kim, Su- Kyong Jung, Kuen-Hack Suh, Combined Performance of
Electrocoagulation and Magnetic Separation Processes for Treatment of Dye Wastewater”,
2004, Korean J. Chem. Eng,806-810.
[7] Zularisam Ab. Wahid, Fadhil Othman, Johan Sohaili, 2001, Electromagnetic Technology On
Sewage Treatment, Malaysian Journal of Civil Engineering, Vol 13(1).
ISBN: 978-93-5351-069-5 796

PCE302
DETERMINATION OF HEAVY METAL CONTAMINATION OF MAHI

RIVER IN GUJARAT REGION
Himani Pandey
Assistant Professor ,
Department of Earth and Environmental Sciences,
K.S.K.V. Kachchh University, Bhuj-Kachchh, Gujarat-370001.
Institute of Technology and Management, Universe Vadodara, Gujarat.
Email:himanipandey@itmuniverse.ac.in
Abstract
The aim of the present study was to evaluate the heavy metal contamination of Mahi River in Gujarat
Region. The heavy metals like Ni,Cr and Cu are generally discharged into the river bodies through the
various industrial effluents. Mahi River covers three states Madhya Pradesh, Gujarat and Rajasthan.
Mahi River is one of the longest river which passes from Gujarat. It originates from Madhya Pradesh and
confluences at Gulf of Khambhat. This study was conceived in order to bring to light the present status of
heavy metal contamination in Mahi River and the impact of heavy metal pollutants on the chosen biota at
the receiving coastal water body.
Keywords: Heavy Metal, Water quality, Effluents.
INTRODUCTION
The aquatic environment is considered to be one of the best sinks and repository for the disposal of waste
generated by the various human activities (Abdullah et al., 1996). Due to its proliferating coastal
industries, river and near coastal water pollution in Gujarat is on the raise, necessitating long term
scientific investigation. Gujarat has four major rivers Narmada, Sabarmati, Tapi& Mahi. Rivers have been
utilized by mankind for thousands of years to the extent that few of them are now in their natural
condition (Ngoye and Machiwa, 2004).Industrial development results in the generation of industrial
effluents, and the release of untreated or treated effluents result in water, sediment and soil pollution
(Fakayode and Onianwa2002, Fakayode 2005). Various heavy metals like Cadmium, zinc, copper,
nickel, lead, mercury, cobalt, manganese and chromium are often detected in industrial waste waters,
which originate from metal plating, mining activities, smelting, battery manufacture, tanneries, petroleum
refining, paint manufacture, pesticide, pigment manufacture, printing and photographic industries, etc.,
(Kadirvelu et al., 2001a). Heavy metals are metals with specific gravity greater than 5 g/cm 3 (Nies,
1999). Lead, mercury, arsenic, and cadmium ranked as first, second, third, and sixth hazards on the list
from US Agency for Toxic Substances and Disease Registry (ATSDR) that lists all hazards present in
toxic waste sites according to their prevalence and the severity of their toxicity. The problem of heavy
metal pollution is a matter of serious concern on a local, regional, and global scale.
Mahi River which is a perennial river flows around 12 km from Vadodara city. There are many industries
797 ISBN: 978-93-5351-069-5

situated on the southern bank of the river. An effluent channel from the industrial area heads towards the
estuarine end of river and discharges the effluent in Mahi River near Sarod in Bharuch district. This
channel contains treated industrial effluent from various small and large industrial units. During high tide
these effluent are taken upstream and thus pollute the entire estuarine region. A small tributary, Mini river
flows through the industrial area and meets Mahi River near Sindrot, which is located in the upper
estuarine region .Mini river is usually laden with raw industrial effluent and thus further pollute Mahi
River. (Sharma, 1995).Over the years, continued discharges and proliferation of small and medium
industries in this area discharging pollutants into Mahi river either as a point or non-point source further
degraded the river water quality and the near coastal water where the river confluences with the sea. The
water quality measurements are important for minimizing industrial, mining or navigational accidents that
cause short-term pollutant releases into or along river. The monitoring will be beneficial to warn
downstream users and to mitigate secondary damages (Srivastava et al., 2011).The present study aims to
investigate the heavy metal pollution status of Mahi river and the near coastal water quality in the vicinity
of confluence at selected sites.
MATERIALS AND METHODS
STUDY AREA:
Total six sampling locations were selected and samples were taken for the further investigations.
TABLE-1 (SAMPLE CODE AND SAMPLING LOCATION DETAILS)
S. No. Sample Code Description of sampling location

1 JP ECP channel at J,Point at Mahi River Estuarine Zone,Sarod,Jambusar-Global
position-N =22011.107'E=072042.818', MSL-3 meters
2 M-1 Sea water quality at Thambeshwar Temple,mixing point-1,around7-8kms
from ECP discharge point-Global position-N=22013.027' E=072037.006'
,MSL-7 meters
3 M-2 Sea water quality at Rupeshwar Temple,mixing point-2,around 2-3kms from
ECP discharge point -Global position-N=22O11.648' E=072041.293',
MSL-4 meters
4 E-1 River Mahi estuary at Gambhira bridge,Padra around 15 kms U/s from ECP
discharge point and after confluence of Mini river-Global position-
N=22015.678'-E=072059.967',MSL-10 meters
5 E-2 River Mahi at Sindhrod bridge,Padra,U/s of GIDC,Nandesari,Vadodara and
around 6 kms U/s from point no.-E-1-Global position N=22020.493'-
E=073003.082',MSL-10 meters
Sampling and analysis:
The samples were collected in one liter plastic carboys and were preserved with nitric acid for the analysis
of Heavy metals. Total 9 trace metals were analyzed .Heavy metals in fish samples were analyzed by ICE-
Mass spectroscopy (Inductively coupled Plasma-Mass spectrophotometer).Heavy metals in water samples
were analysed by Atomic Absorption spectrophotometer -Graphite furnace, pop Mercury by cold vapour
method by using Mercury analyzer.
The bovine samples were also collected and analyzed to assess the bio-accumulation of metals in the fish
samples in the monitored areas. . The sample was weighted in the Teflon vessel, followed by addition of
ISBN: 978-93-5351-069-5 798

one or more oxidizer and kept for 8 hours at room temperature. After digestion, the sample was cooled at
room temperature then diluted to 20 ml with de-ionized water .The aim of the present study is to determine
the concentrations of Cd,Pb,Cu,Ni,Cr,Zn,Mn and Hg Cu in different tissues (muscles) of fish species of the
Arabian sea after mixing industrial effluents from Vadodara regions in to sea from Effluent Channel
Project, Nandesari and Mahi estuarine water (Gulf of Cambay, Gujarat)using flame atomic absorption
spectrometry.
RESULTS AND DISCUSSION:
TABLE-2 TRACE METALS ANALYSIS IN WATER SAMPLES:

Sample code Hg (µg/lit)
JP 8.765
M-1 6.8695
M-2 7.8768
E-1 4.127
E-2 0.768
TABLE-2(B)-OTHER TRACE METALS (MG/LITER)

Sample Parameters
Code
Cd Pb(mg/lit) Cu Ni Cr Zn Fe (mg/lit) Mn(mg/lit)
(mg/lit) (mg/lit) (mg/lit) (mg/lit) (mg/lit)
799 ISBN: 978-93-5351-069-5

JP 0.0007 0.09274 0.36545 0.15865 0.07689 0.14577 3.98764 0.65328

M-1 BDL 0.21637 0.17869 0.23434 0.36785 0.29876 78.33626 1.76592
M-2 BDL 0.26453 0.18965 0.26875 0.38675 0.32665 99.87654 3.15734
E-1 BDL 0.05977 0.09977 0.06783 0.0056 0.125872 18.6792 0.87211
E-2 BDL 0.05649 0.00864 0.00645 BDL 0.06453 0.387847 0.03886
BDL-Below detectable limit
TABLE-3 TRACE METALS ANALYSIS IN SEDIMENT SAMPLES:

TABLE-3 (A)-MERCURY-(µg/gm.)
Sample code Hg (µg/gm.)

JP 0.1173
M-1 0.1826
M-2 0.1499
E-1 0.1413
E-2 0.0786
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0.2 Mercury analysis in Sediment samples

0.18
0.16
Concentraion (µg/gm)
0.14
JP
0.12
M-1
0.1
M-2
0.08
E-1
0.06
E-2
0.04
0.02
0
Sampling Points
JP M-1 M-2 E-1 E-2
TABLE-3 (B)-OTHER TRACE METALS (mg/gm.)
Sample Parameters
Code
Cd Pb(mg/gm) Cu Ni Cr Zn Fe Mn(mg/gm)
(mg/gm) (mg/gm) (mg/gm) (mg/gm) (mg/gm) (mg/gm)
JP BDL 0.0013 0.062954 0.032639 0.042589 0.06579 34.99379 0.618992
M-1 BDL 0.0008 0.068592 0.038941 0.04886 0.076666 39.68752 0.657658
M-2 BDL 0.01254 0.069127 0.039784 0.049652 0.067567 40.75676 0.689856
E-1 BDL 0.0086 0.060253 0.036291 0.047948 0.063487 38.68617 0.546585
E-2 BDL BDL 0.027648 0.020196 0.032729 0.044271 25.3758 0.395565
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Below detectable limit
TABLE-4 TRACE METALS ANALYSIS IN FISH SAMPLES:
Sample Parameters
Code
Hg Cd Pb(µg/gm) Cu Ni Cr Zn Fe Mn(µg/gm)
(µg/gm) (µg/gm) (µg/gm) (µg/gm) (µg/gm) (µg/gm) ((µg/gm)
M-1 BDL 0.6757 5.6950 0.2840 BDL 0.0271 0.0299 0.0072 BDL
M-2 BDL 0.2860 BDL 0.4580 BDL 0.0196 0.0314 0.0064 BDL
E-1 BDL 0.5240 3.5660 0.4270 BDL 0.0217 0.0090 0.0057 BDL
E-2 BDL 0.2876 BDL BDL BDL 0.0198 0.0086 0.0070 BDL
ISBN: 978-93-5351-069-5 802

BDL-Below detectable limit
6 Trace metals analysis in Fish samples
5
Concentraion(µg/gm)
4
M-1
3 M-2
E-1
2 E-2
0
Elements
Hg Cd Pb Cu Ni Cr Zn Fe Mn
RESULTS DISCUSSION:
Trace metals Hg, Cd, Pb, Cu, Ni, Cr, Zn, Fe, and Mn were analyzed to verify the impact of ECP effluent
on the marine water, Mahi river water and sediment. The study is based on empirical data from three
different sediment logical environments: a river, a river mouth area, and an estuary. The sediments have
been analyzed for physical sediment character (water content and loss on ignition) and
chemical/contamination status (Pb, Cu, and Cd). The prevalent bottom dynamics influence the character
of the sediments and the representatively and information value of sediment samples.
The inferences on the metals analysis are as below:
 In water samples all the trace metals which are mentioned above were observed in JP location in
various concentrations. The measured metal Fe which is ranged in between 99.876mg/lit (at M-2,
may be due to mixing of sea water) location and 0.3878mg/lit. at E-2 location. In E-1 location the Fe
measured as 18.67mg/lit it may be due to impact of tidal influence and discharge of effluent into the
river. The trace metal Hg has measured in the range of 8.765µg//lit. at JP location to 0.768µg/lit. at
E-2 location. The Cd has measured as 0.0007mg/lit at JP location and in all other locations measured
as BDL. The Pb measured in between 0.09274mg/lit. to 0.05649mg/lit from JP to E-2 locations. The
other metals such as Cu, Ni, Cr, Zn and Mn were also found in the water samples. It can be inferred
from the metal analysis results that the discharge of effluent from the ECP channel and agricultural
wastewater discharges in the estuarine zone of Mahi river is showing the impact of trace metals in the
river as well as in sea water.
 In sediment samples all the above mentioned 9 metals were analyzed. In sediment Fe measured as
major metal, the maximum value observed at M-2 location 40.756mg/gm. (may be due to settlement
of solids discharged from JP location, accumulation due to long exposure). The other major metals
measured are Cd, Pb, Cu, Ni, Cr, Zn, and Mn. The trace metal Hg maximum value observed as
0.1499µg/gm., and the minimum value observed as 0.0786µg/gm. at E-2 location. It can be inferred
from the metal analysis results in the sediment samples, the accumulation of trace metals in the
sediment is observed may be due to the discharge of effluent from the ECP channel.
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 Trace metals were analyzed in the fish samples which were collected from the study area. In fish
samples also all the selected 9 metals analyzed .In fish samples traces of all the measured metals
(Cd,Pb,Cu,Cr, Zn,Fe) was observed except Hg, Ni, Mn. The major metal observed is Cd which was
having maximum value of 0.6757µg/gm. at M-1 sample and the minimum value observed as 0.2876
µg/gm. at E-2 location. It can be ascertained from the metal analysis results in the fish samples,
the accumulation of trace metals except Hg, Ni, Mn in the fish samples was observed may be due to
the discharge of effluent from the ECP channel and also the influence of sea water.
CONCLUSION:
It can be inferred from the above study, that the impact of discharge of effluent from the ECP channel and
other sources from Mahi River and sea water influence, the water quality, sediment quality in the
estuarine zone of Mahi river and also affecting the sea water negatively. Some trace metals also observed
in the fish samples which reflect the impact of the effluent discharge in the marine environment. In a nut
shell it can be said that the water quality, sediment quality and fish surveillance deteriorated due to
discharge of effluent. Monitoring of seawater and marine sediments quality requires information on both
the coastal area activities as well as land-based sources. The seawater quality and marine sediments
characteristics evolve as a function of natural oceanographic conditions and hydrological environment
and man-made causes. Proper understanding of the marine environment cannot be obtained without
proper information that is relevant to scientific oceanographic studies. Despite the fact, seawater
monitoring is complex, difficult and costly process. The domestic, industrial untreated wastewater and
fishing activities are the major sources of observed higher levels of heavy metals contamination in the
aquatic environment.
REFERENCES:
1. Abdullah, A.R., Woon, W.C., Bakar, R.A., 1996.Distribution of oil and grease and
petroleumHydrocarbons in the Straits of Johor, Peninsular Malaysia. Bulletin of Environment
Contamination and Toxicology 55, 155–162.
2. Fakayode, S. O. 2005. Impact assessment of industrial effluent on water quality of the receiving Alaro
River in Ibadan, Nigeria. AJEAMRAGEE, 10:1-13
3. Kadirvelu K, Thamaraiselvi k, and Namasivayam C (2001), “Removal of heavy metal from industrial
wastewater by adsorption onto activated carbon prepared from an agricultural solid waste”, bio
resource. Technol. Vol. 76, pp. 63-65.
4. Nies, D.H. 1999. Microbial heavy-metal resistance. Appl. Microbiol. Biotechnol. 51, 730–750.
5. Ngoye, E. &Machiwa, J.F., (2004), The influence of land-use patterns in the Ruvu
River watershed on water quality in the River system, Physics and Chemistry of the
Earth, 29(15-18), pp. 1161-1166.
6. Srivastava, P.K., Mukherjee, S., Gupta, M. & Singh, S.K., (2011), Characterizing Monsoonal
Variation on Water Quality Index of River Mahi in India using Geographical Information System,
Water Quality Expo Health , 2, pp. 193–203.
7. Sharma, A.H., 1995. Environment impact assessment along the effluent channel from Baroda to
Jambusar and at its confluence with Mahi estuary at gulf of Cambey with reference to heavy
metals.Ph.D.Thesis, M.S.University of Baroda
ISBN: 978-93-5351-069-5 804

PCE206
ANALYTICAL INVESTIGATIONS FOR UNLINED CANAL SEEPAGE OF

JOJWA- WADHWANA IRRIGATION SCHEME
Sherin S. Christian Dr. Niranjan M. Trivedi
PG Student in WRME Associate Professor
S S Govt. Engg. College, Sardar Vallabhbhai Patel Institute of Technology,
Bhavnagar, Gujarat, India Vasad, Gujarat, India.
ABSRACT
Seepage is a phenomenon of slow movement of water through a porous. In present days, scarcity of water
becomes a serious problem and fresh water is in limited quantity. The major problem in irrigation canal
is water losses due to seepage in unlined canal. This study focuses on the Jojwa- Wadhwana irrigation
scheme as a case study. Seepage rates were estimated by empirical formula and analytical equation.
Seepage rates were calculated for period of 4 years between 2014 and 2017. It is found that for the study
area, empirical Hungarian formula and analytical formula by Molesworth and Yennidunian give seepage
estimates closer to realistic seepage values. These seepage rates were calculated for six canal reaches.
Seepage rates variation for a particular canal reach for average discharge condition for period under
consideration (2014 to 2017) was found to be almost identical. Seepage estimates based on Hungarian
formula was found to be minimum as 129.75 ha-m in year 2014 and maximum 292.23 ha-m in year 2016.
Seepage rate by Molesworth and Yennidunian analytical formula was found to be minimum 115.06 ha-m
in year 2014 and maximum 292.40 ha-m in year 2016. The suggested analytical/empirical methods
provide a rapid, timely and reasonable estimate of canal seepage.
Keywords: Analytical Equation, Empirical Formula, Seepage, Unlined Canal.
INTRODUCTION
Seepage is the slow escape of a liquid through porous material or small holes. The modern theory of
seepage (infiltration) is based on the concept of a porous medium consisting of impermeable grains
separated by pore spaces. Seepage from irrigation canals is a problem of considerable importance. It has
been estimated that one-third to one-half of all water diverted for irrigation is lost in conveyance due to
seepage [1]. Seepage loss results not only in depleted freshwater resources but also causes water logging,
salinization, groundwater contamination, and health hazards. Seepage from irrigation canals may also
cause the water table to rise. Seepage may also cause waterlogged areas in the neighbourhood of the
canal.
For this study Jojwa irrigation scheme was selected. Jojwa irrigation scheme is located in Vadodara
district. The source of water is Wadhwana Lake. Wadhwana Lake has 5 outlets, through this outlets it
provide irrigation water to 24 villages of Dabhoi taluka of Vadodara district. The outlet No. 2 was
selected for this study (Fig. 1) and index map is shown in Fig.2. Canal is an unlined canal. Study was
carried out on six reaches.
805 ISBN: 978-93-5351-069-5

Figure 1. Outlet no.2
Figure 2. Index map of Jojwa-Wadhwana Irrigation Scheme
LITERATURE REVIEW
Below shown literatures were studied for this seepage investigation study.
Seepage Losses In Ismailia Canal
Sixth International Water Technology Conference, IWTC 2001, Alexandria, Egypt.
By Magdy H. Mowafy (2001) [6]
Seepage losses were calculated in seven different sections. The Empirical formulae used were Mortiz
formula (USSR), Molesworth and Yennidunia (Egypt), Indian formula, Pakistanian formula, and
Hungarian formula. The Analytical equation were also used i.e. Vendernikov, Farouk Mohamed, and
Molesworth and Yennidunia. The study concludes that the analytical equations by Molesworth and
Yennidunia for seepage computation in all canals yields better seepage loss estimates which are similar to
the Egypt canals.
A Critical Study of Water Loss in Canals and its Reduction Measures
Int. Journal of Engineering Research and Applications. Vol.5, Issue 3,(Part-4) March 2015.
By Bikram Saha (2015) [2]
ISBN: 978-93-5351-069-5 806

In this study used different Empirical formula to determine the seepage losses (Viz. Mortiz formula
(USSR), Molesworth and Yennidunia (Egypt), Indian formula, Pakistanian formula, and Hungarian
formula). The evaporation loss was found out by using empirical equation. Geosynthetic were used as
lining material to solve the seepage losses. The lining reduce the seepage about 18% to 19%. The lining
material depends on the budget, locally available materials, and on soil characteristics for infiltration.
Optimal Design of Transmission Canal
Journal Of Irrigation And Drainage Engineering / July/August 2002
Prabhata K. Swamee, Govinda C. Mishra, and Bhagu R. Chahar (2015) [12]
They considered a lined canal and designed it for the condition of uniform flow an average velocity of 0.6
to 0.9 m/s. This facilitated prevention of sedimentation when the silt load of the flow is low and a velocity
of 0.75 m/s is usually sufficient to prevent the growth of vegetation. The study included aspects like
methodology problem formulation, Nondimensionalization, Least-Cost Section Design Equations for
Each Subsection, Optimal Cost and Length of each subsection, Single Section Design of Transmission
Canal and Variable Section Design of Transmission Canal. A direct optimization procedure may be
adopted for the optimal design of irrigation canal sections and for the transmission canal but they require
considerable amount of programming and computation. The optimal design variables of a canal can be
obtained in single-step computations. The proposed method can be extended in developing equations for
the optimal design of a transmission canal having unequal cost of transitions and unequal length of
subsections.
OBJECTIVES
1. To conduct field investigations /collect data of canal cross-section at defined interval along the
selected canal reach.
2. To estimate the soil parameters required for various empirical and analytical methods to estimate
seepage losses.
3. To suggest suitable method to estimate seepage based on comparison of results by different
methods and field observations.
DATA COLLECTED AND EQUATIONS

Data Collected:
Data collection was done for six reaches of canal outlet no. 2. Data was collected for four years from
2014 to 2017. All data was obtained from Irrigation Sub Division of Vadodara.
Dimensions of the canal at six reaches are shown in table 1.
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Table 1. Cross- Section at six reaches of canal
Right side
Depth of canal Left side slope
Section Base width (m) slope
(m) (/)
(/)
180 m 3 1.765 1.14 0.83
720 m 3 1.652 1.08 0.81
1500 m 3.22 1.968 0.98 0.72
2430 m 2.5 1.746 0.51 0.5
3240 m 2.458 1.45 0.47 0.48
Average discharge of the canal from the year 2014 to 2017 and number of days canal run are shown in
table 2.
Table 2. Average discharge and no. of days canal run
Average Discharge Number of Days canal run

Year
(𝒎𝟑/day) (days)
2014 85631.04 83
2015 61162.56 140
2016 77414.4 211
2017 68506.56 204
Equations
To compute the seepage loss various empirical formulas and analytical equation used are explained
below.
4.2.1 Empirical Formula
Various empirical formula were used to compute the seepage rates at six reaches for year 2014 to 2017.
(a) Mortiz Formula (USSR) [3]

S ( )
In which,
• S: are the seepage losses in cubic meter per second per mile length of canal,
• Q: is the discharge( /sec)
• V: is the mean velocity ( /sec), and
• C: is a constant value depending on soil type taken as o.34 for clay and for sandy
2.2
(b) Molesworth and Yennidunia (Egypt)[4]
S=
In which;
• S : the conveyance losses for a given canal length ( /sec),
• L : the canal length in km.,
• P : the wetted perimeter in m,
• R : the hydraulic radius in m, and
ISBN: 978-93-5351-069-5 808

• C : the factor depends on soil types, for clay equal 0.0015 and for Sand equal
0.003.
(c) Indian Formula [5]
S=
In which;
• S : the total seepage losses in ( /sec);
• a : the area of wetted perimeter in million ;
• d : the depth in ; and
• C : factor depends on soil types and varies from 1.1 to 1.8.
(d) Pakistanian Formula [6]

S=
In which;
• S : seepage losses;
• Q : the discharge in ( /sec),
• P : the wetted perimeter of wetted section; and
• L : length of channel in .
(e) Hungarian Formula [8]

S=
In which;
• S : the seepage losses in /day/per meter length of canal;
• : the effective size diameter of the grains of the soil;
• H : the water depth;
• b : the bottom width of canal; and
• : The bed slope.
4.2.2 Analytical Equation
Molesworth and Yennidunia used to compute seepage rates for six reaches for year 2014
to 2017.
(a) Molesworth and Yennidunia [9]
S=
In which;
• S : the seepage loss in /s/km;
𝟑
• : the seepage loss factors in clayey soil in ;
• : the seepage loss factor in sandy soil; and

• R : the hydraulic radius.
• i : the bed slope
RESULT ANALYSIS
Estimation of canal seepage is essential for irrigation water managers to keep check on canal conveyance
losses. Computation of canal seepage is complex due to the spatial and transient variability of soil
properties, canal discharge and other factors. To account for these variability in terms of the boundary
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conditions and assigning concerned hydraulic parameters make calculating seepage rates complicated.
Therefore, researchers adopted analytical approaches to develop various empirical and analytical formulas
[10, 11].
Seepage rates were computed for year 2014 to 2017 shown below in table 3.1 to 3.4.
Table 3.1. Computation of Seepage for 2014
( /day/ )
Analytical
Formulae
Empirical Formulae ( /day/ )
Section
Year
Pakistianian
Molesworth
Molesworth
Yennidunia
Yennidunia
Hungarian
Formula
Formula
Formula
formula
Moritz
Indian
and
and
0-180
14.62 1.06 6.09 0.96 2.82 32.58

180-720
2.56 0.94 1.51 0.90 2.28 2.57

720-1500
1.24 1.97 3.09 1.10 2.83 4.71

2014
1500-2430
1.90 1.75 1.76 1.07 5.57 5.89

2430-3240
3.40 1.27 1.00 0.87 4.21 2.79

3240-4350
2.42 0.85 0.47 0.91 4.19 1.92
ISBN: 978-93-5351-069-5 810

Table: 3.2 Computation of Seepage for 2015
( /day/ )
Analytical
Formulae
Section Empirical Formulae ( /day/ )
Year
Pakistianian
Molesworth
Molesworth
Yennidunia
Yennidunia
Hungarian
Formula
Formula
Formula
formula
Moritz
Indian
and
and
0-180
12.83 0.87 3.75 0.83 2.30 27.99

180-720
2.64 0.76 0.87 0.77 1.80 2.27

720-1500
1.18 1.63 1.98 0.96 2.35 3.98

2015
1500-2430
1.90 1.37 1.00 0.90 4.45 5.19

2430-3240
3.78 0.93 0.47 0.71 3.09 2.65

3240-4350
2.68 0.62 0.22 0.74 3.09 1.83
811 ISBN: 978-93-5351-069-5

Table: 3.3. Computation of Seepage for 2016
( /day/ )
Analytical
Formulae
Section
Year
Pakistianian
Molesworth
Molesworth
Yennidunia
Yennidunia
Hungarian
Formula
Formula
Formula
formula
Moritz
Indian
and
and
0-180
13.73 0.96 4.82 0.90 2.56 32.18

180-720
2.76 0.85 1.16 0.84 2.04 2.57

720-1500
1.29 1.80 2.49 1.03 2.59 4.61

2016
1500-2430
2.02 1.55 1.35 0.99 5.01 5.88

2430-3240
3.79 1.09 0.70 0.79 3.65 2.88

3240-4350
2.69 0.73 0.33 0.83 3.64 1.99
ISBN: 978-93-5351-069-5 812

Table: 3.4 Computation of Seepage for 2017
( /day/ )
Analytical
Formulae
Section
Year
Molesworth and
Molesworth and
Moritz Formula
Indian Formula
Pakistianian
Yennidunia
Yennidunia
Hungarian
Formula
formula
0-180
13.38 0.92 4.38 0.87 2.46 29.57

180-720
2.62 0.81 1.04 0.81 1.94 2.37

720-1500
1.21 1.73 2.28 1.00 2.49 4.22

1500-2430
2017
2 1 1 1 5 5
2430-3240
3.66 1.03 0.60 0.75 3.43 2.70

3240-4350
2.60 0.69 0.28 0.79 3.42 1.86
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Empirical formulas help to calculate seepage when direct measurements of canal seepage are not
available. They are based on relationships found between water losses and the hydraulic conditions. These
formulas are developed for specific and localized conditions. Therefore applicability of such formulas is
not possible unless supported by field data and measurements to work out seepage losses from irrigation
canals. In the present study irrigation canal off-taking from Wadhwana Tank in Vadodara district is
selected as case study of unlined canal seepage.
The analysis of results presented in table 3.1 to 3.3 and give the following outcomes:
 Seepage rate by five empirical method and Molesworth and Yennidunia of analytical were
calculated for period of 4 years between 2014 and 2017. This seepage rate were calculated for six
canal reaches.
 For Wadhwana Irrigation scheme selected for the present study, Mortiz formula (empirical
formula) and analytical formula by Molesworth and Yennidunian provide close agreement with
field observation and amongst each other.
 Hungarian formula marginal over estimates seepage rates as compare to field observations.
 For canal reach (720-1500) m and (1500-2430) m estimated seepage rates are comparatively
higher as compare to other canal reaches. The analysis of soil sample support this observation as
soil is relatively having higher sand contain.
OTHER INFERENCES
Seepage rates per wetted area were found out and its outcomes are given as follows:
 Seepage rate in /s per of wetted area were calculated using empirical formula of
Mortiz Formula and analytical formula of Molesworth and Yennidunian for year 2014.
 These rates are found to varying between 1.54 / s per of wetted area to 9.13 /s per
of wetted area for different canal reaches.
 The published work of Swamee et al. (2001) provides the detail that seepage from unlined canal
is from 0.3 to 7.0 /s per of wetted area.
 Seepage rate in ( /day/ ) of wetted area were also calculated. These rates were found in the
range 0.134 to 0.79 ( /day/ ) of wetted area.
CONCLUSIONS
The following are the specific conclusions from this study:
1. For the study command area of Wadhwana Scheme, empirical formula by Hungarian formula and
analytical formula by Molesworth and Yennidunian give seepage estimates in close agreement
with the field observations. It is suggested that these methods can be adopted for seepage
estimation of other canals of this irrigation scheme and other schemes having identical conditions.
The suggested analytical/empirical methods provide a rapid and timely reasonable estimate of
canal seepage.
2. Other empirical methods viz. Molesworth and Yennidunia, Indian formula and Pakistianian
formula underestimate seepage rate for the study area of Wadhwana Canal and Mortiz formula
marginally overestimates the seepage rate and hence are not suitable to be adopted for the study
area.
ISBN: 978-93-5351-069-5 814

3. The seepage rate was found in range 1.54 to 6.68 / s per of wetted area (except in
canal reach 3 & 4). This seepage rates are in agreement with those suggested for unlined canals
by Swamee et al. (2014) [11,13].
4. The seepage rate was found in range 0.134 to 0.79 ( /day/ ) of wetted area. It is suggested by
study of Wilkinson (1986) that if seepage rate is more than 0.31 ( /day/ ) of wetted area,
there is a need of canal lining. The results from this study indicate that there is a need of canal
lining particularly for canal reach 3 to 6.
REFERENCES
[1] Bhagu R. Chahar (2013). “Analysis of Seepage from Polygon Channels.” Journal of Hydraulic Engineering ©
ASCE / April 2007.
[2] Bikram Saha (2015). “A Critical Study of Water Loss in Canals and its Reduction Measures.” Int. Journal of
Engineering Research and Applications. Vol.5, Issue 3,(Part-4) March 2015.
[3] H. E. M. Moghazi (1997). “A Study of Losses from Field Channels under Arid Region Condition.” Irrig Sci
(1997) 17: 105–110 © Springer-Verlag 1997.
[4] Herman Bouwer (1982). “Design Consideration for Earth Linings for Seepage Control.” Vol.20, No.5-
GROUND WATER-September-October 1982.
[5] Jean-Pierre Bardet and Tetsuo Tobita (2002). “A Practical Method for Solving Free- Surface Seepage
Problems.” Computers and Geotechnics 29 (2002)
[6] Magdy H. Mowafy (2001). “Seepage Losses in Ismailia Canal.” Sixth International Water Technology
Conference, IWTC 2001, Alexandria, Egypt.
[7] Mohamed Fawzy Bakry and Ahmed Abd El-Megeed Awad (1997). “Practical Estimation of Seepage Losses
along Earthen Canals in Egypt.” Water Resources Management. Kluwer Academic Publishers.
[8] Ms. K. D. Uchdadiya and Dr. J. N. Patel (2014). “Seepage Losses through Unlined and Lined Canals.” Int. J.
Adv. Appl. Math. And Mech. 2(2) (2014) 88 – 91.
[9] Swamee P. K. (1994). “Normal Depth Equations for Irrigation Canals.” J. Irrig. and Drain. Engrg,. ASCE,
120(5), 942-948.
[10] Prabhata K Swamee and Deepak Kashyap (2013). “Design of Minimum Seepage –Loss Nonpolygonal Canal
Section.” Journal of Irrigation and Drainage Engineering / March/April 2001.
[11] Prabhata K Swamee, Govinda C. Mishra, and Bhagu R. Chahar (2014). “Design of Minimum Water-Loss
Canal Sections.” Journal of Hydraulic Research. Vol. 40, 2002, No. 2.
[12] Prabhata K. Swamee, Govinda C. Mishra, and Bhagu R. Chahar (2015). “Optimal Design of Transmission
Canal.” Journal Of Irrigation And Drainage Engineering / July/August 2002.
[13] Prabhata K Swamee, Govinda C. Mishra, and Bhagu R. Chahar (2017). “Design of Minimum Seepage Loss
Canal Section.” Journal of Irrigation and Drainage Engineering/January/February 2000.
815 ISBN: 978-93-5351-069-5

PCE135
ASSESSMENT OF VEHICULAR AIR POLLUTION USING

OPERATIONAL STREET POLLUTION MODEL (OSPM)
Sonali Patel Bina Patel

Environmental Engineering Environmental Engineering
L.D.College of Engineering, L.D.College of Engineering,
Ahmedabad, India Ahmedabad, India
Abstract
Traffic is main source of air pollution in urban areas. The higher level concentration of air pollution at
the street is directly affected on human health. This study focus on hourly vehicular emission in
Ahmedabad city for selected street area using Operational Street Pollution Model (OSPM). OSPM has
been used in many countries for studying concentration of air pollution. Operational Street Pollution
Model predicts hourly concentration of CO, NO2 and PM2.5 at Ahmedabad street canyon. This paper
present on hourly measurement and passive sample measurement conduct and compared with model
output. The average fleet emission factors can be used for emission calculation for assessment of hourly
vehicular air pollution.
Keywords: Air pollution, street canyon passive sampling, Traffic, OSPM, Air quality modeling.
INTRODUCTION
Air pollution is major problem in developing countries as India. Air pollution generates from various
sources like area sources, line sources and point sources. Line sources (Vehicles) are the largest
contributor of air pollution in many locations in developing countries. Rapid urbanization and
transportation systems are increasing day by day and the improvements in technology are insufficient
regarding problems. Air pollution will be assessed, using various technologies and methods, including the
air quality modelling which depends on the source of air pollution generation.
Ahmedabad is one of the most polluted city in India and vehicular air pollution is major source of Air
pollution in Ahmedabad city. SAFAR (System of Air quality and Weather Forecasting and Research) is
hourly monitoring Air quality station of Ahmedabad for Air Quality Index (AQI).While Delhi has an AQI
of 278, Ahmedabad has 310, making the air quality of the city worse than other city(SAFAR, May 2018).
In OSPM, concentration of exhaust gases is calculated based on plume model for the direct contribution
and based on box model for the recirculating part of the pollutants in the street. The plume model for
direct contribution is based on the assumption that emissions and traffic-induced turbulence are uniformly
distributed in the street. The direct contribution is computed using an analytical solution of integration
along the wind direction and wind speed inside the street canyon. The crosswind diffusion is disregarded
and the wind direction at the street level is assumed to be a mirror of the roof-level wind.
ISBN: 978-93-5351-069-5 816

Numbers of Vehicles in Ahmedabad city
According to the transport department of Ahmedabad, in 2017 registered 2.90lac of two wheelers and
57,661 were cars. In 2017 two wheelers have come to constitute 72% of vehicles registered in the year.
Graph 1Number of vehicles in years of Ahmedabad city
Number of vehicles in years of Ahmedabad city

350000
300000
Numbers of vehicles
250000
200000 Number of
vehicles
150000
100000
50000
0
2008 2010 2012 2014 2016 2017
Year
Source: Transport Department, Ahmedabad
OBJECTIVES
a) Developed vehicular emission inventory of identified street.

b) Estimate of different categories vehicles emission load.
c) Estimate total vehicular pollution load at both receptor side and pollution recirculation in street
canyon.
REASEARCH METHODOLOGY
1 Need,Aim, Objective, Scope of the study
2 Literature Review on Vehicular air pollution modeling and OSPM
3 Data collection and input data and runs model
4 Evaluate Model performanceand validation
817 ISBN: 978-93-5351-069-5

LITERATURE REVIEW
OSPM applied on Hanoi and collected Input Data including; Street Configuration ,Traffic data, Emission
Data, Meteorological Data .The Model using in Hanoi for five selected streets and evaluated against
hourly concentration measurements of NOx , SO2,CO, and BNZ. Using OSPM result predict that
motorbike is the dominant vehicle constitutes 92-95% of Air Pollution in Hanoi [8].In the Netherland To
investigate the air pollutant at 3.5m for NO2and 3.2m for PM10 measurement conducted at street and the a
dispersion model result shows with a spatial database and a 3D GIS environment for visualization[4].A
review on Various Gaussian based line model for predicts impact of vehicular pollution. Various
Gaussian based dispersion model used for assess air quality like CALINE 3 , CALINE 4 ,GM, OSPM and
HIWAY 4.Two wheelers account 70% of the total vehicular population in India and Petrol Vehicle
dominate (approx.85%) vehicular population[7].A measurement was conduct in street of Helsinki in 1997
and on both side of the windward side and leeward side. Traffic density in the street was on average
approx. 26,000 vehicles per day. The OSPM Model perform well to reproduces the mean concentration
levels with very low wind speed and systematic average prediction of 22% for NO2
prediction[5].Evaluation of traffic pollution in Jagtvej , Denmark. In this research study concentration
measurement of NOx and CO using OSPM and COPERT methodology. In the street Jagtvej, the heavy-
duty traffic share about 5% pollution and OSPM model was under estimate NOx about 30% and 60%
underestimate of CO[9].Local air quality monitoring in UK using OSPM[10].OSPM is applied for
assessment of air Pollutant PM and NOx concentration measured in street canyon of sub urban area in
Chembur, Mumbai because of its industrial area and highly congested area in presence of vehicles. Result
shows that model performs 23% overestimate for NOx concentration and 45% underestimate for PM
concentration. The average concentration is higher than winter 19% for NOx and 3% for PM. Results
compared with three dispersion models, WinOSPM, ADMS-Urban 2.0 and AEOLIUS Full[2].
Determination of Traffic Producing Turbulence (TPT) effect using dispersion model OSPM for air quality
assessment of roadside CO concentration within street canyon. Result of prediction of TPT level for
traffic density that average traffic speed reduce due to congestion then resulting the decrease mechanical
turbulence in the street[3]. Ashok et al has evaluated the various Gaussian based line source models and
measured CO concentration near traffic junction in Mumbai city. In the result shows that GFLSM and
GM given better result as compared to other line source model including CALINE-3,HIWAY-2[1].OSPM
is used almost 20 years for Studying traffic pollution assessment and Analysis of field campaign
measurement at street level. This study may helpful to frame the strategies for abatement of pollution. In
this study results shows that the model validated with passive sampling data and comparison with other
model and measurement [6].
OSPM modeling at Panjarapole, Ahmedabad
Operational Street Pollution Model (OSPM) is one type of air quality modelling used to assess air quality
using the Gaussian based dispersion modelling for air pollutants dispersion in the air up to certain limit
during vehicular emission at particular street canyon.
Operational Street Pollution Model (OSPM) is used to calculate the hourly concentration of air pollution
at street level. Which is required Street configuration (building height, Road width and street orientation),
traffic data (number of motorcycle, car, truck, buses etc.), and meteological data (wind speed, wind
ISBN: 978-93-5351-069-5 818

direction, temperature, humidity etc.) and Background pollution Data (Hertel and Berkowicz,1989a ;
Berkowiwiccz et al.,1996,1997).
Diagram of Methodology of OSPM
Selection of Data Input data Model

study area requirement and model 3.1validation
Selection of
study area runs
Source:
Ahmedabad is located in north-central Gujarat. It covers the 464 km2 area and Description ofof
population OSPM
approx.
5,633,927 fifth most populous city of India which is increase 24.5%as compared 2001 census data. At
which Panjarapole is institutional area with high vehicle fleet and located at north of the city in
Navrangpura, Ahmedabad.
The annual average relative humidity of 55% and annual average temperature is 33ᵒ of the city. And
average wind speed of month November is 4.8 km/h with wind direction 40% in N and 35% in E at
Ahmedabad (IMD, November, 2018). Wind speed is directly affect on dispersion with combination of
temperature, humidity and emission cause elevated air pollution level at street.
Figure 1 Street map from Google Earth pro
In Ahmedabad city main vehicular emission dominant source; at which major pollutant are NOx, NO2,
NO, SO2, CO, and BNZ into atmosphere. But the CO and NO2 are main source of generation vehicular
819 ISBN: 978-93-5351-069-5

pollution and adversely affect to the human health. Therefore in this study focus on the CO and NO2
pollutant concentration measurement at street level using OSPM.
Data requirement
The second component of OSPM methodology would be collection of data for run the model. Data would
be collected from selected road hourly traffic data, meteological data, street orientation, and background
pollution data.
a) Traffic data
In Ahmedabad vehicular emission modeling study number of vehicle fleet classified in to five categories
including motorcycles, cars, buses, auto, and trucks. These vehicles category selected for vehicle count.
At route Panjarapole large numbers of motorcycle and cars are passing in peak hours of 5:00 to 9:00pm.
Graph 2Graphical presentation of vehicle
Numbers ofvehicles at Panjrapole,Ahmedabad
100%
90%
80%
Numbers of Vehicles
70%
truck
60%
bus
50%
Auto
40% cars
30% motorcycle
20%
10%
0%
3 4 5 6 7 1 2
Day of Week
Source: passive sampling Traffic data of Panjarapole, Ahmedabad
At route of Panjarapole also available public transport service as Ahmedabad municipal transport service
(AMTS) and Bus rapid transit system (BRTS). Average daily traffic density of vehicles category on
Panjarapole route is defined with graphical presentation shown in Graph 2.
b) Metrological data
The model required metrological data wind speed and wind direction, temperature and global radiation of
selected area. Wind speed and wind direction are provided on roof level of street and through the OSPM
estimate at street level. And temperature and global radiation are required for calculation of chemical
ISBN: 978-93-5351-069-5 820

reaction between NO, NO2 and O3.for this study data would be collected from Navrangpura SAFAR
station of Ahmedabad.
Figure 2Wind rose diagram using WRPLOT

WIND ROSE PLOT: DISPLAY:
Station # 1 Wind Speed

Direction (blowing from)
NORTH
41.5%
33.2%
24.9%
16.6%
8.29%
WEST EAST
WIND SPEED
(m/s)
>= 11.10
8.80 - 11.10
5.70 - 8.80
SOUTH 3.60 - 5.70

2.10 - 3.60
0.50 - 2.10
Calms: 0.00%
COMMENTS: DATA PERIOD: COMPANY NAME:
Start Date: 03/12/2018 - 09:00

End Date: 06/12/2018 - 20:00
MODELER:
CALM WINDS: TOTAL COUNT:
Figure 3Wind rose diagram using WRPLOT and import in Google map 0.00% 32 hrs.
AVG. WIND SPEED: DATE: PROJECT NO.:
8.63 m/s 26/12/2018
WRPLOT View - Lakes Environmental Software
821 ISBN: 978-93-5351-069-5

c) Street configuration
Street configuration is the ratio of building height to road width and street orientation of selected study
area. For OSPM street configuration indicate street canyon with building height and road width. For
selected area building height nearly 20-30 m and road width is 42m including with public transport
(BRTS) route with 20m.by the passive sampling of vehicle survey identified that Average daily traffic is
nearly 0.12 million vehicles on route of Panjarapole.
Figure 4 Vertical cross section of street view Figure 5 Top view of selected street of Panjarapole
d) Background pollution data
The OSPM requires hourly urban background pollution data for represents conditions at rooftop level in a
city or at ground level away from local sources (e.g., in a park area). From SAFAR station conduct hourly
background monitoring data to represent the urban background for the selected street route. For analysis
of the air pollution at street level of Panjarapole data would be compared with air pollution data collect
through passive sampling at urban background of Panjarapole.
Calculation of Vehicular Emission Rate
The vehicular emission Rate was calculate using the Emission rate and activity or based on types of fuel
and engine. Dispersion of vehicular emissions rate in to street is increase pollutant concentration levels
into street canyon. The methodology for calculate emission rate is described below. The density of
vehicular emissions can be calculated from the concentration of a particular nonreactive pollutant in the
street from following equation:
ER=A*EF
Where;
ER=Emission Rate
A= activity rate
EF=Emission factor
ISBN: 978-93-5351-069-5 822

Graphical presentation of emission rate of vehicles
Graph 3. Graphical presentation of emission rate of vehicles
Emission Rate Of Vehicles

18000
16000
14000
total
concentration
12000
10000 Buses
8000 Car
6000
Auto
4000
2000
truck
0 motorcycle
CO Nox
Air Pollutant
Result and discussion
The OSPM model was run for one week in month of December which shows the worst air condition of air
quality in winter season. The air pollutant dispersion in street canyon is driven by wind speed, wind
direction, and temperature. In the street canyon, wind speed and wind direction through generate the
turbulence of wind during the meteorological conditions. For validation purposes, the model results have
been compared with measured data and model result and for identified pollution of vehicles collect
background data from nearest SAFAR station of Navrangpura which is nearest study area. Navrangpura is
institutional area where the vehicles are dominant source.
823 ISBN: 978-93-5351-069-5

Graph 4Comparison of results of OSPM with measured data and Background data
180
160
Concentration 140
120 CO2
100
80
NO2
60
40
20
0
OSPM Measured Background
CONCLUSION
OSPM have handled specific meteorology and dispersion condition of environment inside street canyons
in the presence of high-rise buildings in street .The model calculated concentration of pollutant based on a
combination of a plume model for the direct contribution and a box model for their circulating part of the
traffic pollution in a street canyon. Finally, the concentrations predicted by OSPM compared well with
collected data at Panjarapole station and passive sampling and measure the concentration. The model
results shows that the concentration of NOx 16 % overestimate and result of CO 26% The OSPM model
can be applied for peak hours with vehicle density which indicate worse condition of air quality of
Panjarapole . The evaluated model can be applied for rational management of any canyon of the city to
assess and improve air quality.
REFERENCES
1. Ashok K. Luhar, R. S. Patil, 1989 ,A general finite line source model for vehicular pollution prediction,
Atmospheric environment, Volume-23, 555-562
2. Awkash Kumar & Matthias Ketzel& Rashmi S. Patil & Anil Kumar Dikshit & Ole Hertel,2016, Vehicular
pollution modeling using the operational street pollution model(OSPM) For Chembur , Mumbai (India),
Environ Monitoring Assess, 188-349.
3. Efisio Solazzoa, Sotiris Vardoulakis, Xiaoming Caia, 2007, Evaluation of traffic-producing turbulence schemes
within Operational Street Pollution Models using roadside measurement, Atmospheric Environment 41 (2007)
5357–5370.
4. G. Wang a, F. H. M. van den Bosch a, M. Kuffer, 2008, Modelling Urban Traffic Air Pollution Dispersion,
Remote Sensing and Spatial Information Sciences. Vol.37.
5. Jaakko Kukkonen, EskoValkonen!, Jari Walden!, Tarja Koskentalo", PaKiviAarnio", Ari Karppinen!, Ruwim
Berkowicz, Raimo KartastenpaKaK "2001,A measurement campaign in a street canyon in Helsinki and
Improvement assessment of the OSPM model performance by considering the secondary road dust emissions,
Atmospheric Environment ,Volume-35 ,231-243.
6. Konstantinos E. Kakosimos,A,D Ole Hertel ,B,C Matthias Ketzel B and Ruwim Berkowicz, 2010, Operational
Street Pollution Model (OSPM) – a review of performed application and validation studies and future prospects,
Environ. Chemistry, 7, 485–503.
7. N. Sharma*, K. K. Chaudhari, Chalapati Rao, 2003 Vehicular Pollution Prediction Modelling: A Review of
Highway Dispersion Models, Transport Reviews, Volume- 24, 409–435.
ISBN: 978-93-5351-069-5 824

8. Ngo Tho Hung, Matthias Ketzel and Steen Solvang Jensen, Nguyen Thi Kim Oanh, 2012,Air Pollution
Modeling at Road Sides Using the Operational Street Pollution Model- A Case Study in Hanoi, Vietnam ,
Journal of the Air & Waste Management Association, Volume- 60
9. R. Berkowicz, M. Winther, M. Ketzel, 2001, Traffic pollution modelling and emission data, Atmospheric
Environment, Volume-35,231-243.
10. Sotiris Vardoulakisa,_, Marios Valiantisb, James Milnerb, Helen ApSimonb,2007, Operational air pollution
modelling in the UK Street canyon applications and challenges, Journal of Atmospheric Environment 41, 4622–
4637.
11. http://envs.au.dk/en/knowledge/air/models/ospm/ospm-description/
12. cpcb.nic.in/cpcbold/Delhi.pdf
13. https://www.nrdc.org/sites/default/files/ahmedabad_aqi_-_final.pdf
825 ISBN: 978-93-5351-069-5

PCE170
APPLICATION OF GIS AND GPS IN PUBLIC TRANSPORTATION
SYSTEM MANAGEMENT (CONCEPTUAL STUDY)
Memon Sunhera Hanifbhai Meghrajiya Fiza Usmangani Suthar Yax Rakeshkumar

U.G. Student, U.G. Student, U.G. Student,
Sal institute of technology and Sal institute of technology and Sal institute of technology and
Engineering Research- Engineering Research-Ahmedabad Engineering Research-
Ahmedabad fizameghrajiya.fm.786@gmail.com Ahmedabad
sunherasun@gmail.com +91 83064 91862 sutharyax54@gmail.com
+91 85117 22341 +91 7043457771
Ayesha Sharique Syed Ms. Hettal M Tokle

U.G. Student, Asst. Professor,
Sal institute of technology and Engineering Sal institute of technology and Engineering
Research-Ahmedabad Research-Ahmedabad
ayeshasyed300@gmail.com htce2811@gmail.com
+91 9825049617 +91 8866382407
Abstract
Transportation utilizations of GIS and GPS along with latest technologies have progressed toward
becoming progressively prominent lately, to such an extent that they are presently routinely alluded to
by the GPS, GIS WIFI and sensor with this tradition will be clung to all through concept represented
in this paper. At the point when such a significant number of parameters are to be associated with
Transportation organize like travel time, speed, turning movement, record of number of passengers as
well as seat availability an real time monitoring system and so on. For such a major system GIS
(Geographic Information System) and GPS (Global positioning system) along with WIFI technology
and sensor substantiates itself as a productive device for explaining such a system issues rapidly and
with an incredible exactness. The GPS Software along with GIS is deciding the ideal courses or on
the other hand Best courses from one starting point to numerous goals sort of issue, with a target of
limiting travel separation and travel time of passengers in public transportation system. Suggested
project developed as better instrument for getting arrangement of such complex issues extremely
precisely and quickly. In this conceptual study application of GIS in public transportation system
proves to become problem solving by providing information by Data mapping and location analysis.
Keywords: GIS, Public Transportaion System, data mapping, location analysis.
INTRODUCTION
In the greater part of the developing nations, there are a few variables that add to the seriousness of
transport issues. The fast development of the substantial urban communities because of the
development in populace combined with increment in urbanization has presented genuine difficulties
in creating satisfactory framework facilities. The significant transportation issues are aimless also;
spontaneous improvement at the rural periphery with practically no arrangement of transportation
facilities, inadequate parking and expanding number of vehicle these all issues highly affects
portability. Portability is characterized as the access of transportation. It is critical in travel demand
models for decision of choice of movement with reference of choice available to costumer or
ISBN: 978-93-5351-069-5 826

passenger. Urban portability alludes to the effective development of individuals and merchandise,
through proficient, environmentally sound, safe and reasonable transportation that adds to enhancing
social fairness, general public health, flexibility if urban areas and profitability. Transportation and
versatility are perceived as integral to economic advancement since they upgrade financial
development, make strides availability and accomplish better integration of the economy, while
regarding the earth. Better transport elevates widespread access to social administration and
subsequently can make a vital commitment to merging and accomplishing improvement gains in
urban focuses.
OBJECTIVES
To provide facilitated system in Public Transportation System Management.

The system should be facilitated such that it should continuously provide data record of
passengers, tickets issued from the bus only through person handling the vehicle. The total
collection fare and data had been recorded at the end of day means the system able to provide
all data like collection of fare and number of passenger travelled.
In this conceptual study the proposal method is to provide Construction of a Database Entity of Bus
Service to keep the live ticket issued record of each ticket. Because of data base hold the real-time
ticket record sheet will also solve the problem of live count of passengers in control room. The GPS
can be able to locate the bus in real-time. Placing a wireless GPS transmitter in each bus will give the
live location of every bus directly to the Central Control Room by a receiver. Passengers boarding to
station will get the live availability of the bus, by placing an Automatic Intelligence sensor with a
special algorithm to count total number of passengers in the bus. This Automatic intelligence Sensor
will also be helpful to Control Room to count the passengers travelling without tickets.
Typical system management framework
LITERATURE REVIEW
In Akinyemi (1997), it has been discussed and shown that with among other things sustainable
mobility requires, environment impacts, costs of development in the country and operation of
transportation system based on economic growth of country are also taking part. In the study
following main interfaces have been identified. In the first inference discussed that sustainable
mobility is dependent on transportation supply. As the supply characteristic of transportation system
827 ISBN: 978-93-5351-069-5

increased the mobility of transportation system is also increased. In the second inference because of
inadequate supply of transportation characteristic mobility in developing country is low and
unsustainable. Example, in many developing countries and cities; thousands of people seen waiting
for so many times at public transportation system. As well as moving without mentally and physically
exhausted is difficult.
Megha, kumar and his team ………. research on public transport systems, vehicle characteristics etc.
In some selected areas of Punjab. As a result of research, Business model and profitability increased.
N.Thilagavathi and G.N.MallikarjunaRao.; has been studied on GPS system. The aim of the study is
to explore the applications of software like GPS in the field of transportation management and
engineering. It deals with specially Intelligent Transport System management. Use of GPS works in
dynamic route guidance has been placed.
SaedTarapiah, studied on public transportation vehicles - like buses, and mini-buses. The aim of the
study is to design and develop a smart or intelligent unit or system on public vehicles by using
microcontroller and sensors as well as empowering these all for communication with each other
through wireless technologies. This unit and its collaboration with other units will facilitate Offline
Intelligent Public Transportation Management System to society. That wills reducing risks and high
accidents rate, whereas it can increase the traveler satisfactions and convenience. The method and
based on framework working with software was proposed in project.
CONCLUSION
Here, the method is proposed, in which GIS, wireless GPS, transmitter, WIFI and Automatic
intelligence Sensor, real time recorder as a software used for formulating framework of management
system and controlling activities. These technologies were suggested to use for evaluation, planning
and future improvement in the public transportation system. Suggested system applied to real field as
whole or parts at all over the world especially mostly target developing countries. This limitation of
the proposed study may be appear by consider off-shelf technologies like WiFi, GPS and Open Street
Maps. Over all viewing provision goal of system is satisfied.
REFERENCES
1. Akinyemi, “sustainable mobility in urban area” science direct journal, 3: 2 Pp 30-45, 2006
2. Tatendambara, ” Mobility Challenges for the 21st Century” journal of Urban Mobility and Poverty
Reduction ISSN: 2279-1644 ,Sep-2010
3. Mega Kumar, Seema Singh, Akshima T Ghante, Sarbojit pal, Sangeetha Ann Wilson, “Informal public
transport mode in India: a case study of five city region’’. IATSS research, 2016.
4. A publication on “Sustainable Urban Mobility andPublic Transport In UNECE Capitals” Transport
trends and economic series; 2015.
5. Mintsis G., Basbas S., Papaioannou P. Taxiltaris C., Tziavos I.N., Αpplications of GPS technology in
the land transportation system, European Journal of Operational Research, Publisher: Elsevier, 152
(2004), pp.399-409.
6. - Tarapiah, Saed AU - Atalla, Shadi, - Public Transportation Management System based on GPS/WiFi
and Open Street Maps, DO - 10.14569/IJACSA.2015.060127, JO - International Journal of Advanced
Computer Science and Applications, PY - 2015/01/01, SP - 189, EP - 194, T1 VL - 6.
ISBN: 978-93-5351-069-5 828

PCE041
Study of Lift Irrigation method in Tapi District
Ms. Vandana P. Pandya Ms. Rina K.Chokshi

Parul Polytechnic Institute Parul Institute of Engg. &Tech.(DS)
vandanapp14@gmail.com chokshirina@gmail.com
9978345487 9429825116
Abstract
The economic base of the country depends on agriculture. In order to increase the agriculture yield, one
should not depend upon rainfall alone. A proper water supply would meet the requirement. Water is an
important element for increasing the agricultural production. Natural or artificial application of water to
soil for the purpose of moisture and the timely application of water for the growth and production of
plants will depends largely on the implementation of various irrigation projects. Water is a basic
resource on earth for all living organisms including mankind and for development and survival of plant
community. Normally, groundwater and surface water are used for irrigation and when water available
in these sources is taken away artificially by flowing it for supplying water in required quantity to crops,
it is called irrigation. Irrigation is a primary input for agricultural production. Lift Irrigation is a recent
form of irrigation, which differs from other traditional means of irrigation like well, canal and tank. This
paper focus the advantage of lift irrigation in the village “Juni Kachali & Naranpur Command Area’ at
tapi District, Gujarat, India.
Keywords: Agriculture, rainfall, irrigation, commands area.
INTRODUCTION
Lift irrigation schemes must accomplish two main tasks: first, to carry water by means of pumps from the
water source to the main delivery chamber, which is situated at the top most point in the command area.
Second, water must distribute to the field of the beneficiary farmers by means of a suitable and proper
distribution. Of these two issues, distribution is the most complex, for several reasons. First, whereas the
system for collecting water at the main delivery chamber makes use of pumps, the distribution system is
typically completely gravity-based, and has to be designed solely on the basis of the available hydraulic
head. In addition, the area to be irrigated is scattered and has varying topography, and each farm is of a
different size, so it can be a challenge to design a gravity-based system that allows each farmer a fair
amount of water. Several mechanisms have been developed to meet these challenges.
In the most prevalent system, the area under irrigation is divided into different blocks according to
topography determined by contour plan. The water requirement for each block is determined, and pipe
lines are designed for these blocks depending on the available head and required discharge. Field delivery
chambers are then constructed on the distribution pipe lines, and valves are fitted to control the flow of
the pipe lines, with flow from the main delivery chamber controlled by these valves. In this system, lines
for lower fields have more discharge, because the force of gravity is greater, so water distribution can be
unequal.
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In other systems, the area is divided into three or four equal parts, and each part is given the entire
discharge for one day. This means each part gets rotation of the full design discharge on the fourth or fifth
day. Again, however, water distribution can be unequal, and alternate methods of distribution have been
proposed to deal with this problem.
STUDY AREA
This project is in Tapi District. Area adjacent to Tapi River cannot be served by flow irrigation due to its
higher elevation then the water source and lift irrigation is the only alternative irrigation method that can
be adopted for giving irrigation facility to the farmers in Tribal area of said district. The Taluka map
shows location of lift irrigation scheme is attached here with.
Figure.1 Location of Tapi district
Tapi district
In tapi district Vagda is a tribal people taluka. In this area farmers have 1 to 2 acre field. They were
farming in monsoon seasons only. They do work in other field for 8 months instead of farming .in these
area farmers have not irrigation systems. Ukai dam &Tapi River is near to this village. but this area is
higher than river level thus they are not using canal for irrigation .After study this area TADC (TRIBAL
AREA DEVELOPMENT CENTRE-GANDHINAGAR) determine that there were no facilities for flow
irrigation that’s why they used lift irrigation .from the lift irrigation they lift water from tapi river to
distribute water in farming area, Because of this process farmer can irrigate for 12 months. After applying
this project farmer can improve their financial conditions.
DATA ANALYSIS
The scheme is situated at village Vagda Tal.: Songadh Dist.: Tapi. In Tribal Area of Gujarat State It is
located about -20- Kms. Away from Taluka place, water will be lifted from Tapi River. The proposed
scheme will cover 66 Hect. of command area and it will required 1.97 cusecs of water, to be lifted from
River accordingly pipe lines are designed . Total 144 nos. of farmers will be benefited from the scheme.
Out of this 144 nos. are tribal farmers. 0 nos. are baxipanch 0 nos. are others farmers As the Scheme will
be managed by group of beneficiaries and O & M Charges will be barred by them. The O & M Cost will
be recovered from the water charges to be levied by the group of beneficiaries. Government will provide
irrigation water lifting at zero cost. This NGO will guide for formatting co.op.society and will give
complete training for operation and maintanance of scheme.
 Name of work: Constructing of L.I. Scheme on high level canal of ukai dam at Vagda
 River:Tapi river, Uka
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 Taluka: Songadh
 District: Tapi
 Command Area: 66 Ha
 Area to be irrigated: 66 Ha
 Type of soil available: Black Cotton Soil- This soil has been named Black Cotton soil because it
is black in color & good for taking cotton crop in it.
 Source of water: high level canal of ukai dam
TECHNICAL ASPECTS FOR DESIGN OF LIFT IRRIGATION SCHEMES AND

PRACTICAL STEPS IN DESIGN OF LIFT IRRIGATION
Lift irrigation is practiced when the water-supply is at too low level to run by gravitation on to the land. In
such circumstances water is lifted up by mechanical means. Irrigation from wells is an example of the lift
irrigation, in which sub-soil water is lifted up to the surface and then is conveyed to the agricultural fields.
Lift irrigation schemes primarily consist of two type of works (i) Civil works and (ii) Electrical and
Mechanical works. These are mainly as given below. For lift irrigation schemes on canals an intake well
in not necessary and intake pipe is fixed in a head wall constructed on the canal bank. It is desirable to
locate the well at place where there is a continuous flow even under low water conditions and where
foundation conditions are good.
Table 3 Salient feature of Area
SALIENT FEATURE
1. Total G.C.A. (In Acres ) 163.00 66.00
2. Total C.C.A. (In Acres ) 163.00 66.00
3. Off take point High level canal
4. Water requirement(In Cusecs ) 1.97
5. Total Lift (In mt.) 13.00
6. Rising Main Dia.in MM . M S Pipe 250 PVC Pipe 280
7. Rising Main (Class of pipe)
8. Length of Rising Main in Mt. M S Pipe 30 PVC Pipe 30.00
9. Elect.Pump &moter Polder No./H.P 2 12.50
10. Size of Tank. ( Incl.F.B.) 5.00
14.No.of airvent with outlet Kundi 41
16. No. of Sluice Valve Chamber 6
17.Length and dia. of dist. system
Source: Taluka Panchayat village Vagda Tal.: Songadh Dist.: Tapi
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Intake pipe: Water from the intake well carried to the jack well or sump well through an intake pipe.
The size of pipe is governed by the discharge to be carried but it is generally of 750mm diameter for
lengths upto 15m. For larger length of pipe a 1200 mm diameter pipe is mostly used.
Jack well / Sump well: The water diverted from the river and carried through the intake pipe is
collected in a well called jack well/Sump well from where it is pumped to the command area. The term
jackwell is used when the pump house is directly over the well in which case vertical turbine pumps are
mostly used. When the pump house is located on ground and is near to it the well as called a sump well.
The design of the well is determined by the lowest water level and high flood level of the river as well as
the relief of the river banks. If the difference between the lowest water level and the high flood level is
within 4.5m then centrifugal pump set can be used and sump well constructed near the river bank. If the
difference between lowest water level and high flood level of the river is more than 4.5m necessitating
use of either vertical turbine or submersible pump sets it is necessary to construct a jack well.
Functionally, jack well and sump well are the same but their design is based on the relative river water
stages. Where the river bank has high relief it is preferable to construct a jack well instead of sumpwell
though the difference between the lowest water level and high flood levels may not be more than 4.5m .
This is mainly due to convenience of construction and approach to the well.
Jackwell
A jackwell is an important item of civil works in a lift irrigation scheme. It is generally circular in shape.
The jackwell should be located close to the river but should be so cited as to be safe against river attack
during floods. It should have a free board of about 1 m above the high flood level.
Sump Well
A sump well is an open dug well excavated underground and having a parapet wall above the ground
level.
Water Requirement :
The detail calculation of water requirement is put up in Anex I. The total water requirement as per
Calculation works out to be 1.97 cusec considering Crop water requirement as per the actual crop grown
and suggested by beneficiaries.
Pump house
Pump house for vertical turbine pumps for lift irrigation schemes where vertical turbine pumps are used it
is preferable to provide circular pump house over a circular jackwell. The floor level of the pump house
should be about 0.3m above ground level or 1.0m above high flood level whichever is higher. Although
the floor can be of RCC slab with suitable openings for lowering of the pump assembly, it is desirable to
construct it with wooden planks fixed with nuts and bolts on mild steel girders. The roof of the pump
ISBN: 978-93-5351-069-5 832

house should be of RCC slab of about 150 mm thickness. The height of the pump house should be kept at
5m. Gantry arrangements with chain pulley block can be provided at a height of 4m above the floor of the
pump house. This is very convenient for handling equipment equipment during erection, dismantling and
maintenance.
The pump house foundation should be taken about 0.6m below the ground level in hard soils about 0.9m
in other cases.
Design of pump and motor :
The actual peak demand of water is considered design of pump to lift the required quantity, It is proposed
to run the pump for 8 hour's per day. Average efficiency of pump considered 60 % for design of pump
Accordingly (as per L P S & Head ) 2 no of Polder Pump of 12.50 H.P. are proposed to lift the total
water requirement
Piping System :
Piping System from manifold near the pump house upto delivery chamber is one of the important units of
a lift irrigation scheme. The first and the foremost requirement of a piping system is to have the correct
size of suction and delivery pipes. The diameter of suction and delivery pipes should be such that fraction
head loss in them do not exceed to 10% of the equivalent pipe length. The lengthy of delivery pipe is
considered upto manifold only which is fitted close to the pump house. Beyond that it is generally
classified as pressure mains. In pressure mains beyond the manifold the permissible flow velocity is
confined to a maximum of 1.37m/sec. As a general rule the suction and delivery pipes should be one size
larger than the pumps suction/delivery flange size.
Rising main :
As per the design calculation, the diameter of rising main is worked out to be 250 mm. dia. M.S. pipe and
280 mm for PVC pipe The length of rising main is 40.00 Rmt. as M S pipe and 0 Rmt as PVC Pipe. The
average lift incl. Suction & Delivery head is about 13 Mts. The necessary provision of sluice valve, Air
valve & reflux valve is made in the estimate.
RESULT
Table 7 Net profit before Lift Irrigation
Statement showing the Net profit before irrigation
(A) Gross Receipt :-

Rs. in Lakhs
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(a) Value of Farm product

7.88
(b) Value of bye product
0.00
Gross value of product
7.88
(B) Expenses:
(a) Total cost of production 1.83

. ' .Net profit before irrigation = 6.05
Table 8 Net profit After Lift Irrigation
Net profit after irrigation :
(a) Gross receipt Rs. in Lakhs.

(i) Value of farm product 22.15
(ii) Value of bye product 0.00
Gross value of product 22.15
(b) Expenses-
(i) Total cost of product. 5.80
Total:- 5.80
Net profit after irrigation = 16.35
CONCLUSIONS
We conclude that because of hilly area method like flow irrigation can’t be used so we used Lift Irrigation
which led us to progress. After applying Lift Irrigation method many crops like bottle gourd, cotton, green
chili, peanuts, etc. are farmed. By this method the cost benefits ratio increased upto 2.31.
Table 9 Calculation of Benefit-Cost ration
Calculation of B C Ratio
(A) Receipt Rs. in Lakhs
(a) Net profit after irrigation 16.35
(b) Net profit before irrigation 6.05
Profit due to Irrigation 10.30
(B) Annual Cost :-
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i) Total cost of scheme (incl. HT/LT line) 89.09

ii) 100% from Government. 89.09
iii Annual depreciation @ 5 % 4.45
Annual Cost 4.45
Benefit due to irrigation

B. C. Ratio =
Annual Cost
10.30
B. C. Ratio = = 2.31
4.45
REFERENCES
[1] DESAI, R. G., 1991, Organization and management of lift irrigation schemes: a case study in Karnataka.
Agricultural Situation in India,46(7) : 501-505.
[2] KIMMAGE, K., 1991, Small-scale irrigation initiatives in Nigeria: the problems of equity and
sustainability; Applied Geography Seven oaks, 11(1) : 5-20.
[3] MARK, W. R. G. AND MARK, S., 1993, Asian food production in the 1990’s irrigation Investment and
management policy.International Food Policy Research,
Washington, DC.
[4] SETHU, C., BALARAMAN, S. N. AND GNANADANDAPANI, 1989, water resource management in
Tamil Nadu. Indian Journal of Agricultural Economics,
44(3) : 307-308.
[5] VIKAS RAWAL, 2001, Expansion of irrigation in West Bengal: mid-1970s to mid-1990s. Economic and
Political Weekly, 36(42): 4017-4024.
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PCE105
APPLICATION OF RESPONSE SURFACE METHODOLOGY FOR THE

TREATMENT OF DYEINTERMEDIATES WASTEWATER BY
HYDRODYNAMIC CAVITATION
Prof. Huma S. Syed Ms. Bhasha Mehta

GEC, Bhuj SRICT, Ankleshwar
humasyed67@gmail.com bcmehta92@gmail.com
Abstract
This paper focuses on statistical analysis carried through Box Behnken Design of Response Surface
Methodology (RSM) of the dye intermediates wastewater treated with Hydrodynamic Cavitation followed
by Ozonation in order to increase the treatment efficiency. The parameters optimized with RSM were pH ,
time for hydrodynamic cavitation and time for ozonation. The optimum value of time for hydrodynamic
cavitation was found to be 3 hours, time for ozonation as 3 hours and pH 6 which resulted in reduction
of COD as 77.125 %.Interaction between the factors Time for Hydrodynamic Cavitation, Time for
Ozonation and pH is the main feature to bring optimization in the treatment.
INTRODUCTION
Dye Intermediates wastewater consists of refractory organics which are non-biodegradable, having
BOD/COD ratio of 0.2 or lower. Dye intermediates wastewater if disposed into surface water without
treatment will cause a great threat to aquatic environment as these wastewater exhibit high COD, colour,
toxicity and fluctuating pH. Dye intermediates wastewater can be treated only with Advanced Oxidation
Process as it is the method which involves chemical transformation of refractory organic pollutants
and oxidize such pollutants into end products of CO2& H2O.[1]AOP’S consist of many processes such
as Hydrodynamic Cavitation, Advanced Fenton Process, Ozonation, Photo catalysis, Photolysis with
Hydrogen Peroxide and Ozone..But the two processes of AOP’S which have been taken into
consideration in the present paper is Hydrodynamic Cavitation and Ozonation and optimization in the
treatment has been done by BOX BEHNKEN design of RESPONSE SURFACE METHODOLOGY.[1]
OBJECTIVES
Objectives of the study are as follows:

1. To conduct literature survey of the treatment of Hydrodynamic Cavitation and statistical analysis.
2. To carry out treatability study and feasibility study of the treatment of wastewater.
3. To perform statistical analysis of the treatment through Box Behnken design of Response Surface
Methodology thereby achieving optimization in the treatment.
4. To achieve results from treatability and feasibility study to decide critical parameters to be
inserted in the Response Surface Methodology.
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5. To propose Box Behnken Design of Resposne Surface Methology
RESEARCH METHODOLGY
Principle of Hydrodynamic Cavitation
Hydrodynamic Cavitation is one of the AOPs (Advanced Oxidation Processes) which is used for the
degradation of wastewater containing dye intermediates. Hydrodynamic Cavitation uses cavitating
devices such as Venturi and Orifice in order to provide cavitation to wastewater. It works on the
Bernoulli’s Principle.
When wastewater passes through the converging section of Venturi, its kinetic energy increases and at the
same time pressure also increases. [2] When wastewater passes through the point of vena contracta or
throat of Venturi, throttling takes place which is sufficient to decrease the pressure at that point below the
vapour pressure of wastewater and exactly at that time cavities or bubbles form. Now when wastewater
passes through the diverging section of Venturi, pressure increases and gets recovered and exactly at that
time bubbles gets collapsed and generates hotspots with the temperature of the order of 10,000 K. and
pressures of about 1000 atm.[2] Under these conditions water molecules get dissociated into OH•and H•
radicals. Mechanism of the process of Hydrodynamic Cavitation is shown in the figure 1.[3]
These OH• radicals then diffuses into the wastewater of dye intermediates where they react with organic
refractory pollutants and oxidize/mineralize them. [3]
Fig1: Mechanism of Hydrodynamic Cavitation[4]
Optimization has been carried out by Response Surface Methodology introduction of which is described
below.
Introduction to Response Surface Methodology
Response Surface Methodology is a collection of mathematical and statistical techniques which are
applied for the experiments performed in research, in building models in different fields.[1] RSM is a part
of Design of Experiments which is an optimum tool in terms of statistical analysis of different treatments
done in different fields. RSM has been applied in variety of different fields. Currently, RSM has proved a
significant tool for optimizing and analyzing different water and wastewater treatment processes. [16]The
experimental data are analysed and fitted to the following second-order polynomial model.
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Equation 1
k k k 1 k
y  0   i xi   ii xi2    ij xi x j  
i 1 i 1 i 1 j i 1
(Source: [4])
Where,
y = the predicted response;
xi and xj are the independent variables,
β0, βi, βii and βij are regression coefficients for intercept, linear, quadratic and interaction coefficients
respectively,
ε is the error and k is the number of variables studied.
Box-Behnken design(BBD) of RSM is shown in figure 2:
Fig 2: Box–Behnken design (BBD)
(Source :[1])
Statistical Analysis generated by Response Surface Methodology based on input experimental data
defines the relationship between the variables which are independent (factors) and the dependent
variables (Responses) which is generally not done by One Factor at a Time of Experiments (OFAT).
Results of analysis are generally presented in the form of 2D contours and 3D plots.
Steps which are used in the application of Response Surface Methodology for optimization in the
treatment are as follows.
1. Select independent variables and their ranges.
2. Select experimental design and carry out runs.
3. Generate linear regression model equation based on the experimental results.
4. Verify model adequacy.
5. Represent model graphically and obtain optimal conditions. [4]
LITERATURE REVIEW
This section describes about the review of different literature done during entire project and are described
as follows:
Parag R. Gogate, Aniruddha B. Pandit, A review and assessment of hydrodynamic cavitation as a
technology for the future.
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Purpose
To understand information which describes that the phenomenon of cavitation is dependent on the
operating parameters. To assess Hydrodynamic Cavitation Reactors and compare with Sonochemical
Reactors. To review analysis of the bubble dynamics, optimum considerations of design and correlations
of design in terms of intensity of the phenomenon of cavitation.
Findings.
When sonochemical reactors were compared with Hydrodynamic Cavitation Reactors, it was found that
Hydrodynamic Cavitation Reactors have potential that they can be practically applied at industrial scale.
Hydrodynamic Cavitation Reactors can be used at larger scale of industrial operation.
Parag R. Gogate, Cavitation:An auxiliary technique in wastewater treatment schemes
Purpose
The purpose of the current work is to describe the use of one such recent technique known as cavitation
which is used for wastewater treatment applications. The purpose is also to optimize operating and
geometric parameters in order to obtain maximum efficiency.
Findings
Both Acoustic and Hydrodynamic Cavitation release active radicals with the generation of high
temperature and pressure. Some of the most significant parameters that affects implode of bubbles are
found to be inlet pressure/speed of rotation, speed of rotation, physicochemical properties of the liquid
medium, constituents of the liquid, geometry of the holes on the orifice plate and initial radius of the
nuclei. Where majority of the techniques fail to provide satisfactory conversion of the chemicals in
wastewater, cavitation can be used effectively for the degradation/decomposition of chemicals in
wastewater.
Abhilash T. Nair, Abhipsa R. Makwana and M. Mansoor Ahammed, The use of response surface
methodology for modelling and analysis of water and wastewater treatment processes: a review
The concept of Response Surface Methodology has been studied along with its application in different
water and wastewater treatment processes. RSM has been applied with a view to optimize variety of
water and wastewater treatment processes. RSM is a tool used for statistical analysis of the models
developed. Limitation of RSM are also highlighted. Attempts which are made to improve the method of
RSM by combining it with different modelling techniques are also described.
Research Gap: Researchers have carried work on only Hydrodynamic Cavitation and on only ozonation.
They have not done on the combined process. This work comprises treatment of dye intermediates
wastewater by Hydrodynamic Cavitation followed by Ozonation in a statistical model.
ANALYSIS
Optimization in Treatment Using Box Behnken Design
There is necessity that three factors should be inserted in the BOX BEHNKEN DESIGN in order to carry
15 Runs as the software requires results from 15 specific runs to optimize the variables to get optimum
removal efficiency. Selection of three factors plays a very significant role in RSM as the output of
statistical analysis depends mainly on these selected factors. Three different factors which have been
selected from the results of treatability and feasibility study carried out are as follows:
pH - Three values of pH are 4.5, 6 , 7.5
Time for Ozonation – Three values of time are 1h, 2h, and 3h.
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Time for Hydrodynamic Cavitation – Three values of HC are 1h, 2h, and 3h.
Range of each of the factors have been displayed from low level to high level. Low level has been
denoted as “-1” and High level has been denoted as “+1”.
Three factors with their corresponding values in low level and high level are shown as follows:
Factors Low Level Upper Level
pH 4.5 7.5
Time for HC 1h 3h
Time for 1 h 3h
Ozonation
After values of each of the factors has been inserted, a list of 15 runs of experiments has been displayed
by the BOX BEHNKEN design of Response Surface Methodology which is the guideline as per which
the experiments are required to be carried out.
Response of these 15 RUNS means 15 experiments are inserted in the BOX BEHNKEN design of RSM .
After responses has been inserted, to know the effect of interaction between the different factors and
between the responses, BBD of RSM generates second order equation. This type of equation is generally
not described by a simple linear equation.
The models for effluent Reduction in COD (%) in terms of coded factors based on the second order
polynomial were determined as:
Equation 2
Reduction in COD (%) = +72.00 + 5.62 * A +
4.50 *B + 3.13 *C – 1.25*AB + 0.00 *AC +
2.75* BC – 15.25* A2 - 2.00 * B2 - 3.25* C2
Where A= pH, B=Time for Hydrodynamic Cavitation, C=Time for Ozonation.

This equation has been generated from the responses of all the fifteen runs of BBD. Reduction in COD
(%) can be known from this equation directly thereby avoiding the need of doing more extra experiments
which is one of the biggest advantage of RSM. After representation of equation, ANOVA table appears in
the BBD OF RSM, which is representation of validation of models as described below in Section
Validation of the Model
Validation of the model has been done by Analysis of Variance Table (ANOVA) which is used to check
whether your model is adequate or not. This is represented by Table1.
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Table 1: Representation of Analysis of Variance (ANOVA) This table is software generated output.
R2 = 0.9369, R2adjusted = 0.8234, R2predicted = 0.0361,

Adequate precision = 10.082,
Table 1 describes Prob >F value for different factors as shown. A test is carried out to check interaction
between different factors which is known as Fischer Test. It is usually denoted with a Symbol “F” as
shown in table 1.
Following inferences can be drawn from the table1 :
 From the table, if the value of F is large, the resulting value of Prob>F will be small which proves
that model is adequate.
 If the value of ‘p>F’ is below 0.05, it indicates that model is 95% significant.
Here model is significant as the value of ‘p>F’ is 0.0032 which is less than 0.05 as shown in
table 1.
 Value of Lack of Fit is 0.0635 which is not significant and so the model is significant and it is
adequate.
R2 is the coefficient of determination which determines overall efficiency of model prediction. “Adequate
Precision” measures the signal to noise ratio. A ratio greater than 4 is desirable. Adequate precision of
this model is > 4.
Optimization
Optimization done in the treatment using BBD has been represented by two methods in 5.2.1 and 5.2.2:
Analysis of Response Surface Graphs Using Cramps
Response Surface Graphs can be analyzed to know the responses when the value of factor is maximum,
minimum and in range. Cramps are generated from the solution of the model which indicates practical
desirability of the model in the field. Following Fig: 6 shows graphs of cramps when pH is 6, Time for
Hydrodynamic Cavitation is maximum, i.e.3 h, Time for Ozonation is maximum, i.e.3h. It shows that
maximum reduction in COD (Response) as 77.125% has been achieved when Time for Hydrodynamic
Cavitation (Factor) is 3 h, Time for Ozonation (Factor) is 3 h and pH (Factor) 6 is maintained.
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Fig 6: Cramps of Solution when the values of factors is maximum
Fig 7 shows graphs of cramps when pH is 6, Time for Hydrodynamic Cavitation is minimum, i.e.1 h,
Time for Ozonation is minimum, i.e.1 h. It shows that minimum reduction in COD (Response) as
61.875% has been achieved when Time for Hydrodynamic Cavitation is 1 h, Time for Ozonation is 1 h
and pH 6 is maintained.
Fig 7: Cramps of Solution when the values of factors is minimum.
Interaction between the factors and their effect on the Reponses

Graphical representation of interaction between the factors and their effect on the reponses is shown by
the 3D plots as follows:
Figure 8 shows what will be the effect on the effluent COD reduction (%), at different pH values and at
different time of Hydrodynamic Cavitation when one factor i.e. Time for Ozonation is kept constant.
Middle Value of the 3D plot, which has been represented by Red dot shows that when Time for
Ozonation is kept constant as 2 h, with time for Hydrodynamic Cavitation as 3 h and pH 7.5, 62%
reduction has been obtained in the 4th run i.e.4th experiment.
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Fig 8: 3D plots showing interaction between pH and Time for HC and also their effect on effluent reduction in COD (%) when
time for ozonation is kept constant as 2 h
Fig 9 shows what will be the effect on the effluent COD reduction (%), at different time for
Hydrodynamic Cavitation and at different time for Ozonation when one factor i.e. pH is kept constant.
Middle Value of the 3D plot, which has been represented by Red dot shows that when pH is kept constant
as 6, with time for Hydrodynamic Cavitation as 2 h and Time for Ozonation as 2 h,72% reduction has
been obtained in the 11th run.
Fig 9: 3D plots showing interaction between Time for HC and Time for Ozonation and also their effect on effluent reduction in
COD (%) when pH is kept constant as 6.
Fig 10 shows what will be the effect on the effluent COD reduction (%), at different pH and at different
time for Ozonation when one factor i.e. Time for HC is kept constant. Middle Value of the 3D plot, which
has been represented by Red dot shows that when Time for HC is kept constant as 2 h, with time for
Ozonation as 2 h and pH 6, 71% reduction has been obtained in the 6th run i.e.6th experiment.
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Fig 10: 3D plots showing interaction between pH and Time for Ozonation and also their effect on effluent reduction in COD
(%) when time for HC is kept constant as 2 h.
CONCLUSION
When treatment is being optimized with help of BOX BEHNKEN design of Response Surface
Methodology, following conclusions are drawn:
1. BOX BEHNKEN design model is adequate and significant.

2. When time for Ozonation is kept constant as 2 h, with time for Hydrodynamic Cavitation as 3 h
and pH 7.5, 62% reduction has been obtained.
3. When pH is kept constant as 6, with time for Hydrodynamic Cavitation as 2 h and Time for
Ozonation as 2 h, 72% reduction has been obtained.
4. When Time for HC is kept constant as 2 h, with time for Ozonation as 2 h and pH 6, 71%
reduction has been obtained.
5. Maximum reduction in COD (Response) as 77.125% has been achieved when Time for
Hydrodynamic Cavitation (Factor) is 3 h, Time for Ozonation (Factor) is 3 h and pH (Factor) 6 is
maintained.
6. Minimum reduction in COD (Response) as 61.875% has been achieved when Time for
Hydrodynamic Cavitation is 1 h, Time for Ozonation is 1 h and pH 6 is maintained.
REFERENCES
1. Abhilash T. Nair, Abhipsa R. Makwana and M. Mansoor Ahammed, The use of response surface methodology for
modelling and analysis of water and wastewater treatment processes: a review, Water Science & Technology,
69.3,2014
2. Arati J. Barik, Parag R. Gogate, Degradation of 4-chloro 2-aminophenol using a novel combined process based on
hydrodynamic cavitation, UV photolysis and ozone, Journal of Ultrasonics Chemistry, Volume 30, May 2016, Pages
70–78
3. D. G. Aseev and A. A. Batoeva, Effect of Hydrodynamic Cavitation on the Rate of OH Radical Formation in the
Presence of Hydrogen Peroxide, ISSN 0036 0244, Russian Journal of Physical Chemistry, 2014, Vol. 88, No. 1, pp.
28–31.
4. Huiyuan Li, Yanhua Gong, Qianqian Huang, and Hui Zhang, Degradation of Orange II by UV-Assisted
Advanced Fenton Process: Response Surface Approach, Degradation Pathway, and Biodegradability Journal of
Industrial &Engineering Chemistry Research, 2013, 52, 15560−15567
ISBN: 978-93-5351-069-5 844

5. Kuldeep, Jitendra Carpenter, Virendra Kumar Saharan, Study of Cavity dynamics in a Hydrodynamic Cavitation
Reactor Energy Technology & Ecological Concerns: A Contemporary Approach ISBN: 978-81-93024-71-3
6. Kuldeep, Virendra Kumar SAHARAN, Journal of Hydrodynamics, Computational study of different venturi and
orifice type hydrodynamic Cavitating devices, 2016,28(2):293-305.
7. Madhu G M, Ashly Thomas, Deepak S, Preetham H S, Rajanandam K S,Escalation of degradation of malachite
greenand Methyl violet using hydrodynamic cavitations using different orifice geometry International Journal Of
Environmental Science,Volume 5, No 3, 2014
8. Manisha V. Bagal, Parag R. Gogate, M.V. Bagal, Degradation of 2,4dinitrophenol using a combination of
hydrodynamic cavitation, chemical and advanced oxidation processes Journal of Ultrasonics Sonochemistry 20
(2013), 1226–1235
9. Marcos Almeida Bezerraa,b, Ricardo Erthal Santelli a, Eliane Padua Oliveiraa, Leonardo Silveira Villar a,
Luciane Ame´ lia Escaleiraa, Response surface methodology (RSM) as a tool for optimization in analytical
chemistry, M.A. Bezerra et al. / Talanta 76 (2008) 965–977
10. Mohan M. Gore , Virendra Kumar Saharan, Dipak V. Pinjari , Prakash V. Chavan, Aniruddha B. Pandit ,
Degradation of reactive orange 4 dye using hydrodynamic cavitation based hybrid techniques, Journal of
Ultrasonics Sonochemistry 21 (2014), 1075–1082
11. P.R. Gogate, Cavitation: an auxiliary technique in wastewater treatment schemes, Journal of Advances in
Environmental Research, Volume 6, Issue 3, September 2002, pages 335-358.
12. Parag R. Gogate, Aniruddha B. Pandit, A review and assessment of hydrodynamic cavitation as a technology for
the future, Ultrasonics Sonochemistry 12 (2005), 21–27.
13. Patrick Braeutigam, Marcus Franke, Zhi-Lin Wu, Bernd Ondruschka, Role of Different Parameters in the
Optimization of Hydrodynamic Cavitation, Chem. Eng. Technol. 2010, 33, No. 6, 932–940.
14. Suvanka Dutta, Ananya Ghosh, Sankar Chandra Moi, and Rajnarayan Saha, Application of Response Surface
Methodology for Optimization of Reactive Azo Dye Degradation Process by Fenton’s Oxidation, International
Journal of Environmental Science and Development, Vol. 6, No. 11, November 2015.
15. Veronica CZITROM, The American Statistician, One-Factor-at-a-Time Versus Designed Experiments, No. 2,
Vol. 53, May 1999.
16. Virendra Kumar Saharan, Mandar P. Badve, Aniruddha B. Pandit, Degradation of Reactive Red 120 dye using
hydrodynamic cavitation, Chemical Engineering Journal 178 (2011), 100– 107.
845 ISBN: 978-93-5351-069-5

PCE005
IDENTIFICATION OF POTENTIAL FOR RECHARGE IN

SABARMATI RIVER BASIN OF NORTH GUJARAT, INDIA.
USING REMOTE SENSING AND GIS TECHNIQUES
Dr. Samta P. Shah
Associate professor, Sardar Vallabhbhai Patel Institute of Technology, (SVIT) Vasad,
samtashah.civil@svitvasad.ac.in
Abstract
A systematic approach towards groundwater development programs using Remote sensing
techniques is essential for the proper utilization and management of this precious and
overexploited natural resource, (Perry, C.J., 1999.) Large configuration computers, efficient
techniques for water management have evolved, of which Remote Sensing and GIS are of
greatest use for identifying ground water potential sites, (Saumitra Mukherjee et al, 2008).
In present work Groundwater resources potential have been evaluated in Sabarmati basin of
North Gujarat based Dharoi irrigation scheme using Remote Sensing and GIS techniques.
With the help of Survey of India toposheets, LISIII(1:23.5m) resolution , AWIFS (1:56m)
resolution and Landsat TM satellite data, various thematic maps like base map, drainage
map, soil map, geomorphology map, slope map, drainage density map and land use / land
cover map of the study area have been prepared using Arc GIS software. These thematic
maps have been integrated and appropriate weightage have been assigned to various
factors controlling the possibility to develop them as recharge zones. The results show that
there are five categories of groundwater potential zones ranging from very good to poor.
The categorization of potential zones is in general agreement with the acquired yield data of
the existing dug wells and bore wells. This depicts the favorable potential zones in the study
area for evaluation of groundwater resources. Finally it is concluded that the remote
sensing and GIS techniques are very efficient and useful for the demarcation of potential
water harvesting sites as part of command area development programme.
Keywords: Groundwater, GIS, thematic maps, groundwater potential zones, weighted

average Method, potential Rain water harvesting sites
INTRODUCTION
Remote sensing and GIS are playing vital role in field of subsurface hydrological
exploration program, by providing multi-spectral, multi-temporal and multi-sensor data of
the earth’s surface (saraf et al, 1999).The ability of remote sensing to generate the
information with spatial and temporal domain, which is very important for successful
analysis, prediction, validation and integrated use in hydrological investigations (saraf et al,
1999).GIS compliments the remote sensing technology by extending its capacity to handle
large amount of complex, spatial and temporal data base with relative ease. In India
monsoon is erratic and in general, subsurface and surface water resources are unevenly
distributed which gives rise to severe depletion of ground water resource. For the semi arid
area like North Gujarat, which has less surface water resources, agricultural sector has
greatly overexploited the aquifers, which has worsened the scenerio. The only way to tackle
the situation is planning extensive recharge schemes (Choudhury et al, 1999)Present study
has explored the study area, identifying it has overexploited aquifers and have made an
attempt to check the competency of command area for developing water harvesting schemes
as an integrated part of irrigation scheme. The recharge schemes can also prove to be the
solution to acute flourosis problem of North Gujarat region. The satellite remote sensing
based ground water inventory can help the hydrologists to select appropriate sites for
ISBN: 978-93-5351-069-5 846

locating various types of recharge structures (Sakthivel, et al. 2003)
STUDY AREA
The study area is the command of the Sabarmati Right Bank Main Canal (SRBMC), passing
through Mehasana district of North Gujarat state, in India. Region lies between, Latitudes
230 02’ N to 240 09’N,
Longitudes, 710 26’E to 720 51’E,Survey of India toposheets (SOI) numbers
46A05,46A06,46A09 and 46A10.The region is semi-arid with mean annual rainfall ranging
from 600mm to 800mm.The region falls into water scarce region. The Sabarmati Right bank
main canal has two district under its command, Mehasana district and Sabarkantha district.
The Mehasana district command under present evaluation has gross command area of 11652
Ha. Region has two major cropping seasons Rabi from October to February and Kharif from
March to June. The majority of irrigation is done during Rabi season. Region is
characterized by acute Flourosis problems in ground water making entire ground water
contaminated. There unawaibility of sufficient surface water supply from the Dharoi
irrigation scheme, of North Gujarat based Sabarmati river basin. This makes the
overexploitation of ground water, which causes pathetic situation of the natural ground
water
resource. Also the region has maximum share of Dairy industry developed which consumes
substantial share of water. To develop sustainable water resource management it becomes
necessary to develop the rain water harvesting practices scientifically.
SATELLITE DATA USED

Table 1: LISS III DATA (1:23.5M) RESOLUTION
No. of
Year
Path_ scenes Dates of
Sr.No. of Season
row per scenes
data
season
2007- 5th
1. 93_55 Rabi 1scene February
08
2008- 11th
2. 93_55 Rabi 1scene February
09
Toposheets Nos: for required data: 46A05, 46A06, 46A09, 46A10, of scale 1:50000,
Mehasana district. Villages:- Unjha, Visnagar, Vadnagar, Kheralu
Table 2: AWIFS DATA for Gujarat state in (1: 56) m resolution
Year of
Sr.No. Season Month dates of data used
Data
20/12/2007, 18/01/2008, 1/2/2008 and
2. Rabi 2007-08
25/02/2008
4. Rabi 2008-09 14/12/08,31/1/09,5/2/09 and 20/3/09
AWiFS satellite data for Gujarat state in 1: 56 m resolution is used to generate the Crop type
maps and is used to develop NDVI (Normalized difference Vegetation Index) maps using
the ERDAS Imagine
8.7 and ARCH MAP 9.1 Software’s, for two consecutive Rabi seasons of 2007-08, 2008-09.0
IRS 1DPAN merged remote sensing data acquired on 10 th, May 2010, geocoded 46A05,
847 ISBN: 978-93-5351-069-5

46A06, 46A09 and 46A10 at the scale of 1:50,000, for Land use pattern map, slope map,
drainage boundaries, roads network Taluka boundaries
MATERIALS AND METHODOLOGY
In the present study, IRS P6 (Resourcesat-1) - LISS III and IRS 1DPAN merged remote
sensing data acquired on 10 th, May 2010, geocoded 46A05, 46A06, 46A09 and 46A10 at
the scale of 1:50,000 and Survey of India (SOI) toposheets nos. have been used for the
extraction of various thematic maps like base map, geology map, drainage map,
geomorphology map, slope map, soil map, drainage density map and land use/ land cover
map of the study area. The thematic maps prepared were integrated using the Arc GIS
software for generation of groundwater potential zones map.Flow chart depicting the broad
methodology adopted in the study for preparing the groundwater potential zones map is
shown in. The significance of each theme in evaluation of groundwater potential zones is
briefly presented as follows:
ISBN: 978-93-5351-069-5 848

849 ISBN: 978-93-5351-069-5

THEMATIC MAPPING
The occurrence of ground water and its movement within the aquifers is greatly influenced by
Lithology, soil structure, geo-morphology, hydrological & elevation related factors. Each parameter
exercises control over the quality and quantity of ground water. Each and every parameter on all
individual thematic layers is individually considered with authentication of ground truth check wherever
possible. For the present study, it is proposed to complete the generation of data on every parameter
based on in all six themes as a separate layer.
1) The Base map for permanent features extracted from Survey of India toposheets (SOI),
2) Lithology,
3) Soil-structure,
4) Geomorphology,
5) Hydrology and
6) Elevation parameter from Shuttle Radar Topography Mission (SRTM) data.
Base Map Layer
The base map has four categories of information in which boundary of study area as per latitude
longitude and talukas boundaries is there, settlement agglomerations, road net work, railway lines. The
settlements are mapped as point coverage, the road network and railway lines as line coverage.
Lithology layer
All rock formations in the study area are to be mapped in single layer, litho units are annotated and
describe as polygon features, but the study area is not a rocky terrain so rock formations are not
significant for present study. The most significant part in developing Lithology layer is to take reference
of existing geological or hydro-geological maps and literature Understanding for the general geology of
the area and different parent rock type can be better referred. For present work there was no contrasting
rock types are encountered in study area and geological map of the scale 1:50,000 scales are available,
and same is considered as reference. The available geological maps were modified and updated after
incorporating the additional details as viewed in satellite imagery.
Soil-Type layer
The soils in the study area and its depth also become one of the key factors affecting the recharge and
transmittance capacities of the landform. The layer of soil classification is classified according to its
textural as well as the type.
Geomorphology Layer
All land forms/geomorphic units occurring in the study area are inculcated within single layer. They are
represented as polygon features in the layers. Each geomorphic groups which are classified as per their
type, are given the ranks as per their water holding capacity based on available literature on ground
water regime. The reclassified maps are prepared based on their compatibility to hold water. Sometimes
single geomorphic units/landforms may exist in one lithologic unit and other way. The geomorphic units
which further classified as shallow, moderate and deep categories based on their depth of weathering,
thickness of deposited material, etc have to be verified by observing existing river cutting, well bore
logs, pitsetc.
Hydrology Layer
There are 5 items which are considered for mapping in hydrology theme. They are a) drainage b) water
bodies c) Canals d) Irrigated area e) Wells. The drainage is represented as line as well as polygon
features. The water spread area is shown in polygon and river canals as line feature. Wells are
represented as point feature. In drainage layer all rivers and streams up to first layer is to be mapped.
ISBN:For present work the drainage delineation has-been
978-93-5351-069-5 850 done with the help of toposheets as well as latest
Land sat TM satellite imagery. Mapping water bodies also must be done by putting boundaries of water
bodies from SOI toposheets but reference from satellite image must be taken. Canal network upto third
order must be mapped taking reference of survey of India toposheets and new canals may be digitized
using satellite
CLASSIFICATION SYSTEM
Different types of rock formations, land forms, geological structures and recharge conditions exist
within the area. They are classified into different types mainly based on the composition, form, origin,
or association, etc, (Settle, P. J., and S. A. Briggs., 1987). Each type is identified and labeled by that
particular property based on which it is classified. Porosity and permeability become the basic property
which is of prime concern for ground water studies.
WEIGHTED OVERLAY TECHNIQUE
To access the ground water prospects of the study area, all different polygons in the thematic maps were
labeled separately. Knowledge based weight ages are assigned to each thematic feature after considering
their importance with respect to ground water. All the thematic maps are integrated in GIS environment
and polygon have been regrouped into different classes, (Murthy, K. S. R., Amminedu, E. and
Venkateshwar Rao, V. 2003).
WEIGHT ASSIGNMENT
Thematic layers viz, Land use layer, geology, geomorphology, soil type, drainage density, slope
(elevation layer), road, railway, village location map layers have been considered for suitability of place
as potential water harvesting site (Smith et al 1970). Based available knowledge from experts and
authentic published literature on role of each of these parameters in controlling the occurrence, storage
and distribution of ground water , weightage 10, 30, 15, 25, 20, uniform weightage is assigned to land
use layer, geology, soil type, hydro geomorphology, drainage density layer respectively. The uniform
weightage is assumed throughout the site for slope layer as the slope is almost uniform. Road, rail and
public utility places are considered straight way as non suitable site for water harvesting purpose. Also
all the layers are further classified into different classes based on their rank. The classes have ranks
ranging from 1 to 5, such that 5 has highest potential suitability for recharge and 1 has minimum
suitability for storing and transmitting the groundwater. Finally, the scores have been calculated as the
product of the weightage and rank e. g under the geology layer having weight 30 ,channel fill (Varahi
formation) have the rank 5 giving its final score as 30 * 5 = 150.The table below shows the scores of
different classes within different thematic layers. The reclassified thematic layers were generated after
scoring each class within individual layers and then all reclassified maps were integrated using G.I.S
software Arch Map 9.1. The weighted aggregation overlay method was adopted for the integration work
and final map showing the suitability of each pixel for its suitability as recharge site was developed
based on considered criteria. The table no.3 below shows the weight assigned to each thematic class
and ranks of classes within a thematic map.
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Table no: 3
OUTCOMES AND RESULTS:
Water Bodies
The water bodies comprising of rivers, streams, canal networks right from branch canals to field
distributaries, ponds, reservoirs and other water storing bodies occupied of about 6% of total study area.
The canals are normally found to be lined one at branch canal levels the distributaries’ and minors are
appearing in dark black color which shows they are unlined canals. There are two major non perennial
rivers bounding the study area Puspavati and Rupen River. There are no continuous drainage
connections within the command. Many paleo channels are reflected in satellite imagery visual
interpretation which shows that they have been buried due to scarcity of flowing water.
Waste Lands
Under this category two classes are considered,1) Salt affected and 2) Water logged area. There is no
salt affected area seen in the command and no water logging is also reflected. The result also shows that
the area is not having any wet lands on sandy deposits. Most of the areas falling under the category of
uncultivated land are seen to cultivable fallows. Strategic and conjunctive (surface and ground)
irrigation water management can convert all area into cultivated lands. The command area, thus does
not suffer from water logging and salinity but the water samples of the existing tube well (ground truth
details) showed the traces of unsafe ranges of fluorine content (>1.5 mg/l).The land use proves to be
highly potential site for water harvesting area as per the Land use classification category, being the
agriculturally predominant area.
ISBN: 978-93-5351-069-5 852

Road & Rail Network
The study area is well connected with the road network right from national highways to well constructed
village road networks. The Unjha railway junction is connecting the area with all major places in India,
(Shah, S. P., 2013.)
Geology
Fig 4 shows geology of the area is also recharge inductive as it falls under the category of silty loam and
alluvial deposits as per the map analysis
Drainage pattern
Fig 2 shows drainage is discontinuous but well connected giving better prospects of water transfer. This
is also excellent factor for practicing water recharge schemes. The geological layer shows mainly sand
sheet, sand dune of Jantral formation which gives excellent and good recharge capability, other
predominant geological feature is flood plain which gives moderate recharge ability. Hydro-
Geomorphologic units of the study area, having identical water bearing and transmitting capabilities,
show the presence of alluvial plains which has excellent water bearing and transmitting capacity giving
the area high potential for developing recharge areas. The rivers within the command are of non-
perennial nature which does not give them potential to work as source for recharge activity. The sources
of water recharge must be developed as induced, injection wells. The area shows very good to excellent
potential for recharge as per different parameters for water storage and transmittance. The source of
water for recharge becomes the thrust area of concern so Intra basin transfer practice is strongly
recommended as a command area development program for recharge activities. The area is having the
mild slope of about 3%, fig which is towards natural drainage areas which retains runoff and recharge
can be induced.
CONCLUSIONS
1. The digital analysis of satellite based output, clearly shows that the study area is predominantly
agricultural area and covers around 80% of the land cover classes of the area refer figure 1. This
is positive factor as a potential recharge site for any command.
2. Also 10% of total 80% shows perennial cultivation, which is classified as Alphalpha and
vegetables.
3. The results were derived for two consecutive Rabi season from multi temporal satellite data
source i.e. for Rabi 2007-08 and Rabi 2008-09, in Rabi cultivation the predominantly major
crop is found to be wheat and Raydo. The land use identifies the study area to be highly
potential for development water harvesting structures refer figure5.
4. The water bodies occupied of about 6% of total study area, refer figure 2, comprising of rivers,
streams, canal networks right from branch canals to field distributaries, ponds, reservoirs and
other water storing bodies as analyzed from the results.
5. The canals are normally found to be lined on at branch canal level the distributaries’ and minors
are appearing in dark black color which shows they are unlined canals, shows a good recharge
potential at village level.
6. There are no continuous drainage connections, as observed within the command, refer figure2,
many paleo channels are reflected in satellite imagery visual interpretation which shows that
they have been buried due to scarcity of flowing water, they can be potential sites for ground
water development.
7. Under the category of waste lands two classes are considered,1) Salt affected and 2) Water
logged area. There is no salt affected area seen in the command and no water logging is also
reflected. The result shows that the area is not having any wet lands on sandy deposits.
8. Most of the areas falling under the category of uncultivated land are seen to cultivable fallows.
853 ground), irrigation water management
Strategic and judicious use of (surface and ISBN: 978-93-5351-069-5
can convert all
area into cultivated lands. The study area is well connected with the road network right from
national highways to well constructed village road networks. For the development of recharge
schemes and inter basin connections can be practiced to solve the scarcity of irrigation water.
9. The command area, thus does not suffer from water logging and salinity but the water samples
of the existing tube well (ground truth details) showed the traces of unsafe ranges of fluorine
content (>1.5 mg/l).
10. Land use classification category, refer figure 4, shows that the area is agriculturally
predominant which can very well induce recharge.
11. The area is having the mild slope of about 3%, refer figure 3 which is towards natural drainage
areas which retains runoff and recharge can be induced which is shown in figure
12. It has been concluded from the exercise that the study area falls in the category of excellent to
good recharge potential area according to results refer fig 6.
RECOMMENDATIONS
The development of recharge schemes and inter basin connections can be practiced to solve the scarcity
of irrigation water. It has been concluded from the exercise that the study area falls in the category of
excellent to good recharge potential area. The integrated studies have been carried out on at the study
area, using remote sensing data, collateral primary and secondary data like well log data, ground truth
field data, they have been processed as per their remotely sensed spectral signatures to prepare thematic
layers. All thematic layers are integrated using the ARC-GIS software. The suitability of the command
area for developing recharge structures has been tested. This exercise is part of command area
development practice which can be implemented to increase the performance of the command
AKNOWLEDGEMENTS
The project was carried out at Bhaskaracharya Institute of Space application, BISAG, Gandhinagar, of
Gujarat, India. The authors are grateful to Dr.T.P.Singh, director BISAG, Gandhinagar, for providing
the Satellite imageries and other required data related to Mehasana command of Sabarmati Right bank
Main canal. Thanks are due to Dr.S.S.Ray of SAC-ISRO, Ahemedabad, Dr.Anjali.Bahuguna of SAC-
ISRO, and Ahemedabad for their valuable critical suggestions. I am also thankful to Mr. Vijay Singh,
Mr.Khalid and Dr. Mahesh Chodwadiya of BISAG for their valuable help during my study. Authors
must also be thankful to Dharoi Irrigation circle staff of Visnagar Dharoi colony for their valuable help
during data collection stage.
FIG 1: - IMAGE MAP OF STUDY AREA
ISBN: 978-93-5351-069-5 854

FIG 2: - DRAINAIGE MAP OF STUDY AREA
FIG 3: - ELEVATION MAP OF STUDY AREA
FIG 4: - LANDUSE PATTERN MAP OF STUDY AREA
855 ISBN: 978-93-5351-069-5

FIG 5: - GEOLOGY MAP OF STUDY AREA
FIG 6: - POTENTIAL RECHARGEABLE AREAS MAP OF STUDY AREA
REFERENCES
[1] Perry, C.J., 1999. ―The IWMI Water Resources Paradigm—Definitions and Implications‖. Agric.
Water Manage. 40 (1), 45–50.
[2] Saumitra Mukherjee, (2008). ―Role of Satellite Sensors in Groundwater exploration ―sensors ISSN
1424-8220.
[3] Saraf, A. K. and Chaudhary, P.R. (1998) ―Integrated Remote Sensing and GIS for Ground Water
Exploration and Identification of Artificial Recharge site‖. International Journal of Remote Sensing 19
(10): 1825-1841.
[4] Sakthivel, R., Manivel, M. and Alagappa Moses. (2003) ―Application of Remote Sensing data for
Delineation of Ground Water Potential Zones in the Kalrayan Hills, Tamilandu‖. Research paper in Map
India 2003, Department of Geology, Bharathidasan University, Tiruchirapalli- 24.
[5] Settle, P. J., and S. A. Briggs., 1987. ―Fast Maximum likelihood Classification of remotely sensed
imagery‖. International Journal of Remote Sensing 8: 723-734.
[6] Murthy, K. S. R., Amminedu, E. and Venkateshwar Rao, V. (2003) ―Integration of Thematic Maps
Through GIS for Identification of Ground Water Potential Zones‖. Journal Indian Society of Remote
Sensing 31 (3): 197-210.
[7] Smith (1970). ―Water Balance studies on conjunctive surface and tube well development
maintaining specified water balance‖ CSIRO online Dr. Francis Cheiw Land and Water Publication.
[8]Shah, S. P., 2013. Performance Evaluation o f Dharoi Irrigation Scheme Managed by
Participatory Irrigation Management, PhD, research Thesis submitted to Sardar Patel
University.
ISBN: 978-93-5351-069-5 856
BOOKS AND MANUALS CITED
[1] Fundamentals of Remote Sensing, George Joseph, 2003 published by Universities Press (India)
Private Limited, Hyderabad.
[2] Remote Sensing and Image interpretation, Lilsland and Kiefer. R. W., 1987 published by John Wiley
and sons.
[3] Manual by National Remote Sensing Agency (NRSA), Hyderabad for developing the national level
Land use Land cover classification system, 2008.
[4] A Land Use and Land Cover Classification System for Use with Remote Sensor Data Geological
Survey Professional Paper 964.
[5] Report of the Ground Water Resource Estimation Committee, Ministry of Water Resources,
Government of India, New Delhi, 2009.
857 ISBN: 978-93-5351-069-5

PCE301
VIRTUAL TRAINER: PERFECTION IN EXERCISE FORM

CHHATRAPALSINH ZALA
Student,
Government Engineering College, Gandhinagar
Zalachhatrapalsinh999@gmail.com
Abstract
Maintaining a healthy lifestyle depends on regular exercise and food we daily have. There are so many
exercises which require perfection and if we don’t do them in proper way, then it reduces the effectiveness
of that exercise and we might end up with different joint problems at the end of the day (Back problems,
joints problems, etc.). So, in order to identify the perfect form of exercise, we need personal trainer, but
everyone can’t get/afford a professional coach or a trainer. In today’s world we can approach this
problem with fast growing technologies like ML and AI, by focusing on exercise form and body posture
during exercise. So, in this paper I reviewed some machine learning algorithm and research papers to
correct the improper way of exercise.
Keyword: Deep Learning, Logistic Regression, Support Vector Machine, Regularization, Random
Forest, Decision Tree.
INTRODUCTION:
To know perfect form of exercise performed by user, we can use Microsoft Kinect v2, which is a motion
sensing input device produces a huge amount of data and then we can classify this data according to the
mussel group (e.g. Biceps, chest, back etc.) and then to analyze them, we will classify them in such a way
that we can train its components separately so that we can save some time. For example, we can
categorize simple squats classifiers based on angle of knee and back and so as for other exercise.
For example, if we approach lower body exercise (e.g. Free squats, lunges, etc.) then we need some ideal
data to which we can compare so in the beginning, we will use the data about exercises performed by
experts or professionals and then our classifier would be a squat-depth classifier, a knee-ankle-angle
classifier, and so on. Which will give us graphical representation of input data. We will compare to our
form of exercise and it will show the difference and which way we are going wrong. We will train our
model with these data to achieve high accuracy.
Now, other thing is food, which plays an important role in a healthy life for that we can measure BMI
(Body Mass Index), which is generated from height, weight and the job we have (e.g. Computer job,
student or field work, etc.) An average man requires 2500-3000 and women require 2000-2200 calories
per day according to his job [1]. But it varies in putting on weight and weight loss situations.
RELATED WORK:
The Kinect has been used to produce high quality 3D scans. The Kinect Fusion project allows the user to
use a ready-to-use Kinect camera as a 3D scanner to scan small or large objects in high-quality 3D. Scans
ISBN: 978-93-5351-069-5 858

of small or large objects [2]. Microsoft Kinect with Xbox 360 has already used for form detection in bio-
medical in a non-supervised setting. It will try to capture the human body in the form of dots and lines
and understands angle between body parts as shown in figure 2.1 [3]. And recently big companies are
collaborating with each other to improve athlete's strength and their form (Nike and Microsoft), and they
use Kinect to monitor athletes.
Figure 1 MS Kinect Figure 2 Sensors on Human Body
Source: https://ieeexplore.ieee.org/document/7579692
Source: www.xbox.com/en-US/kinect
This device will try to find hidden patterns among data and matches with some data called “idea data”.
And we know that everybody is different so, there will be different condition and parameters for different
users. This emphasizes the device that the user increases the number of delegates who adopts the
framework of improving the success of individual representatives [4]. Therefore, this solution does not
help in the diagnosis of specific problems with poor form.
The Kinect have different features which can track a different specific coordinate of the body. Another
application of the new version of The Kinect are as follow and this is the only reason it is been using in
karate and metrical art and medical treatment [2].
 Stroke recovery
 Translation of sign language,
 Gesture recognition
 Turning surface into touchscreen and
 Virtual reality interaction
 Augmented anatomical overlay
 Virtual cloth fitting
We know that we can‟t replace the human (Professional fitness coach) but at certain point they also can‟t
see the minor mistakes. So, we can use ML to reduce them.
Perch
There is a study, and a new startup made up of recent MIT students is developing an intelligent system
using camera vision and machine learning in the gym to create related workouts and sports development.
Modern fitness technologies do not allow you to get a complete picture of the sports movement. Due to
the new physical condition, the technical team is designed to track the movements and exercises of the
athletes, such as lifting weights, conditioning (cardiovascular exercises), etc. These data can be provided
to coaches and personal trainers for their analysis of daily progress
859 ISBN: 978-93-5351-069-5

Figure 3 Perch Sensors Network

The perch consists of a system that captures the
trajectory of the bar and the orientation of the body
with five degrees of freedom using cameras that
can track weight, dumbbells, weights, angles of
joints and body movements. Perch allows us to
create workouts, our own diet, conduct physical
examinations, assign speed thresholds and deliver
content directly to the tablet on a rock. The user can
view their historical data and training videos or
export the data as a CSV file, if necessary. [6]
Source: https://www.forbes.com/sites/leebelltech/2017/12/31/introducing-perch-the-startup-using-machine-
learning-in-the-gym-for-smart-workouts/#3804f63a2325
DATA COLLECTION:
To implement this type of project there was a research by Stanford athletes, they have presented such kind
of research in which they collected labeled data of the different exercise form. If we take squat and push
up then we will collect data from the group of people and categories them and label them accordingly.
Stanford athletes used Microsoft Kinect v2 for recording an exercise in different sets, so, that we can
extract the features among each rep, features will be independent and every feature will equally contribute
in the prediction. To find the accuracy of model we will ignore the labels we have and we will classify all
the features among different classes. Some examples of the classes are given below.
For Squats,
 Back-knees-angle,
 Leg-alignment,
 Hips-and-upper-body,
 Back-versus-hip angle, and
 Knees-and-toe angle.
For pushups,
 Elbow angle
 Head and back alignment
Leg straightness and alignment
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Figure 3 Pipeline method for feature extraction
Source: http://cs229.stanford.edu/proj2015/183_report.pdf
Now extracting features might be the hardest

task hear, to do that we have to select our
hyperparameter for different frames for each rep and
then extracting features according to all the axis.
Hyperparameter used hear will be tuned separately
before learning process and they are different then
the parameter comes by default with the structure
[7].
Now, after tuning hyperparameter we will split our

data in to two subsets training set and testing set.
According to classification of different components
features will be extracted. Each feature depends on
the classifier and each frame will perform according
to the exercise and muscle groups it is allocated.
METHODS:
As we have discussed earlier, we will split data in to two major subsets training and testing set then we
will give this data as input to different learning models like decision tree, classification and logistic
regression. The research shows that logistic regression does well on the data. Logistic regression performs
well when there is a binary classification in which there is sigmoid function takes input data and generate
sigmoid curve ranges in 0 to 1, There will be one threshold value, above and below that threshold value
all the data points will be categorized in common class. Now the last problem we might come across is
overfitting. Which can be handle by the regularization methods, one of L1 and L2 regularization might
help us to prevent overfitting. Generally used equation to compute sigmoid curve for binary and K class
classifications are given below.
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Hear for two independent classifiers: „Back-knee-angle‟ and „knee-toe-alignment‟ they used decision
trees. Decision trees are made of recursive split of data into sub feature set based on branching condition
and hyperparameter at each node. After completion of the recursion we will get tree in each internal node
represent branching condition and leaf node represents class label. Furthermore, for the decision tree
classifiers by setting max-depth parameter to some K number (K = any Natural number) we can prevent
overfitting from growing the tree too deep. The output of the classifier will give labeled class at leaf
nodes after completion of this process execution [8].
RESULT AND ANALYSIS:
Now if we experiment each classifier in different ML models like Support Vector Machine (SVM), etc. In
which generally the effective method is random forest, which grows a pool of different decision trees.
Now, whenever the new data comes it will give unknown data point to every tree and output will be the
majority class among pool. Generally, Training the model doesn‟t take too much time if our subsets are
well defined. Testing and accuracy of the data takes time
To reduce overfitting an appropriate hyperparameters for each different model of classifier and use of
regularization method (L2 for support vector machines and logistic regression) at max-depth
hyperparameter for different metrics of the random forests and decision trees might help or we can handle
all the over fitted data points separately.
As shown in the table each squat component tested individually, hear LOOCV (leave-one-out-cross-
validation) was chosen for cross validation because of the small training set we have, LOOCV ran on
various classifiers with minor changes in hyperparameter. The result shown in the table is the test result of
two hundred frames. Hear given result is based on random forest and decision tree so, for sampling
bagging method is used which generate all the samples sets with replacement of the features [8].
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Figure 6 Result for each classifier for different ML models
Source: http://cs229.stanford.edu/proj2015/183_report.pdf
CONCLUSION:
If we conclude all these things together then, the student of Stanford presented a decent method given to
correct form of exercise, there might be possible that for different independent classifiers some of the
features perform well and some performs average, it is depended on the hyperparameter we take for
distinct exercises for the different mussel group. Furthermore, this approach is generalizable for pushups
and many more different exercises with acceptable baseline results without losing much accuracy. Hart of
the model is data so, to continue this work, we need more training data increase our pool of random forest
and to experiment with different training the models.
REFERENCES
[1] Kris Gunnars, "How Many Calories Should You Eat Per Day to Lose Weight?," healthline, 6 7 2018. [Online].
Available: https://www.healthline.com/nutrition/how-many-calories-per-day.
[2] A. Jamaluddin, "www.hongkiat.com," 19 11 2017. [Online]. Available:
https://www.hongkiat.com/blog/innovative-uses-kinect/.
[3] Master Thesis, "DEVELOPMENT OF AN," 29 01 2014. [Online]. Available:
https://essay.utwente.nl/64507/2/Muijzer_MA_EWI.pdf.
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[4] C. A. S. a. F. V. Palma, "2015 20th Symposium on . IEEE," IEEE, 2015. [Online]. Available:
https://ieeexplore.ieee.org/document/7330452. [Accessed 2018].
[5] N. A. M. A. H. a. F. S. Sani, "Development Of Basic Taekwondo Training System Application," ISICO, 2015.
[Online]. Available: http://is.its.ac.id/pubs/oajis/index.php/file/download_file/1531. [Accessed 2018].
[6] Lee bell, "Introducing: Perch, The Startup Using Machine Learning In The Gym For Smart Workouts," Forbes,
31 12 2017. [Online]. Available: https://www.forbes.com/sites/leebelltech/2017/12/31/introducing-perch-the-
startup-using-machine-learning-in-the-gym-for-smart-workouts/#f76673d23251.
[7] Schoenfeld BJ, "Squatting kinematics and kinetics and their application to exercise performance.," NCBI, 12
2010. [Online]. Available: https://www.ncbi.nlm.nih.gov/pubmed/20182386.
[8] Brandon Garcia, Russell Kaplan, Aditya Viswanathan, "Your Next Personal Trainer: Instant Evaluation of
Exercise Form," 2016. [Online]. Available: http://cs229.stanford.edu/projects2015.html. [Accessed 2018].
ISBN: 978-93-5351-069-5 864

PCE233
Indian Sign Language Recognition for Communication Between Deaf

People and Normal People
Hamirani Hardik R.
Communication System Engineering
Shantilal Shah Engineering College, Bhavnagar, India
hardik.hamirani7@gmail.com
Abstract
The real-life communication the way of communicating a form of verbal or non-verbal messages.
Non-verbal communication involves gesticulating, body language, how we dress or body posture to
communicate a peculiar message. It is an ancient process of non-verbal communication in the world
when there is no assign language. Indian deaf people are mostly used the Indian sign language(ISL)
in India. Gujarati sign language is the regional idiom of the ISL. No standard datasets are available
for Gujarati sign language and little research being done in ISL related to Artificial Intelligence area.
The proposed system has creating the Gujarati Alphabet(vowels) sign image database and
classification done using Inception-V3 image recognition model. This definition purpose at taking the
basic step in bridging the communication gap between Inaudible-mute peoples and an ordinary
peoples using Gujarati sign language.
Keywords: Gujarati Sign Language(GSL), Deep Learning, Inception Model, Image Classification,
Artificial Intelligence.
INTRODUCTION
Sign Language Recognition has appeared as important domain of research in the Computer-Vision
field. There are approx. three hundred sign languages in use encircling the world. In some countries,
such as Tanzania and Sri Lanka, every school for the hearing impaired may have a separate language,
known only to its students. Deaf children have very exceptional educational needs and even amongst
them, their needs differ, in many ways they require qualitatively different services from the hearing
children, such as specific communication methods and teaching techniques, and a Specia1 curriculum
for the purpose of development of concepts and a sound language foundation. Hearing children begin
school with a well-developed oral language system which is used as the medium for their instruction
and which is the basis for the development of reading and writing skills. As against this, to most deaf
children, a primary overriding goal is to develop the basic language skills before they begin their
formal academic education Total communication is one of the approaches used teaching the deaf.
TC- Total Communication: The T.C. approach utilizes every form of input available to present the
vocabulary, complete sentences and grammatical language concept to hearing impaired people. It
involves signing, auditory training, oral skills, reading/writing, finger spelling, any form of
communication which stimulates a child to develop conceptual thinking, acquire language and
encourage him/her to express thoughts in the correct language order.
ISS - Indian Signing System: A system of signs/manual code for the vocabulary and grammatical
items in Indian languages. It is mandatory in the use of this system to use signs along with speech i.e.
simultaneously. Many of the signs in the ISS are an adaptation from ISL excluding the grammatical
structure.
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IMA - Indian Manual Alphabet: The handshape representing these sound/letter are called
Fingerspelling. IMA is also part of ISS-TC approach.
Figure 1 Hand sign symbols of Guajarati Vowels (ISL)
(i) (ii)
Source: Library of K.L. INSTITUTE FOR THE DEAF (Situated: Bhavnagar-Gujarat-India).
Over 5% of the world’s population – or 466 million people – has disabling hearing loss (432 million
adults and 34 million children), and it’s estimated that by 2050 over 900 million people – or one in
every ten people – will have disabling hearing loss [1]. In India specifically, there is no official
recognition of Gujarati Sign Language yet, even though according to conservative estimates 18
percent of India’s persons with disabilities have a hearing impairment out of 70 million disable
person, as per Census 2011 [2]. The scientific community has been studying ways to leverage
technology to support this, however most existing works target American Sign Language or other
non-Indian sign languages. For this reason, in our definition, Author concentrate on Gujarati Sign
Language. Our objective is to design a system capable of recognizing Gujarati signs (vowels)
gestures.
Fundamental of Neural Network:
Artificial Neural Network is the one type of data mining tool; it is an attempt to build a machine that
will mimic brain activities and be able to learn. Machine learning is an application of artificial
intelligence (AI) that provides systems the ability to automatically learn and improve from experience
without being explicitly programmed. Deep learning is a subtype of machine learning and Machine
learning is the subtype of artificial intelligence.
Machine Learning: "A Computer Program is said to learn from experience(E) with respect to some
class of Tasks and performance measure, if its performance at tasks(T), as measured by
performance(P), improve with experience."[3]
There are Three types of Machine learning:

(i) Supervised Learning:
Supervised learning uses regression and classification method to develop predictive models. In this
method we can have inputs as well as output; here input is predictors independent variable and output
is responses depended variable.
(ii) Unsupervised Learning:
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Unsupervised learning determines essential structures or hidden patterns in data. In this method we
have only input data; We have no label responses. Goal of this method is trying to find regularities in
the input.
(iii) Reinforcement Learning:

RL can guide an agent on how to act in the real world. Example real world: a robot that vacuums your
house, a robot that learns to walk.
OBJECTIVE
Figure 2 Motivation from KL Institute for the deaf
Source: K.L. INSTITUTE FOR THE DEAF(Bhavnagar-Gujarat-India)
The proposed definition goal is removing the communication gap between the normal peoples and
Deaf-Dumb peoples. There is a strong requirement of hand sign for Gujarati alphabet image dataset
for recognition Gujarati sign. This system classification is done for the Gujarati hand sign alphabet
using transfer learning technique which is a Machine learning method that utilizes a pre-trained
artificial neural network.
Sign language related extensively exertion done using Kinect sensor, gloves, EMG sensors, and many
more different methods; but we cannot say that same for machine learning algorithm. Because less of
work done in ISL using neural network approach.
Difference between dataset and database terminology:

Dataset: Before the training of model the images has no label, so we cannot identify the particular
image with its label, because of all data available randomly, so this concept is called dataset of
images.
Database: After the training of model the images have the label, so we can identify the particular
image with its label, so this concept is called database of images.
In this proposed method I have work separate into 6 types:
(i) Create Dataset of Gujarati alphabet
(ii) Training of Dataset
(iii) Hand Sign Procurement
(iv) Image pre-processing
(v) Hand sign Feature Extraction
(vi) Image Classification
Figure 3 System Architecture of hand sign gesture recognition
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All dataset Images has captured in oppoA57 mobile – 13MP camera with the same resolution for
training the dataset. Approx. 10,000 or more images created dataset related to 33 different class of
Gujarati hand sign for testing and training in this work. In Figure 4 shown that the different class
dataset for Gujarati vowels sign. For creating Image dataset, author obtained the help of six people’s
hand sign and captured images in three different angles with different light intensity. Here Author has
used as reference the Inception v3 model for initializing the network with own dataset. In the
Competition of Annual ImageNet large-scale visual recognition challenge 2014, the Inception model
was one of the appealing and winning team. This Model implemented on python 2.7. For the training
this model, initially an author has used the tensor-flow framework with 5000 steps and 0.01 learning
rate.
Figure 4 Gujarati 33 different Alphabet hand sign database
Google’s Inception-V3 model includes a two parts: (i) Feature extraction part with a convolution
neural network, (ii) Classification part with fully-connected and SoftMax layers.
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The number of output features in each dimension can be calculated in CNN using the following
formula of nout [4]:
Activation Function SoftMax is used in the final layer of artificial neural network - based classifier. It
is a generalization of logistic function.
𝑒 𝑥𝑗
𝜎(𝑧)𝑗 =
∑ 𝑒 𝑧𝑘
Where, j = 1, …., k. and Limit of ∑ = k-1 to k.
Figure 5 sample output of pre-processing and skin masking for Gujarati alphabet ક
LITERATURE REVIEW
There is widely dataset available for recognition American hand sign gesticulate, but we cannot say
same for the ISL regional Gujarati language, so here I have referred the ISL related work for analysis
previews work.
Author Ghotkar work on real-time hand gesticulate recognition system is proposed by means of Cam-
shift method, HSV colour model and Genetic
algorithm; cam-shift method is used in the open-cv
library and it is mainly used for closely image result
analysis [5]. Author Ananya, Anjan and kandarpa
worked on single handed and double handed sign
recognition using Conditional Random Field model
and they achieved recognition rate 90% for single
hand and 86% for double hand [6]. Author Fadia
Noori used the three flexi-fox sensors for three fingers
in gloves for recognized hand gesture movement,
every sensor has 2 ranges of voltage and every range
denote one word [7]. Author Dalawis researched on translate finger-spelling American S.L. into text
form using Microsoft Kinect and MATLAB and they have also used HOG for feature extraction [8].
Author Md Azhar and shayhan worked on Bangali sign language recognition using S.V.M.
(support_vector_machine) with 4800 images dataset [9]. Ms. Juhi and Mrs. Mahasweta recognized 0
to 9 numbers hand sign symbols with 1000 images dataset using HOG and SFIT algorithms for
extraction of hand features; S.V.M. with A.N.N. for classification and they achieved 99% accuracy
[10]. Author Anantha and all are worked with Deep Convolutional 4-layer neural network and they
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have used 5 users for making image dataset, per user they have created 60000 images; finally, author
achieved 92.88% accuracy [13].
ANALYSIS PART
All the accessible Gujarati Sign images are divided into three parts: (i)Training set of images
(ii)Testing set of images and (iii) validation set of images. As here proposed system used 70% hand
sign images for training intend, 15%-15% hand sign images for validation intend and testing intend
respectively. The whole process separate in to two phase. In first phase, the system pre-processes all
the hand gesture images on the dataset and second phase training the model for class.
Figure 6 Gujarati alphabet ક Recognition
First time, I have used tensor-flow 500 training step with learning rate 0.01 for approx.6,000 images
dataset.so, I have achieved 90.7% train accuracy. The second time I have increased my dataset 10,000
images and also increased training step 2000 with constant learning rate; so, second time I obtained
95.7% train accuracy.
Figure 7 Result Analysis

Accuracy (%) ક ખ ગ ઘ ચ છ જ ઝ ટ ઠ ડ
90-100 94 96.7 91
80-90 88 84 86.35 84.9 89
70-80 77 72.7 74
..<70 - - - - - - - - - - -
Accuracy (%) ઢ ણ ત થ દ ધ ન પ ફ બ ભ
90-100 98 91.9 94
80-90 84.9 88 83 81.5 88
70-80 77 78.75 76
..<70 - - - - - - - - - - -
Accuracy (%) મ ય ર લ વ શ સ હ ળ ક્ષ જ્ઞ

90-100 91 94 92
80-90 86.7 84 83 89 82.5
70-80 79 72.25 79.7
..<70 - - - - - - - - - - -
For the testing time, I have obtained variation in accuracy for every single different class of Gujarati
alphabet, shown in figure 7.
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CONCLUSION
Defiance of significant amount of research in the area of sign recognition, practically accomplishment
is very rare due to many limitations such as background light variation, noise, image quality etc. Our
system work presents a new approach for recognition Gujarati sign language. Because of no standard
dataset are available for Gujarati hand sign, author has created the image database for single handed
Gujarati alphabet (Vowels) sign and obtained state of the art results with the help of inception-V3
model. This system used for Inaudible-Mute person and who don't know the Gujarati sign language.
FUTURE SCOPE
In this work, author showed that it’s proposed gesture recognition system can recognize only the
alphabets of Gujarati Sign Language. The future work includes recognizing different other more
gestures in Gujarati Sign Language and Real time Gujarati sign language recognition with Gesticulate
to speech conversion.
REFERENCES
[1] World Health Organization Deafness and Hearing loss. Updated March 2018.
http://www.who.int/mediacentre/factsheets/fs300/en/
[2] 99pc of people with hearing disabilities in India are not matriculates
https://yourstory.com/2016/12/hearing-disabilities-india/
[3] https://towardsdatascience.com/what-is-machine-learning-and-types-of-machine-learning-andrews= machine
learning-part-1-9cd9755bc647
[4]https://medium.com/mlreview/a-guide-to-receptive-field-arithmetic-for-convolutional-neural-networks-
e0f514068807
[5] Ghotkar, Archana S., et al. "Hand gesture recognition for indian sign language." Computer Communication
and Informatics (ICCCI), 2012 International Conference on. IEEE, 2012.
[6] Choudhury, Ananya, Anjan Kumar Talukdar, and Kandarpa Kumar Sarma. "A conditional random field
based Indian sign language recognition system under complex background." Communication Systems and
Network Technologies (CSNT), 2014 Fourth International Conference on. IEEE, 2014.
[7] Al-Nuaimy, Fadia Noori Hummadi. "Design and implementation of deaf and mute people interaction
system." Engineering and Technology (ICET), 2017 International Conference on. IEEE, 2017.
[8] Dalawis, Rando C., et al. "Kinect-based sign language recognition of static and dynamic hand movements."
Eighth International Conference on Graphic and Image Processing (ICGIP 2016). Vol. 10225. International
Society for Optics and Photonics, 2017.
[9] Uddin, Md Azher, and Shayhan Ameen Chowdhury. "Hand sign language recognition for Bangla alphabet
using Support Vector Machine." Innovations in Science, Engineering and Technology (ICISET), International
Conference on. IEEE, 2016.
[10] Ekbote, Juhi, and Mahasweta Joshi. "Indian sign language recognition using ANN and SVM classifiers."
Innovations in Information, Embedded and Communication Systems (ICIIECS), 2017 International Conference
on. IEEE, 2017.
[11] Patel, Umang, and Aarti G. Ambekar. "Moment Based Sign Language Recognition for Indian Languages."
2017 International Conference on Computing, Communication, Control and Automation (ICCUBEA). IEEE,
2017.
[12] Dutta, Kusumika Krori, and Sunny Arokia Swamy Bellary. "Machine learning techniques for Indian sign
language recognition." 2017 International Conference on Current Trends in Computer, Electrical, Electronics
and Communication (CTCEEC). IEEE, 2017.
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[13] Rao, G. Anantha, et al. "Deep convolutional neural networks for sign language recognition." Signal
Processing and Communication Engineering Systems (SPACES), 2018 Conference on. IEEE, 2018.
ISBN: 978-93-5351-069-5 872

PCE204
AN IMPROVED DECISION TREE FOR ENHANCING CLASSIFICATION

TECHNIQUES IN DATA MINING
Ms. Ria Paneri
P.G Student, Computer Engineering
B.H.Gardi Collage of Engg. & Tech., India.
riapaneri7@gmail.com
Abstract
Extracting knowledge from huge data set that means mining useful data from dataset is data mining. Mining
can be done by analysing data dimensionally, categorically, and then representing review showing
relationship between dataset and data. There are different data mining techniques like association,
classification, neural network etc out of which in this research decision tree based algorithm is used but
due to rapidly growing data traditional decision trees are found to be time consuming. Also due to over
fitting of data some computation are supposed to move to external memory which would result in increasing
I/o cost , so in this research we implement an improved decision tree approach using map reducing model
to make algorithm time efficient and also scalable.
Keywords: Data Mining, Classification, Decision Tree, Map reducing.
INTRODUCTION
Now a days on the internet where there is overwhelming number of choices, there is need to analyze the
large dataset to extract hidden and unsuspected relationship in order to alleviate the problem of searching
required data from huge dataset and to extract knowledge from the incomplete, noisy and inconsistent raw
data [1]. Proposed approach is useful to summarize data efficiently so that data becomes simpler,
meaningful and understandable by the end users.
Information industries have huge repository of data, but this data can only be made useful if it is converted
to useful information that is knowledge for that Data Cleaning, Data Integration, Data transformation, Data
mining, Pattern evaluation and Data Representation, all these steps are essential[2]. After going through all
this process the information obtained can be used for various applications like market analysis and
requirements, risk analysis and management, text mining and web mining etc. These are common
application of data mining. Due to growing demand of data mining in diverse areas, it has gained a lot of
attention currently, many organizations have so initiated to digitalized their work instead to using paper this
have made data difficult to store and handle, whereas pre-processing in data mining have provided a better
quality of information which helps to find accurate decision[3]. To make the data comprehend easily
without having the domain knowledge, decision tree structure is used [4].
OBJECTIVES
Proposed approach is made such that it can deal with very large data hence map reducing model is used.
As such the biggest advantage of using Hadoop framework is that is can handle structured and unstructured
data along with it, it is very time efficient. Changes made in this algorithm would cover improvements those
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are as followed:
 To improve algorithm that can compute execution in minimum time.
 Time efficient because mapper and reducer technique is used.
 To improve efficiency over large data set by using random forest tree.
 To remove irrelevant record for diagnosis.
 To introduce design and implementation of proposed classification approach
RESEARCH METHODOLOGIES
Classification
Classification is analyzing process to find a model that predicts to which set the newly observed data
belongs to on the basis of training set. The purpose of classification is to predict the object’s class as accurate
as possible, whose class label is unknown [5]. There are various algorithms in classification such as ID3,
C4.5, and J48 CART etc.
Figure 1 Types of Data mining Algorithm
J48
Supervised Random
Classification Trees
learning forest
Data mining
algorithm
Unsupervised ID3
clustering
learning
There are two types of data mining algorithm they are supervised learning and unsupervised learning.
Classification is supervised learning where machine is provided with data and algorithm analyzes the
training dataset to produce accurate output from the data that is labeled. There are various classifiers for
classification which include decision tree, Bayesian classifiers, neural networks etc. Decision tree is most
powerful tool for classification where data is recursively partitioned, recursion stops when splitting the data
no longer contributes to prediction thus decision tree classifiers like J48, Random Forest, ID3 etc has good
accuracy.
Map Reduce
Map reduce is for distributed computing where the data processing is done over multiple computing nodes,
the algorithm contains two main tasks. Map takes the data and convert them into smaller chunks by dividing
it into <key, value> pairs. Reducer will take this pairs as input and combines it into small sets of tuples.
Here MapReduce framework is used which is based on divide and conquer technique which is used for
parallel computing of huge data. It includes five operations:
 Input: There is large dataset which is divided into small chunks and each chunk is processed
by map task.
 Map: Mapper instance is created, and input is processed. Map task produces output as <key,
value>.
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 Shuffle: The output provided by mapper class is given to shuffle and integrates the similar
keys, also it helps in improving performance.
 Reduce: It reduces the input data given by user, it takes output of shuffle as input and
processes final output.
 Output: reduce final output is then loaded in HDFS.
LITERATURE REVIEW
In this paper “High Blood Pressure Prediction based on AAA using J48 Classifier” Nimmala
Satyanarayana, Y. Ramadevi and K. Koteswarachari took Age, anger anxiety into consideration to predict
whether the person is prone to HBP or not. Using j48 algorithm here they have used 60% records to train
the model, and 40% records to test the model. Results showed 84.25 percent accuracy in prediction.
Experimental analysis is done on real-time data set consist of 1000 records. Each record consists of age,
anger level, anxiety level, systolic and diastolic blood pressure of a person. The authors here collected data
from 1000 people through interacting with people based on the different impact factors such as anger level,
anxiety level, systolic and diastolic blood pressure [6].
In this paper “Prediction of Recurrence Cancer using J48 Algorithm” Dataset has come up with the
information of patients undergone the treatment of Breast Cancer. Decision tree is made by taking degree
of malignancy as a root node. From the result of the experiment we can conclude that patient with specific
range of attribute value have more chances of recurrence cancer.J48 algorithm is been applied to the dataset
given by UCI machine learning having 286 instances and 9 attributes those are patient’s age, menopause,
Tumor size, Inv-nodes, node caps, degree of malignancy, breast, breast quadrant and irradiation so by
applying j48 algorithm, we get 201 correctly classified instances and 85 such incorrectly classified [7].
In this paper Parallel Decision Tree with Map Reduce Model for Big Data Analytics, here the author has
briefly described three V’s challenges in data mining those are volume, variety and velocity. Volume as
data is growing rapidly and to handle it is a challenge. Variety as data is not of fixed content that can be
image, video or hybrid of both thus to store this type of varieties of data is difficult to store such that mining
becomes easier is also a big challenge. Velocity as data is exponentially growing hence velocity of data is
also a big challenge. Above to this three V’s author have described few more challenges like veracity,
validity, volatility. Veracity refers to messiness of data for example twitter data have different social media
language and hash tags of different types which are difficult to process. Validity refers to correctness of
data and other is volatility that means how long a data can be stored in database. Thus, this have made
author to change traditional decision tree to improve by adding map reducing model to decision tree [8].
In this paper application of Decision Tree C4.5 Algorithm to Soil Quality Grade Forecasting Model author
have predicted the soil quality on basis of the soil components they are N, K, P properties prediction model
is build using C4.5 algorithm. The experiment results shows that the result generated by C4.5 algorithm is
easy to understand, is convenient for practical application, also helps in improving forecast accuracy. The
decision tree algorithm is simple and efficient which handles the data to generate rules, and easy to program.
Due to dispersion, large amount, and fast updating of the agricultural soil data, it takes difficulty to statistical
evaluation for people. The decision tree C4.5 algorithm provides a train of thought and method to solve this
difficulty and it provides the reliable theory basis for precision fertilization [9].
In this paper Feature Selection using C4.5 Algorithm for Electricity price prediction author have predicted
the electricity price by using C4.5 algorithm. There are various algorithms used to predict the electricity
price such as fuzzy method and decision tree but forecasting electricity price is challenging as there are
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various factor like time and weather also affect price in electricity hence it is complicated so taking only
some useful information in consideration will reduce the time complexity and generalization ability, this
would result in short term prediction of the electricity price. Electricity price forecasting is important in
smart grid. Smart grid is centralized unidirectional system of transmitting electricity power on demand. It
uses analog or digital data to collect and process data.
Various advantages of smart grid are reliability, load balancing, lowering electricity price, fault detection
etc. other thing where electricity price detection is related is feature selection, it can be described in two
components that is search strategies which reduces exhaustive search and evaluation measures for applying
different combinations to make search optimum. Feature selection method can be dividing as followed:
 Filter method: It is for pretreatment data. Selecting best subset and applying algorithm to
it from set of all feature to evaluate goodness without performing prediction.
 Wrapper method: In this method couples of searches are made to get optimum best subset
by evaluating the results.
The advantage of filter method over wrapper is that it faster than wrapper but the accuracy is not good.
Feature selection is important for electricity price prediction as it contains load and historic values of price.
Thus, it reduces time complexity and generalization ability.
Thus, here in this paper feature selection using C4.5 algorithm is used that represent tree where tree
represents decision while branch represents outcome, leaf node is class. Comparative study of ID3 and C4.5
is done which shows that the value of C4.5 is closer to actual value than ID3 [10].
In this paper A Scalable Random Forest Algorithm Based on MapReduce, here the algorithm is divided
into four steps as below
Stage 1: Initialization
This step includes generation of file descriptor by using scalable MapReduce random forest which through
which attributes is described.
Stage 2: Generating
This stage is based on map reduce so it will divide the dataset in different random subset randomly, also
using bagging algorithm will generate the bootstrap sample which are used for growing random forest and
would randomly select attributes, the decision tree is built such that splitting is done at the node having
highest information gain.
Stage 3: Voting
The decision is made based on the highest voting from the tree.
Map reducing is used so map function would randomly select the attribute to generate decision tree and the
reduce function merges all the decisions out of the map and generates last classified results [11].
In this paper prediction of disease using classification techniques author objective is to build the system to
predict health as accurate as possible here for this purpose two algorithms are compared, they are KNN and
C4.5. The most important step to predict accurate output is data preprocessing, replacing missing values,
feature selection and applying classification algorithm that is KNN and C4.5 and last to predict the result.
The dataset contains continuous value, so we can use C4.5 algorithm by using information gain while in
KNN algorithm new data is classified based on the nearest distance from new data by using Euclidean
distance. Here the dataset contains 768 samples. The KNN based classifier determines neighborhoods
directly from training observations and doesn’t build any classification model. It only works with numeric
feature vector. On the other hand, decision tree predicts a class using predefined classification tree with
contains both numerical and categorical feature vector. So, if it is needed to use any medical dataset with
numerical and nominal features, decision tree C4.5 is preferred than KNN [12].
Table 1 Literature Survey

Paper Detail Title Literature
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Nimmala Satyanarayana, High Blood Pressure -Algorithm J48 is used

Y. Ramadevi, Prediction based on AAA -Giving accuracy of 84.25 percent
K.Koteswara Chari using J48 Classifier [6]. prediction.
-The decision tree algorithm produces a
colossal size tree that reduces the
understandability.
ShakshiSharma, Prediction of Recurrence -J48 works well with both continuous and
Renuka Purohit Cancer using J48 discrete attributes
Algorithm [7]. -Also handles missing values
-It also gives an option for pruning trees
after creation
-Pruning algorithms will be expensive.
AratiKoli, Parallel Decision Tree with -C4.5 with map reduce is used
Swati Shinde Map Reduce -The proposed methodology performs
Model for Big Data classification task faster than normal C4.5
Analytics [8]. algorithm when dataset is big.
-C4.5 constructs empty branches.
-We have found many nodes with zero
values or close to zero values which does
not contribute anywhere.
Li Dongming, The Application of -The decision tree algorithm is simple and

Li Yan, Decision Tree C4.5 efficient which handles the data to generate
Yuan Chao, Algorithm to Soil Quality rules, and easy to program.
Li Chaoran, Grade Forecasting -The decision tree C4.5 algorithm provides
Liu Huan and Model [9]. a train of thought and method to solve this
Zhang Lijuan difficulty and it provides the reliable theory
basis for precision
Fertilization.
Hehui Qian, Feature Selection using -In this paper the performance of C4.5 is
ZhiweiQiu C4.5 Algorithm For compared with ID3 and it is concluded that
Electricity price prediction the performance of C4.5 is better than the
[10]. ID3 in terms of accuracy experientially.
-It not only reduces the time complexity but
also increase the generalization ability also
reduces the possibility of over-fitting.
-Also, the missing values are been handled
in C4.5 algorithm while in ID3 missing
values cannot be handled.
-The electricity price forecasting is still a
challenging problem because there are too
many uncertain factors. Moreover, the
relationship between the price and the
factors is close and complicated.
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Jiawei Han, A Scalable Random Forest - SMRF algorithm is aimed at improving the
Yanheng Liu, Algorithm Based on traditional random forest algorithm based
Xin Sun MapReduce [11]. on MapReduce model.
- So that it can work in parallel to process
the massive data in distributed computer
clusters or cloud computing environment.
- With less node and less decision tree that
is for small data the performance degrades
as compared to traditional random tree
Emrana Kabir Hashi, Md. An Expert Clinical -The experimental result demonstrates that
ShahidUz Zaman, Decision Support System the C4.5 provides better accuracy for
Md.Rokibul Hasan to Predict Disease Using diagnosis diabetes than KNN.
Classification Techniques -The KNN based classifier determines
[12]. neighborhoods directly from training
observations.
- KNN doesn’t build any classification
model.
ANALYSIS PART
This breast cancer domain was obtained from the University Medical Centre, Institute of Oncology,
Ljubljana, Yugoslavia.
This data set includes 201 instances of one class and 85 instances of another class. The instances are
described by 9 attributes, which are either linear or nominal.
Attribute Information:
1. Class: no-recurrence-events, recurrence-events
2. Age:10-19,20-29,30-39,40-49,50-59,60-69,70-79,80-89,90-99.
3. Menopause: lt40, ge40, pre-menopause.
4. Tumor-size: 0-4, 5-9, 10-14, 15-19, 20-24, 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59.
5. INV-nodes: 0-2, 3-5, 6-8, 9-11, 12-14, 15-17, 18-20, 21-23, 24-26, 27-29, 30-32, 33-35, 36-39.
6. Node-caps: Yes, No.
7. Deg-Malig: 1, 2, 3.
8. Breast: Left, Right.
9. Breast-Quad: Left-up, Left-low, Right-up, Right-low, Central.
10. Irradiate: Yes, No.
Description of attribute
Menopause: while diagnosis whether the patient is undergoing pre-menopause or post-menopause.

Tumor size: tumor size is measured in mm.
Inv-nodes: counts of lymph glands with breast cancer.
Node caps: diagnose that if the tumor replaces lymph glands and allow it to invade the surrounding tissues
or not.
Degree of malignance: degree is measured with grade, Grade 1 tumor consist of neoplasm cells. Grade 3
tumor is with abnormal cells.
Breast: tumor is on which breast left or right.
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Breast quadrant: to which quadrant, breast is divided into four breast.

Irradiant: from the history whether the patient have undergone the radiation therapy to destroy the cancer
cells.
Advantage: By applying decision tree algorithm J48 the accuracy obtained is highest as compared to other
algorithm of decision tree in WEKA. It gives result as followed:
Correctly Classified Instances: 75.5245 %

Incorrectly Classified Instances: 24.4755 %
There are two types of class recurrence and non-recurrence cancer this file is of extension arff.
Implementing base algorithm J48 in WEKA
J48 is extension of ID3, which represents missing values, decision tree pruning. It is open source java
execution of the C4.5 Algorithm [7][13].
GUI interface of WEKA is shown below. There are four applications Explore, Experimenter, Knowledge
Flow and Simple CLI.
Figure 2 Opening weka
Figure 3 Opening dataset
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Figure 4 Visualizing all attributes
There are various algorithms out of which decision tree is chosen and its subparts include J48, Random
forest, Simple Cart etc.
Figure 5 Applying J48 algorithm
Analyzing result
a b <-- classified as
193 8 8| a = no-recurrence-events
194 62 23 | b = recurrence-events
TP Rate: Rate of correctly classified instances.
TP/ (TP+FN)
FP Rate: Rate of incorrectly classified instances.
FP/ (FP+TN)
Precision = TP/ (TP+FP)
Confusion matrix gives the result, it gives information about the actual value and the predicted value. True
positive, False positive, True negative, False negative are the values which are conclude from confusion
matrix which is used in generating TP Rate, FP Rate, Precision.
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Figure 6 Visualizing decision tree
The result generated by J48 algorithm is in form of decision tree, here breast cancer dataset is used for
experiment purpose. Decision Tree is made by taking degree of malignancy as root node. The experiments
results show that patient with specific range of attribute value have more chance of recurrence cancer.
Accuracy obtained by Classification Algorithms
On comparing the results with other algorithm like Simple Cart, J48, Random Tree, NaïveBayes following
graph is generated.
Accuracy of different algorithm is different for same dataset is as followed
Table 2 Analyzing and Comparing Different Algorithm

Algorithm Simple Cart J48 Random Tree NaïveBayes
Correctly 191 69.2308 % 216 75.5245 % 191 66.7832 % 205 71.6783 %
Classified
Instances
Incorrectly 95 30.7692 % 70 24.4755 % 95 33.2168 % 81 28.3217 %
Classified
Instances
Graph 1 Comparison of different Classification Algorithm
200
150
100
recurrence
50
non- recurrence
0
a b a b a b a b
simple cart J48 Random Naïve Bayes
Tree
Above graph shows the recurrence and non-recurrence of cancer through different algorithm tested in
Weka.
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FINDINGS
Here in this research approach mapper and reducer modules are used to handle structured and unstructured
huge amount of dataset. In mapper module it made sure that pre-processing is done such that it removes
inconsistent, null and invalid records are removed thus a filtered data is then given as input to the reducer
modular which includes classification of the preprocessed dataset.
Figure 7 Proposed Approach
start
mapper
Retrieve data
module from data set
check for inconsistent value / null
value / invalid record
such
records are
present?
Feature
Apply Selection
pre-
Modified J48
Plot the result

to data set file
reducer module
end
For the reducer module the already pre-processed data would be as input which would reduce the pre-
processing time at each step of classification.
Various steps involved in classification , first of all it inputs randomly selected data sets, then second step
includes randomly feature selection third is to calculate the best split where the proposed approach is made
such that the best split is to be calculated through information gain ratio that is the best feature J48 algorithm
, thus doing so will would not generate decision tree values with zero or nearby zero generating values so
it will reduce the cost of pruning the tree which can be done after classification algorithm is used.
After that for constructing decision tree Threshold value is selected this will be compared with the
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information gain ratio. If the information gain ratio is greater than the threshold value then it will be used
in building the decision tree, thus this would help in constructing a pruned decision tree. Also would reduce
the time and cost for pruning the decision tree as the tree generated can be interpreted in human
understandable pattern which is generate from a huge data.
Hadoop is used when there is vast amount of data, writing of application becomes easily as data is
distributed over different nodes and parallel processing is done. Hadoop framework is in Java but map
reduce need not to be written in java. Here hadoop version 2.7.3 is used.
Due to large amount of data there may be chances that algorithm is not able to identify the pattern hence
here to modify algorithm discretization method is used which will dicretize the data into columns so that
there are less number of possible steps.
Figure 8 Reducer module
1. Input dataset
2. Feature selection based

Step 3 calculate the best split based on
on information gain
IGR
1) Entropy(Decision)
3.Calculate the best split = ∑ – p(I) . log2p(I)
= – p(Yes) . log2p(Yes) – p(No) . log2p(No)
2) GainRatio(A)
4. Split the nodes into = Gain(A) / SplitInfo(A)
daughter nodes 3)SplitInfo(A)
= -∑ |Dj|/|D| x log2|Dj|/|D|
5. Repeat step 3 and 4
6. Classified result
Hadoop framework used is of version 2.7.3 and POI 3.9 is used to read and write xsl format. The data
obtained in output includes length of dataset, entropy and information gain ratio. For this two data sets are
taken first is of cancer and other is Irish Dataset, similarly the modified algorithm can be applied on different
data sets.
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Figure 9 Output of Modified J48
Findings of proposed approach:

1. It will increase the average purity of the subset.
2. Here information gain ratio is used hence it would not be biased towards to the branches having large
values.
3. Gain ratio takes number and size of branches into account when choosing an attribute.
4. Here we have used information gain ratio while splitting hence would not generate null values or
redundant values.
CONCLUSION
There are different data mining techniques like association, classification, neural network etc. out of which
in this research decision tree-based algorithm is used but due to rapidly growing data traditional decision
trees are found to be time consuming. Also due to over fitting of data some computation are supposed to
move to external memory which would result in increasing I/o cost, so in this research we implement an
improved decision tree approach using map reducing model to make algorithm time efficient and also
scalable. Although decision tree is powerful tool for data analysis, it seems that some data are misclassified
in the decision tree models. A possible way to address this issue is to exploit the extracted knowledge by
human-computer collaboration. In other words, experts from different domains use their domain knowledge
to filter findings from the created model. By doing so, the irrelevant findings can manually be removed.
REFERENCES
[1] Priyanga Chandrasekar, Kai Qian, Hossain Shahriar, Prabir Bhattacharya “Improving the Prediction Accuracy of
Decision
,Y. Ramadevi,K.Koteswara chari "High Blood Pressure Prediction based on AAA using J48 Classifier", IEEE(2018).
[7] Shakshi sharma, Renuka Tree Mining with Data Preprocessing”, IEEE (2017).
[2] https://www.tutorialspoint.com/data_mining/dm_quick_guide.htm
[3] Zoubida Alaoui Mdaghri, Mourad El Yadari, Abdelillah Benyoussef, Abdellah El Kenz “Study and analysis of
Data Mining for Healthcare”, IEEE (2016).
[4] Bhumika Gupta, Aditya Rawat, Akshay Jain, Arpit Arora, Naresh Dhami “Analysis of Various Decision Tree
Algorithms for Classification in Data Mining”, International Journal of Computer Applications (2017).
[5] G.Kesavaraj, Dr.S.Sukumaran "A Study on Classification Techniques in Data Mining", IEEE (2013).
ISBN: 978-93-5351-069-5 884

[6] Nimmala SatyanarayanaPurohit "Prediction of Recurrence Cancer using J48 Algorithm", IEEE (2017).
[8] Arati Koli, Swati Shinde "Parallel Decision Tree with Map Reduce Model for Big Data Analytics", IEEE (2017).
[9] Li Dongming ,Li Yan ,Yuan Chao ,Li Chaoran , Liu Huan and Zhang Lijuan "The Application of Decision Tree
C4.5 Algorithm to Soil Quality Grade Forecasting Model",IEEE(2017).
[10] Hehui Qian, Zhiwei Qiu "Feature Selection using C4.5 Algorithm for Electricity price prediction", IEEE (2014).
[11] Jiawei Han, Yanheng Liu, Xin Sun "A Scalable Random Forest Algorithm Based on MapReduce", IEEE (2013).
[12] Emrana Kabir Hashi, Md. Shahid Uz Zaman and Md. Rokibul Hasan "An Expert Clinical Decision Support
System to Predict Disease Using Classification Techniques“, IEEE(2017).
[13] N.Saravanan, Dr.V.Gayathri “Classification of dengue dataset using J48 algorithm and ant colony based AJ48
algorithm”, IEEE (2017).
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PCE205
ENHANCED LOAD BALANCING TECHNIQUE USING HYBRID

APPROACH IN CLOUD COMPUTING
Ms. Farjana Girach

P.G Student, Computer Engineering
B.H.Gardi Collage of Engg. & Tech., India.
farjana.girach@gmail.com
Abstract:
The innovation of Cloud Computing suggested as a used of software, platform, infrastructure as a

services via web. It can provide the resource quickly and release with minimal management. Where
clients pay just for what they have utilized, as they have not owned computing infrastructure. In this
situation, load balancing algorithms are used to get high asset used, quick response time and better
execution and to balance the load equally among the nodes. Cloud gives the virtual machine for task
allocation, that is scalable but scheduling them is an issue .This paper focuses on the study of hybrid load
balancing algorithm, issues related to it and talk about current the techniques of load balancing and its
benefits.
Keywords: Cloud Computing, Load Balancing, Honey Bee, Max-Min, hybrid
INTRODUCTION
A cloud computing is Web based registering, in which assets, software also, data are shared to PCs and
other gadgets on-request. Cloud computing is a model for enabling favorable, on-ask for arrange access to
a shared pool of configurable enrolling resources (for example, to data correspondence frameworks,
servers, data accumulating contraptions, applications and organizations – both together and freely), which
can be quickly given and released the base operational expenses just as advances to provider. There are
some fundamental attributes of cloud, for example, on interest self-benefit, wide system get to, fast
flexibility, asset pooling, estimated benefit.[1]
Figure 1 Layer of Services
Source:[1]
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Cloud services are categorized into three types. Infrastructure as a Service(IAAS) , Platform as a Service
(PAAS) and Software as a Service(SAAS). conceptual infrastructure over web that give by IAAS,
Amazon EC2 is precedent of IAAS. In PAAS, customer can make programming utilizing devices and
libraries given by specialist organization, Google app engine is example of PAAS. In SAAS, designers
can utilize business particular capacities created by other, Google docs is example of SAAS.
Public cloud, Private cloud, Community cloud and Hybrid cloud are 4 kinds of cloud. Administration
publically is offered by Public cloud resource, pay per use. Private clouds anchored than public cloud
where association works it inside inner venture datacenter. Community cloud utilizes where numerous
associations mutually build and shared cloud framework. Combination of private cloud and public cloud
is called hybrid cloud.[2]
OBJECTIVES
The objective this research is to develop enhanced load balancing techniques based on the hybrid
approach. The aim of this proposal is to apply static algorithm when node is under load and apply
dynamic algorithm when node is overload. This proposal reduce the make span and response time of the
system.
Load balancing disseminates remaining burdens over different registering assets, for example, pc, a pc
bunch, arrange joins, central processing unit or circle drives. Fundamental for productive tasks in
distributed environments by load balancing. It implies appropriating the measure of work to do between
various servers with the end goal to accomplish more work in a similar measure of time and serve
customers quicker. Goals of load balancing involve the optimum resource utilization, improved
throughput, High response time and Avoiding overload.
Figure 2 Types of Load Balancing
Source:[3]
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Load balancing calculations are arranged in to three types dependent on the initiator of the process.
a. Sender Initiated: Tries to send a task to under loaded node (receiver) by an over loaded node
(receiver).
b. Receiver Initiated: Under loaded node (receiver) initiated the load balancing process.
c. Symmetric: It is mix of sender initiated and receiver initiated.
Load balancing calculations are arranged in to three types dependent on the system state.
a. Static Approach: Static load balancing calculation similarly isolates the activity between every one
of the clients. Every one of the hubs and their properties are known ahead of time, the calculation
works dependent on this past data. This methodology disregards the present state or the pile of the
hub in the framework.
b. Dynamic Approach: This approach thinks about just the current condition of the system amid load
balancing choice. It is more appropriate for broadly disseminated framework such a cloud
computing. The challenges of static approach is overcome by Dynamic approach.[3]
Parameters of load balancing
a. Throughput: Throughput shows the number of client demands (task) executed per unit time by a
virtual machine. The execution of any framework is upgraded if throughput is high.
b. Make span: It is the aggregate time required to finish all task submitted to the system. The execution
of any framework is upgraded if make span length is less.
c. Migration Time: Migrate the jobs or resources from one node to other nodes that time required is
called Migration time. The execution of any framework is improved if it should be minimize.
d. Response time: Specific load balancing algorithm to response a task in the system for take a period
is called response time. The execution of any framework is better if parameter ought to be limited.
e. Resource Utilization: It is measured by calculating the number of task handled by all virtual machine
in particular time duration. The execution of any framework is better if asset usage is high.[4]
LITERATURE REVIEW
Static algorithm:
Round Robin Algorithm (RR) [5]
Time quantum based works used in Round Robin algorithm, where specialist co-op plans assets to client
for that particular time iteration Here, Round Robin calculation is works like FCFS calculation if their
time quantum is very huge for every client and Round Robin algorithm consider as Processor Sharing
Algorithm if their time quantum is too little. Issue of static time Quantum like longer average holding up
time, Turnaround time is higher and throughput is low that overcome by the dynamic time quantum. So in
this paper otherwise Time Quantum is equal to average time of Burst Time of all requests.
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Shortest Job Scheduling [6]

Shortest execution time of the job has selected the first for execution in SJF algorithm. In this paper
calculate the average of task length. Compare the task length with average of task length. Assign the task
to less computing power resource whose task has task length is less than the average of task length,
otherwise assign to the high computing power resource.
Modify Optimal Algorithm [7]

In this paper first all task in 1 queue. Depending upon their priorities namely like Q1, Q2, Q3, Q4, Q5 the
main queue divided in different five priority queue. Assigned a time quantum for each priority queue.
New request first go to main queue and then go to queue according to priority. Compare the time
difference and that used to decide the threshold value. Then check time difference is greater than
threshold then used Shortest Job First algorithm otherwise used Round Robin.
Min-Min Algorithm [8]

Min-Min algorithm assigns the shortest task to the resource that has minimum completion time to
compute jobs. In this paper first calculate the completion time of task and resource. Process of algorithm
in 2 steps. In first step shortest task assign to resource that have minimum completion time. And that
calculate the makespan. In the second step find greatest completion time of task. If greatest completion
time of task is less than the makespan then residual the task.
Max-Min Algorithm [9]

Max-Min algorithm assigns the largest task to the resource that has minimum completion time to compute
jobs. In this paper Sort the cloudlets with Maximum execution time and queue it And Sort the cloudlets
with Minimum execution time in another queue. A resource that gives minimum completion to assign a
task from largest execution queue, then A resource that give minimum completion to assign a task from
minimum execution queue.
Join Idle Queue [10]
It adjusts load in vast scale by doling out inactive processors to the dispatcher. Dispatcher apportion job
to processors to diminish the normal length of job at every processor. This calculation decrease
framework load and does not influence response time.
Dynamic algorithm:
Throttled Load Balancing Algorithm [11]
Here Load Balancer keeps up a list table of virtual machine with its states, Available or Busy. Whenever
client ask for calculation, load balancer discovers most readily accessible VM that is appropriate to
perform asked for requested job and returns VM id to data center for further correspondence among VM
and data center. On the off- chance that VM isn't found until full output of file table than load balancer
returns - 1 to data center.
Ant Colony Optimization Algorithm [12]

In this paper the ant colony optimization initialize the pheromone table, ant and declare the threshold
value for node. Check the load of node is less than threshold then travel the node with maximum trailing
pheromone and update the table and check the node is overload then reassigned the resource. load of node
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is greater then threshold then travel node with minimum forging pheromone and update the table and
check the node is under load then reassigned the task.
Honey Bee Algorithm [13]

Honey bee foraging algorithm is inspired from the behavior of honey bees. Discoverer honey bees goes
out for the inquiry of the sustenance source and when they discover the food they come and play out an
exceptional move known as waggle dance .Using the waggle dance to tell the quality and amount of the
food to the harvesters. The waggle dance likewise advises separate the apiary to the food. In load
balancing algorithm uses these attributes for two main functions; to prioritize among VMs and also to
avoid the overloaded VMs to be allocated. The priority of allocate each task in the suitable VM mainly
considers the load of each VM that depends on the instruction length of the tasks. The algorithm realizes
load balance among VMs by limiting more allocation to overloaded VMs that have variation value in
processing time more than or equal to a threshold.
First Come First Serve

It is the most straightforward parallel assignment requesting dynamic load balancing algorithm. Manage
by FIFO Queue easily implementation of FCFS policy. The data center controller scans for virtual
machine and assign client's demand to VM.
Active Monitoring Load Balancer algorithm [14]

The request assign to the least loaded VM that not checked memory use in active monitoring load
balancer. Modify active monitoring has a table, that table has id, load, state, number of request. In
modified active monitoring scan the table fined the VM who’s least loaded and state is available when the
request is arrived. That check the memory utilization if more than one VM is available.
Equally Spread Current Execution (ESCE) [15]

Try to load of the each VM in data center is equal by the load balancer in equally spread current execution
algorithm. Index table of virtual machine is maintained by it. Assign the number of request to each virtual
machine. Scan the index table and assign the request to the least loaded VM by load balancer when the
new request is arrived.
Table 1 Comparison table of existing load balancing technique
Load balancing algorithm Merits Demerits
Round Robin[5] Time slice is fixed. Completion time is more for

Performance is better for large task.
short CPU bursts.
Shortest Job Scheduling[6] Resource utilization is good Largest job has waiting for
finish the shortest job. Less
Performance and throughput
Optimal Algorithm[7] The task with minimal Priority is not considered

execution time is give to the here.
preference.
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Min-Min[8] Smallest completion time Starvation

value. If task are small then
give the better result.
Max-Min[9] The requirements are known Complete the task algorithm

in prior so give the work take long time.
better.
Throttled Load Balancing Good performance. Task is Tasks need to be waited.
Algorithm[10] managed by the list.
Ant Colony Optimization Make span is minimize, fast Take long time for searching.
Algorithm[11] Computationally
Honey Bee Algorithm[12] Throughput is increase. Take more time for low
Response time is minimizing. priority load.
ANALYSIS PART
Figure 3 Shortest Job First output
Source: Output of Cloudsim
Figure 4 Max Min algorithm output
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Figure 5 Ant Colony Optimization Algorithm output
Figure 6 Honey bee algorithm output
Table 2 Configuration
Parameter Value
Number of Task 100 task
Virtual machine 2 vm
Bandwidth 1000 MB
Memory 1000 MB
Processor Count 1 cpu
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Table 3 Make Span of Different Scheduling Algorithm
Scheduling VM-0 (ms) VM-1 (ms)

Algorithm
SJF 102002.98 20003.5
Max-Min 24517.24 25517.94
ACO 61687.67 60318.98
Honey-Bee 18181.91 9091.00
Table 4 Response time Different Algorithm
Scheduling VM-0 (ms) VM-1 (ms)

Algorithm
SJF 2264.66 402.34
Max-Min 12008.5 12508.85
ACO 45883.78 58292.77
Honey-Bee 0.99 0.99
Graph 1 Comparison of Make span of different algorithm
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Graph 2 Comparison of Response Time of different algorithm
Here show the output Cloudsim Simulation Result for the algorithm of shortest job first, max- min, ant
colony optimization and honey bee algorithm. Make the table of configuration of parameter that used in
the output of cloudsim simulation. Draw the one graph of comparison of make span of different algorithm
according to output of cloudsim simulation. Other graph is comparison of response time different
algorithm according to output of cloudsim simulation.
Here we analyse in static algorithm the make span and response time of max-min algorithm is less than
the shortest job first algorithm. Dynamic algorithm the make span and response time of honey-bee
algorithm is less than the ant colony optimization algorithm.
FINDINGS
Here in this research approach first we enter the number of virtual machine and task. Then we find the
Capacity of virtual machine. Find the load of virtual machine.
Then check load of virtual machine is less than or greater than the capacity of virtual machine.
If the load of virtual machine is less than the capacity of virtual machine then virtual machine is under
loaded. If the load of virtual machine is greater than the capacity of virtual machine than virtual machine
is overload.
Now, if virtual machine is overload then we applies modified dynamic algorithm. If the virtual machine is
under than apply modified static algorithm. Modified Static algorithm and modified dynamic algorithm
apply according to billow proposed flowchart. Figure 7 give the flowchart of our proposed approach.
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Figure 7 Propose Flowchart
yes No
No
yes
No
No
yes
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CONCLUSION
In this paper, we have discussed the basic of load balancing, types of load balancing. Here we compare
the static and dynamic load balancing algorithm. We compared response time and Make Span of existing
algorithms in cloudSim simulation tool and analysed it. In future hybrid the static and dynamic algorithm
to minimize the makespan.
REFERENCES
[1] Alexey V. Bataev, Dmitriy G. Rodionov, Darya A. Andreyeva,” Analysis Of World Trends In The Field Of
Cloud Technology”,IEEE 2018.
[2] Pradeep Kumar Sharma, Prem Shankar Kaushik, Prerna Agarwal, Payal Jain, Shivangi Agarwal, Kamlesh
Dixit,” Issues And Challenges of Data Security In A Cloud Computing Environment”,ieee 2017
[3] T. Deepa, Dr. Dhanaraj Cheelu ,“A Comparative Study of Static and Dynamic Load Balancing Algorithms in
Cloud Computing”, ieee 2017.
[4] Sambit Kumar Mishra, Bibhudatta Sahoo, Priti Paramita Parida,” Load Balancing in Cloud Computing: A big
Picture”, Journal of King Saud University - Computer and Information Sciences 2018.
[5] Pandaba Pradhan ,Prafulla Ku. Behera, B N B Ray ,” Modified Round Robin Algorithm for Resource
Allocation in Cloud Computing”, Science direct 2016.
[6] Mokhtar A. Alworafi, Atyaf Dhsari, Asma A. Al-Hashmi,” An Improved SJF Scheduling Algorithm in Cloud
Computing Environment”,IEEE 2016.
[7] Mrs. Shruti Tripathi, Shriya Prajapati, Nazish Ali Ansari,” MODIFIED OPTIMAL ALGORITHM FOR LOAD
BALANCING IN CLOUD COMPUTING”,IEEE 2017.
[8] Gaurang patel,Rutvik mehta,Upendr bhoy,” Enhanced Load Balanced Min Min Algorithm for static Meta task
Scheduling in Cloud”, Science direct 2015.
[9] James Kok Konjaang, Fahrul Hakim Ayob and Abdullah Muhammed,” Cost Effective Expa-Max-Min Scientific
Workflow Allocation and Load Balancing Strategy in Cloud Computing”, ResearchGate, 2018.
[10] G.Punetha,Sarmila,Dr.N.Gnanambigai, Dr.P.Dinadayalan. Surveyon “Fault Tolerant -Load Balancing
Algorithmsin Cloud Computing,”,IEEE, ICECS 2015.
[11] Shikha Garg , Rakesh Kumar Dwivedi and Himanshu Chauhan,” Efficient Utilization of Virtual Machines in
Cloud Computing using Synchronized Throttled Load Balancing ”,IEEE 2015.
[12] M.Padmavathi , Prof.Shaik. Mahaboob Basha,” Dynamic And Elasticity ACO Load Balancing Algorithm for
Cloud Computing”, IEEE 2017.
[13] Walaa Hashem, Heba Nashaat, and Rawya Rizk ,” Honey Bee Based Load Balancing in Cloud Computing”,
ResearchGate,2017.
[14] Ankit Kumar Mala Kalra,” Load Balancing in Cloud Data Center UsingModified Active Monitoring Load
Balancer”,IEEE 2016.
[15] Muhammad Sohaib Shakir1, Engr. Abdul Razzaque, ” Performance Comparison of Load Balancing Algorithms
using Cloud Analyst in Cloud Computing”,IEEE 2017
ISBN: 978-93-5351-069-5 896

PCE231
A SURVEY ON VARIOUS ATTACKS OVER SMARTPHONE THROUGH

CAMERA
HardikaMenghani Bharat Buddhadev

Student Professor
GTU School of Engineering and Technology Government Engineering College, Gandhinagar
hardikamenghani95@gmail.com bvbld@yahoo.com
9909984439 9106577517
Abstract
The cyber attacks are increasing day by day, one of the favorite target of attackers are the smartphones.
Smartphones have become the prime target due to the lethal combination of the increasing use of
smartphone devices and the vulnerabilities present in them. Almost all the smartphones have various
features like camera, microphone, Bluetooth, GPS, Wi-Fi etc. The vulnerabilities like weak encryptions,
easy passwords, excess permission rights etc. in these features may lead to different attacks like
eavesdropping, botnet, DoS etc. over the smartphone. The smartphone users can download different third
party applications easily through different internet resources. These applications may contain the
malicious codes which can access different features through hidden requests. It is also possible that an
application may access the camera in hidden way even if there is no use of camera for that particular
application, even the user would not know that the camera is being used. This camera can record each
and every thing going near the user, get idea about user’s location and even steal the user’s PIN. Thus
the attacker who creates such applications using spy cameras invade the privacy of the users and even
lead them to financial loses. In this survey paper, we will be focusing on various types of attacks that have
taken place over the smartphones through the camera.
Keywords:Smartphone Attacks, Camera Attacks, Spy Camera, Mobile Malware
INTRODUCTION
The use of smartphone is increasing in tremendous ways. Nowadays people cannot imagine their lives
without the smartphones. The smartphones have become one of the favorite targets of the attackers.The
Graph 1 shown below clears the increasing use of smartphones in today’s world for different people of
different age groups.This increasing use of smartphone has also given rise to cyber attacks over the
smartphones. These attacks may compromise mainly three aspects of security: Confidentiality, Integrity
and Availability. There are various smartphone applications that ask for access to the camera. Different
cyber attacks are possible due to the remote access of the camera through different applications.
Android is one of the most popular mobile Operating System (OS) as compared to iOS, Blackberry,
Windows mobile OS [1]. This is due to its easy to use functionalities. Google Play, the official Android
app market hosts approx. 2.9 million developer applications [2]. In these applications there are 100s of
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spy camera applications available. These applications allow the people to take pictures and videos of
mobile phone users without their permission [3]. The simple android architecture is shown below in
figure 1 where the applications lie on the topmost layer of the android stack architecture. Then comes the
Application Framework consisting of activity manager, window manager etc. After that there are different
Libraries and Android Runtime and the most important bottom layer of the stacked architecture is Linux
Kernel layer. The kernel provides preemptive multitasking, low level core system services and device
drivers for hardwares such as Wi-Fi, camera, audio, display etc. [4].
Graph 1 Use of smartphones
Use of Smartphone in Percentage

100
90
80
70
60
50
Use of Smartphone in Percentage
40
30
20
10
0
18-24 years 25-34 years 35-54 years 55-75 years
Source: Global Mobile Consumer Survey, Belgian Edition 2017
Figure 1 Android Stack Architecture
Source: https://www.techotopia.com/index.php/An_Overview_of_the_Android_Architecture
ISBN: 978-93-5351-069-5 898

LITERATURE REVIEW
Mobile Device Threats
There are different mobile device threats like malwares, graywares, spywares, side channel attacks etc.
Figure 2Mobile Device Threats
Malwares
Malware is malicious software that is a malicious program or code used to create hindrance to the normal
process of the computer system or harm the system [5]. Following are some of the malware attacks:
I. Bluetooth Attacks: Bluejacking, Bluebugging and Bluesnarfing are some of the Bluetooth attacks.
Through these attacks the attacker can get the victim’s private data like photos, videos, contacts,
messages and even the victim’s location [3].
i. Bluejacking: when some unwanted message or data specially vCards in this case is sent
from one Bluetooth device to another is called bluejacking [17]. To perform this attack
the attacker needs to have Bluetooth enabled device, then he/she creates a fake contact to
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send as vCard. After the contact is created it is selected to be sent to any Bluetooth device
that is available in the range[18]. The target will get the bluejacking message. This attack
is mainly to annoy someone.
ii. Bluebugging: It is a technique that allows a skilled hacker to get access of the victim’s
device and perform commands like sending messages, monitor phone calls, intercept
communications etc.[20]. First of all the attacker creates communication channel with
victim’s Bluetooth enabled cell phone. Then sends a backdoor through this connection
into victim’s phone and thus the control of the whole mobile device goes in hands of the
attacker [21].
iii. Bluesnarfing: It is an attack of illegally accessing user’s mobile phone device by the use
of Bluetooth. Bluetooth enabled devices using the OBEX protocol. Bluesnarfing is attack
done by exploiting a security vulnerability of the Bluetooth. The attacker first scans for
Bluetooth enabled device, then try to pair with them without user’s knowledge. Once
they gain illegal access in user’s mobile device attacker tries to gain data stored in the
mobile phone [22].
II. SMS-Attacks: In this type of attacks the phishing link can be sent through the SMS to the victim.
Even the vulnerabilities of the mobile can be exploited through the links sent in SMS [3]. The
silent SMS DoS attack is also possible as the GSM allows the insertion of mass application-
generated SMS messages directly into network infrastructure. Thus, through manipulating the
protocols it is possible to send the SMS which doesn’t create any acoustic signals and it is also
not displayed on the mobile device. These types of silent SMS are sent in large numbers and thus
user’s mobile device services can be brought down. It is also a type of DoS attack [23].
III. GPS/Location Attacks: Victim’s current location can be known to the attacker with the help of
Global Positioning System (GPS) [3]. GPS spoofing is one of the GPS attacks that take place by
exploiting GPS vulnerabilities. In this attack, the software is forced by the hacker to connect to
attacker’s equipment instead of the legitimate equipment. After this the hacker can start sending
the false GPS data and even the hacker gets the idea about victim’s actual location [24].
One of the examples of such attack is by changing the destinations or location in maps. Thus the
person using the navigator will be guided wrong and may reach to the wrong destination [24]. For
performing this attacker broadcasts his own fake signals in synchronized manner with the original
signals. Slowly the strength of fake signal is increased and taken away from genuine signal.
IV. Premium Rate Attacks: The SMS are sent to premium rated numbers through the victim’s phone
without his knowledge. He realizes it when he has to pay the huge bill amount [3].
V. Phone Jail-Breaking: Security implications of the OS can be removed through Jail-Breaking due
to which the unspecified and unsigned applications can be installed [3].
Spywares
Spyware is software that is installed on the victim’s computer system without his/her knowledge and
transfers the victim’s confidential data to the attacker. The spywares are difficult to detect [6]. There are
different types of spywares as follows:
I. Adware: It simply displays the advertisement and then gathers the user’s data such as web
searching, user’s interest and preferences etc. Cookies that track the user’s personal information
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and the internet usage are the most common type of adware. The advertisers might use these
cookies for their benefits [3,6].
II. Riskware: It is a name given to the legitimate programs that can cause damage if the malicious
users exploit them. By doing so the data can be modified,deleted, locked and even the system’s
performance may get affected [7].
III. Keyloggers: It is a malicious computer program that tracks or logs the key strokes of the user’s
keyboard in a covert manner, and collects the data like CC number, username, passwords etc.[8].
Figure 4 Flow of Android Keyboard Attack
As shown in above figure keylogger works in 3 states as follows [19]:

Collecting State: All the data entered in keypad of the mobile phone while using any application
is collected and logged. The keyboard can save the text typed before sending it to the requested
application.
Storing State: Android provides various options to developers for storing the data permanently.
Developers may choose any of the methods to store the data of the keystrokes.
Sending State: in this state the stored data is forwarded to the attacker’s server or machine which
is predefined in this keylogger application.
IV. Spycams: A spy camera is the device or the malicious program that uses the camera to capture the
images and video of the victims without their knowledge [9]. These types of attacks are one of the
most dangerous attacks that take place in the mobile devices.
Figure 4Working of Spy Camera [11]
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In the spy camera attacks first and the most important criteria is that the attack should be
performed stealthily so that the user does not come to know that he/she is being spied by
someone. For the successful spy camera attack the steps shown in Figure 3 are to be followed
[11].
Step 1: The camera attack may affect the system’s normal working and thus the user may try to
find the apps working in background. Thus first priority is to check that the resources going to be
utilized are in plentiful quantity.
Step 2: After confirming the resources the malicious app starts working. Then first of all turns off
the shutters sounds of the camera capture so that the when the camera starts capturing images or
videos in hidden way no sound is made.
Step 3: One more hindrance is the camera preview so after turning off the shutter sound the
attacker also needs to hide the camera preview.
Step 4: Now the attack can be carried out by deciding which mobile camera to be used front or
back, and then the recorded video or image is to be saved in a disguised way in some rarely
visited directory.
Step 5: After the attack gets over the setting of shutter sound and other audios is to be brought
back to normal so that the victim does not find any abnormality.
Step 6: The last step is to transfer the collected data from victim’s mobile device to the attacker in
hidden way through email or any other source.
Graywares
The graywares are potentially unwanted programs. It is not a virus but it makes the user feel annoyed by
sending the pop-ups when using the internet and thus makes your internet speed slower and might also
track the web browser activities [10].
Side Channel Attacks
It is a type form of reverse engineering attack which gathers the information from implementation of the
computer system not from the weakness in the algorithm. It collects the data from the factors like Timing
information, power consumption, electromagnetic leakages or sound etc. Different mobile multimedia
devices like microphones and cameras can be used for side-channel attacks.
Related Work
Different research studies have noticed that using the multimedia files and devices like microphone
camera the personal data can be stolen. For example,Soundcomber [12] it is Trojan that can capture the
high value data like credit card numbers and PIN numbers by sensing the context of its audible
surroundings. It is easy to capture stealthy recordings as there is no need to turn off preview or the shutter
sounds. Xu et al. [13] have presented a data collection technique using the video that is already embedded
in Windows OS phones. It is also a Trojan malware that records the video in hidden way and forwards it
to the attacker using either E-mail or MMS.
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There are also several video based attacks whose main target are the key strokes for that the
externalspycamera attacks take place. The main aim of this attack is to gain the PIN numbers and the
passwords. For example, Maggi et al. [14] implemented automatic shoulder surfing attack against modern
touch enabled smart phones. The user’s password or whatever he/she types can be reconstructed through
whatever is displayed on the screen. But in this attack there is a need of an additional camera thus it is a
bit difficult to decide the placing of camera so that easily data can be captured.iSpy [15] it is proposed by
Raguram, it showed that the text typed on the smartphone’s virtual keypad can be reconstructed through
screen’s reflection. This attack also needs an extra device to capture screen’s resolution. But nowadays
some other camera based attacks are implemented using the side channel attack. For example,
PinSkimmer [16] this attack uses the video camera and microphone to capture the PINs. Microphoneis
used to detect the touch events on the other side camera is been used to calculate the orientation of the
mobile. This can be correlated to find out which key is been tapped.
CONCLUSION
In this survey paper, we study various attacks that take place over the smartphones using different
multimedia devices like camera, microphone etc. We have also discussed the working of spy camera
attacks because it is one of the most dangerous attacks that can take place through camera. We also found
some new attacks like side channel that take place over the smart phones through the multimedia devices.
We have also discussed several other attacks other than camera based attacks. In the future, we will be
implementing the attack that makes use of camera as covert channel to transfer the confidential data in
stealthy way from one mobile device to another.
REFERENCES
1. Smartphone Market Share. (2016). Retrieved fromhttps://www.idc.com/promo/smartphone-market-
share/os
2. Faruki, P., Bharmal, A., Laxmi, V., Ganmoor, V., Gaur, M.S., Conti, M., &Rajarajan, M. (2015). Android
Security: A Survey of Issues, Malware Penetration, and Defenses. IEEE Communications Surveys &
Tutorials, 17, 998-1022.
3. Deshpande, S., Dhamadhikari, SC., (2016). Analysis on Camera Attacks and their Defenses on Android
Smartphones. European Journal of Advances in Engineering and Technology, 3(3), 26-29.
4. An Overview of Android Architecture. (n.d). Retrieved from
https://www.techotopia.com/index.php/An_Overview_of_the_Android_Architecture
5. Malware. (n.d). Retrieved from https://www.malwarebytes.com/malware/
6. Spyware. (n.d). Retrieved from https://searchsecurity.techtarget.com/definition/spyware
7. What is Riskware?. (n.d). Retrieved from https://www.kaspersky.co.in/resource-center/threats/riskware
8. What is a Keylogger?. (2013, July 23). Retrieved from
https://securingtomorrow.mcafee.com/consumer/family-safety/what-is-a-keylogger/
9. Spy Camera. (n.d). Retrieved from https://www.techopedia.com/definition/4716/spy-camera
10. What is grayware, adware and madware?. (n.d) Retrieved from https://us.norton.com/internetsecurity-
emerging-threats-what-is-grayware-adware-and-madware.html
11. Wu, L., Du, X., & Fu, X. (2014). Security threats to mobile multimedia applications: Camera-based attacks
on mobile phones. IEEE Communications Magazine, 52, 80-87.
12. Schlegel, R., Zhang, K., Zhou, X., Intwala, M., Kapadia, A., & Wang, X. (2011). Soundcomber: A Stealthy
and Context-Aware Sound Trojan for Smartphones. NDSS.
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13. Xu, N., Zhang, F., Luo, Y., Jia, W., Xuan, D., &Teng, J. (2009). Stealthy video capturer: a new video-
based spyware in 3G smartphones. WISEC.
14. Maggi, F., Gasparini, S., &Boracchi, G. (2011). A fast eavesdropping attack against touchscreens. 2011 7th
International Conference on Information Assurance and Security (IAS), 320-325.
15. Raguram, R., White, A.M., Goswami, D., Monrose, F., &Frahm, J. (2011). iSpy: automatic reconstruction
of typed input from compromising reflections. ACM Conference on Computer and Communications
Security.
16. Simon, L., & Anderson, R.J. (2013). PIN skimmer: inferring PINs through the camera and
microphone. SPSM@CCS.
17. Bluejacking. (2013, April 4). Retrieved from https://www.slideshare.net/jyotichintadi/bluejacking-
18160620
18. Khanpara, P., &Khanpara, P. (2015). BlueJacking. International Journal of Innovations & Advancement in
Computer Science,4,220-22.
19. Mohsen, F., &Shehab, M. (2013). Android keylogging threat. 9th IEEE International Conference on
Collaborative Computing: Networking, Applications and Worksharing, 545-552.
20. Bluebugging. (n.d). Retrieved from https://www.techopedia.com/definition/5044/bluebugging
21. Bluebugging attack. (n.d). Retrieved from https://iq.opengenus.org/bluebugging-attack/
22. What is Bluesnarfing ?. (n.d). Retrieved from https://www.thesecuritybuddy.com/bluetooth-security/what-
is-bluesnarfing/
23. Croft, N.J., & Olivier, M.S. (2007). A Silent SMS Denial of Service (DoS) Attack.Information and
Computer Security Architectures Research Group South Africa.
24. Brewster, T. (2018, July 12). This GPS Spoofing hack can really mess with your google map trips.
Retrieved from https://www.forbes.com/sites/thomasbrewster/2018/07/12/google-maps-gps-hack-takes-
victims-to-ghost-locations/#50a9f8626335
ISBN: 978-93-5351-069-5 904

PCE280
ANDROVASION: A STEALTHY TROJAN

USING EVASION IN ANDROID FOR
EXPOSING PRIVACY BASED CONTENT
OVER SOUND CHANNEL
Ketaki A. Pattani Prof. B. V. Buddhadev

GEC, Gandhinagar GEC, Gandhinagar
ketakipattani2902@gmail.com bvbld@yahoo.com
9377741295 9106577517
Abstract
Various information flow analysis techniques prevail such as taint analysis, which tries to determine how
information flow occurs in a system. As the smartphones have become exceedingly secure, attackers try to
use techniques to evade privacy-based information of users such as credentials, credit card numbers, IMEI
etc. keeping out of reach of these security measures. For unnoticeably exposing privacy-based content of the
user, research proposes AndroVasion: A Trojan with novel Evasive methods to confuse the detection tools or
obfuscate internal data so as to go unrevealed from the security mechanisms. AndroVasion thus, attempts to
use relatively low attention raising sound-based channel as a means of transmission in order to perform
novel Evasion based attack. Also, the use of speaker and microphone does not entail any threatening
permission for their usage. Thus, the prime objective of the research is to demonstrate AndroVasion as a
novel Evasion attack to unveil the threats to user’s private information as it goes undetected by the existing
state-of-art tools. Thus, it shows a great requirement of defense in this direction and opens up an opportunity
for security based advancements in the relative area in accordance with the attack.
Keywords: Evasion, Android, novel attack, sound channels, Trojan, security, defense, state-of-art
tools.
INTRODUCTION
Today, the potential repercussion of vulnerabilities in Android are way too high in terms of severity
compared to the existing state-of-art tools capabilities. This may range from locking out someone off their
device or gaining surreptitious access to its confidential data or functionalities. There has been a relentless
growth of Android malwares since last few years and is expanding incredibly. The reason why attackers and
hence security analyzers focus over Android is its reach towards the public. According to Android Official
Market the open-source OS powers over 190 countries with millions of Android users which are a lot more
when compared to other popular operating systems. Not only this but the usage of Android expanding day by
day[1]. This creates a threat to the privacy of the user as people may perform crucial business and personal
tasks over the smartphones ranging from banking to various business management operations. The attackers
may target the private information of these users as there are great chances as well as high range of users
associated with this area.
Apart from the vulnerabilities and opportunities of Android being hacked, there are modernized approaches
evolving everyday leading towards increasing insecurity[2]. Evasion is one such field causing the existing
state-of-art tools to be obfuscated by some means. There exist various analysis systems as Permission
analysis;Anomaly based detection, Taint analysis and Behavioral Analysis[3]. Tools operating for such
mechanisms can be focused for their operation and security systems can be evaded. One must notice here
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that the current research along with Evasion uses sound based Covert channels for their transmission. The
major advantage of using sound based covert channels is that they are usually used for control transfer and
thereby go unanalyzed by the existing state-of-art tools. Various tools exist such as FlowDroid [4],
TaintDroid [5] etc. used currently as a means of defense. The novel approach herein AndroVasion focuses to
evade existing state-of-art tools and bring forth a new means of vulnerability in Android, thereby out setting
a scope for betterment of defense mechanisms and state-of-art tools in correspondence with the novel attack
proposed.
The further sections of the paper deal with detailed description regarding the majors as mentioned. Section-II
deals with prime objective of the research. Section-III explains the roots of the research methodology. .
Section IV mentions the related work regarding the research i.e. various similar penetration techniques and
existing analysis and detection tools. Next, section-V describes analysis of algorithm followed by its
implementation and findings in Section VI and its results. Next, Section VII gives the conclusion of the
attack described in previous sections. Section-VIII mentions future scope of the research in defense as such
an attack will require to be considered in terms of security and defense mechanisms.
OBJECTIVE
The usage of Android is expanding day by day. Users as well as businesses use Android for sharing and
processing huge amounts of privacy based information. This also brings in the danger of leakage of this
information as Android targets a huge audience. Evasion and Covert channels are areas not efficiently
defended in terms of information security. Also, their vulnerabilities are unnoticed as existing state-of-art
tools do not focus over this aspect. Therefore, apart from being highly vulnerable they pose a heavy danger
as the existing state-of-art tools does not have any provision for the kind of attack mentioned in
AndroVasion.
The primary objective of AndroVasion and the research is to depict AndroVasion as a novel Evasion attack
to unveil the threats to user‟s private information as it goes undetected by the existing state-of-art tools.
Thus, it opens up a huge requirement of detection mechanisms or improvement in existing tools in this
direction and opens up an opportunity for security based advancements in the relative area in accordance
with the attack. It must be noticed here that such attacks can be applicable to every Android system may it be
smartphones, tablets, smart televisions or advanced projects working over Android. The research brings forth
an aspect that had been unnoticed till date and poses high security risk to individual as well as business level
privacy of information. Thereby, the goal of research is to demonstrate threats to existing systems that are
not yet discovered by existing state-of-art tools.
Before moving towards the detailed attack scenario, it is necessary to get into the roots of this research. The
current section thus explores these concepts and depicts the capabilities of each of them to be a part of the
current novel approach.
Evasion
Evasion refers to the phenomenon of confusing the detection tools or obfuscating the internal data so as
to bypass the security mechanisms or obfuscate the state-of-art tools. Evasion thereby requires in-depth
study of target system and development of a mechanism that can fool the existing malware detection
mechanism. The concept of Evasion thus aims at bypassing the security mechanisms in order to deliver
an exploit or attack. This may refer to bypassing any intrusion detection systems or prevention systems.
The security systems stand in-effective to discern and avert such attacks. To the user or security system
it would appear to be benign.
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Figure 1: Evasion as a root of obfuscating information
The major challenge in Evasion lies in determination of how the security systems or the state-of-art
tools shall behave and thereby find a way out to obfuscate them. The current research deals with the
Information security of the systems and hence focuses over evading the sensitive information. Usually,
the existing taint tracking tools such as Susi are able to determine the sensitive sources and sinks within
the basic blocks of code only if the flow of information is direct. This means it does not detect sensitive
information flows if their paths are obfuscated. Evasion thus plays the role of bypassing the defense
mechanisms in order to perform malicious activities in most of the cases.
Covert Channels
Covert channels refer to the channels that are actually not intended to have data transfer but are
eventually used to transfer sensitive data along with control information so as to go unanalyzed by the
state-of-art or defense tools. A covert channel is so called „Covert‟ because it is hidden from the access
control mechanisms of secure operating systems since it does not use the legitimate data transfer
mechanisms of the computer system. The defense mechanisms are continuously observing the data
channels to detect the sensitive information leakage from source to sink. However, Covert channels are
meant to transfer control information usually, and therefore go unnoticed by the detection mechanisms.
It thus has the potential to convey information objects between processes that are not supposed to
communicate as restricted by security policies.
Covert channels must have following properties:

1) Detectability: The covert channels should be detected only by specific intended users.
2) Indistinguishability: They should not be differentiated or recognized.
3) Size: They should not replace whole channel legimate data for which it is intended.
In Android, there are various overt and covert channels. There are various covert channels specific to
the Android systems. Some of them include system settings or shared settings as vibrator settings,
screen settings, volume settings etc. These can be simultaneously accessed by various users and are
usually intended to convey system state. However, they may be used to perform malicious activities.
They do not require any dangerous permission and also the monitoring system does not pay attention to
them as they are supposed to have been sending control information. Apart from these, there are other
covert/overt channels that pose a threat to the system and information security as System settings, Files,
Broadcast Intents, Event Intents, UNIX sockets, Thread Enumeration, Free space or shared space and
Processor statistics and frequency [6]. More than one covert channel can also be used together in order
to have betterment.
Above mentioned covert channels have been under study since a long period. But, recently a new covert
channel has been brought to notice which is sound based covert channels. Speakers used within mobile
phones can easily produce frequencies high enough for normal human being to hear or notice. Thus,
near-ultrasonic sounds can be easily produced within the mobile systems and act as a covert channel
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since they are not developed as an intention to transfer privacy-based data[7]. Moreover, the usage of
speaker and microphone does not require any extra permission for their usage. Therefore, they can be
easily made available to produce sound from the sender side using speaker and detect sound at the
receiver side using microphone. The permission-based controls also do not detect such systems and can
be used efficiently therefore to incur data leakage.
LITERATURE SURVEY
Literature Survey for Attack
Privacy Threats through Ultrasonic Side Channels on Mobile Devices – 2017 IEEE
Daniel Arp et. al.[16] in this paper focuses over the threat of Ultrasound as device tracking is a
serious threat to the privacy of the users, as it enables spying on their viewing habits and activities.
The major focus is on location and habits wherein paper studies the ultrasonic side-channels used in
„beacons‟ in various web media content and also detects 4 in 35 stores in two European cities that
are used for location tracking. The paper thereby surveys how various applications use Ultrasound
generated by beacons to track user habits. Analysis suggests that 4 of 35 stores pose threat to user
privacy due to such beacon monitoring. However, here ultrasound generation exists over beacons
and only the receiver uses Android application. It also suggests certain defenses but they are not
adaptive. Thereby, progress of Ultrasonic side-channels suggests that they are not noticed by the
security researchers and also sound based covert channels are not noticed as highly stealthy
mechanisms.
Overview of Information Flow Tracking Techniques based on Taint Analysis for Android –2014
IEEE
The paper [18] represents Information Flow as an important aspect to be analysed in order to detect
information leakage. There are two methods namely static and dynamic for determining information
flow within the system and also various tools exist to mitigate and detect information leakage. Also,
it compares static and dynamic methods based on parameters such as sensitive information sources,
inter-app propogation, capability to check multiple paths etc. It must be noted that Static detection
tools are resource intensive but don‟t require any execution environment and are standalone
techniques. However, it cannot handle dynamically loaded data or programs. Whereas, dynamic
analysis suffers overhead but is capable of monitoring runtime loading of data and programs. It must
be noted that tools such as detection tools do not have effective Evasive flow detection.
Inaudible sound as covert channel in mobile devices – 2014 IEEE
Luke Deshotels [7] here focuses over the threats of sound as a covert channel. It shows
vulnerabilities of mobile devices. It mentions isolated sound and ultrasound as sound based covert
channels and depicts how they can be used as a means of covert communication. However, they are
sent as plain sound and no data specific processing is done. They are stealthy and can transmit
information without the notice of humans as such sounds are inaudible to human ear. Though the
ultrasonic range is above 20 kHz, the research shows that people above teenage cannot hear above
17 kHz. Thereby, the range above 17 kHz can be used to communicate data covertly. However, in
Android it demonstrates sound based channel receiver only and also certain mitigations are difficult
to be followed.
Hiding privacy leaks in Android Applications using low-attention raising covert channels– 2013
IEEE
J. Lalande et. al. [6] in this paper discovers and represents different covert and overt channels such
as system settings, files, broadcast intents, event intents, UNIX sockets, thread enumeration, space
and processor statistics and frequency. Also, it shows characteristics and drawbacks of these covert
channels. However, these covert channels exist since long and thereby have effective solutions also.
Implementation of screen and vibration settings based covert channels has been shown. Also,
relevant to issues it suggests mitigation and detection techniques such as fuzzy time technique of
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VMs, barrier values counting, screen switches and tighten channel. Bandwidth is low and is further
bifurcated into sub-channels so the overhead increases. Fuzzy time technique is unable to eliminate
covert channels and has unreliable operation and deteriorates legimate operation. Barrier based
detection assigns barrier values for number of screen switches but this is unrealistic in some cases.
Tightening channel security hinders normal communication and does not work if the attack uses
adaptive covert channels. However, among these covert channels it does not mention sound based
covert channels. But, this research can be used to study characteristics of various covert channels
and have comparative analysis.
Thus, the literature survey draws out the conclusion that Information flow tracking tools in Taint
analysis have very less significant approach for detection of Evasion based techniques. Also, that the
covert channels are usually forsaken in terms of detection. Moreover, sound based covert channel is a
newer concept and is not focused much. In such circumstances, design of novel approaches like
AndroVasion involving concepts of Evasion and covert channels remains much unexpected to the
security mechanisms and state-of-art tools get opportunistic to enhance themselves in this fields.
Existing penetration and detection techniques
Android encounters various penetration techniques used by the attackers to bypass security systems.
Following are the different types of penetration techniques [3]:
1. Repackaging with malware: Mentioned technique develops the view of some highly used app
by disassembling the application and then adds its malware content to the app and again
reassembles it and puts it on comparatively less monitored 3rd party market. For example:
Amazon Application Store.
2. Drive By Download: This technique as user tries to download any resource unintentionally, a
malware is downloaded in the background without the user being notified. Developers
popularly use the „Non-Compatible Android Trojan‟ to perform this task.
3. Dynamic Download of Payloads: Here, the encrypted payloads are executed at runtime to
perform certain malicious activities. Certain malwares are also used to download these payloads
at run time in order to fool static analysis tool.
4. Malware with Stealing Techniques: Since direct analysis of android app causes battery and
resources issues, certain techniques are used to obfuscate anti-malwares as key permutation
obfuscation approach, dynamic loading of data for obfuscation, native code execution and
stealth of data etc. to attack victim‟s device.
Different such penetration techniques exist wherein the research focuses over information security based
attacks using Evasion and Covert channels. Also, various analysis and detection tools are developed till
today, a few of literature for which are mentioned below.
SuSi: It is an Android based tool [9] for totally self-managed classification tool to discover the sources and
sinks within any execution. Sources refer to the originators of sensitive information and sinks refer to the
points or external parties where the information is leaked. The overall approach of static, dynamic as well as
hybrid techniques is to ascertain if there is a potential flow of information between source and sink. A basic
system representing information flow between sources and sinks is as represented.
Figure: SuSi workflow
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SuSi automatically generates a list of sources and sinks by analyzing the Android source code. SuSi uses
supervised learning method in which it identifies different kinds of sensitive sources such as location,
address book etc. It uses an annotated fraction of API which is used to train a classifier. This classifier in
turn classifies all the applications for their sources and sinks. There are advantages as it is version
independent. But, on the other hand there are also disadvantages such as implicit information flow can easily
misguide it. Also, it should be updated with all the methods deprecating the older ones to derive sensitive
system information. For ex. getSystemId() can be replaced by various other methods which needs to be
incorporated within. It is very important to use strictly comprehensive list of sources and sinks to be
detected. Harvester is one another tool having similar targets.
DroidSafe: DroidSafe[11] is a static tool for information flow analysis and determines possible attacks on
privacy of information or leakages. DroidSafe is developed over the analysis framework of Java – Soot
Droid SPARK PTA and comprises of around 70k lines of code. It is a precise tool comprising all around
analysis of Android runtime. It thereby allows analyzing and scales the model-based decisions. It uses
accurate analysis of stubs in Java which reveals static targets strictly. The tool detects the explicit
information flows at the runtime execution. DroidSafe‟s list of sources and sinks are compiled manually.
Droidsafe requires having an additional comprehensive system to manage the overall system aspects.
DroidSafe is not flow-sensitive as well as path-sensitive. Also, it does not detect implicit flows and IAC.
TaintDroid: TaintDroid[5] is a tool analyzing the application at smallest as variable level for multiple-
granularity. The tool taints a path using step-by-step process, involving VM interpreter and Binder through
which it passes. Finally, when it detects a non-trusted sink it reports a potential leakage. It is highly efficient
and has 32% performance overhead. It is developed to deal with variable-level, message-level, method-level
and file-level granularity. Thereby, TaintDroid refers to overall system analyzing information-flow tracking
and connects VM interpreter to OS level sharing systems. TaintDroid tracks the sensitive information being
passed from source to sink and declares a leakage. But it does not detect the data exfiltrated through sound.
MockDroid: MockDroid[10] allows a user to mock or block application from using certain privileges. It
may be done manually by user, as the user may decide to mock access control due to which the application
will be provided with fake data. For example, an application accessing IMEI is found vulnerable by user, the
user may mock its GPS access and the application will get wrong results. However, manual handling can
also be replaced by mandatory access control used by J2EE and Android for permission-based controls.
Better security is achieved if user in better involved. MockDroid uses a defense mechanism where it
provides wrong data on demand of sensitive data. Here, if the application is trusted to have real data, it
allows data transmissions via sound.
LeakMiner:LeakMiner Tool [12] is developed to detect Information Leakage on Android with Static Taint
Analysis. They developed a system called „Dexteroid‟ to identify SMS (Short Message Service) when they
are sent to costly numbers as well as whether sensitive data is being leaked. Unlike dynamic approaches,
Leak Miner analyzes Android apps on market site. Thus, it does not introduce runtime overhead to normal
execution of target apps.Besides, Leak Miner can detect information leakage before apps are distributed to
users. On the other hand, approaches that employ dynamic analysis try to execute the Android apps to
perform specific tasks and use the resulting data to detect malicious attacks.
IccTA: Detecting Inter-Component Privacy Leaks in Android Apps: A popular application [13] ‟Shake
It Well‟ has millions of downloads and asks for permissions as: internet to update wallpapers and device
microphone to remove background noise. But actually the application functions to record the user
conversations and uploads them secretly without notifying the user. To defend this leakage IccTA – a static
taint analyzer is proposed which goes beyond the state-of-art tools as it supports inter component detection.
It propagates the context information along with the components. Thereby, the tool improves the precision of
analysis. Thus, „Shake It Well‟ represents an inter-component privacy leakage and „IccTA‟ stands as its
detection.
AmanDroid: AmanDroid [14] is a data-flow analysis tool meant for context-sensitive and flow-sensitive
analysis of information from source to the sink. Initially the tool builds a control flow and a data flow. Over
these flow-graphs, it also builds a dependency graph specific to every component. Once the component
graph is built, it develops a table having component interactions and communication details. Based on the
inter-application analysis and inter-component analysis it performs both ICC and IAC detection. However, it
has limited exception handling and reflection management capability. Also, it does not detect implicit flows
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at all. Major dependency lies over context-sensitivity and does not have path sensitivity.
ANALYSIS
There are mainly two types of vulnerability or implementation analysis techniques categorized broadly. One
is static analysis wherein the static analysis refers to simply the analysis of code without actually providing it
a runtime execution. Here, only the code available at the time of execution is analyzed and thereby cannot
deal with the run-time loaded sections. This may be used by many attackers to get their work done unnoticed
from the existing static analysis tools. However, it analyses all the possible paths available within the
available code and finds the vulnerable sources, sinks and paths. One such static analysis tool is LeakMiner
as mentioned earlier.
Second is the dynamic analysis wherein the application is provided with a runtime execution environment
and is actually run to get an insight into how it functions. The vulnerability in static analysis regarding the
unanalyzed run-time injected code is removed. It provides high end monitoring and analysis of applications
and their execution. Current research focuses over the taint analysis technique for information flow analysis.
Here, it must be noticed that to determine data flow they use techniques not capable enough to handle
Evasion and identify the sensitive sink involving covert channel here. Evasion causes the obfuscation of
information flow within the tool to evade security and hence cause leakage of sensitive information.
The approach aims at bringing an attention to certain insecurities that the state-of-art tools should focus. To
make it evident AndroVasion performs FLEII Attack with operational functionalities as explained. The
attack aims at making an insight into the privacy-based information such as IMEI number, credit card
number, PIN etc. and evading security systems to leak this data. Since, the taint tracking mechanism is a
target here, the system tries to evade systems such as Susi and FlowDroid. It does this by using File Lock as
a means of Evasion. It must be noticed here that not the file data but File Lock based covert channel is used
within Evasion as a means of secret transmission.
The attack gains the privacy-based information stealthily, after which it is converted to binary data. This
stream of 0s and 1s if transmitted directly would be tracked by the detection mechanisms. Therefore, file
lock based covert channels are used where in for each 1 in the binary data file is locked and for each 0 in the
data file is supposed to be unlocked. This must be synchronized on the same side when the file locks are
checked to retrieve the same binary data. Thus, the data evades the security mechanisms or state-of-art tools.
This retrieved data is again partitioned into various segments before sending. Eight segments of the data are
created so as to be transmitted over eight different sound frequencies. It must be noticed here that the
frequencies though audible lie in the range inaudible to human ear as people above teenage cannot hear
above 17 kHz.
The modulation of evaded data must be done in order to send it over the sound based channels. The evaded
data is available in the form of data signal. This data signal consists of only the partitioned data, not the
whole of it. Modulating signal formed by high frequency at 19 kHz and partitioned data is sent over this
frequency and other seven frequencies with a difference of 125 Hz to have a total of 8 bits sent at a time.
This may be changed to send more or less data at a time. Here, the modulating signal is encompassed of data
signal consisting of privacy based information. Digital FSK Modulation as used here forms the modulated
signal by entwining of data signal within modulating carrier signal. Thus, the modulated high frequency
sound is generated which goes inaudible to humans
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Figure 2: AndroVasion Attack Scenario
Thus, the attack as depicted above performs Evasion using file locks as a means of synchronization and
further sends the data ahead via partitioning using sound based covert channels. The algorithm for this attack
has been mentioned below:
ALGORITHM
Algorithm File Lock based Evasive Information Invasion (FLEII):
VICTIM
function AttackVictim(constants)
//declarations containing specifications as frequency, samplingFrequency, amplitude
//imeiNum  is unique IMEI number
binaryIMEI[]  imeiNum.toBytes()
//dataLessFile[] new File (binaryIMEI.size() )
for byte b in binaryIMEI do

if(b==1)
dataLessFile.lock()
for idataLessFile.size()
if(dataLessFile.isLocked())
dataEvaded.append(1)
else
dataEvaded.append(0)
dataEvadedArray[]  generateGroupOfBits(dataEvaded,length) //partition

for d in dataEvadedArray do
generateSound(d) //generate sound using partitioned data
return
end function
ATTACKER
function Attacker()
//dataOfInterestdata leaked from victim //partitions
privateData[]  sessionService().listen().getData()
for(d: privateData)
dataOfInterest .append(d)
end function
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In the above mentioned algorithm, the Victim is where the actual attack is performed while the attacker
performs the task of receiver and acts to reverse the process at the attacker to fetch the data as a whole. The
attack at the victim side executes to stealthily fetch the privacy-based information, perform binary
transformation of data, apply the file lock based evasive method to bypass security mechanism, partition the
data and finally generate sound based covert channel to send data over it.The attacker on the other end
receives each segment of the data and processes it to get the whole sensitive data.
ATTACK IMPLEMENTATION AND FINDINGS
Android offers operating system level security, secure inter-process communication, sandbox security,
application signing and application as well as user-defined permissions. The research assumes that Android
security has been successfully and faithfully implemented also that the applications execute securely. Inspite
of fluidity in security measures the assumptions for an application to be benign if it passes existing state-of-
art tools proves to be wrong. AndroVasion brings up a scenario wherein the entire user based confidential
data involving authority credentials, confidential information, logs, messages and even images and videos
are under threat. The attacker can gain this security based information and may have active or passive
assault.
Nowadays businesses have migrated to smartphones wherein the business individuals share regular updates,
assign tasks, manage projects, handle payments and every required function with such applications. Bring
Your Own Device (BYOD) thereby faces much insecurity [8]. AndroVasion can be used over business
applications to have the appearance of business maintenance application or any third-party application, but
implement Evasion and covert channels to evade logs, financial data, operational information, credentials
and much more. It can have timely monitoring of advancements made in the systems and their configurations
using its logs. It can have full data loss or lock the data using the authority gained by credentials. It opens up
chances for any attacker to gain partial or full access to system and leak its information through side
channels.
Various applications exist that are installed by millions of users. AndroVasion can have an appearance of
any such benign application as it does not use extraneous permissions. It may be like Music player, Online
Game, Mosquito repellent application, Sound generator application, Voice recorder application. All that it
needs to access is speaker and microphone which any of the above mentioned applications permit. Also, it
may behave as business application so as to focus over specific information leakage. AndroVasion can leak
privacy based information as logs, IMEI numbers, credit card numbers, security pin, etc. Apart from these it
is capable of sending huge data as messages, contacts, images, videos and files also as sound based covert
channel transmissions offer comparatively higher speed than other covert channels.
The Evasion based algorithm can be made available as runnable application which may appear to user as a
sound generator application. It must be noted here that sound based covert channel does not require any
extraneous permissions, reason being that the application requires only speaker and microphone in order to
deliver and retrieve the sound. This sound contains entwined modulated data transmitted as a data signal.
However, the usage of speaker and microphone does not appear to pose any threat to the system. Existing
state-of-art tools such as SuSi[9] and FlowDroid[4] function to find sensitive sources and sinks and paths
between them. However, they detect only the direct or obvious transmissions at variable level. Evasion
proposed in AndroVasion is erected to show the possible attacks that bypass the security systems and go
undetected from the security mechanisms.Figure shows the Information leakage bypassing existing state-of-
art tools such as FlowDroid[4], MockDroid[10] and others.
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Figure 3: AndroVasion evading state-of-art tool
The major focus lies in the Evasion technique that uses File lock based Evasive technique providing speed as
685bps which is high enough since the sensitive data is small size high value information and therefore does
not occupy much bandwidth. This internally evaded data is then sent through sound based channels at a
relatively high frequency so as to go inaudible to human ears. However, sound here provides a high-
speedtransmission as normal sound wave it moves through relative medium. Since, the focus here is to
bypass security mechanism the Evasion based Invasion obfuscates the information flow and hence bypasses
security mechanism successfully. Thus, the aim of the research to depict the vulnerabilities in existing
systems and opportunity to have further advancements in the state-of-art tools has been fulfilled.
CONCLUSION
The main aim of the research is to bring forth the vulnerabilities and unveil the threats to the Android based
systems that can consist of highly sensitive private information. Though there are various security
mechanisms and state-of-art tools that are meant to provide security of this information, this information
may be leaked to non-trusted sinks via the approach mentioned in AndroVasion. Not only this would pose a
danger to the highly sensitive user data but would also stand as a threat to privacy of all android based
systems. The purpose served by this research is thereby to open up chances for development of detection or
defense mechanisms or upgrade the state-of-art tools to discern and avert such attacks. The research and thus
AndroVasion proceeds to develop and demonstrate a novel Evasion and Covert channels based approach
which successfully obfuscates the information flow within the system and bypasses the security mechanism.
FUTURE SCOPE
Current security mechanisms as well as analysis tools focus only over existing techniques that have specific
working procedure. Here, AndroVasion shows the requirement of betterment of security systems and also
opens up an opportunity for development in the field of Evasion and Covert channels. The novel attack
proposed here shows undetectability from existing state-of-art tools such as SuSi fails to determine sensitive
sources and sinks. Other tools such as FlowDroid, DroidSafe have certain limitations in terms of
detectability [15]. Also, the concepts are new enough not to have plenty of experimentations with it. Hence,
the research signifies here that such attacks are highly threatening to the Android based systems and must be
proposed to spot and avert such attacks. Thus, the research stands as a proof to insecurities opens up ways
for development of security systems regarding the same.
REFERENCES
[1] IDC: The premier global market intelligence company. IDC - Smartphone Market Share - OS. [online]
Available at: https://www.idc.com/promo/smartphone-market-share/ [Accessed 29 Dec. 2018].
[2] IDC: The premier global market intelligence company. (2018). IDC - Smartphone Market Share - OS. [online]
Available at: https://www.idc.com/promo/smartphone-market-share/ [Accessed 29 Dec. 2018].
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ISBN: 978-93-5351-069-5 914
[3] P. Faruki et al., "Android Security: A Survey of Issues, Malware Penetration, and Defenses," in IEEE
Communications Surveys & Tutorials, vol. 17, no. 2, pp. 998-1022, Secondquarter 2015.
[4] S. Arzt et al., “FlowDroid: precise context, flow, field, object-sensitive and lifecycle-aware taint analysis for
Android apps” in Proceedings of the 35th ACM SIGPLAN Conference on Programming Language Design
and Implementation, vol 49, no. 6, pp. 259-269, June 2014.
[5] W. Enck et al., “TaintDroid: An Information-Flow Tracking System for Realtime Privacy Monitoring on
Smartphones” in ACM Transactions on Computer Systems, vol 32, no. 2, pp. 5.1-5.29, June 2014.
[6] J. Lalande et al., "Hiding Privacy Leaks in Android Applications Using Low-Attention Raising Covert
Channels," in 2013 International Conference on Availability, Reliability and Security, Regensburg, pp. 701-
710, September 2013.
[7] L. Deshotels, “Inaudible sound as covert channel in mobile devices” in WOOT'14 Proceedings of the 8th
USENIX conference on Offensive Technologies, pp. 16.1-16.9, August 2014.
[8] Y. Wang et.at., "Bring your own device security issues and challenges," in 2014 IEEE 11th Consumer
Communications and Networking Conference (CCNC), Las Vegas, NV, pp. 80-85, January 2014.
[9] S. Arztet.al., “Susi: A tool for the fully automated classification and categorization of android sources and
sinks” in Technical Report TUD-CS-2013-0114, EC SPRIDE, May 2013.
[10] A. Beresford et.al., “MockDroid: trading privacy for application functionality on smartphones” in HotMobile
‟11 Proceedings of 12th Workshop on Mobile Computing Systems and Applications, Phoenix, Arizona, pp. 49-
54, March 2011.
[11] M. Gordonet. al., “Information-flow analysis of Android applications in DroidSafe,” in Proc. of the Network
and Distributed System Security Symposium (NDSS), San Diego, CA, USA, February 2015.
[12] Z. Yang et. al., "LeakMiner: Detect Information Leakage on Android with Static Taint Analysis," in 2012
Third World Congress on Software Engineering, Wuhan,China, pp. 101-104, November 2012.
[13] L. Li et. al., “IccTA: detecting inter-component privacy leaks in Android apps” in ICSE '15 Proceedings of the
37th International Conference on Software Engineering, Florence, Italy, vol 1, pp. 280-291, May 2015.
[14] F. Weiet.al., “Amandroid: A Precise and General Inter-component Data Flow Analysis Framework for
Security Vetting of Android Apps” in CCS '14 Proceedings of the 2014 ACM SIGSAC Conference on
Computer and Communications Security,Scottsdale, Arizona, USA, pp. 1329-1341, November 2014.
[15] L. Qiu et. al., “Analyzing the Analyzers: FlowDroid/IccTA, AmanDroid, and DroidSafe” in ISSTA 2018
Proceedings of the 27th ACM SIGSOFT International Symposium on Software Testing and Analysis,
Amsterdam, Netherlands, pp. 176-186, July 2018.
[16] D. Arp et. al.,“Privacy threats through Ultrasonic Side Channels on Mobile Devices” in 2017 IEEE European
Symposium on Security and Privacy (EuroS&P), Paris, 2017, pp. 35-47, April 2017.
[17] B. Lokhande et. al., “Overview of information flow tracking techniques based on taint analysis for Android” in
2014 International Conference on Computing for Sustainable Global Development (INDIACom), New Delhi,
2014, pp. 749-753, March 2014.
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PCE242
SEPARABLE REVERSIBLE DATA HIDING USING RGB IMAGE

Dr. Dimple Anandpara
Shri Sunshine Group of Institutions
dimplemca@gmail.com
Abstract
Nowadays reversible data hiding technique is used for authentication of different types of images.
This paper proposes a novel approach for separable and reversible data hiding using lossless image
compression method. Proposed method developed for coloured i.e. RGB image. Initially the original
RGB image is encrypted using stream cipher algorithm followed by the data-hider compression,
which selects least significant bits from all three colour channels of the RGB image to make room for
data hiding. Considering the brightness and visual effects of different colour channels, numbers of
LSB’s are selected from each channel for hiding data bits. To enhance security, data are encrypted
before hiding within the image. On the receiver side, image and data can extract separately according
to the availability of keys. The proposed method enhances payload capacity and PSNR value of stego
image.
Keywords: LSB, Lossless Image Compression, Stego image, RGB image.
INTRODUCTION
In recent years separable and reversible data hiding within any image have attracted considerable
research interest [2]. In many applications like images used in military, medical images, property
documents, etc., small distortion after embedding data is not acceptable [10]. So there is a need of
reversible data hiding technique in which at receiver side the original image can extract with 100%
PSNR value. For the authentication of data like videos, images, electronic documents etc. reversible
data hiding technique is used. In some cases image owner and data provider want to work separately
and hide their data from each other. So owner of the image first encrypts the image and then send to
data provider. Data provider also encrypts the data before embedding to encrypted image. At receiver
side recovery of the image and data is performed individually.
Many researchers have developed different separable reversible data hiding techniques that can be
mainly classified into 3 types [1]
1. Difference expansion (DE) methods

2. Histogram modification (HM) methods.
3. Lossless compression based methods
In lossless compression based technique, LSB’s of encrypted image first compressed using any
lossless image compression technique and create space for hiding data. Enough work has been done
for data hiding in the encrypted image using lossless compression method [3-7]. All these techniques
use gray scale image for data hiding. V. Agham et al [8] compress LSB 5,6,7,8 of randomly selected
pixels from an encrypted image and create extra space to embed additional data. The author uses gray
scale image for hiding data. This algorithm does not work well if payload capacity increases gradually
because with increased payload more number of pixels is destroyed.
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After studying a number of papers of different researchers on steganography techniques, I came to

know that there is enough scope is left for research in this field. Existing stenographic algorithms are
robust but all these techniques are not reversible. We can't extract the original image without
distortion. In certain situations, there is a need of reversible data hiding technique like property
documents, government organization documents etc. Lots many techniques are developed that is
reversible.. To improve payload capacity of the image another algorithm developed using the color
image. Proposed algorithm born in the environment of MATLAB with the version of MATLAB
2013a and all the tests were made over the windows 2010 operating system.
In this paper author developed an improved separable and reversible data hiding technique for
coloured image that provides better PSNR value and high embedding capacity than previous one. In
the proposed method, the colored image is used for hiding data that will improve payload capacity and
reduce distortion occurs after embedding data into the image.
The rest of the paper is organized as follows. Section II explains proposed scheme, Section III
presents the experimental results of the proposed method. Section IV presents comparative analysis
with existing method. Section V concludes the paper.
OBJECTIVE
Design and develop a separable and reversible steganography algorithm using the color image of type
RGB that increases payload capacity of the image and quality of the image which extracts on
receiver's side with embedded data as compared to the proposed algorithm for the gray image.
PROPOSED METHOD
The proposed algorithm of data hiding is different than other existing compression based data hiding
techniques. In proposed method all three coloured channels of a RGB image are used for data hiding.
The number of LSB’s used from each coloured channel is based on brightness of each colour channel.
Formula of calculating luminance (Y) of a RGB image is given below. The formula is given below.
Luminance is for brightness of a colour.
Y= 0.3R + 0.59G + 0.11B. [11]
According to above given formula, human eyes are most sensitive to the green colour, the next is to
the red colour, and the last is to the blue colour. Considering this aspect more data bits are embedded
in the blue colour channel, than the red colour channel and least number of data bits is are embedded
in the green colour channel.
Working of proposed method can be understood by following block diagram in figure 1.
Figure 1 Block Diagram of Proposed Method
Sender Data Provider
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Receiver
Proposed Methodology has been divided into 2 Phases:-

A. Image encryption and Data Hiding
B. Image and Data Extraction
Image Encryption and Data Hiding
In proposed method both the operations i.e. image encryption and data hiding does separately by
different group of people at remote places. Both the steps explain as follows.
 Image Encryption:
First, a RGB image is selected and encrypted using stream cipher encryption algorithm. For
image encryption 1024 bit encryption key is used which is generated using pseudo random key
generation.
 Data Hiding:
Following are the steps for data hiding.
1. Encrypt the data before embedding to the encrypted image. Use public key encryption algorithm,
i.e. RSA for data encryption.
2. Select 4LSB of Red channel, 2LSB of Green channel and 1LSB of Blue channel of an encrypted
coloured image to create a bit stream.
3. Compressed the bit stream obtained in step -2. Use a lossless data compression technique, i.e. run
length encoding method to compress bit stream. That creates room for hiding the data.
4. Embed encrypted data bits into the compressed bit stream. Data bits are embedded into random
positions for increases robustness. Stego key is used to select random position.
5. After embedding data bits into a coloured image stego image is sent to the receiver.
6. Stego key, data encryption key and image encryption key can be sent to the receiver secretly
according to the requirement.
Image and Data Extraction
After receiving encrypted image with embedded data, receiver can extract original image and original
data according to the availability of keys.
Following three types of situation occurs.
1. If receiver has stego key and data encryption key, then the receiver can extract the hidden data,
but can’t extract original image due to not availability of image encryption key.
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2. If receiver has only an image encryption key, but does not have stego key and data encryption
key, then the receiver can extract original image but cannot extract the hidden data. The decrypted
image is similar to the original image because the embedded data impact only to the LSBs’ of the
image.
3. If the receiver has all three keys, i.e. data encryption key, stego key and image encryption key,
then the receiver can extract both original data and original image without any distortion.
EXPERIMENT RESULTS
For an experiment of the proposed algorithm MATLAB simulator is used. The experiment is done on
different types of coloured image, i.e.. jpg, .png, .tiff, .bmp. Various parameters are considered during
experiment, i.e. size of the image, Peak Signal to Noise Ratio (PSNR) of stego image, Mean Square
Error (MSE) and Average difference between the original image and stego image [9].
Peak Signal to Noise Ratio (PSNR):

Formula to calculate PSNR is given below
Image with high PSNR value represent the good quality image [9].
Mean Square Error (MSE):

Formula to calculate MSE is given below
In above formula g represents a stego image and f represents the original image. M and N is the size
of image in rows and columns. Lower MSE value means the image is of good quality [9].
Average Difference (AD):

Formula to calculate the average difference between the original image and stego image is given
below.
In above formula g represents a stego image and f represents the original image. M and N is the size
of image in rows and columns. Lower AD value means the image is of good quality [9].
Experiment result of the proposed method is obtained on the basis of following 3 criteria.
1. According to Type of Coloured image
2. According to Size of Embed Data
3. According to Data Encryption Key Size
According to Type of Coloured Image:
Table-1 shows different parameters’ output obtained after implementation of algorithm on different
types of coloured image i.e. .jpg image, .png image, .bmp image and .tiff image. The dimension of the
coloured images used for experiment is 225*225 pixels. For the experiment we used 1) 128 bits data
encryption key and 2) 1024 bits image encryption key. Embed data size is of 68 bytes.
Table:1 Experiment output of the proposed method on different type of the colored Image
Type of Size of PSNR MS Average

Image Image value E Differen
(in kb) (in db.) ce
JPG 7.98 48.8 0.86 0.03
PNG 55.2 48.52 0.9 0.02
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BMP 8.35 48.61 0.86 0.006

TIFF 81.2 48.59 0.9 -0.02
Below Figure 2 shows that PSNR value obtains by different types of image using proposed algorithm
graphically. The plotted graph depicts various image types v/s PSNR value obtained using proposed
method.
Graph 1PSNR value of proposed method on the base of Image Type
According to Size of Embedded Data:
Table-2 shows different parameters’ output obtains after embedding different size of data into
coloured image using the proposed method. The experiment is done on the leena.bmp coloured image
of size 8.35KB. The dimension of the coloured image is 225*225 pixels. We used 1) 128 bits data
encryption key and 2) 1024 bits image encryption key.
Table: 2 Experiment output of proposed method with different data size
Size of Data PSNR value MSE Average

(in db.) Difference
29 bytes 48.78 0.86 0.009
68 bytes 48.61 0.86 0.006
160 bytes 48.2 0.99 0.019
343 bytes 47.35 1.2 0.023
Figure 3 shows that the PSNR value obtains by embedding different size of data into coloured image
using proposed algorithm graphically. The plotted graph depicts various embed data size v/s PSNR
value obtained using proposed method.
Graph 2PSNR value of proposed method on the base of embed data size
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After experimenting of embedding different size of data into encrypted image, the author analyzes
that PSNR value is more than 47 db. even after embedding 343 bytes of data. As we are increasing the
length of embedding data PSNR value is declining. Mean square error and average difference value
increase with increase embed data size.
According to Data Encryption Key Size:
Performance of proposed method is analyzed using different length of data encryption key. Table-3
shows different parameters’ output obtained after experiment.
The experiment is done using the leena.bmp image of size 8.35KB. The dimension of the colored
image is 225*225 pixels. Size of embedded data used for experiment is 68 bytes.
Table:3 Experiment output of proposed method with different data encryption key size
Data Encryption PSNR MS Average

Key value E Differen
size (in bits) (in db.) ce
1024 46.59 0.89 0.004
512 47.62 0.88 0.022
256 48.27 0.87 0.001
128 48.61 0.86 0.006
64 48.82 0.85 0.007
32 48.9 0.84 0.0079
16 48.96 0.83 0.006
8 48.99 0.82 0.002
Figure 4 shows that PSNR value obtains by using different size of encryption key using proposed
algorithm graphically.
The graph plotted between data encryption key size and PSNR value.
Graph 3PSNR Value of proposed method on the base of data encryption key size.
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After experimenting of proposed method using different size of the data encryption key, the author
analyzes that as the size of data encryption key increase PSNR value of stego image decline. MSE
value and average difference value increase with increase key size.
COMPARATIVE ANALYSIS
The Author does a comparative analysis of the proposed method using colored image with existing
separable reversible data hiding technique [8] that use 4LSBs of randomly selected pixels of a gray
image. Comparative analysis of both the techniques is performed on the base of basic two parameters,
i.e. PSNR value of stego image and time taken by both the techniques.
Comparative analysis on the base of PSNR value is given in Table-4.
Table: 4 PSNR values of existing technique and proposed technique
Size of PSNR value of PSNR value using

Embed using existing proposed method
Data technique[8] for for coloured image
gray image (in db.)
(in db.)
29 bytes 36.80 48.78
68 bytes 36.78 48.61
160 bytes 36.35 48.2
343 bytes 35.92 47.35
Graph 4 Comparative Analysis of PSNR on the base of embed size
Figure 5 gives a graphical representation of PSNR value obtains by existing technique and proposed
technique.
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On the basis of above given Figure-5 author analyses that the PSNR value of stego image obtained by
proposed method is more than existing separable reversible data hiding technique [8].
Comparative analysis of time taken by proposed technique using coloured image and time taken by
existing technique[8] using gray image given in Table-5.
Table: 5 Total times taken by existing system and proposed technique.
Image Total time taken Total time taken by

Type by existing proposed technique
technique for gray for coloured image
image[8] ( in second)
( in second)
JPG 11.88 33.54
PNG 8.77 25.75
TIFF 14.64 25.04
BMP 13.17 22.59
Graph 5 Graph for comparative analysis of PSNR on the base of Execution Time
From figure 6 analyze that the time taken by proposed method is more than existing separable
reversible data hiding technique [8].
CONCLUSION
This paper design a separable reversible data-hiding technique for coloured image, that will increase
the PSNR value of the decrypted version of stego image, so the possibility of extracting data from
stego image without knowing stego key will reduce. Visual artifact after embedding data into the
coloured image will also reduce in the proposed method because considering brightness of each
coloured channel number of bits selected for data hiding. That will enhance security of data. In
proposed method all three coloured channels are used for data hiding so that will increase the payload
capacity of an image. If time is not a big concern in that application proposed method is more useful
for data hiding.
REFERENCES
1. Mrs. A. Niranjana Devi (2014). Reversible Data Hiding With Optimal Value Transfer of Data. International
Journal of Innovation and Scientific Research ,3, 66-70 .
2. Z. Erkin, A. Piva, S. Katzenbeisser, et al.(20017-08). Protection and retrieval of encrypted multimedia
content: When cryptography meets signal processing. EURASIP, Journal on Information Security.
3. Vinit Agham, T Pattewar ((2014). A Novel Approach Towards Separable Reversible Data Hiding
Technique. IEEE International Conference .
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4. Kadam P., Nawale M., Kandhare A., Patil M. (2013. Separable Reversible Encrypted Data Hiding in
Encrypted Image Using AES algorithm and Lossy Technique. IEEE International Conference on Pattern
Recognition, Informatics and Mobile Engineering.
5. C.Rengarajaswamy,K.Vel Murugan (2013). Separable Extraction of Concealed Data and Compressed
Image, IEEE ICEVENT.
6. M.U.Celik, G. Sharma, A.M.Tekalp, E.Saber (2005). Lossless generalized-LSB data embedding, IEEE
Transactions on Image Processing 14,253–266.
7. W. Hong, T. Chen, and H. Wu (2012) An improved reversible data hiding in encrypted images using side
match, IEEE Signal Process.
8. Vinit Agham, T Pattewar (2014). A Novel Approach Towards Separable Reversible Data Hiding
Technique, IEEE International Conference .
9. S.P.S.P.Chokkalingam,K.Komathy,M.Vinoth and R.Saravanan(2014). Performance analysis of Bone
Images using Various Edge Detection Algorithms and De noising Filters, International Journal of Pharma
and Bio Sciences.
10. Swanson, M. D., Kobayashi, M., & Tewfik, A. H. (1998). Multimedia data-embedding and watermarking
technologies, Proceedings of the IEEE, 86(6), 1064-1087.
11. eenakshi Kaul (2011). Information Hiding System,IJCSIT Vol 2(2),866-87.
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925 ISBN: 978-93-5351-069-5

PCE268
A COMPARATIVE STUDY ON STUDENT ATTENDANCE
MANAGEMENT SYSTEM
Pinalee B. Rathod
UG Student, Information Technology Department,
Government Engineering College, Bhavnagar, Gujarat, India
pinrth2015@gmail.com
Abstract
Student attendance plays a vital role in order to justify the academic outcome of a student and
academic institute (school, college etc.) as overall. Attendance of students in the academic institution
is one of the essential routine activity. Providing accurate presence monitoring system on a real-time
basis is a tough task. When there are many students attending the class, that time it is difficult to
monitor the attendance of a large class. As a number of students increases, the institute needs a tool
to organize student attendance records. Nowadays, many Attendance Management Systems (AMS)
have been implemented using different approaches. This article reviews the previous works carried
out on the attendance monitoring system. This article gives a comprehensive analysis of previous
work and also provides a comparative study on various approaches and suggestions for future work.
Keywords: Attendance Management Systems (AMS), Barcode scanner, Facial recognition, Student
record, RFID.
INTRODUCTION
In recent years, students’ attendance monitoring using traditional methods is a challenging task.
Attendance monitoring using the traditional method i.e. attendance monitored manually on a paper by
the faculty had its own advantages and disadvantages. Manual attendance monitoring is time-
consuming and less reliable. Attendance monitoring in a classroom during a class is not only
cumbersome but also a tedious process. The increasing demand for a competent and computerized
system for monitoring attendance is a rising issue for the researchers.
The process of taking attendance as automatic way includes several approaches such as bar code
readers for identity cards, fingerprint recognition, Bluetooth sensors, facial recognition, RFID based
systems and many more. Bluetooth Low Energy (BLE) technology is useful for a Bluetooth sensor-
based attendance management system which interacts with an android application. Data collection
from the sensors is done using Android application.
RFID based attendance system is used to record student’s attendance by flashing each student card
and then saving that record in the database. Barcode reader-based attendance management system
involves to scan students’ unique ID or number through the barcode scanner and store that data into
the database. Fingerprint-based attendance system uses student's unique pattern of fingerprints for
authentication and marking of attendance.
This article throws light on existing approaches of the automatic attendance system. The benefits and
drawbacks of some of the most significant works previously done on this field have been covered in
the subsequent portion of the comparative study. The ending part completes the analysis and suggests
future tasks required for additional rectification of the system.
COMPARATIVE STUDY OF DIFFERENT APPROACHES
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The research is intended to carry out a comparative analysis of the various approaches implement by
researchers and to consider the deficiency of their proposed systems for a better result. In this section,
a comparative study has been carried out on different approaches of the attendance system.
Attendance Management System using Bluetooth Low Energy:
Bluetooth Low Energy (BLE) is an advanced technique to design personal area networks. Apoorv
et.al (Apoorv & Mathur, 2017) proposed a method for monitoring attendance using BLE. BLE reduces
power consumption and cost compared to classic Bluetooth. In this system, the attendance collection
is done with the help of BLE sensors. Every ID card can be affixed with BLE sensors and ID card is
connected with an Android application. Whenever students entering into class, the teacher opens the
application and turns on Bluetooth. The application senses any beacon stickers and inputs the data
into an application. By doing this procedure, students' attendance is monitored immediately. Power
consumption is less in BLE based system. Also, the high data transfer rate is availed by using BLE
based system. These are some benefits of the BLE based system. One of the shortcomings of this
system is, BLE beacon sensors must be needed for implementation of the system.
Attendance Management System using RFID Reader:
Recently, RFID based attendance system attracts researchers due to its efficiency and reliability.
RFID based system is able to monitor students' attendance more effectively as compared to a manual
system. Azasoo et.al (Azasoo, Engmann, & Hillah, 2015) proposed the usage of RF (radio frequency)
as transmission channel among data server and RFID card reader. Attendance management system
gathers and maintains attendance records from the RFID devices. After that whole recorded data is
communicated to the server. A procedure of marking attendance and the entire management of the
recorded data both will improve by the implementation of this system.
Kassim et.al (Kassim, Mazlan, Zaini, & Salleh, 2012) also proposed a web-based student attendance
system using RFID technology. The author has proposed semi-automatic recording of students'
attendance using RFID Approach. Three essential components particularly RFID reader, Data
reporter, and Web server consists in the system. All the components are combined together and each
component carries its own operation. In this system, students' attendance has been captured by using a
semi-automatic way. For this, whenever the students entering into class, student has to flash their ID
card on the RFID reader. This way, RFID reader captures data from student ID card and sends data to
the server. A depository of attendance data records has been made using this system. Collected
attendance data is handled and interpreted automatically with a low probability of data damage. Apart
from its advantages, RFID based system faces some challenges. Cost of equipment, required tools, a
requirement of training for users, implementing communication technology etc. are major challenges
of RFID based systems.
Attendance Management System using Fingerprint Scanning:
Dhanalakshmi et.al (Dhanalakshmi, Kumar, & Sai, 2017) proposed fingerprint (biometric) based
attendance management system for the educational institution. For real-time monitoring of student
attendance, biometric attendance system is designed. In this system, the user input is captured with the
help of student’s fingerprint. Fingerprint data compared with the stored system database.
Author consider two approaches for validating the taken fingerprint for the authentication procedure.
The first approach is based on a database collected by the organization while the second approach is
based on the collection of data from the Aadhaar Central Identification Repository (CIDR). In India,
Aadhaar is a biometric identification program in which every citizen of India gets a unique identity by
Unique Identification Authority of India (UIDAI). A unique ID is offered by UIDAI using biometrics
like fingerprint, iris, and face. Irises, fingerprints, and photographs of everyone are taken and recorded
in CIDR at the time of registration. An excellent attendance system may be accomplished by using
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UIDAI's Electronic Know Your Customer (e-KYC) service. Special permission from UIDAI is
required for implementing this service-based system. A system consists of the fingerprint scanner and
a GSM module. Fingerprint scanner used to scan finger whereas module used for wireless
connectivity. Attendance history of the students is retained in the database. Using this technique
genuine attendance of the student is recorded, monitored and maintained without any negligence and
human interference. There are several disadvantages of fingerprint scanning based system. Like,
Computer hardware and software packages may be costlier. Sometimes fingerprint scanner can lead to
false rejections or false acceptances.
Attendance Management System using Face Recognition:
Face recognition is an application of computer vision and image processing which is capable of
performing two major tasks of identifying and verifying a person from an image or a video database.
Rekha et.al (Rekha & Ramaprasad, 2017) proposed attendance monitoring system applying face
recognition technique. In this paper, the author discussed a novel approach for the face recognition by
integrating eigenface database and Principal Component Analysis (PCA) algorithm.
In this system, facial recognition is done with the help of a camera which acts as the input of all the
students. The input is then passed into an image processing system which will decode the information
into terms of each user. After that data is compared with the database to make sure that the faces
match. If faces match then information is stored. By using this system attendance is updated
automatically after comparing the detected face with the original database. PCA is used for the
dimension reduction to analyze face recognition problems. Face database images are converted to a
multivariable data set. A face contains a set of important features and these are called principal
components. By executing PCA method facial features are extracted from the original database. PCA
approach needs a full-frontal image of the face every time, otherwise the image results in poor
performance. It is one of limitation of the PCA approach.
Samet et.al (Samet & Tanriverdi, 2017) also developed attendance monitoring system based on facial
recognition technique. For the development of face recognition, the authors have been discussed face
identifying methods such as Eigenfaces, Fisherfaces and Local Binary Pattern (LBP). By using the
suggested system, additional equipment cost eliminates and attendance recording time is reduced.
Also, the system permits users to access recorded data at any time and anywhere. Information
authenticity is a major problem in RFID based systems. It can be solved by implementing facial
recognition technique. In this system, the success rate is decreased by increasing distance between the
students and the camera. The captured images of students sitting in front seats are more precise than
the images of the back side sitting students. Also, the accuracy rate gets affected due to the blurring of
the image caused by vibration. In some cases, illumination and classroom environment affects
accuracy rate.
CONCLUSION
Paper presents the comparison of different approaches of attendance management system associating
automated and non-automated type. Attendance taking-time can be reduced considerably in all
discussed approaches compare to a manual approach. The potential benefits and drawbacks of each
approach are discussed which is a vital thing for implementing state-of-the-art management
techniques. The comparison shows that none of the system alone is the best for the provisions of all
originations. Each system has its own advantages and disadvantages. Therefore, based on the
requirement of each organization they can decide which system they need to consider.
REFERENCES
Apoorv, R., & Mathur, P. (2017). Smart attendance management using Bluetooth Low Energy and
Android. In IEEE Region 10 Annual International Conference, Proceedings/TENCON (pp. 1048–1052).
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Azasoo, J. Q., Engmann, F., & Hillah, K. A. (2015). Design of RF based multithreaded RFID student
attendance management information system. In IEEE International Conference on Adaptive Science and
Technology, ICAST (Vol. 2015–Janua).
Dhanalakshmi, N., Kumar, S. G., & Sai, Y. P. (2017). Aadhaar based biometric attendance system using
wireless fingerprint terminals. In Proceedings - 7th IEEE International Advanced Computing Conference,
IACC 2017 (pp. 651–655).
Kassim, M., Mazlan, H., Zaini, N., & Salleh, M. K. (2012). Web-based student attendance system using
RFID technology. In Proceedings - 2012 IEEE Control and System Graduate Research Colloquium,
ICSGRC 2012 (pp. 213–218).
Rekha, E., & Ramaprasad, P. (2017). An efficient automated attendance management system based on
Eigen Face recognition. In Proceedings of the 7th International Conference Confluence 2017 on Cloud
Computing, Data Science and Engineering (Vol. 5, pp. 605–608).
Samet, R., & Tanriverdi, M. (2017). Face recognition-based mobile automatic classroom attendance
management system. In Proceedings - 2017 International Conference on Cyberworlds, CW 2017 - in
cooperation with: Eurographics Association International Federation for Information Processing ACM
SIGGRAPH (Vol. 2017–Janua, pp. 253–256).
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PCE232
A SURVEY ON DIFFERENT ATTACKS OVER MICROPHONE IN

SMARTPHONE
Krupali Joshi Bharat Buddhadev Seema Joshi

Student Professor Assistant Professor
GTU School of Engineering Government Engineering GTU School of Engineering
and Technology College, Gandhinagar and Technology
krupalijoshi89@gmail.com bvbld@yahoo.com ap_seema@gtu.edu.in
9275077977 9106577517 9898180113
Abstract
In this digital era, smartphones have become more popular day by day. At present, usage of
smartphone has also drastically increased because of the connectivity services such as GPRS, GSM,
3G, 4G, Bluetooth and Wi-Fi. For various uses, user can install a different application such as social,
financial, business and educational. These applications take permission of microphone, camera, GPS
location and other important component of smartphone through hidden requests. However, this
tremendous usage of the smartphones attract an attacker for performing malicious activities using
different malware and other security breaching attacks. Microphone is one of the most important
component of smartphone as well as it is vulnerable to many attacks and create hidden way to enter
into smartphone device without user’s knowledge. Smartphones use microphone to receive user voice
and then that voice is transmitted through the radio waves in the air. By accessing the microphone
through a hidden request present in some third party malicious application, attacker can collect a
private information such as IDs, bank credential data, passwords, PIN number, location and more
important documents of the user. Due to which users have financial losses and even harm their
reputation. For that attacker used different techniques like an ultrasonic sound waves, inaudible
sound and isolated sound to share private information of user outside a smartphone. In this survey
paper, we will be presenting different microphone attacks, which have already taken place.
Keywords: Microphone, Smartphone Attacks, Malware, Mobile Application, Attack technique.
INTRODUCTION
Smartphone provides a lots of functionality with low price and work like a personal computer. It carry
sensitive information such as contact information, videos, and photographs, call recording, passwords,
financial data, current GPS location, personal messages and other important documents. At a same
time smartphone is equipped with physical hardware devices such as microphone, camera,
accelerometer, vibration motor, gyroscope and speaker. So smartphone have to carry two important
things, personal information and physical hardware devices. This things attract an attacker towards the
smartphone for performed the attack. Now attacker used different techniques to interact with the
physical hardware devices for collecting a sensitive information without user knowledge.
In this paper, we can discuss a smartphone hardware architecture, working of microphone and
different attacks performed over microphone in smartphone.
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Smartphone Hardware Architecture

Smartphone architecture is a layered architecture thus working is divided in different layers. Every
layer of architecture performs different tasks and connects to different hardware devices for executing
any application of smartphone. Here smartphone hardware architecture isshown below.
Figure 1 Smartphone Hardware Architecture
Source: https://slideplayer.com/slide/5819962/
An application software works in assistance from the middleware and operating system for the
execution of the end-user’s application. A modem or baseband processor with its own operating
system components responding to the baseband radio activities like transmission and reception of
audio, video, and other data contents. A number of peripheral devicessuch as display, camera,
microphone and sensors are used for interaction with the end-user. The operating system needs to
have the driver software installed for each device.Rapid manipulation and alteration of memory to
accelerate the creation of images in frame buffer is done by a specialized electronic circuit named
Graphics Processing Unit (GPU). A Central Processing Unit (CPU)is an electronic circuit that can
execute all application programs in smartphone [1].
Working of microphone
Microphone is one of the most important component and sensor in smartphone. It is also known as a
mic or mike. It is a transducer that converts sound into an electrical signal. It is used in many
applications such as telephones, hearing aids, sound recording, speech recognition, VoIP, television
broadcast, for non-acoustic purpose, etc.
When a phone call is made by someone, first of all sound waves flow through a microphone to analog
voltage. Then it is passed to the A-D converter, which convert an analog signal to digital signal for
further processing. This digital data is given as input to the Digital Signal Processing (DSP). Final
data is converted back to an analog signal using D-A converter and is broadcasted by speaker.
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Figure 2 Microphone Working
LITERATURE SURVEY
Microphone is one of the important parts of smartphone so, attacker always try to perform an attack
over smartphone either directly or indirectly using a microphone. For that different techniques are
used by them. Based on our current literature survey over microphone attacks, we classified attacks
according to their different attack technique which are explained below.
Figure 3 Microphone Attack Technique.
Covert Channel Attack

Covert channel provide a communication medium for performing a malicious activity into
smartphone. Attackers use a covert channel attack technique, in which they create or usea
communication channel that is against the security policy of computer system for leaking the private
information of victim. This covert channel sends a data in such a hidden way, that it cannot be
detected by monitoring system of devices [2].
Attacker can use an inaudible sound as a covert channel to collect a victim’s private information from
microphone without their knowledge. They can use an ultrasonic sound and isolated sound as
inaudible sound. Here, malicious Application A send a private data of user to Application B and
Application B used a microphone to receive that data. So this attack used an intra-device
communication to performing an attack with in same smartphone. Attacker also used inter-device
communication, in which inaudible sound broadcast from victim device and attacker device received
that sound using microphone [3].
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Figure 4 Covert channel attack using microphone.
Covert channel attack also performed with the use of Trojan malware. In this attack, Trojan can be
installed by a malicious application and it runs into a background for collecting a sensitive
information when user interaction is less with a smartphone. Now this sensitive information can be
broadcasted by internal component like speaker and other component. On the other side that
information is collected by microphone. Here, microphone collect a private information in a hidden
way [4].
Figure 5 Ultrasound as a covert channel [4].
Malware Attack
For interacting with physical hardware attackers use different malwares like virus, spyware, Trojan,
rootkit, botnet, etc.
Figure 6 Different types of malware
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Virus: A virus is a piece of code or malicious application, which is replicates itself when a certain
event is occurred and affects other programs, boot sector or files [6].
Spyware: A spyware is a malware, which traces victim’s activities such as location, contacts, call,
emails, etc. Some time it also send a victim’s information outside a smartphone without victim
knowledge [6].
Trojan: A Trojan is a malicious software but appear as alegit application. It takes an unauthorized
access of smartphone and performs malicious action in background [5].
Rootkit: A rootkit takeovers whole control of system and hide all the malicious activities from user. It
also install a Trojan, disable firewall and anti-virus. All these malicious activities are possible as, after
installing rootkit the attacker gets root access of the smartphone [6].
Botnet: Botnet consists of multiple bots i.e. any electronic device which is affected by virus and is
controlled by attackers remotely [5].
Soundcomber is Trojan for smartphones. It takes permission of microphone for stealing private
information of user. It startsrecording into background when phone conversation is started. When the
user types or speaks credit card number over IVR call, its tone is received by microphone and sent for
further process of extracting the exact credit card digits. If user gives their PIN number then it is also
collected from a microphone without their knowledge. This all private data can be leaked to the
attacker using browser application as a covert channel [7].
Figure 7 Soundcomber Architecture [7].
Side Channel Attack

A side channel is an unintended channel emitting information which is due to physical
implementation flaws and not due to the vulnerability of device. Attackers use this side channels to
performattacks over smartphones.
SonarSnoop is an active acoustic side channel attack, which is performed over smartphone to steal
unlock pattern. The sonar system attack can take place using either passive system or active system.
In passive system, victim generates acoustic signal and it is eavesdropped by attacker. Where in active
system, attacker creates an acoustic signal. In SonarSnoop attack, attacker can add a malicious code in
form of application so no one can detect its malicious functionality. Here, speaker generate an OFDM
signal which is inaudible and suitable for close-range tracking of fingers. When an OFDM signal
reflected, it is caught by microphone. After removing a noise, features are extracted and unlock
pattern are discovered by finger movements [8].
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Sometime sensitive application run separately from other application such as bank application. Due to
which no one can directly interact with sensitive application. Here, using PIN skimmer side channel
attack, attacker can also perform a malicious things over this sensitive application. This attack take a
permission of microphone and camera. It also installs a rootkit into smartphone. A rootkit can monitor
the user’s behaviour using different sensors. When user enters a PIN number, that time every touch
event is captured by camera and microphone. This data is forwarded to learning algorithm, which
predicts list of possible PIN numbers [9].
Application Attack
Many attacks are performed due to the vulnerabilities present into installed application. GVS attack is
performed due to vulnerability of status checking in Google search application. Google search
application work in two mode, voice dialler mode and velvet mode. In voice dialler mode, they accept
only voice dialler command and in velvet mode, it work in full function mode.
In voice dialler mode, even though the phone is securely locked voice employer invokes Google voice
search. Voice employer sends different commands to Google voice search, which is received by
microphone. If victim smartphone is not securely locked, then attacker easily take a whole access of
phone and sends malicious commands for leaking the private information of user. In this scenario,
Google voice search work in velvet mode. Sometimes attacker also takes remote access of smartphone
without victim’s knowledge [10].
CONCLUSION
With the rapid use of smartphones and development of new applications with multiple features can
increase the chances of attacks over smartphone. For that attackers use different built in hardware
devices and sensors. Here, microphone is one of the most important devices to interact with
smartphone. From this literature survey we observed that how attackers can use microphone as a
covert channel and side channel for sendingconfidential data of victim outside the smartphone. They
also performed attacks either by creating a malicious application or by install a malware with other
application. In the future, we will be performing a microphone attack by evasion technique for
sending a user confidential data outside of smartphone in hidden way so that the malware analysis
tool cannot detected it.
REFERENCES
[1] Mobile Device Development (n.d). Retrieved from https://slideplayer.com/slide/5819962/.
[2] Chandra, S., Lin, Z., Kundu, A., & Khan, L. (2014). Towards a Systematic Study of the Covert Channel
Attacks in Smartphones. SecureComm.
[3] Deshotels, L. (2014). Inaudible Sound as a Covert Channel in Mobile Devices. WOOT.
[4] Novak, E., Tang, Y., Hao, Z., Li, Q., & Zhang, Y. (2015). Physical media covert channels on smart mobile
devices. UbiComp.
[5] Polla, M.L., Martinelli, F., &Sgandurra, D. (2013). A Survey on Security for Mobile Devices. IEEE
Communications Surveys & Tutorials, 15, 446-471.
[6] Ahvanooey, M.T., Li, P.Q., Rabbani, M., & Rajput, A.R. (2017). A Survey on Smartphones Security :
Software Vulnerabilities , Malware , and Attacks.
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[7] Schlegel, R., Zhang, K., Zhou, X., Intwala, M., Kapadia, A., & Wang, X. (2011). Soundcomber: A Stealthy
and Context-Aware Sound Trojan for Smartphones. NDSS.
[8] Cheng, P., Bagci, I.E., Roedig, U., & Yan, J. (2018). SonarSnoop: Active Acoustic Side-Channel Attacks.
CoRR, abs/1808.10250.
[9] Simon, L., & Anderson, R.J. (2013). PIN skimmer: inferring PINs through the camera and microphone.
SPSM@CCS.
[10] Diao, W., Liu, X., Zhou, Z., & Zhang, K. (2014). Your Voice Assistant is Mine: How to Abuse Speakers to
Steal Information and Control Your Phone. SPSM@CCS.
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PCE333
A STUDY ON CONCEPT DRIFT DETECTION IN CLASSIFICATION

METHOD OF DATA STREAM
Viral Shah Bhavesh Tanawala

2nd Year, Mtech Assistant Professor
BVM Engineering College BVM Engineering College
vshah9484@gmail.com bhavesh.tanawala@bvmengineering.ac.in
Abstract
Data stream is a real-time data source which is constant and rapidly changing. In this era of
information learning from data stream is essential to make real time decision. As the data streams are
rapidly changing over time a challenge occurs while learning from data stream which is drift in data
distribution. When drift in data stream changes the concept of the data stream it is called as concept
drift. Concept drift leads to reduce prediction accuracy so it is required to detect the concept drift to
decide whether evolving learning is required or not to maintain high prediction accuracy. In this
paper we have discussed various drift detection methods and explored the algorithm that can handle
the concept drift.
Keywords: Data stream mining, Concept drift, Concept drift adaption
INTRODUCTION
In this era of technology we are facing a huge data explosion in various form. Real-time surveillance,
internet traffic, various sensor data, health-care monitoring data, communication networks, online
transactions, online & offline shopping data, financial data, social media data, these data contribute as
a data sources and creates data streams. A Data Stream is a real-time, continuous, rapidly changing
ordered (implicitly by arrival time of explicitly by timestamp) sequence of items.
Data streams are continuous and huge enough that it cannot be stored in traditional databases.
Moreover, this data can be structured, semi-structured or unstructured. Data Stream Management
System is required to manage the data streams which executes a continuous query as long as new data
arrive at the system. An SQL based Continuous Query Language is used for query processing.
Data Stream Mining is used to extract the knowledge from the data stream. The main characteristic of
data stream are as follow. 1) The storage of data stream is costly, so only small summary of data
stream is computed and stored. 2) The arrival speed of data stream tuple is very high so it is required
to process each particular element essentially in real time. 3) The distribution generating the items can
change over time. Thus, data from the past may become irrelevant or even harmful for the current
summary. (Dan Shang, 2017)
Concept Drift in Classification Method of Data Stream:
Most of classification methods are implemented to work with stationary data but in the case of data
stream the data cannot be stationary it is constantly changing. In this case evolving learning can be
apply by the problem is evolving learning is time and space expensive process. So it is best practice
that only start evolving learning from where the concept drift is detected. There are six type of data
drift can occurs in data stream, sudden drift, incremental drift, gradual drift, recurring drift, blip and
noise. From all these drift blip and noise can cause any change in concept of the data stream so it can
be ignored. Majorly other four drift are considered as concept drift. The occurrence of concept drift
leads to a drastic drop in classification accuracy and predictions becomes less accurate as time passes.
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Concept drift leads to degraded performance. It is required to detect the concept drift so that it can be
decided if an update to a data stream classifier is necessary or not. If the evolving data is not used in
modelling purpose it causes the problem and reduces the classification accuracy. (Aggarwal, 2007) To
maintain high accuracy concept drift detection is required.
Figure 1 Types of changes occurs in data stream
(Source: (Brzezinski, 2010))
Dataset: For the study of concept drift any data stream data can be considered. Various research
paper have used data stream like census income data and Australian energy requirement data
(EneNormalized.csv). Using various attribute classification is done and accuracy of classification
method is tested.
Data Mining Tool: Various data mining tools and programming IED can be used to study the
concept drift. However Python is best suitable data mining tools as it provides inbuilt library and
customizable facility as per our requirements.
OBJECTIVE
In the real world it is required to take decision in real time and when it comes to data streams, data
streams are continuous changing and rapidly generated data source. In such scenario if concept drift is
occurred in the data streams it leads to misclassification of the targeted variable and reduces the
prediction accuracy.
The major objective is to detect the concept drift where it occurs and its type. Handling concept drift
is costly process and difficult to apply on data streams. So when the concept drift is detected in the
data stream we only then we can apply the algorithms to handle the concept drift. To study various
available methodology for detecting concept drift this survey is carried out.
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In this research we’ll evaluate available concept drift detections methods and it result analysis. Along
with that also we’ll find out available concept drift handling algorithms which are developed for data
streams. Here we have focused on classification methods of data streams, occurrence of concept drift
in data streams and the effect of concept drift in data streams. The classification in data streams is
used to predict the class of targeted variable. Research is based on finding various methodology of
following topic.
1. Concept Drift Detections Methods
2. Concept Drift Handling
LITERATURE REVIEW
Back in 2008 the effect if concept drift is noticed. Dariusz Brzezinski has given in-depth knowledge
of concept drift and its type and also suggested two concept drift detection methods, Drift Detection
Method(DDM), Early Drift Detection Method(EDDM) and Hoeffding tree. These algorithms detects
concept drift and alarm the base learner that its model should be updated. To improve accuracy of
classification, multi-classifier ensembles are common way to do so. (Brzezinski, 2010) Bruno I. F.
Maciel, Silas G. T. C. Santos, Roberto S. M. Barros has proposed a lightweight ensemble which uses
combination of three drift detectors. Drift detectors used are Drift Detection Method, Early Drift
Detection Method, Adaptive Windowing, EWMA for Concept Drift Detection, Drift Detection
Methods based on Hoeffding’s Bounds. The proposed ensemble produces higher efficiency without
any change in execution time. Also the ensemble is fully configurable that controls the execution of
all drift detectors used. (Bruno I. F. Maciel, 2015)
Dariusz Brzezinski, Jerzy Stefanowski presented and evaluated a block-based stream ensemble
classifier ‘AUE2’ which is designed to react to different types of concept drift. And given the idea
how incremental learning can be apply to adapt the concept drift with AWE. (Dariusz Brzezinski,
2014) Dan Shang, Guangquan Zhang, Jie Lu has proposed the concept drift detection using KS-SVD
test which is fast and accurate compare to other drift detectors like DDM and EDDM. Also this
approach does not detects various type of concept drift. (Dan Shang, 2017)
Yushui Geng, Jianguo Zhang has proposed an ensemble classification algorithm based on single class
classifier with concept drift monitoring, which is an adaptive integrated algorithm that takes both
accuracy and diversity in account to decide whether incremental learning is required or not. (Yushui
Geng, 2017) Ahsanul Haque_, Latifur Khan, Michael Barony, Bhavani Thuraisingham, and Charu
Aggarwal has proposed semi-supervised framework ECHO for classifying evolving data streams. It
detects concept drift and determines chunk boundary dynamically by finding significant change in
classifier confidence. (Ahsanul Haque, 2016)
In the recent time Aditee Jadhav, Leena Deshpande has implemented an ensemble which detects both
kind of concept drift, sudden and gradual. They have used both online classifier and blocked based
classifiers. They have achieved accuracy of 87.27% and 86.16% with census income data and spam
email dataset. Also they have detected 3 and 1 concept drift respectively. The limitation is the
incremental learning after detection of the concept drift. (Aditee Jadhav, An Efficient Approach to
Detect Concept Drifts in Data Streams, 2017) Ms. Priyanka B.Dongre, Dr. Latesh G. Malik has
presented various classification methods and drift detection methods discussed which includes DDM,
EDDM & HOEFFDING TREES. The data stream mining is affected by concept drift and which is
why it is required for online processing with time and memory constrain. (Ms. Priyanka B.Dongre,
2014)
Wang Jianhua, Li Xiaofeng, Gao Weiwei has implemented classification model based on integrated
learning, based on incremental learning and concept drift detection model. The concept drift detection
model detects the concept drift and sends the message to the model to perform related operation. The
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proposed model uses KL-distance to detect concept drift and reduce the updating time. (Wang
Jianhua, 2015)
Gregory Ditzler has presented classification Method for Data Stream in which he has describe
Classification Model Based on Integration Learning, Classification Model Based on Incremental
Learning and Method for Detecting Concept Drift. The proposed system ++NSE-SMOTE which is
improved version of their previous algorithm and it determines voting for combining ensemble
members. (Ditzler, 2012)
Lei Du∗, Qinbao Song, Lei Zhu and Xiaoyan Zhu has proposed a selective detector ensemble for
concept drift detection which is able to detect both abrupt and gradual drifts. In this algorithms they
have used early-find-early-report rule. They have compare e-Detector drift detection method with
other four drift detection method which is DDM, EDDM, ADWIN and STEPD with publically
available data. (Lei Du∗, 2014)
Anjin Liu, Guangquan Zhang, Jie Lu has proposed an concept drift adaptation technique called as
fuzzy time windowing to handle gradual concept drift called FW-DA. This approach is novel because
it can have the overlapping period so that the different concepts can be determines more frequently.
(Anjin Liu, 2017)
Cheong Hee Park and Youngsoon Kang has proposed an active learning method for data streams to
handle concept drift. The method combines active learning and adaptive incremental learning. The
experiment tested with artificial data. The proposed method can be further upgraded so that it can be
used whenever the concept drift is detected, this approach make this an time efficient method. (Kang,
2016)
István Heged, Lehel Nyers and Róbert Ormándi in there paper proposed two algorithms to handle
concept drift in non-distributed environment and in distributed environment. The proposed algorithms
is CDDGoLF which gave improved result detecting the concept drift but gave the similar result as
current drift handling algorithms. (Detecting Concept Drift in Fully Distributed Environments, 2012)
Haixia Chen, Shengxian Ma, Kai Jiang has discussed various learning algorithms to adapt the concept
drift which includes learning from sudden drift and learning from gradual drift using batch
learning(BAT), sliding window(WIN), Hypothesis Test based model (CSHT) and ensemble learning
with weights proportional (ENS) algorithms. From the test they have don CSHT algorithm as given
better results handling concept drift. (Haixia Chen, 2012)
ANALYSIS
Concept Drift Detection Methods: From this literature review we have found various concept
drift detection methods but many of them are developed to work with specific data streams. There are
two general drift detection methods are available which can be used for all kind of data streams.
A. Drift Detection Method(DDM): DDM learns from online classifier and keeps track of error rate.
Online classifier detects sudden drift faster, since performance is monitored after every data instance,
but do not perform well in case of gradual drifts. DDM keep track of error rate and if error rate falls
below bound level, it triggers alarm level. Following is the equation for finding standard deviation.
(Brzeziński, 2010)
si = (pi(1-pi)/i)1/2
Where pi = Probability of Error/ Error Rate
si = Standard Deviation
(i) Warning Level: -pi +si >= pmin + 2smin
(ii) Concept Drift Detection: -pi +si >= pmin + 3smin
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B. Early Drift Detection Method: EDDM also learns from the online classifiers and track the
errors, but rather considering the error rate it consider the distance between two errors. The
average distance between two errors are calculated and set a threshold for drift detection. The
method considers the thresholds and searches for a concept drift when a minimum of pre-
decided errors for training have happened. Same equation is used for finding standard
deviation. (Aditee Jadhav, An Efficient Approach to Detect Concept Drifts in Data Streams,
2017) (Brzeziński, 2010)
(i) Warning Level: -( pi + 2si )/(pmax + 2smax ) < 2
(ii) Concept Drift Detection: -( pi + 2si ) / ( pmax + 2smax ) < 3 && > 2
DDM can efficiently detects sudden drift whereas EDDM can efficiently detects gradual drift.
Considering this fact in ‘An Efficient Approach to Detect Concept Drifts in Data Streams’ authors has
developed an ensemble which includes both block-based classifiers and online classifiers which is
DDM and EDDM combined. Using this ensemble both sudden and gradual concept drift can be
detected. Result Analysis of this paper is mentioned.
Accuracy over dataset using Block-based classifier (Aditee Jadhav, An Efficient Approach to Detect
Concept Drifts in Data Streams, 2017).
Census Income Spam Email
Proposed Ensemble 87.2701 86.1635
No. of drift detection - 1
Accuracy over dataset using online classifier (Aditee Jadhav, An Efficient Approach to Detect
Concept Drifts in Data Streams, 2017).
Census Income Spam Email
Proposed Ensemble 87.2546 88.0241
No. of drift detection - 4
Author has used two classifiers block-based and online classifier for proposed ensemble and got
above mentioned accuracy and drift detection. For the classification method multi-classifier ensemble
can be used and the results can be applied to drift detection ensemble which includes DDM and
EDDM.
To obtain higher accuracy we’ll use multi classifier ensemble which uses multiple classifier as base
classifiers and final classification is done on bases of (weighted) vote of their predictions. (T.G.,
2000) As base classifiers we’ll keep two classifiers, Naïve Bayes and Random Forest.
C. e-Detector based on early-find-early-report rule: This method is divided in to two phases, first is
online learning and another one is concept drift detection. E-Detector uses base detectors and for the
final result early-find-early-report rule is applied. From the result comparison in the paper E-Detector
performs better compare to other mentioned drift detectors and detects both abrupt and gradual
concept drift faster. For our consideration we can use e-Detector to detect concept drift and the result
of which can be used for handling concept drift.
Concept Drift Handling
Once the concept drift is detected in the data streams it is required to handle it to obtain higher
accuracy of classification. Evolving learning is used to handle the concept drift. As we have discussed
that evolving learning can be applied from the beginning with data streams but as this process is
costly and data streams are continuous it is beneficial that evolving learning is only applied when the
concept drift is detected.
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A. The one method for handling concept drift is FW-DA but it has limitation that it can only handle
gradual concept drift not abrupt concept drift.
B. ACTIVE LEARNING METHOD AAIL is another method which used Active Learning with
Adaptive Incremental Learning. AAIL method provides high accuracy by adapting concept drift. For
two dataset Elec. And Cow. AAIL provides 79.59% and 88.69% accuracy over highest accuracy of
other algorithm is 70.07% and 82.78 respectively.
C. In ‘Detecting and Adapting to Drifting Concepts’ authors have proposed various concept drift
handling algorithms including BAT, WIN, ENS and CSHT. Among them CSHT gives better accuracy
over other algorithms.
Figure 2 Performance comparison between BAT, WIN, ENS and CSHT for abrupt concept shifts
(Source: (Haixia Chen, 2012))
CONCLUSION
In data stream mining concept drift is major hurdle because it reduces the classification accuracy and
it directly affects the data stream analysis. Various concept drift detection methods are available but
DDM, EDDM and e-Detector are efficient to detect sudden and gradual concept drift. These method
takes classification error rates and error distance as an input to determine concept drift. Single
classifier gives lower classification accuracy hence to achieve higher classification accuracy (for
concept drift detection) multi-classifier ensemble is required which used multiple classifier as base
classifier provide higher classification accuracy. The output of multi-classifier ensemble is used as an
input to DDM, EDDM or e-Detector to detect the concept drift. Where the concept drift is detected,
concept drift adaptive algorithm can be apply to handle the concept drift and achieve higher
classification accuracy which might be reduced by the concept drift.
Active learning with Adaptive Incremental Learning algorithm is best suitable for concept drift
handling. Incremental learning in data stream mining is costly (time and processing power) process
we can make it cost efficient by using on-the spot concept drift handling methods which only activate
when the concept drift is detected in entire data stream.
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REFERENCES
1. Aditee Jadhav, L. D. (2017). An Efficient Approach to Detect Concept Drifts in Data Streams. IEEE
7th International Advance Computing Conference (pp. 28-32). IEEE.
2. Aggarwal, C. C. (2007). A Survey of Classification Methods in Data. Springe.
3. Ahsanul Haque, L. K. (2016). Efficient Handling of Concept Drift and Concept. ICDE 2016
Conference (pp. 481-492). IEEE.
4. Anjin Liu, G. Z. (2017). Fuzzy Time Windowing for Gradual Concept Drift Adaptation. IEEE. Sydney:
IEEE.
5. Bruno I. F. Maciel, S. G. (2015). A Lightweight Concept Drift Detection Ensemble. IEEE 27th
International Conference on Tools with Artificial Intelligence (pp. 1061-1068). Brazil: IEEE.
6. Brzeziński, D. (2010). MINING DATA STREAMS WITH CONCEPT DRIFT. Poznań: Poznan
University of Technology, Faculty of Computing Science and Management.
7. Dan Shang, G. Z. (2017). Fast Concept Drift Detection Using Singular Vector Decomposition. 12th
International Conference on Intelligent Systems and Knowledge Engineering (ISKE). IEEE.
8. Dariusz Brzezinski, J. S. (2014). Reacting to Different Types of Concept Drift: The Accuracy Updated
Ensemble Algorithm. IEEE TRANSACTIONS ON NEURAL NETWORKS AND LEARNING SYSTEMS,
81-94.
9. Detecting Concept Drift in Fully Distributed Environments. (2012). IEEE 10th Jubilee International
Symposium on Intelligent Systems and Informatics (pp. 183-188). IEEE.
10. Ditzler, G. (2012). Incremental Learning of Concept Drift from Streaming Imbalanced Data. IEEE
TRANSACTIONS ON KNOWLEDGE AND DATA ENGINEERING, 1-30.
11. Haixia Chen, S. M. (2012). Detecting and Adapting to Drifting Concepts. 9th International Conference
on Fuzzy Systems and Knowledge Discovery (pp. 775-779). IEEE.
12. Kang, C. H. (2016). An Active Learning Method for Data Streams with Concept Drift. 2016 IEEE
International Conference on Big Data (Big Data) (pp. 746-752). IEEE.
13. Lei Du∗, Q. S. (2014). A Selective Detector Ensemble for Concept Drift Detection. The British
Computer Society 2014, 457-471.
14. Ms. Priyanka B.Dongre, D. L. (2014). Real Time Data Stream Classification and Adapting To Various
Concept Drift Scenarios. IEEE, 533-537.
15. T.G., D. (2000). Ensemble Methods in Machine Learning. Springer, Berlin, Heidelberg, 1857.
16. Wang Jianhua, L. X. (2015). Classification Method for Data Stream Based on Concept Drift Detection
Technique. 4th International Conference on Computer Science and Network Technology (pp. 637-640).
IEEE.
17. Yushui Geng, J. Z. (2017). An Ensemble Classifier Algorithm for Mining data Stream Based on
Concept Drift. International Symposium on Computational Intelligence and Design (pp. 227-230).
IEEE.
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PCE254
IMPROVEMENT OF DISTRIBUTION NETWORK PERFORMANCE
BY RECONFIGURATION
Tej A. Shah Priyank N. Patel Namra H. Shah Chintan Patel
UG Student, UG Student, UG Student, Asst. Prof., Department
Department of Electrical Department of Department of Electrical of Electrical Engineering
Engineering Electrical Engineering Engineering G. H. Patel College of
G. H. Patel College of G. H. Patel College of G. H. Patel College of Engineering &
Engineering & Engineering & Engineering & Technology
Technology Technology Technology Vallabh Vidyanagar,
Vallabh Vidyanagar, Vallabh Vidyanagar, Vallabh Vidyanagar, Gujarat, India
Gujarat, India Gujarat, India Gujarat, India chintanpatel@.gcet.
tirthtej1997@gmail priyanknpatelcby@ namrashah1@ ac.in
.com gmail.com gmail.com
Abstract
The paper discusses performance improvement of a radial distribution network by reconfiguration. It

has been observed that in a radial distribution network the end nodes are suffering from the low
voltage. Also, the power loss of the network is considerably high. With reconfiguration, the overall
performance of the network is improved efficiently and the voltage magnitudes at end nodes can be
increased. The voltage magnitudes at various buses can be improved nearly 1.0 p.u. by proper
configuration of the network and also reducing power losses up to 32%. Load flow and subsequent
analysis is carried out using MATLAB programming.
Keywords - Radial Distribution Network, Distribution losses, Voltage Magnitude, Reconfiguration.
INTRODUCTION
The distribution system is a very important part of the power system as it connects the transmission
system to the utility. The important goals of a distribution system are efficiency, power quality,
reliability, economy & security. In practice, radial, ring main & interconnected distribution systems
are various types to supply the power to the end users. In this paper, the discussion is on radial
distribution network issues and its improvement. This is the simplest distribution network and has the
lowest installation cost. However, it suffers from the following drawbacks:
1. The consumers are dependent on a single feeder and single distributor. Therefore, any fault on
the feeder or distributor cuts off supply to the consumers who are on the side of the fault away
from the substation.
2. The end of the distributor nearest to the feeding point will be heavily loaded.
3. The consumers at the distant end of the distributor would be subjected to serious voltage
fluctuations when the load on the distributor changes.
To overcome the drawbacks of radial distribution network following methods can be employed:
1. Re-planning
2. Capacitor Placement
3. Reconfiguration
4. Distributed Generation
A lot of work has been carried out to improve the performance of distribution network through
above methods. M.E. Baran et al discussed the concept of reconfiguration of radial distribution system
[2]. Kalambe et al and Avani G Patel et al discussed the usefulness of reconfiguration technique for
loss minimization and load balancing [3-5]. An important issue in reconfiguration is load flow
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analysis of radial distribution network. The forward backward weep technique of load flow analysis
was explained by Apparao et al [6], G W Chang [7], S. Ghosh [8] and Priyanka Parmar et al [9].
The work focuses on the improvement of the radial network by distribution network
reconfiguration. With the reconfiguration, the efficiency, power quality & economy can be improved.
RECONFIGURATION
Reconfiguration is a very canonical approach to save the electrical energy [1, 2]. Distribution systems
consist of groups of interconnected radial networks. Reconfiguration is done by changing the status of
the sectionalizing switches (normally close) and tie switches (normally open).
Objective
Reconfiguration is applied for:

1. Service restoration under faulty conditions
2. Load balancing torelieve overload on networks and improve voltage profile
3. Planning outages for maintenance and
4. Loss minimization.
The switching operation is the basic control action in network reconfiguration. A switching
operation consists of closing the switch in an opened branch and opening the switch in a closed one
keeping the network configuration radial. However, since there are many candidate switching
combinations in the system, the feeder reconfiguration is a complicated problem. The discrete nature of
the switch values makes it a discrete optimization [3, 4].
LOAD FLOW OF RADIAL DISTRIBUTION NETWORK
The network reconfiguration problem in a distribution system is to find the best configuration of
radial network that provides minimum power loss while the operating constraints are to be satisfied.
The main objective is to minimize the real power loss of the distribution system. The total power loss
can be obtained from the load flow calculations.
In network reconfiguration, the loss reduction problem is formulated as:
n 1
Min PLossn (1)
0
Following constraints are considered while using this function.

1. Network radiality where each node has to be supplied from a single feeder.
2. Load satisfaction where each load node has to be supplied with its load active and reactive
power requirements.
3. The power flow constraint formulation.
In addition, the optimal solution has to satisfy the following bounds:
Node voltage magnitude bounds
Vi min  Vi  Vi max
Where, Viminand Vimaxare the lower and upper limits of bus voltage magnitude respectively.
0.9  Vi (pu)  1.1 (2)
Here, a simple and efficient method for solving radial distribution network is used. This method
includes simple algebraic equations of voltage and power loss. The equations will also not have
trigonometric functions like in traditional load flow equations. This method is very efficient to
compute. Convergence is always guaranteed for any type of radial distribution system using this
method [5-9].
Fig. 1. Equivalent diagram of radial network
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From the Figure 1, following equations can be derived:

| V (1) |  (1) | V (2) (2)
I (1)  (3)
R(1)  jX (1)
P(2)-jQ(2)=V(2)*I(1) (4)
Where, I(n) is the current flowing in branch n

V(n) is the voltage on bus n
δ(n) is the load angle
R(n) is the resistance of branch n
X (n) is the reactance of branch n
By solving (2) and (3),
| V (2) | {[( P(2) * R(1)  Q(2) * X (1)  0.5 | V (1) |2 ) 2
 ( R 2 (1)  X 2 (1))( P 2 (2)  Q 2 (2))]1/2
 ( P(2) * R(1)  Q(2) * X (1)  0.5 | V (1) |2 )}1/2 (5)
Where P(2) and Q(2) are total real and reactive power loads fed through node 2.
As expressed in (4), the real and reactive power losses can be calculated.
A flow chart, Figure 2, shows the sequential procedure for distribution system load flow calculations.
Fig. 2. Flowchart of load flow analysis
R(1) *[ P 2 (2)  Q 2 (2)]

LP(1) 
| V (2) |2
X (1) *[ P 2 (2)  Q 2 (2)]
LQ(1)  (6)
| V (2) |2
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At the end of load flow analysis, the voltage magnitude at buses and line flows are known. From the
line flows the total active and reactive power losses are calculated.
Network Reconfiguration of IEEE-33 Bus System
The test system used here is IEEE 33 bus distribution system, the network is shown in Figure 3.
The network is fed at one end. The active and reactive loads which the system is required to supply
are 3.715 MW and 2.300 Mvar respectively.
Fig. 3. Schematic of IEEE 33 Bus Distribution System
Load flow analysis is carried out first without reconfiguration. Then, various combinations of
configurations are checked for the improvements of the system performance.
RESULT AND DISCUSSION
Following cases have been considered for the study:

Case-0: System before any modification.
Case-1: System after Re-configuration.
Case-2: System after Re-configuration.
In original system, all conductors are as per IEEE-33 Bus System, while in Case-1, Branch 28 is
connected between 22 and 29 instead of 28 and 29 in original system. In case-2, Branch 28 is
connected between 22 and 29 instead of 28 and 29 in original system & Branch 13 is connected
between 25 and 14 instead of 13 and 14 in original system.
The active power loss in Case-0 is found to be 281.588 kW. With the new configuration of the
system with case-1 and 2, the active power losses are reduced to 190.404 kW and 209.317 kW for
case-1 and case-2 respectively. These suggest the improved in real power flow. So, Reconfiguration is
the effective way to reduce active power loss.
The same results are shown in graphical form in Figure 4, 5 and 6 with case 0, 1 and 2 respectively.
Fig. 4. Active Power Loss in various Branches without Reconfiguration (Case-0)

Fig. 5. Active Power Loss in various Branches with Case-1
Total power loss without reconfiguration
80
Power loss (in kW)
60
40
20
0
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31
Branch number
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Total power loss in case-1
40
35
Power loss (in kW)
30
25
20
15
10
5
0
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31
Branch number
Fig. 6. Active Power Loss in various Branches with Case-2
Total power loss in case-2
40
Power loss (in kW)
30
20
10
0
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31
Branch number
From the above analysis it can be observed that with Case-2, the losses are decreased by
approximately 25% whereas with Case-2, approximately by 32%.
Table: 1 Voltage magnitude (in p.u.) for different cases

Case-0 Case-1 Case-2
(Without reconfiguration) (With reconfiguration) (With reconfiguration)
1 1 1
0.996 0.9961 0.9961
0.977 0.9827 0.9827
0.9668 0.9767 0.9783
0.9568 0.971 0.9743
0.9318 0.9578 0.9652
0.9271 0.9534 0.9623
0.9205 0.9469 0.9589
0.9119 0.9387 0.9554
0.904 0.931 0.9526
0.9028 0.9299 0.9523
0.9008 0.9279 0.9518
0.8924 0.9198 0.9507
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0.8894 0.9169 0.9725

0.8874 0.9151 0.9638
0.8856 0.9133 0.9537
0.8828 0.9106 0.9339
0.882 0.9098 0.9248
0.9953 0.9931 0.9931
0.9906 0.9679 0.9681
0.9896 0.9606 0.9608
0.9888 0.9478 0.9481
0.9722 0.9779 0.9432
0.9632 0.9691 0.934
0.9588 0.9647 0.9294
0.9292 0.9575 0.9648
0.9257 0.9571 0.9645
0.9101 0.9564 0.9638
0.8989 0.9457 0.9532
0.8941 0.9411 0.9486
0.8884 0.9357 0.9433
0.8871 0.9345 0.9421
0.8867 0.9342 0.9417
Figure-7 shows the voltage magnitudes at various buses obtained through power flow studies for
Case-0. It can be seen that the lowest voltage magnitude is 0.882 p.u. at bus no. 18.
Fig. 7. Voltage Magnitude at Nodes with Case-0
System voltage without re-configuration

1.05
1
Voltage (p.u.)
0.95
0.9
0.85
0.8
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33
Branch number
Figure 8 and 9 presents the voltage profile of the network with Case-1 and 2 respectively. As seen,
with both cases the lowest voltage magnitude is 0.909 and 0.924 p.u. respectively at bus no. 18.
949 ISBN: 978-93-5351-069-5

Bus voltage with re-configuration in case-1

1.02
1
Bus voltage (p.u.)
0.98
0.96
0.94
0.92
0.9
0.88
0.86
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33
Bus number
Bus voltage with re-configuration in case-2

1.02
1
Bus voltage (p.u.)
0.98
0.96
0.94
0.92
0.9
0.88
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33
Bus number
The summary of voltage profile is shown in Figure 10. It is clearly visible that due to reconfiguration
of the system the node voltage is improved and the voltage magnitudes are within the permissible
limits.
Fig. 10. Comparison of Voltage Magnitude at Nodes
ISBN: 978-93-5351-069-5 950

The results for active power loss and voltage magnitudes are summarized in Table 2.
TABLE : 2 RESULTS OF LOAD FLOW ANALYSIS
Cases Total Real Power Loss (kW) Lowest Voltage (p.u.) Lowest Voltage Node
Case-0 281.588 0.882 18
Case-1 190.4047 0.9098 18
Case-2 209.317 0.9248 18
CONCLUSION
From above study it can be concluded that the active power loss and voltage magnitude can be
improved efficiently in radial distribution network with the help of reconfiguration. Here, only
considering the two cases the active power loss can be minimized by 32 % in Case-1. This is really a
good improvement in network performance. There may exist other configuration which can improve
the performance further. DG (distributed Generation) or capacitor bank can be placed at various nodes
to enhance the performance further. It was found that when the system becomes larger, it is
inconvenient to implement this technique as it will be difficult to test all the possible combinations of
the reconfiguration. So, some optimization method like use of artificial intelligent techniques such as
genetic algorithm must be used to get the accurate and fast results.
REFRENCES
[1] T. Gonen, AA Mahmoud, HW Golbum “Bibliography of power distribution system planning”,IEEE

Transaction on Power Apparatus and Systems, Volume 103, pp. 1178-1187, June 1984.
[2] M.E.Baran and F.F. Wu,”Network reconfiguration in distribution system for loss reduction and load
balancing,”IEEE Trans. Power Delivery,vol.4,no.2,pp.1401-1407,apr.1989.
[3] Kalambe, Shilpa & Agnihotri, Ganga, 2014. "Loss minimization techniques used in distribution network:
bibliographical survey," Renewable and Sustainable Energy Reviews, Elsevier, vol. 29(C), pages 184-200.
[4] Avani G Patel and Chintan Patel, “Distribution Network Reconfiguration for Loss Reduction”, IEEE
International Conference on Electricals, Electronics and Optimization Techniques (ICEEOT)-2016, DMI
College of Engineering, Chennai, India, 3-5th March, 2016, pp. 3937-3941,
DOI:10.1109/ICEEOT.2016.7755453, IEEE Xplore Digital Library.
[5] Avani Patel, Chintan Patel and Sumit Rathor, “Distribution Network Reconfiguration to Reduce Power
Loss and Improve Voltage Profile” SWITCH-2016 Global Power Expo, Vadodara, 6-10 October, 2016.
[6] A. AppaRao, M. Win Babu,” Forward Sweeping Method for Solving Radial Distribution Networks”,
IJAREEIE Vol. 2, Issue 9, September 2013.
[7] Chang, G.W.; Chu, S.Y.; Wang, H.L. “An Improved Backward/Forward Sweep Load Flow Algorithm for
Radial Distribution Systems” IEEE Trans Power Sys. vol. 22, no. 2, pp. 882-884, 2007.
[8] S. Ghosh and D. Das, “Method for load-flow solution of radial distribution network,” IEE Proc.-Gener.
Transm. Distrib., vol. 146, no. 6, Nov. 1999.
[9] Priyanka Parmar and Chintan Patel, “Optimal Placement of Capacitor using Forward/Backward Sweep
Method”, International Conference on Intelligent Systems & Signal Processing, ISSP-2017, G H Patel College
of Engineering & Technology, Vallabh Vidyanagar, 24-25 March, 2017; DOI: 10.1007/978-981-10-6977-2_23,
Springe.
951 ISBN: 978-93-5351-069-5

PCE246
PLASMONIC NANOPARTICLES FOR SOLARCELL APPLICATIONS
Honey Popat T. Shiyani J. H. Markna

B.Tech. Student, Director, Head & Associate professor
Department of Nanotechnology, National Centre for Department of Nanotechnology,
V.V.P. Engineering College, Rsearch & Development, V.V.P. Engineering College,
Gujarat Technological University, Shiyani Research Institute, Gujarat Technological University,
Rajkot-360005, India. Rajkot-360003, India. Rajkot-360005, India.
honeymp@protonmail.com tms@outlook.in jhmarkna@gmail.com
Abstract
Thin film solar cells have the potential to decrease the cost of solar cell technology. However, it is
difficult to trap light in the solar cell to increase light absorption and to increase the conversion
efficiency is a key challenge in photovoltaics. The possible route for enhancing efficiency of thin film
solar cell is to use plasmonic nanoparticles which could scatter or concentrate light at sub
wavelength scale for increasing sun light absorption in active layer. We have simulated a p-n junction
based crystalline silicon thin film solar cell with metal (silver, gold or aluminium) nanoparticles
deposited periodically on its surface using FDTD Solutions. Metal nano-particles can enhance
absorption over the solar spectrum range by significant percentage. Hence, the increase in the cell
efficiency can be measured due to the application of plasmonic nanoparticles in solar cell.
Keywords: Plasmonic nanoparticles, thin film, absorption, efficiency, solar cell.
INTRODUCTION
Sun provides the energy about 1024 Joule on earth every year. Solar photovoltaic technology has the
capabilities to solve the energy crisis problem in world as small and large scale applications [1-2].
Solar cell is a device, which converts solar energy into electrical energy based on the photoelectric
effect. It is an important light harvesting device because it provides eco-friendly energy compared to
other energy sources such as nuclear or fossil fuel. Today, silicon is the most dominant solar cell
technology in market but it is expensive technology due to the materials and manufacturing method
cost [3-5]. Therefore, there is an urgent need to develop novel materials for harvesting the solar
energy through solar PV applications. Thin film solar cell technology is an alternative option to
silicon that can be made from variety of semiconductors such as Si, CIGS, GaAs, CdTe, CZTS(Se)
and organic-inorganic hybrid materials [6-8]. The low light absorption and low conversion efficiency
are the main problems in this technology. Therefore, the novel design and configuration are needed in
thin film solar cells so that more light can be trapped inside the cell to increase the absorbance and
power conversion efficiency [9].
The application of plasmonic metallic nanoparticles with desired properties may offer higher
absorption and high efficiency in solar cells. Light is scattered by plasmonic nanoparticles and goes
again inside the device. Hence, the light absorption increases in the cell. The field of plasmonics has
emerged as an advanced area for materials and device applications [10-12]. Plasmonic nanostructures
can be used as various fabrication configuration as shown in Figure 1: (i) on surface. (ii) at the
semiconductor interface. (iii) on the back surface of a photovoltaic absorber.
Figure 1 Metal plasmonic nanoparticle deposition (i) at the surface, (ii) at semiconductor interface and (iii) at the back
contact-semiconductor interface
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OBJECTIVES
Plasmonics is a field of study that explores the interaction of light and metallic surfaces. The
resulting electron density wave that propagates along the surface of the metal is referred to as a
surface plasmon polariton, or a surface plasmon. Plasmon propagation along metals is very lossy and
is tightly confined to the metal. This confinement can also lead to the enhancement in associated
electromagnetic field which is of use in biological or chemical sensing, and light absorption for
photovoltaics [13-14].
A challenge for making high efficient solar cells is to absorb as much sunlight and
minimizing recombination. Recombination losses are suppressed when the solar cell material is made
thinner. Plasmon resonances in small metal particles may be used to trap light and transfer the energy
to very thin semiconductor layers, generating free charge carriers that can contribute to the electricity
generation. We have proposed to study the effect of silver plasmonic nanoparticles on the light
absorption and photo conversion efficiency in solar cell [15].
Finite Difference Time Domain (FDTD) is a simulation tool to solve electromagnetic field
equations with wide range of frequency and other parameters. FDTD is an optical solver that can be
used to study light interaction with material.
Thin film solar cells have the potential to decrease the cost of solar cell technology. The
various engineered shaped nanostructures can be grown on the surface of the thin film to increase the
light absorption in the solar cell. The metallic plasmonic nanoparticles can be deposited at various
angles such as normal and oblique incidence. In this article, we have considered a crystalline silicon
solar cell with silver nanoparticles distributed on its surface as periodic arrangement and explained the
simulation using FDTD tool [16]. We proposed the simulation for the device configuration as shown
in Figure 2.
Figure 2 The proposed device configuration of silicon thin film solar cell
LITERATURE REVIEW
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There are various ways of using plasmonic nanostructures to increase the light absorption and
solar to electric energy conversion. There is experimental evidence that light scattering from metal
nanoparticle arrays increases the photocurrent spectral response of solar cells. Plasmonic coupling
idea can be integrated with traditional solar cell and research is required to investigate the effect of
plasmonic nanoparticles on solar cells. Atwater et al. have demonstrated silicon solar cell with 26%
efficiency using plasmonic nanostructures [17]. The application of plasmonic nanostructures in
different thin film solar cell technology is summarized in Table 1.
Table: 1 Application of Plasmonic nanostructures in thin film solar cell technology.

Solar cell Technology Plasmonic Nanostructures Efficiency
Silicon Ag NP with diameter of 14-100 nm ~ 26%, ~ 33.5%
CIGS, CdTe Ag, Au, Al ~ 20-23%

~ 17-23%
Cu2ZnSnS4 (CZTS) Ag, Au, TiN, Cu@AgInS2 ~ 9-12%
ANALYSIS PART
Absorption vs. wavelength graphs for nanoparticles with diameters of 100 nm and 200 nm are
shown in Figure 3. The light absorption is enhanced and suppressed above and below the surface
plasmon resonance frequency, respectively. A sweep is used for the silver and nanosphere sized
particle diameter. The simulation was performed in wavelength range from 400-1100 nm. The
enhancement in light absorption using silver nanoparticles is about 20%. The peak wavelength of
silver (500 nm) is closer to the sun spectrum peak and this is the reason for the high efficiency for
plasmonic solar cell applications as shown in Graph 1.
The light can be bombarded on the sample by normal or oblique incidence angle and each has
different light absorption. The absorption increases due to the silver plamonic nanoparticle by
enhancing the forward scattering. Normal incidence gives better performance compared to oblique.
For device simulation using FDTD tool, the current-voltage characteristics were measured in 1x1 cm2
area under dark and illumination. The same study can be compared with results produced with
Multiphysics tool and other tool. We have used a trial version of FDTD tool and trial of other
softwares were not available, so we could not provide them here.
Graph 1 Absorption spectra of silver nanoparticle with diameter of 100 nm (black) and 200 nm (red)
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FINDINGS
The photovoltaic characteristics were measured using FDTD tool under 1 sun illumination.
The short circuit current (Isc) and open circuit voltage (Voc) were calculated from the measured data.
Finally, photo conversion efficiency was calculated for the cell in 1x1cm2 cell area. The current
density vs. voltage graph is shown in Graph 2. The solar cell parameters of simulated and reference
silicon solar cells are listed in Table 2.
Table: 2 Solar cell parameters of silicon plasmonic cell.

JSC (mA/cm2) VOC (V) η (%)
Simulated 16.8 0.52 5.8
Reference 16.5 0.525 4.8
Graph 2 Solar cell I-V characteristic curves for simulated and reference sample
CONCLUSION
Harvesting the solar energy for electrical energy applications is very important research area. Light
trapping is a main section of the photo conversion process in solar cell as it helps to improve the
photonic performance. The absorber materials have limitations to absorb the light and hence they have
limitation on conversion efficiency. The hybrid nanostructures have capabilities to increase the
performance of cell. The ultra thin absorbers with the thickness of 10-100 nm can absorb the wide
spectrum of sun spectrum and can make the revolution for higher light absorption and hence high
efficiency in solar cells using plasmonic nanoparticles. In this article, we have studied the effect of
silver nano particle on silicon solar cell using FDTD simulation tool. We found that maximum loss of
light absorption happens at the interface of semiconductor layer in solar cell because light passes from
one material to other material having different refractive angle. The light absorption can be increased
by making texture surface of the front contact as texture surface reduces the reflection of incoming
light. The use of silver plasmonic nanoparticles on the surface of the solar cell has increased the light
absorption by significant percent, i.e. about 20% in silicon solar cell. The same study can be done
using other licensed software such as Multiphysics, PC1D or other tool. The surface and interface
engineering using plasmonic nanoparticles can lead the solar photovoltaics with high efficiency in
future.
REFERENCES
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[1] Pillai et al. (2007). J. Appl. Phys. 101, 093105.

[2] gglund et al. (2016). ACS Photonics 3, 456-463.
[3] M. A. Green et al. (2012). Nature photonics, 6.
[4] S. Pillai, M.A. Green (2010). Solar Energy Materials & Solar Cells 94, 1481–1486.
[5] T. Shiyani et al. (2016). Journal of Nanoscience, Nanoengineering and Applications 6(3), 11-18.
[6] Calnan et al. (2014). Coatings 4, 162-202.
[7] Atwater et al. (2016). Nature materials 9.
[8] M. Eslamian et al. (2014). Coating 4, 60-84.
[9] K. Nakayama et al. (2008). Appl. Phys. Lett. 93, 121904.
[10] S. H. Lim et al. (2007). Photocurrent spectroscopy of optical absorption enhancement via scattering
from surface plasmon polaritons in gold nanoparticles. J. Appl. Phys. 101, 104309.
[11] C. Rockstuhl et al. (2008). Absorption enhancement in solar cells by localized plasmon polaritons. J.
Appl. Phys. 104, 123102.
[12] Teck Kong Chong et al. (2012). Optimal wavelength scale diffraction gratings for light trapping in
solar cells. J. Opt. 14, 024012.
[13] S.S. Lo et al. (2007). Broad- band anti-reflection coupler for a:Si thin-film solar cell. J. Phys. D Appl.
Phys. 40(3), 754–758.
[14] R. Dewan et al. (2009). Light trapping in thin-film silicon solar cell with submicron surface texture.
Optics Express 17(25), 23058-23065.
[15] J. Muller et al. (2004). TCO and light trapping in silicon thin film solar cells. Sol. Energy 77(6), 917–
930.
[16] C. Haase et al. (2007). Optics of thin film silicon solar cells with efficient periodic light trapping
textures. Proc. SPIE, 6645.
[17] H. A. Atwater et al. (2010). Nature materials 9.
ISBN: 978-93-5351-069-5 956

PCE030
A REVIEW ON USE OF AUTOMATION TECHNIQUES IN DIAGNOSIS

AND PREDICTION OF CHRONIC DISEASES
KETAN K. ACAHRYA Dr. UTPAL. T. PANDYA
Astt. Professor –IC Professor-IC
Research Scholar SCET-SURAT
ketan@gecg28.ac.in utpal.pandya@scet.ac.in
9824011879 9426446384
Abstract
In today’s era, cases of various chronic diseases are increasing day by day. The reason is life style of
people and their hereditary issues. To detect such diseases, certain pathophysiological parameters as
well as vital signs of human beings are monitored regularly. Then, based on these parameters, proper
diagnosis of diseases and early stage prediction is one of the major research areas in the field of medical
instrumentation and computer science. In the field or health care and medical science, many errors occur
due to lack of availability of patient related medical information.
According to researchers, the use of information and communication technologies (ICTs) holds promise
for increasing the accessibility of medical information. A vast and multilayered infrastructure of
ubiquitous computing technologies and applications are emerging. In today’s health care environment
there is a full-fledged usage of cell phones, laptops, Wi-Fi, Bluetooth, personal digital assistants (PDAs),
and various forms of sensing devices based on digital and radio frequency identification (RFID)
technologies.Applications of such devices make an overall medical systems more user-friendly and
interaction between doctors and technicians have also increased for proper diagnosis and patient care.
The Internet of Things (IoT) infrastructure allows connections between different entities, such as human
beings (patients, medical staff, etc.), medical devices, intelligent wheelchairs, wireless sensors, mobile
robots, etc[1]. This paper is a review of various techniques used for diagnosis of diseases and prediction
of physiological abnormality for a patient. Purpose of this study is to evaluate the increasing usage of
fuzzy neural networks,IOT and Big Data based implementations for diagnosis and predictionof
variousdiseases or physiological abnormalities.
Keywords: NFS (Neuro Fuzzy System), ANN (Artificial Neural Network) FPGA(Field Programmable
Gate Array), ANFIS(Adaptive Neuro Fuzzy Interface System), IOT(Internet of Things), DSS( Diagnosis
and Support System).
INTRODUCTION
Disease diagnosis is a complicated and judgmental process in medical field.It depends on experience,
judgment and reasoning along with knowledge of medical field. Diagnostic, decisions made by doctors are
arbitrary and highly variable (within one physician and between physicians) and often lacking explanation
or rationalization. In certain developing countries, very less number of doctors are available in rural areas.
As per current scenario,majority of qualified consulting doctors reside in urban areas and very few reside in
957 ISBN: 978-93-5351-069-5

semi urbanand rural areas of India. Still majority of Indian population reside in rural areas.This has created
an unwarranted imbalance in patient:doctor ratio. Research is going on in thearea of medical
instrumentation where, based on various physiological parameters and vital signs detected using wearable
sensors and other measured values, abnormalities of patients are detected in early stage.Disease related
diagnosis is also done based on the available data of patients.Various techniques like big data, deep learning
and data mining are generally used for diagnosis of diseases and early stage prediction. IoT based approach
is used for transmitting patients’ data on cloud and then cloud based data analytics is used for the said
purpose [2].In medical systems there are various combinations of organizations, people, equipments and
resources, which all contribute to the healthcare needs of people. Proper and effective use of all contribute
for the overall benefit of patient or target population. Because of disease, many Indians die every year in
rural and urban areas. If early stage diagnosis is done properly then it may prevent loss of life. It will be of
greater value if the diseases are diagnosed in its early stage based on certain patho physiological parameters,
symptoms and vital signs[3].Correct diagnosis of the disease will decrease the death rate. Many clinical
tests are being done to find the presence of the disease or abnormality symptoms. In this paper, various
trends and techniques are studied to understand the research conceptsand a tentative view on proposed
system is given. As per NITI Ayog(National Institution for Transforming India i.e India’s policy
commission) Health care vision:2020 in India, early diagnosis system can be helpful for mass of patients in
developing country like India.
OBJECTIVES
Purpose of carrying out research based on this review is to know the existing trends and techniques in the
field of medical instrumentation. This field has indeed become interdisciplinary because, with the help of
various sensors, parameters are measured and using tools of artificial intelligence and big data analytics,
analysis part is carried out. To implement a complete system, it is necessary to understand and integrate
required technologies[4].Main objectives are to study existing trends and technological background. It is
also important to study implementation techniques for biological parameters’ measurement and
transmission. Purpose is to analyzea particular abnormality or disease based on certain patho
physiological parameters. It is also importantto propose a system which can do early stage prediction and
diagnosis of specific disease or physiological abnormality for the benefit of patient’s life.
An exploratory research methodology is used to explore various technologies, trends and analysis
techniques. Pathophysiological parameters of a human body can be detected based on certain
measurements and data collection. There must be a combination of real time data i.e vital signs and
collection of patho physiological parameters from laboratories or hospitals. It is really necessary to
identify specific parameters which are important to identify symptoms of a physiological abnormality or
any chronic disease. Once these parameters have been identified based on literature review and
consultation with doctors, theirinterdependent effect must be identified for analysis purpose. After that,
some diagnosis decision can be taken. If disease is detected in its early stage then chronic disease can be
prevented and patients can be saved by proper medications. Considering poor patient: doctor ratio and a
need of early stage disease diagnosis, system can be proposed for preventing chronic disease for safety of
patients.
ISBN: 978-93-5351-069-5 958

LITERATURE REVIEW
Existing Trends and Background
IoT (Internet of Things)
The Internet of Things (IoT) is a concept in which there is a connected set of anyone, anything,
anytime, anyplace, any service, and any network. The IoT is one of the trendsin next-generation
technologies that can impact the whole business spectrum and scientific analysis. There are many
interconnections among different types of sensors, devices and people. Smart objects and devices
communicate with one another and it has many advantages. Once data has been collected on cloud
platform, it can be used for many applications and data analytics is possible for various diagnoses,
preventive maintenance and over all analysis of any business activity.Advantage of such analysis is
obvious for better productivity, profitability and of course for better management. Thus implementing
automation is important and also necessary for almost every field. The IoThas applications in many fields
e.g. smart cities, traffic congestion, waste management, structural health, security, emergency services,
logistics, retails, industrial control, space applications, robotics and health care. Health care and Medical
care are one of the most attractive application areas for the IoT[5].
The IoTcan give rise to many medical applications such as remote health monitoring, fitness programs,
chronic diseases, andelderly care. Compliance with treatment and medication at home by certain
healthcare providers is another important and potential application in the area of healthcare or medical
treatment. Therefore,IoT has become a core part in many medical devices, sensors, diagnosticand imaging
devices which can be viewed as smart devices or smart objects constituting IoT. IoT-based healthcare
services are expected toreduce costs, increase the quality of life, and enrich user’s experience. IoT has the
potential to reduce device downtime through remote provision and quick data transfer facility from the
perspective of healthcare providers.In addition to that, it can correctly identify optimumtime for
replenishing supplies for various devicesfor their smooth and continuous operation. Further,the IoT
provides for the efficient scheduling of limited resources by ensuring their best use and service for more
patients[5].Many systems propose the design and implementation of a wireless telemedicine system, in
which all physiological vital signs are transmitted to remote medical server through both cellular
networks in emergency case and internet in normal case for long-term monitoring. By this, the cost of
using GSM/GPRS network is reduced as only abnormal cases will be transmitted through cellular
network. IoT is a combination of hardware and software technologies that produce trillions of data
through connecting multiple sensors and devices with cloud and make sense of that data. Various
biological parameters and vital signs are measured and transmitted using IoT.[19]
Big Data
Now days, it is possible to monitor multiple vital signs (e.g. heart rate, blood pressure, body
temperature ) of a patient anytime, anywhere , because of advances in wearable and wireless sensors
technology. Vital signs are an essential part of daily monitoring and disease prevention. When multiple
vital sign data from many patients are accumulated for a long period, they evolve into big data. The
objective of such research is to build a prognostic model, of vital signs using big data, that can accurately
identify dangerous clinical events of a home-monitoring patient in advance using knowledge learned from
the patterns of multiple vital signs from a large number of similar patients [6].Certain innovative
techniques and existing data mining methods for vital sign correlations, demonstrated their effectiveness
on cloud platforms through comparative evaluations. These techniques showed its potential to become a
new tool for predictive healthcare. Data collected and evolved using various connected devices is
populated on the cloud .This data can be used for analysis using high processing power of cloud
computing technology. Such analysis can be used to discover future patterns and behavior prediction for
certain parameters, or equipment performance.Use of body and wireless sensor network technology along
with the emergence of pervasive computing applications in home-based health monitoring has
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dramatically increased the quantity of medical data that are available electronically via cloud plat-forms.
[6] Vital signs such as heart rate, blood pressure, respiratory rate, oxygen saturation, body temperature,
and ECGs are a crucial part of these medical data. They are frequently used for diagnosis of certain
diseases and also for occupational health related issues. For example, if we consider the numerical value
of each vital contains 4 bytes and the frequency of data collection is 1 minute, then for 6 vital signs total
24 bytes data are gathered per minute. This is equivalent to 33.75 KB per day, or 12 MB per year [6]. If
such data are gathered from 5 million patients, then the data amount will be 57.3 PB per year. Thus it is
creating big data.
This statistics is only for 6 vital signs data. Along with these numerical vital signs if we consider to
collect data of other bio- signals such as ECG, EMG, EEG which are high in resolution then data amount
will be several exabytes per year because a 12-lead ECG device alone generates 1.98 GB and 64-channel
EEG device generates 2.1 GB per day and consequently such data will rapidly reach several zetabytes.
For Big data, there are four important characteristics which are necessary to be considered.1)Volume2)
Velocity 3) Variety and 4) Veracity.
Fig:1 Characteristics of Big Data
Source:Large Scale Data Management CS525 By: MohamadEltabakh
Considering present health care trends, data related to health care also have volume i.e number of
parameters and number of patients, velocity i.e a rate at which data is generated, measured and
transmitted, variety i.e all different form of data e.g biological parameters and signals, reports, images,
videos etc. and also veracity i.e inconsistency of data due to noise and uncertain measurement conditions.
Artificial Intelligence and soft computingbased approach
In the field of medical diagnosis where automation is being implemented, soft computing
techniques like fuzzy logic and neural networks are having their increasing weightage for various types of
diagnosis and prediction. Fuzzy logic is used in certain specific cases whereapproximate values of patient
data are to be analyzed using linguistic variables. Similarly neural networks are used in situations where
the knowledge about the patient is stored in the form of numerical data sets. Such datasets can be trained
and tested for future parameter predictions. Based on fuzzy systems and neural network, predicted stage
of the patient in the form of moderate, normal and critical can be found out [3].Embedded System and/or
IoT based implementation of such systems for early diagnosis of critical condition for particular disease
and /or abnormality can be very helpful to patients for timely treatment and deciding the priority of
treatment.
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Based on various pathophysiological parameters and biological signals, the critical condition considering
various abnormalities can be predicted in the early stage.Using Fuzzy logic rule bases, the effects of
suchparameters are considered and an expert system isprepared for deciding the output mentioning
moderate, normal and critical stage of a patient as apart of early diagnosis. This is a complete
modularapproach for designing a system for an early diagnosis of critical condition of a patient[3].
Through such research work an effort can be made to contribute to the need of medical field where such
systems are required and it can be helpful to society for timely treatment and cure of certain commonly
found diseases, as well as preventing other abnormalities related to such diseases which can cause chronic
diseases. Disease diagnosis systems and devices are in demand and AI can be an important tool for
designing framework and solutions for such devices and systems.
Related Work
Ashfaq Ahmed K and others [7]Their work was using machine learning techniques, namely Support
Vector Machine [SVM] and Random Forest [RF]. These were used to study, classify and compare cancer,
liver and heart disease data sets with varying kernels and kernel parameters. They focused on heart
disease, breast cancer and liver disease related issues. They collected results from Random Forest and
Support Vector Machines.Data were compared for different data sets for these diseases. With proper
parameter selection, they tuned results with different kernels. Better learning technique for predictions
was required to be decided and for that purpose results were analyzed. They concluded that varying
results were observed with SVM [Support Vector Machine] classification technique with different kernel
functions.
Andrew Kusiakand others [8]Their approach was to explore knowledge about interaction between
many measured parameters and patients’ survival.They used data preprocessing, data mining and data
transformation techniques for the final outcome. They have engagedtwo different data mining algorithms
for extracting knowledge in the form of decision rules. Those rules were used by a decision-making
algorithm, which predicts survival of new unseen patients. For medical significance, they identified
important parameters by data mining. They have introduced a concept in their research work which has
been applied and tested using collected data at four dialysis sites. The approach presented in their paper
reduces the cost and effort of selecting patients for clinical studies [7].The most important parameters
discovered and the prediction results can be used to choose patients.
Abhishekand others[9]They focused on kidney stone diagnosis and used WEKA 3.6.5 tool for
implementation to find the best technique among the above three algorithms.They used two neural
network techniques, Back Propagation Algorithm (BPA), Radial Basis Function (RBF) and one non-
linear classifier Support Vector Machine (SVM) and compared in accordance with their efficiency and
accuracy.. The main purpose of their thesis work was to propose the best tool for medical diagnosis, like
kidney stone identification, to reduce the diagnosis time and improve the efficiency and accuracy. Based
on these experimental results they concluded, the back propagation (BPA) significantly improved the
conventional classification technique for use in medical field.
Abdur Rahim Mohammad Forkan a,Ibrahim Khalil b , Mohammed Atiquzzaman c have developed
a ViSiBiD model i.e Vital Signs as Big Data. Multiple vital signs of a patient e.g blood pressure, body
temperature, BMI, heart beats etc. can be measured anytime from anywhere using wearable sensors and
IOT.For any disease prevention and its diagnosis is important and for such diagnosisvital signs are an
essential part of daily monitoring[11].When data is collected for multiple vital signs for number of
patients, then it gets converted into big data for a long period of time.Here, authors have used big data
based analysis forpredicting abnormality of a patient.Big data created using measuring devices and IoT
based set up are stored on cloud storage. Then it is analyzed using the high processing power of cloud
computing technology to discover useful patterns for future behavior prediction. Data available on cloud
platforms are used along with the use of IoT and wireless sensor network technology for home based
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health monitoring. Vital signs, such as heart rate, blood pressure, respiratory rate, oxygen saturation body
temperature, and ECGs are very importantpart of these medical data.In this work authors have raised a
point for remotely monitoring all patients with a common chronic condition such as hyper tension and the
continuous data of all vital signs are stored in a cloud database. That data can be analyzed to forecast
cardiac disorder when patient within that group is likely to have an abnormal clinical event such as heart
attack. In the over views of the system, authors have mentioned to collect and segment multiple vital sign
data from many patients. This is done for features and clinical events extraction and supervised learning.
The model considered by authors , presumes that hospital databases and healthcare organizations located
in different geographical regions have a large amount of long term medical data from patients and that
they have an adequate amount of examples with various known clinical cases. In certain developing
countries, where patient to doctor ratio is poor and doctors also require some sort of diagnosis and
prediction help to manage large number of patients, this type of approach becomes hospital centric and
not the patient centric approach. Patient should be able to self-diagnose and get the prediction and
preliminary medications about certain abnormalities. The system does not consider patho physiological
parameters and just considers some vital signs. Any combinations of these vital signs abnormality are not
mentioned by the authors for predicting and diagnosing abnormality of patient’s health. Authors have
considered personal experience with IBM Watson supercomputer machine learning techniques, but, in
routine analysis and diagnosis product must have its own dedicated system for diagnosis of certain
diseases and early stage prediction. It is important to compare the performance of different data mining
algorithms in terms of model build time, forecast gap and accuracy. This purpose is solved by the
proposed experimental model as per the claims done by authors.Another aim is to find the impacts on
these classification results with different subsets of features. As a part of ongoing work, they are
interested in developing a more systematic feature selection technique to check the model compatibility
with fewer features. They want to utilize and expand this model to predict clinical episodes related to
cardiovascular diseases and diabetes by including additional vital signs.
Sadik Kara and others [12]They have implemented multilayer feed forward ANN trained with a
LevenbergMarquart (LM) back propagation algorithm . They concentrated on the diagnosis of optic nerve
disease through the analysis of pattern electro retinography (PERG) signals with the help of artificial
neural network (ANN). The end results were classified as healthy and diseased. The stated results shown
that the proposed method PERG could make an effective interpretation. With respect to all related work
mentioned above, our work is predicting disease using chronic kidney failure datasets by C4.5 algorithm.
ANALYSIS AND FINDINGS

Based on above study, considering more vital signs or pathophysiological parameters, abnormalities for
multiple diseases can be found out and can be helpful for early stage prediction too. Many authors have
already mentioned that,they want to expand their model to predict clinical episodes related to
cardiovascular diseases, diabetes, renal disease and related abnormalities including additional vital signs.
Few authors have also presumed that hospital databases and healthcare organizations located in different
geographical regions have a large amount of long term medical data from patients and that they have an
adequate amount of examples with various known clinical cases. As a matter of fact it is very difficult to
link all hospitals and health organizations with this type of framework. There is a need to develop an
Expert System Framework, in which patient can enter basic symptoms of physiological abnormalities.
System should diagnose the symptoms and should be able to ask the values of other necessary
pathophysiological parameters[14].Such parameters should be entered by patients based on pathological
tests or based on vital signs i.e measured using wearable sensors. The proposed system can be developed
using embedded platform or using any web based support or cloud platform.Artificial intelligence based
diagnosis system can be developed and preliminary medications should also be suggested by the system.
All these parameters should be saved on cloud using IOT and proper security of data should also be
provided as a part of cyber security so that patient can have access to only his/her own data. In case of
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abnormalities doctors can be given indications for emergency treatment [15].Proposed system should be
developed after proper consultations with doctors as well as after studying normal and abnormal ranges of
various pathophysiological parameters. Based on certain parameters, diagnosis for multiple diseases
should be done and patient as well as doctor should be informed for this abnormality and preliminary
medications should also be suggested by the system for timely treatment of patient. Early stage prediction
can also be incorporated in the proposed system based on collected data and their trends.
Thus, a novel approach can be implemented for the proposed system which can really be helpful as a
system in the area of home based healthcare products.Many authors have made an effort to prepare a
system in which patients’ physiological parameters are measured and with the help of fuzzy neural
network, early prediction and diagnosis system is designed. As shown in figure 2 patients’ data can be
collected and based on knowledge base diagnosis system can be developed. The system can be
implemented on embedded systemand cloud based analysis can be done [13].
Fig 2: Proposed System for early diagnosis of disease [3]
Systems can be developedusing any embedded platform or any software platform. Various authors have
tried to incorporate IOT based data transmission for cloud based analysis and different fuzzy neural
algorithms are used for prediction and diagnosis of diseases at different stages [16].A system can be
proposed where data from patients can be collected by various means. Wearable sensors can collect real
time vital signs data and other important patho physiological parameters can be collected from
laboratories or hospitals as mentioned in the figure-2. Neural Network can be used for early stage
prediction and fuzzy logic based system can diagnose the disease or a particular abnormality for a patient.
This early stage diagnosis can be transmitted on cloud and system can be developed on a dedicated
hardware too so that it can suggest preliminary remedy to patient, and can inform doctor for the same.
CONCLUSION
Through this review, a complete idea of research trends in disease diagnosis and prediction system is
obtained. There are many researches, who work in the area of various disease diagnosis based on certain
prevailing technologies e.gIoT, Big Data and Artificial Intelligence. Future work can be carriedout
considering a system or product design based approach in which preliminary symptoms can be analyzed,
pathophysiological parameters can be analyzed, vital signs using wearable sensors can be measured and
analyzed and finally a systematic diagnosis of multiple/specific diseases can be done. Early stage
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prediction of such abnormality of disease can also add more value to the system and,in this way research
can be conducted for better product or system design[18].Some features of cyber security can also be
added to the data of patient. The reason is, when huge amount of data is to be transmitted and analyzed on
cloud, security of data is also very important. All these features can be considered for designing better
system which can really contribute a lot to the field of medical instrumentation and to the society as a
whole. Sensor design using wearable sensor interface with hardware and data transmission on cloud i.e
Internet of Medical Things (IoMT)is also one of the future scopes [19].
REFERENCES
[1] 1Guneet Kaur,2Ajay Sharma, “Predicting Chronic Kidney Disease Using Data Mining Algorithms In Hadoop”
International Journal of Advanced Computational Engg and Networking, ISSN: 2320-2106, Volume-5, 6, Jun-2017.
[2]1Cristina Elena Turcua, 2 Cornel Octavian Turcua, “Internet of Things as Key Enabler for, Sustainable
Healthcare Delivery” Procedia - Social and Behavioral Sciences 73 ( 2013 )251 – 256 The 2nd International
Conference on Integrated Informatio ELSEVIER-2013.
[3] 1 Shubhajit Roy Chowdhury, 2 HiranmaySaha “Development of a FPGA based fuzzy neural network system for
early diagnosis of critical health condition of a patient” , ELSEVIER- NOV-2009.
[4] 1 Jorge Gomez,2 Ron Oveido“Patient Monitoring system based on Internet of Things”,7th International
conference on Ambient system, Network and topologies Elsevier-2016.
[5] 1 S. M. Riazul Ismail, (Member, IEEE), 2 DaehanKwak, 3 Mahmud Hossain, and Kyung-Sup Kwak, (Member,
IEEE)“The Internet of Things for Health Care:A Comprehensive Survey”-IEEE ACCESS-2015.
[6] 1 Abdur Rahim Mohammad Forkan , 2, Ibrahim Khalil , 3 Mohammed Atiquzzaman “ViSiBiD: A learning
model for early discovery and realtime prediction of severe clinical events using vital signs as big data”
ELSEVIER-2017.
[7] 1 HajarMousannif 2AbdelkrimHaqiq 3 BasmaBoukenze “Predictive Analytics In Healthcare System Using

Data Mining Techniques” Journal of computer Science and Information Technology -2016.
[8] 1AndrewKusiak, 2 Bradley Dixonb, 3 ShitalShaha “Predicting survival time for kidney dialysis patients: data
mining approach” Computers in Biology and Medicine 35 (2005) 311–327- 2004.
[9] 1 Abhishek, 2GourSundarMitra Thakur, 3Dolly Gupta Proposing Efficient Neural Network Training Model for
Kidney Stone Diagnosis, International Journal of Computer Science and Information Technologies, Vol. 3 (3) 2013.
[10] 1 Peter Groves, 2Basel Kayyali, “The ‘big data’revolution in healthcare’’, McKinsy and Company. Center
forUS Health System Reform Business Technology” The-big-data-revolution-in-US-health-care-Accelerating-value-
and-innovation-2013.
[11] Huang, L., Lan, ‘’Promises and Challenges of Big Data Computing in Health Sciences’’, Big Data Research
vol.2,pp2- Elsevier 2015.
[12] 1 Dr. S. Vijayarani1,2R.S.Dhayanand“Kidney Disease prediction using SVM and ANN Algorithms
International Journal of Computing and Business Research (IJCBR)”, Volume 6 Issue 2 March 2015.
[13] 1 Shubhajit Roy Chowdhury, 2 Dipankar Chakrabarti,3 HiranmaySaha“Development of an FPGA based Smart
Diagnostic system for spirometric data processing applications” , International Journal on Smart Sensing and
Intelligent Systems, VOL. 1, NO. 4, December 2008.
[14]1 Jaoa Victor Salvado,2AnaKarina Franca,3 CrystinC,”Kidney functions and cardiovascular risk factors in
primary hypertension: - Kidney Disease Prevention” - Elsevier Journalvol-59-2012.
[15] 1 Steve G. Peters, 2 James D. Buntrock,(2014),’’Big Data andthe Electronic Health Record’’, Ambulatory Care
Manage ,Vol. 37, No. 3, pp. 206–210.
ISBN: 978-93-5351-069-5 964

[16] R. Weil, “Big Data In Health: A New Era ForResearch And Patient Care Alan R. Weil’’, Health Affair, Vol.33,
No 7, pp 1110.2014.
[17] 1 Basma Boukenze,2HajarMousannif and 3 AbdelkrimHaqiq“Performance of Data Mining Techniques to

Predict in Healthcare Casr Study: Chronic Kidney Failure Disease”.
[18]1 DivyaSaxena 2,VaskarRaychoudhury, Membes, IEEE,”Design and Verification of NDN-Based Safety-

Critical Application: A Casetudy With Smart Healthcare” IEEE-2017.
[19] 1 Fayez Qureshi, 2 Sridhar Krishnan Review on Wearable Hardware Design for the Internet ofMedical Things
(IoMT) MDPI Journal- Sensors- Oct-2018.
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PCE315
Text to Image Generation Using Generative Adversarial Network

Shradhdha K. Shukla Prof. K. D. Chavda
Dept. Of Electronics and communication Dept. Of Electronics and communication
Shantilal Shah Engineering College Shantilal Shah Engineering College
Bhavnagar, India Bhavnagar, India
Email Id: Shradhdhashukla@gmail.com Email Id: khyati.chavda@gmail.com
Abstract
Nowadays Artificial Intelligence is a widely growing field. When anyone is reading a book or any
description, imagines the situation written in the text in mind. Now in this modern era, it is possible to
make a machine to perform the same task. The proposed system describes the generation of images
according to the given text description based on the machine learning approach using the Generative
Adversarial Network. Generation of High-Quality image is a very challenging task. First, the text-
extraction is investigated and the best features are introduced which would be useful for training and
testing the Dataset. The probable output of my work is supposed to generate a simple high-quality
image from the given text description. Images are generated using two stages of GAN which is called
StackGAN. This whole system is implemented on Raspberry Pi, programmed using Python.
Keywords: Artificial Intelligence, Generative Adversarial Network, Image Generation,

Raspberry Pi, High-Quality Image.
Introduction
Nowadays Artificial intelligence is the fastest growing field. When anyone is reading a book or any
description, he imagines the situation written in the text in mind. Nowadays, the computer is being
trained in such a way that it can predict some specific result by taking the text description as input
which works like the human visual system.
Generative Adversarial Network (GAN) is a class of AI algorithm proposed by Goodfellow[1].
Generation a realistic image using any text description is a very challenging task. Even Generative
Adversarial Networks have shown a very important role in synthesizing real-world images [1], [2],
[3]. It is very difficult to train GAN to generate high-resolution and photo-realistic images. The main
difficulty for generating high-resolution images by GANs is that supports of natural image
distribution and implied model distribution may not overlap in high dimensional pixel space [5, 4].
Generation of a photo-realistic image is more specific using the Stacked Generative Adversarial
Network[6]. In these phenomena, a network with two stages is used to generate specific images where
stage-I generate basic images and stage-II generate photo-realistic images. This paper aims a real-time
system to generate images using the given text description. Here images are generated by the
StackGAN model. This model is mainly proposed to generate high-resolution images of animals.
OCR is used to generate a text file and using that text file one image is generated which is shown on
the display. This whole mechanism is implemented in the Raspberry Pi module. Tesseract OCR is
used for the image to text conversion in which text from that image is extracted.
OBJECTIVE
The goal of this research work is Generation of an image from a given text description using
Generative Adversarial Network and the implementation of that system on a Raspberry Pi platform.
The main parts of this Project are Scanning of Text description, Text Embedding and Image
Generation.
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Generative Adversarial Networks (GANs)
GAN is a class of artificial intelligence algorithm which use unsupervised machine learning
technique. GANs were proposed by Goodfellow[1]. GAN mainly contains two models named
Generator(G) and Discriminator(D). The generator is trained to generate samples according to the
input data and the discriminator is trained to distinguish between the real sample and the generated
samples. Generator tries to fool discriminator by generating samples as same as the real image. The
main task of the generator is to maximize the probability that discriminator make a mistake and the
main task of the discriminator is to minimize the probability that a sample comes from data
distribution rather than a generator. Block diagram of a simple GAN is shown in figure 1. So G and D
plays the min-max game on V (D, G)
𝑀𝑖𝑛 𝐺 𝑀𝑎𝑥 𝐷 𝑉(𝐷, 𝐺) = 𝐸𝑋 ~𝑃𝑑𝑎𝑡𝑎 (𝑋)[𝑙𝑜𝑔 𝑙𝑜𝑔 𝐷(𝑋) ] + 𝐸𝑋 ~𝑃𝑧 [𝑙𝑜𝑔 𝑙𝑜𝑔 (1 − 𝐷(𝐺(𝑍))) ]
Here,
X = real image from the true distribution
Z = noise vector sampled from Pz
Figure 1 Block Diagram of Generative Adversarial Networks
STACKED GENERATIVE ADVERSARIAL NETWORK(STACKGAN):
Generation of a photo-realistic image is more specific using the Stacked Generative Adversarial
network[14]. The stacked structure is having multiple stages of generator and discriminator modules.
Figure 2 Block Diagram of the Stacked Generative Adversarial Network
In these phenomena, as shown in figure 2 the low-resolution image is generated using the stage-I
model. This stage generates samples using text descriptions and gives low-resolution images. On the
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top of the stage-I, there is stage-II which generate a high-resolution image using the image generated
from stage-I and the text description. Stage-I roughly generates images using the text data and then
stage-II use that roughly generated images to generate high-resolution images.[13].
Text Embedding:
This is the method of converting text into the numerical format (matrix). This phenomenon is mainly
used for encoding words of text or the whole sentence. If two words have similar meaning then
embedding is the same. This system uses skip-thoughts vector text embedding technique which has
encoder and decoder, formed by recurrent neural networks (RNN). Here, encoding and decoding are
done using pre-trained models such as uni-skip_thoughts and bi-skip_thoughts models[15]. A simple
block diagram of the skip-thought model is as shown in figure 3.
Figure 3 Block Diagram of The Skip-Thought Model
Raspberry Pi:
Raspberry Pi is a very compact architecture that connects with an external display, standard keyboard,
and mouse. It is a small device that is simple to compute and program using languages like Scratch
and Python.
Figure 4 Raspberry Pi 3 Board
Figure 4 shows raspberry pi-3 model with the following specifications:

● System-on-chip: BCM2837
● CPU: 1.2 GHz quad-core ARM Cortex A53
● GPU: Broadcom Video-core IV @400 MHz
● Memory: 1 GB LPDDR2-900 SDRAM
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● USB Port: 4
● Network: 10/100 Mbps Ethernet,
● 802.11n Wireless LAN and Bluetooth 4.0
This Model is dumped into a Raspberry Pi 3 module to make a real-time application for text to image
generation. The text description is read by a camera module and processed by the Raspberry Pi 3
module then the output of the model is displayed on monitor or display.
Raspberry Pi camera module which has 2592 x 1944 resolution connects with raspberry pi module
through a 15 pin Ribbon cable for serial interfacing because its data rate is very high as shown in
figure 5
Figure 5 Raspberry Pi Camera Module
LITERATURE REVIEW
Different works are done on image generation from the text which introduces unique output with a
different database. Generative image modeling is a very basic problem in computer vision. There is a
remarkable process in this direction. Auto-regressive model (e.g. PixelRNN)[6], which use a deep
recurrent neural network as generative models for natural images which are regenerating half image
using pixel space. Nowadays generative adversarial networks for generating a sharper image is
possible but for generation of the high-resolution image is very hard. Goodfellow has shown many
advantages of GAN over basic CNN or RNN networks [1].
This image generative model also includes conditional image generation[7], in which image is
generated depending on its described attribute. This method uses attributes or labels which are used to
generate any images according to labels or defined attributes. Reed[8] has successfully generated 64
X 64 images for birds and flowers. The image is generated using a conditional GAN module. Their
follow-up work[9] was able to generate 128 X 128 image by utilizing an addition description about
the object’s part location. Denton[2] have built a Laplacian Pyramid framework (LAPGANs) using a
series of GANs, where each level of the pyramid, the next stage image is generated by adding
generated image back to the input image. Mieiam[10] have generated a 64 X 64 resolution image
using the DCGAN(Deep Generative Adversarial Networks) with the consideration of adversarial
noise phenomena. They can generate the only image of birds and flowers. Their DCGAN is used to
advance representations by object parts of scenes for image generation tasks.
Hao[11] has proposed a method for generation of image using images in which they are converting
the input image into captions and then it is reconverted into images using PixelCNN. The image
quality is only up to 128 X 128. This method is known as the I2T2I method. Kenki[12] has generated
images using the text description along with the context which is an image by using that some specific
images are generated. First, the input text description is used for one simple image generation. Then
the image which is given in context and the generated one is processed to generate another image.
Han[13] have successfully generated high-resolution images of birds and flowers with Photorealistic
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images and shown an effective method to train GAN with stability. They have used the Stacked
structure of GAN to generate better high-Resolution images.
Similarly, we’ll design the System using StackedGAN as well as Raspberry Pi for real-time
application in an image generation.
DATASET
Microsoft Common Objects in Context (MS COCO)[16] Dataset used for this implementation which
is introduced by Microsoft has approximately 80 categories with 330k images which are collected by
different sources. This Dataset has Various challenging levels such as complex background and
multiple objects in these images. Here, the Dataset has data containing animals such as cats, dogs,
horses, etc with near about 10K images. This Dataset contains images along with text descriptions.
Every image has 5 associated sentences. These images are different in size which is being resized to
256 x 256 for training. The text description is encoded using skip-thoughts vectors.
Figure 6 Sample of Images in Dataset
Source: MSCOCO Dataset[16]

There are approximately 4 categories as shown in figure 6. Each category contains up to 500
images along with their text description
IMPLEMENTATION
Text description of MS COCO Dataset has split into 7:3 ratio for training and testing. Model is
trained on Linux platform for stage-I and stage-II. Model is trained for stage-I using raw data
using 100 epochs and generates a model of stage I and then raw data and model generated
using stage I using max 200 epochs. Stage-II will generate a model which is used for further
image generation. The network architecture is as shown in figure 7.
Figure 7 Block Diagram of the system
Network architecture contains a Camera, Raspberry Pi module and display. Camera capture
images of text description which is written on white plain paper, then that image converted into
a text file with the .txt format. A text file is created using Tesseract act OCR which is an offline
optical character recognizer library of Linux platform. A text file is given to text embedding then
this encoded text is given to a trained model for the generation of an image. This generated
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image is displayed on a connected display. Figure 8 shows the Network architecture of a

discussed system.
Figure 8 Network Architecture of System
CONCLUSION
StackGAN is able to generate a photo-realistic image with 256 x 256 pixels which is of high
resolution compared to others. The accuracy of Text to image generation is increased using
proper Text Embedding technique such as skip-thought vectors. Also, This model is able to
generate images with a complex background and multiple objects in a single image.
REFERENCES
[1] I. J. Goodfellow et al., “Generative Adversarial Networks,” pp. 1–9, 2014.
[2] E. Denton, S. Chintala, A. Szlam, and R. Fergus, “Deep Generative Image Models using a
Laplacian Pyramid of Adversarial Networks,” pp. 1–9, 2015.
[3] A. Radford, L. Metz, and S. Chintala, “Unsupervised Representation Learning with Deep
Convolutional Generative Adversarial Networks,” pp. 1–16, 2015.
[4] M. Arjovsky, “T OWARDS P RINCIPLED M ETHODS FOR T RAINING,” Adv. Neural Inf.
Process. Syst., p. 2672–2680., 2017.
[5] C. K. Sønderby, J. Caballero, L. Theis, W. Shi, and F. Huszár, “Amortised MAP Inference for
Image Super-resolution,” pp. 1–17, 2016.
[6] K. G. Com, “Pixel Recurrent Neural Networks,” vol. 48, 2016.
[7] X. Yan, J. Yang, K. Sohn, and H. Lee, “Attribute2Image: Conditional image generation from
visual attributes,” Lect. Notes Comput. Sci. (including Subser. Lect. Notes Artif. Intell. Lect.
Notes Bioinformatics), vol. 9908 LNCS, no. Figure 1, pp. 776–791, 2016.
[8] S. Reed, Z. Akata, X. Yan, and L. Logeswaran, “Generative Adversarial Text to Image
Synthesis,” 2016.
[9] S. Reed, Z. Akata, S. Mohan, S. Tenka, B. Schiele, and H. Lee, “Learning What and Where to
Draw,” no. December, 2016.
[10] M. Cha, Y. Gwon, and H. T. Kung, “Adversarial nets with perceptual losses for text-to-image
synthesis,” IEEE Int. Work. Mach. Learn. Signal Process. MLSP, vol. 2017–Septe, pp. 1–6,
2017.
[11] H. Dong, J. Zhang, D. Mcilwraith, and Y. Guo, “I2T2I: LEARNING TEXT TO IMAGE SYNTHESIS
WITH TEXTUAL DATA AUGMENTATION Hao Dong, Jingqing Zhang, Douglas McIlwraith,
Yike Guo Data Science Institute, Imperial College London.”
[12] K. Nakamura and A. Author, “Context-aware Image Generation by using Generative
Adversarial Networks,” 2017.
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[13] H. Zhang, T. Xu, H. Li, S. Zhang, and S. Member, “StackGAN ++ : Realistic Image Synthesis
with Stacked Generative Adversarial Networks,” IEEE Trans. Pattern Anal. Mach. Intell., vol.
PP, no. c, p. 1, 2018.
[14] X. Huang, Y. Li, O. Poursaeed, J. Hopcroft, and S. Belongie, “Stacked Generative Adversarial
Networks,” 2016.
[15] R. Kiros et al., “Skip-Thought Vectors arXiv : 1506 . 06726v1 [ cs . CL ] 22 Jun 2015,” no. 786,
pp. 1–11.
[16] T. Y. Lin et al., “Microsoft COCO: Common objects in context,” Lect. Notes Comput. Sci.
(including Subser. Lect. Notes Artif. Intell. Lect. Notes Bioinformatics), vol. 8693 LNCS, no.
PART 5, pp. 740–755, 2014.
ISBN: 978-93-5351-069-5 972

PCE316
SEGMENTATION APPROACH BASED GUJARATI HANDWRITTEN
WORD RECOGNITION SYSTEM USING MACHINE LEARNING
Kajal H. Vyas Prof. Narendrasinh B. Gohil

Communication System Engineering, Assistant Professor,
Shantilal Shah Engineering College, Bhavnagar Shantilal Shah Engineering College, Bhavnagar
Gujarat Technological University, Gujarat Technological University,
kjvyas51@gmail.com nbgohil1@gmail.com
Abstract
Optical character recognition (OCR) is mainly divided into two part: 1.) printed character
recognition and 2.) Handwritten character recognition. For the Gujarati language, the printed
character recognition system is available. OCR for handwritten Recognition is more difficult to
implement due to every person has their own writing style. In this paper, Offline Handwritten
Gujarati Word Recognition System has been introduced using a segmentation approach. With this
approach, there is no limitation of the fixed type of word recognition. This system describes a
Handwritten Recognition system for the Gujarati language based on Computer Vision and Machine
Learning Approach using Google’s inception v3 model. In which, for feature extraction
Convolutional neural network is used and for classification fully connected network and Softmax
layer is used. This system was performed on a moderate sized database using 200 images of each
character. In this approach first whole word divided into individual character, recognize character
individually and then generate an electronic text file of that word. This system is part of whole OCR
system, which can be used in a post office to recognize Address, in Bank for Automatic Cheque
reading, and Conversion from a paper document to digital paper document etc.
Keywords: Handwritten Word Recognition, OCR, Segmentation, inception model, machine

learning, artificial intelligence, Convolutional neural network, Computer Vision.
INTRODUCTION
The Gujarati language is a modern Indo-Aryan language. It is the official language of the Indian state
of Gujarat and also one of the 23 official languages of India. In the Gujarati language, there are 34
Consonants and 12 Vowels. In India there are 55.5 million people speaks the Gujarati language which
is 6th most widely speaking language in India [7]. There is not any dataset is available for Gujarati
handwritten recognition system[1]. Figure 1 shows Gujarati consonant and vowels.
Figure 1: Gujarati consonants and vowels
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The optical character recognition system is the more useful system because it converts scanned
document to electronics document likes text file. By using this system reduce man-hours for data
entry where to convert paper document to electronic document. In industries, government offices, etc.
are now converting their old paper document to electronic document due to that, they can easily
search document by using keywords. The main purpose of this approach is to convert the scanned
document of Gujarati handwritten word into a text document. Shown in figure 2.
Figure 2: Scanned word image to a text document
The optical character recognition system can be differentiated in two types, the first one is Printed
character recognition system and the second one is handwritten character recognition system. A
printed character recognition system is a little bit easy than the handwritten character recognition
system because in the printed document there is style and size of the word is fixed but in the
handwritten document style of the word is differ from person to person and also the size of a
consonant is changed. Handwritten character recognition can be classified again as Offline and Online
character recognition. In offline character recognition, the whole word scanned and then converted it
into electronic form. But in online character recognition, the document is scanned at the time of
ISBN: 978-93-5351-069-5 974

writing a document so one by one character is recognized in this recognition system. Figure 3 shows
the classification of Optical Character Recognition system.
Figure 3: classification of Optical Character Recognition system
In this paper, Offline Handwritten Gujarati Word Recognition System has been introduced. Word can
be recognize using three different approaches: Segmentation approach, Holistic approach, and Hybrid
approach[1]–[3]. In the Segmentation approach, Word is divided into character and then it is
recognized the word. In Holistic approach, the whole word is considered as a single unit and then it is
recognized the word. In Hybrid approach is a combination of both above approaches. In this paper, for
recognition of the word Segmentation approach is used.
OBJECTIVE
The goal of this research work is to create the Offline Gujarati Handwritten Word Recognition System
using Segmentation approach.
The main part of this Project is:
1. Scanning of Handwritten Gujarati Word
2. Segment it into Consonant
3. Recognize Consonant
4. Generate Text Document
LITERATURE REVIEW
Lots of research done in the field of OCR, but for the Gujarati language, there is not much research
done for handwritten. For Database collection, computer vision is used for image processing. For
feature extraction and Classification, there are lots of methods available for that Paneri[2] introduce
first ever handwritten word recognition system for the Gujarati language. In which they use a holistic
approach to word recognition. They used 2700 dataset of 10 predefined city name of Gujarati
language. They used a Holistic approach using a histogram of oriented gradients and kNN and SVM
as a classifier with 76.87% and 85.87% accuracy respectively. While Macwan[1] Applied different
methods of feature extraction like DWT, DCT, and DFT with SVM as a Classifier. Ans got accuracy
89.46%, 89.31%, 96.06% respectively. Kumar[4] uses Multi-Layer Perceptron (MLP) classifier for
975 ISBN: 978-93-5351-069-5

recognition of Devanagari handwritten word and get 80.8% accuracy. Purkaystha[3] use convolution
neural network for Bengali handwritten characters recognition and achieve 98.66%, 94.99%, 91.60%,
91.23% accuracy on numerals, vowels, compound letters, alphabets respectively.
Create Database
To create a database, Open Source Computer Vision library is used for image processing. In which
following steps include: Raw data, Scanning, Binarization, Noise Elimination, Segmentation, Size
Normalization. Figure 4 Shows Flowchart of database collection.
Figure 4: Flowchart of database collection
Raw data and Scanning
For database collection use A4 size plain paper with same size grid so can be segment it easily. Then
scan image with the same dpi. Figure 5 shows scanned image.
Figure 5: Scanned image
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Binarization
The scanned image is in the form of Gray image which has 256 gray levels, now it is to be converted
into a binary image which has only 2 levels. For that use Otsu thresholding method[5]. Figure 6 shows
a Binary image of a scanned image.
Figure 6: Binarized image
Noise Elimination
Due to the conversion of gray scale of 256 level to 2 level, get some noise like Salt Pepper noise,
Gaussian noise etc. To remove that noise, use median filter. Figure 7 shows an image after noise
elimination.
Figure 7: Noise eliminated image
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Segmentation
Work of Segmentation is to partition. Now the whole image is segmented in each consonant. So can
be processed further for training dataset. Due to the same size of the grid in a paper then we can easily
segment the consonant. After the partition of consonant, we have to remove the extra background
from the image. To remove extra background use OpenCV. Figure 8 shows image after Segmentation
performs.
Figure 8: Segmented image
Size Normalization
After the segmentation, all the image is not the same size. Normalization is the algorithm which
resizes the image without change characteristics of the image. In this research work, we use 50*50
sized image. Figure 9 shows image after size normalization.
Figure 9: Normalized image
ISBN: 978-93-5351-069-5 978

In this research work, we introduce a Gujarati handwritten word recognition system in which word
having only 10 consonant listed in the following figure with its label.
Figure 10: consonant with label
Flowchart of Proposed System
Figure 11 shows a flowchart of the proposed system for a handwritten word recognition system in
which for feature extraction and classification, Google’s inception v3 model is used. Convolution
neural network is used for feature extraction and Fully-connected network with Softmax layer is used
for classification[6]. Inception v3 model is a pre-trained model of Google, which is trained by
ImageNet dataset. In this system First of all, we scan the image of word write on plain paper. After
that the whole word is segmented into the consonant, then all the process up to classification is done
separately character by character and then classified labels are combined and generate the text file.
.
Figure 11: Flowchart of a proposed system
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CONCLUSION
The paper presents the Gujarati handwritten word recognition system using segmentation approach.
Figure 12 shows some output of testing data. We get 85%, 75%, 65% accuracy for word having, two
consonant, three consonant and four consonant respectively. In this research work we created a dataset
of 10 consonants for the experimental purpose to check the accuracy. Which can be further modified
for all consonants and vowels.
Figure 12: Output of testing
ISBN: 978-93-5351-069-5 980

REFERENCE
[1] S. J. Macwan and A. N. Vyas, “Classification of offline gujarati handwritten characters,” 2015 Int. Conf.
Adv. Comput. Commun. Informatics, ICACCI 2015, pp. 1535–1541, 2015.
[2] P. R. Paneri, “Offline Handwritten Gujarati Word Recognition,” pp. 188–192, 2017.
[3] B. Purkaystha, T. Datta, and M. S. Islam, “Bengali handwritten character recognition using deep
convolutional neural network,” 20th Int. Conf. Comput. Inf. Technol. ICCIT 2017, vol. 2018–Janua, pp.
1–5, 2018.
[4] S. Kumar, “A study for handwritten Devanagari word recognition,” Int. Conf. Commun. Signal Process.
ICCSP 2016, pp. 1009–1014, 2016.
[5] P. Smith, D. B. Reid, C. Environment, L. Palo, P. Alto, and P. L. Smith, “Otsu_1979_otsu_method,”
vol. C, no. 1, pp. 62–66, 1979.
[6] C. Szegedy, V. Vanhoucke, S. Ioffe, J. Shlens, and Z. Wojna, “Rethinking the Inception Architecture for
Computer Vision,” 2015.
[7] https://en.wikipedia.org/wiki/Gujarati_language
981 ISBN: 978-93-5351-069-5

PCE317
A REVIEW ON DESIGN OF FREQUENCY SELECTIVE SURFACE

FOR STEALTH TECHNOLOGY APPLICATION IN MILITARY
Dheemahi K. Bhatt Shailendrasinh B. Parmar

Communication System Engineering, Associate Professor,
Shantilal Shah Engineering college, Bhavnagar Shantilal Shah Engineering college, Bhavnagar
Gujarat Technological University, Gujarat Technological University,
dheemahibhatt@gmail.com shailbapu@gmail.com
Abstract
Stealth technology is a combination of various methods used in the field of defence to make an
aircraft, ship, or missile technically invisible or less visible to the enemy detection systems like sonar,
radar etc. It enables the weapon or vehicle to act without being noticed and to see without being seen.
Here, the most important and crucial stealth that should be maintained by a weapon or vehicle is RF
stealth as the widely used detection system is RADAR. Frequency selective surface is a periodic
structure made from of conductive patch elements or aperture elements that can either reflect, or
transmit or absorb electromagnetic waves. According to the size, shape and type of the elements used,
it shows different filter characteristics like high pass/ low pass and band pass /band stop. This paper
presents an analytical review of recent developments in the design of frequency selective surface that
act as a band stop filter for X band (8-12 GHz) of microwave frequency and hence can be used in
stealth technology application for military structures and weapons.
Keywords: frequency selective surface, stealth technology, band stop filter, X band, military
applications.
INTRODUCTION
Frequency selective surface (FSS) is a two-dimensional periodic structure which is formed by making
some metallic patches over the dielectric substrate or apertures in metal. [1] Basically, it is a spatial
electromagnetic filter. It performs the same task as a regular microwave filter does but, the major
difference is that its frequency response does not depend only on the frequency but also depends on
angle and polarization of incident electromagnetic wave. Frequency selective surface has a wide range
of applications like, RFID tag, robotic guided path, electromagnetic interference reduction and
protection, microwave absorber, radar cross section (RCS) reduction, etc. RCS reduction is a prime
technique to achieve RF stealth and, an FSS working as a band stop filter can fulfil this aim. When
such FSS is mounted on the surface of an aircraft, a ship, a weapon or any such military structures, it
acts as band stop filter for the incident electromagnetic waves from enemy radar and hence our
aircraft/ship/weapon remains invisible to the enemy radar. X band stealth is extremely important to
maintain as it is the frequency band used by fire control radar.so, in order to protect our targets from
enemy missiles, X band stealth must be maintained. This section presents some historical background
of FSS and its basic principle of working.
Historical Background:
Marconi and franklin were the pioneer of this concept.[2] In 1914 they patented the concept of
periodic surfaces. Since 1960 such surface has been a field of interest for researchers. In 1993 the
name “Frequency Selective Surface” was patented by Yee.[3] However, the proper definition and
ISBN: 978-93-5351-069-5 982

explanation about working of FSS was presented by B.A. Munk in his book “frequency selective
surface- theory and design” in 2000.[1]
Principle of Working:
The working principle of frequency selective as explained by Munk[1] states that when the
electromagnetic waves incident upon the frequency selective surface, they excites electric current in
the elements. Amplitude of this current is function of the strength of energy coupling between the
incident wave and elements. This current produces a scattered field as it acts as a EM source. The
interaction between this scattered field and the incident field produces the required frequency
response.[1] In other words, this can be explained as a resonance phenomenon that occurs when the
input impedance of the FSS matches with the free space impedance.
Factors affecting the performance of an FSS are: type of the element(patch/slot), size and shape of the
element, dimension of the element, inter element spacing and array configuration.[1] Based on the
type of elements used, an FSS can either function as a low pass filter or a high pass filter. as shown in
the figure 1, the metallic patches act as a low pas filter and slots give high pass filter response.[1]
Figure 1 Working of FSS
Source: B.A. Munk, Frequency Selective Surfaces: Theory and Design, Wiley, New York, 2000.[1]
Basic Element Shapes:

According to Munk,[1] the basic element shapes is divided into four catagories: The centre connected
or N-poles, The loop types, Solid interior or plate types, and Combinations of all.[1] This
classification is shown in figure 2.
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Figure 2 Element Shapes
Source: B.A. Munk, Frequency Selective Surfaces: Theory and Design, Wiley, New York, 2000.[1]
OBJECTIVE
The main objective of this paper is to review the recently developed designs of frequency selective
surface. Here, the FSS that works as band stop filter for X band frequencies (8-12 GHz) are
considered for review. The paper is organised in following sections. In the next section, in depth
literature survey is presented for band stop FSS design in X band. The analysis from the literature
review is presented in fourth section. The review work is concluded in fifth section.
LITERATURE REVIEW AND RESEARCH GAP
In the past few years many research papers are published for band stop FSS design. Some of them
contains unit cell design and simulation results and some of them have also fabricated the simulated
design. Some papers present their own unique designs and some of them have done some
modifications in existing designs to get batter efficiency. This section presents a detailed discussion
about band stop FSS designs for X band proposed in recent years.
Himangshu B Baskey, Bhavna Ghai, and M J Akhtar has presented design, simulation and fabrication
of the FSS unit cell that can be used to reduce radar cross section of a cubical object. They have
fabricated the FSS and placed it over a cubical object of 100mmX100mmX100m dimension to
measure monostatic RCS reduction. The simulated and experimental results shows 99.25% absorption
ISBN: 978-93-5351-069-5 984

at 11.20 GHz.[4] The unit cell structure proposed in this paper and results obtained are in shown in
figure 3
Figure 3 FSS for RCS Reduction of a Cubical Object
Source: H. B. Baskey, B. Ghai, and M. J. Akhtar, “A flexible, ultra thin, frequency-selective-surface based absorber film for
the radar cross section reduction of a cubical object,” IEEE MTT-S Int. Microw. RF Conf. 2015, IMaRC 2015, vol. 21, pp.
128–131, 2016.[4]
In[5] authors have proposed an ultrathin, polarization insensitive FSS with a square loop structure.
This design gives peak absorption at 11.56 GHz with 99.7% absorbance. The proposed structure and
simulated results are shown in figure 4
Figure 4 Ultrathin Polarization Insensitive FSS
Source: N. Singh, S. Yadav, and R. Chahar, “Design and analysis of ultrathin polarization-insensitive metamaterial
absorber for stealth technology applications,” 2017 4th Int. Conf. Signal Process. Integr. Networks, SPIN 2017, pp. 193–
195, 2017.[5]
The FSS structure proposed in[6] works as band stop filter for dual band frequencies. Here, a
hexagonal element shape is proposed and simulation and fabrication results are compared. The peak
absorption frequencies are 6.10GHz and 10GHz with absorption of 98.5% and 99.7% respectively.
This structure is polarization insensitive. The proposed FSS unit cell structure and results are shown
in figure 5.
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Figure 5 Dual Band Hexagonal Ring Based FSS.
Source: H. B. Baskey and M. J. Akhtar, “A dual-band hexagonal ring based polarization-insensitive metamaterial
absorber,” 2013 IEEE MTT-S Int. Microw. RF Conf. IMaRC 2013, pp. 1–4, 2013.[6]
A flexible polyurethane substrate is used in[7]. This is also a dual band band-stop FSS. The
absorption peaks for this design are 7.30GHz and 10.80 GHz having percentage absorption of 98%
and 98.85% respectively. Figure 6 shows proposed FSS unit cell design and fabrication experimental
results for this paper.
Figure 6 FSS Unit Cell Design and Results
Source: H. B. Baskey and M. J. Akhtar, “A dual band multiple narrow slits based metamaterial absorber over a flexible
polyurethane substrate,” IEEE Antennas Propag. Soc. AP-S Int. Symp., pp. 185–186, 2014.[7]
The FSS unit cell structure proposed in[8] is a modified version of unit cell structure proposed in[6].In
this paper authors have proposed an octagonal shape. They have used different types of dielectric
substrates with this octagonal shape. Simulated results are present for the modified octagonal shape
and also for different dielectric substrates used. The unit cell, simulated results and table pf results are
given in figure 7.
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Figure 7 FSS Unit cell, simulated results and Result Table
Source: M. Abu, H. Hassan, M. S. I. M. Zin, S. A. M. Ali, and M. Muhammad, “An Analysis of Dual-Band Octagonal Ring
Metamaterial Absorber,” Proc. - 6th Int. Conf. Comput. Commun. Eng. Innov. Technol. to Serve Humanit. ICCCE 2016, pp.
25–29, 2016.[8]
The FSS proposed in[9] gives band stop response for 8.47 GHz and 10.45 GHz.[9]. The unit cell
structure and simulated results are shown in figure 8.
987 ISBN: 978-93-5351-069-5

Figure 8 Unit Cell Structure and Simulated Results
Source: S. Unaldi, S. Cimen, G. Cakir, and U. E. Ayten, “A Novel Dual-Band Ultrathin FSS with Closely Settled Frequency
Response,” IEEE Antennas Wirel. Propag. Lett., vol. 16, no. c, pp. 1381–1384, 2017.[9]
In[10], concept of fractal geometry is used to design FSS. Addition of each stage gives band stop
frequency response at different frequencies of X band and Ku band.[10] Figure 9 shows FSS design
and simulated results.
Figure 9 FSS Design and Results of Simulation
Source: Sarika, R. Kumar, M. R. Tripathy, and D. Ronnow, “Fractal frequency selective surface based
band stop filters for X-band and Ku-band applications,” Proc. - 2017 3rd Int. Conf. Adv. Comput.
Commun. Autom. (Fall), ICACCA 2017, vol. 2018–Janua, pp. 1–4, 2018[10]
All the FSS unit cell designs reviewed above give absorption peak for either one or two frequencies in
X band. Now, some FSS designs with triple band band-stop characteristics are discussed below.
A triple band FSS in proposed in[11].the structure presented here, is a modification in ring resonator.
The resonant frequency occurs at 7.7 GHz, 9.2 GHz and 11.1 GHz with absorption rates of 99.7%,
98% and 94% respectively. [11] Figure 10 shows unit cell of FSS and results.
ISBN: 978-93-5351-069-5 988

Figure 10 FSS Design and Results
Source: S. Ramya I. Srinivasa Rao, “Design of New Metamaterial Absorber with Triple band for Radar Cross Section
Reduction,” 2015 Fifth International Conference on Advances in Computing and Communications, 2015[11]
In[12] three rings of regular decagon shape geometry are used. The absorption peaks occur at 8 GHz,
10 GHz and 12 GHz with absorbance peak response of 96 %, 93.36 % and 91.88 % respectively. The
unit cell design and simulated results of this FSS are shown in figure 11
Figure 11 Triple Band Decagon Shaped FSS Unit Cell and Results
Source: D. Singh and V. M. Srivastava, “Triple band regular decagon shaped metamaterial absorber for X-band
applications,” 2017 Int. Conf. Comput. Commun. Informatics, ICCCI 2017, vol. 1, no. c, pp. 5–8, 20[12]
Research Gap:
From the literature reviewed in this section, it has been observed that for the X-band, band stop filter
for dual and triple band absorption are already designed. Different combinations of metal and
dielectric are used in each paper with different dimensions. So, there is a scope of designing an FSS
structure that can work as band stop filter for four different frequencies. Also, some different
combinations of metal and dielectric with some modifications in parameters and structure dimension
can be used to get more efficiency or to design some novel structure.
989 ISBN: 978-93-5351-069-5

ANALYSIS PART
This section is an analytical review of the literature reviewed in section 3. All the FSS designs are
compared in the form of materials used, material properties, peak absorption frequency, software used
for simulation, etc. The analysis is presented in tabular form for batter understanding.
Table 1 Analytical Review
Sr. Title Materials Material Absorption Software

No Used Properties Peak Used
1 A Flexible, ultra-thin, Copper and ℇr=3.1 11.20 GHz CST
Frequency-Selective- tanẟ=0.00025
polyimide
Surface Based
Absorber Film for the
Radar Cross Section
Reduction of a
Cubical Object[4]
2 Design and analysis of Copper and ℇr=4.4 11.56 GHz CST
ultrathin polarization – FR 4 tanẟ=0.025
insensitive
metamaterial absorber
for stealth technology
applications[5]
3 A Dual-Band Copper and ℇr=4.25 6.10 GHz CST
Hexagonal Ring Based FR 4 tanẟ=0.02 and
Polarization- 10 GHz
Insensitive
Metamaterial
Absorber[6]
A Dual Band Multiple Copper and ℇr=3.0 7.30 GHz CST
Narrow Slits based polyurethane tanẟ=0.05 and
Metamaterial Absorber 10.80 GHz
over a Flexible
Polyurethane
Substrate[7]
5 An analysis of dual- Copper and FR 4: 6.08 GHz and 10 HFSS
band octagonal ring FR4 ℇr=4.25
GHz
metamaterial Or RO3010 RO3010:
absorber[8] Or RO4003 ℇr=10.2 4.32 GHz and
RO4003:
6.66 GHz
ℇr=3.38
7.04 GHz and
11.2 GHz
6 A novel dual band ℇr=2.2 8.47 GHz CST
ultra-thin FSS with Arlon Di 880 tanẟ=0.0009 and
closely settled 10.45 GHz
frequency response[9]
7 Fractal frequency FR4 ℇr=4.4 Detailed HFSS
selective surface based tanẟ=0.02 comparison is
band stop filters for X- given
band and Ku-band
applications[10]
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8 Design of New FR 4 ℇr=4.3 7.7 GHz, -

Metamaterial Absorber tanẟ=0.02 9.2 GHz
with Triple band for and
Radar Cross Section 11.1 GHz
Reduction[11]
9 Triple band regular Copper and ℇr=4.3 8 GHz, 10 GHz CST
decagon shaped FR 4 tanẟ=0.02
and 12 GHz
metamaterial absorber
for X-band
applications
Mathematical Background and Simulation Techniques:

To analyse the FSS periodic structures, Floquet’s principle is employed. It states that if, an infinite
plane wave incident on a planer, infinite periodic structure, every unit cell of the periodic structure has
same currents and fields. The equivalent circuit method is used to get the value of inductance and
capacitance of the band stop FSS design. These FSS structures can be simulated using various
software. Most of the authors have used CST microwave studio and High Frequency Structure
Simulator (HFSS) to simulate FSS structures. Each software uses different methods for solution, for
example, HFSS uses Finite Element Method.
CONCLUSION
After reviewing all the research papers presented in literature review, we can conclude that in every
paper the authors have presented some novel unit cell design for band stop FSS. Also, some of them
have modified the existing FSS unit cell design. An FSS design gives absorption peak at either one,
two or three different frequencies of X band. The frequency response of the FSS can be
changed/modified by changing the size/shape/geometry of the metallic element. This is possible
because whenever changes are made in dimension of metal elements it changes the value of
capacitance and inductance of the structure and hence resonance frequency changes. Use of different
dielectric substrates also changes the frequency response of FSS.
REFERENCES
[1] B.A. Munk, Frequency Selective Surfaces: Theory and Design, Wiley, New York, 2000.
[2] G. Marconi and C. S. Franklin, “Reflector for use in wireless telegraphy and telephony,” U.S. Pat., p.
1,301,473, 1914.
[3] James S. Yee, Frequency Selective Surface (FSS), U.S. Patent, 5,208,603 , 1993.
[4] H. B. Baskey, B. Ghai, and M. J. Akhtar, “A flexible, ultra thin, frequency-selective-surface based
absorber film for the radar cross section reduction of a cubical object,” IEEE MTT-S Int. Microw. RF
Conf. 2015, IMaRC 2015, vol. 21, pp. 128–131, 2016.
[5] N. Singh, S. Yadav, and R. Chahar, “Design and analysis of ultrathin polarization-insensitive
metamaterial absorber for stealth technology applications,” 2017 4th Int. Conf. Signal Process. Integr.
Networks, SPIN 2017, pp. 193–195, 2017.
[6] H. B. Baskey and M. J. Akhtar, “A dual-band hexagonal ring based polarization-insensitive
metamaterial absorber,” 2013 IEEE MTT-S Int. Microw. RF Conf. IMaRC 2013, pp. 1–4, 2013.
[7] H. B. Baskey and M. J. Akhtar, “A dual band multiple narrow slits based metamaterial absorber over a
flexible polyurethane substrate,” IEEE Antennas Propag. Soc. AP-S Int. Symp., pp. 185–186, 2014.
[8] M. Abu, H. Hassan, M. S. I. M. Zin, S. A. M. Ali, and M. Muhammad, “An Analysis of Dual-Band
Octagonal Ring Metamaterial Absorber,” Proc. - 6th Int. Conf. Comput. Commun. Eng. Innov. Technol.
to Serve Humanit. ICCCE 2016, pp. 25–29, 2016.
[9] S. Unaldi, S. Cimen, G. Cakir, and U. E. Ayten, “A Novel Dual-Band Ultrathin FSS with Closely
991 ISBN: 978-93-5351-069-5

Settled Frequency Response,” IEEE Antennas Wirel. Propag. Lett., vol. 16, no. c, pp. 1381–1384, 2017.
[10] Sarika, R. Kumar, M. R. Tripathy, and D. Ronnow, “Fractal frequency selective surface based band stop
filters for X-band and Ku-band applications,” Proc. - 2017 3rd Int. Conf. Adv. Comput. Commun.
Autom. (Fall), ICACCA 2017, vol. 2018–Janua, pp. 1–4, 2018.
[11] D. S. Schlitzer and B. M. Novak, “Ion-pair induced chiral induction in polycarbodiimides,” Am. Chem.
Soc. Polym. Prepr. Div. Polym. Chem., vol. 38, no. 2, pp. 171–172, 1997.
[12] D. Singh and V. M. Srivastava, “Triple band regular decagon shaped metamaterial absorber for X-band
applications,” 2017 Int. Conf. Comput. Commun. Informatics, ICCCI 2017, vol. 1, no. c, pp. 5–8, 2017.
ISBN: 978-93-5351-069-5 992

PCE123
ECONOMIC SOLUTION TO PROVIDE TRACEABILITY TO LOAD

CELL USED IN WEIGHING AND FORCE APPLICATION BYTHE
PRIMARY METHOD.
DIPAK PRAJAPATI
CALIBRATION ENGINEER
EIE INSTRUMENTS PVT. LTD.
deepakprajapati12@hotmail.com
+91-7984777494
Abstract
In this paper, we present economic solution to provide industries for traceability to load cell used in
weighing and force application. The calibration machine is classified as a dead weight type,
Hydraulic type, lever type and comparator type machine. The metrological performance of the load
cell is evaluated thru its repeatability, reproducibility, creep, zero error, hysteresis etc. The design,
development and fabrication of the dead weight calibrating machine of 5 kN Capacity. We discuses in
this paper, presently the calibrating machine is operated manually and plan has already been made to
operate the machine fully automatic. The associated uncertainty f force realise by the dead weight
force machine is 0.01% at k=2 with confidence level at 95%.
Keywords: Calibration, Dead Weight Force Machine, Uncertainty.
INTRODUCTION
Now days, Load cells have been playing a vital role in force and weighing applications like
testing of material testing machines, electronic weighing balance, weighing of aircrafts, ships etc. A
Load Cell is electrical device. That is used to convert a force into an electrical signal. Load cell are
used to measure the static forces generated in the system. To maintain an accuracy of force
measurement, it is necessary that these load cells are calibrated against force standard devices of
higher accuracy traceable, through an unbroken chain of calibrations, to the reference standards of
force maintained at the NMI (National Metrology Institute) of India, which is National Physical
Laboratory (NPL) of India.
There are different methods to realize or to generate static force over a wide range with
measurement uncertainties ranging from a few ppm to a few percent depending upon range and
method used. Industries and calibration laboratory realize forces with low uncertainty by using the
dead weight force machine. Principle of Dead weight force machine is “A dead weight force applied
directly without intervening mechanisms such as lever, hydraulic multiplier, or the like whose mass
has been determined by comparison with reference standards traceable to national standards of mass.
Recently 5kN dead weight force machine has been design, development, fabricated and
metrology performance has also evaluated at EIE Instruments Pvt. Ltd. Ahmedabad and presented
here.
DESIGN & CONSTRUCTION OF THE DEAD WEIGHT FORCE MACHINE

The 5kN manually operated dead weight force standard machine as show in below fig. 1. It
consists of main frame structure, standard yoke (loading hanger) and set of dead weights of different
capacity. A two column system is employed in designing the machine. Four levelling screw are
provided in the bottom plate for levelling of the machine. The main frame of the machine consists of
two rectangular plates and two rectangular plate joined together by rods so not to affect the
measurement results by bend out of shape. A loading hanger body is free floating as to have best
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possibility of the accelerative of the applied force from main frame structure. Load is applied at centre
of loading hanger.
Upper portion of frame can accommodate load cell in compression mode calibration. Load cell
centre of upper plate of loading hanger. For calibration of tension mode, top plate of main frame to
upper plate of loading hanger. Upper plate of loading hanger support to load cell and lower end plate
of loading hanger is directly connected to the weight stack. The loading hanger is located below the
load cell. The dead weight force machine consists of a loading hanger to support the dead weights
which can be applied through loading hanger to generate the desired forces, loading platen to support
the load cells and main frame to support all these components
Figure 1 Schematic Diagram of Dead Weight Force Standard Machine 5kN
Table:1 Combination of Newtonian Weight for 5kN Capacity Dead Weight

Force Machine
Nominal value of Newtonian Weights No of Newtonian Weights
50N 10
100N 17
150N 18
100N Loading Hanger 01
Source: EIE Instruments Pvt. Ltd.
ISBN: 978-93-5351-069-5 994

Here, In schematic diagram, Main frame structure, foundation of main frame, Newton weights,
loading hanger show in figure 1.We designed set of dead weights of different capacity as per present
table no 01. During the design dead weight, we take special care of safe handling and weight
adjustment provision provided. All dead weights are traceable to SI unit by national standard (NABL
accreditation lab). The weight applied to the load cell is the sum of the selected weights and loading
hanger. The minimum force of 100N, which is first applied load of the calibrated loading hanger. The
weight stack consists of 45 weights. The loading and unloading of the dead weights is conducted
manually as per desired forces. The loading and unloading time interval of the dead weights is
predetermined. Here dead weights are loading and unloading of the dead weights carried out
manually. Special care is taken to load and unload smoothly as to minimise of oscillation and
vibration of hanger, centre of loading hanger & load cell for better repeatability, reproducibility and
stability.
CALIBRATION PROCEDURE
The machine is capable to calibrate load cell in compression and tensile mode as per national and
international standard procedure like... ASTM E 74, ISO 376:2011, IS 4169:2014. The calibration was
made by using self aligning compression pads along with load cell. Here load cell with digital
indicator of 5 kN capacity having better repeatability and used as a artefact. The artefact was
calibrated from National physical Laboratory of India (NPLI) based on IS 4169:2014, having an
expanded uncertainty of ±0.03%. The same artefact was also calibrated on the dead weight force
machine under reference to generate to confidence in uncertainty associated with the force applied in
the dead weight machine. The artefact was carefully placed on the machine with the indicator
switched on and kept near the machine for sufficient time for attaining better temperature equilibrium
and stability. Under this procedure four force series are applied which includes two increasing force
series at 0 position, at nine uniform interval of force steps staring from 10% to 100% of its capacity.
Two increasing force series are applied at 120° and 240° positions.
The loading and unloading of the dead weights is conducted manually as desired force readings.
The operation and recording of observations were done manually. Preload cycle is performed three
times to the full capacity of load cell and kept for 3 minutes before returning to zero. When load cell
is arranged to a new position, one time performed preload cycle to its full capacity is performed.
During the measurements uniformity of the loading and unloading of the weights maintain in order to
keep low creep and load time effect. Time duration of 30 sec is found to be adequate from the start to
attain the desired force and 30 sec to record the observation. After waiting for 90sec on returning to
zero, the same force series was repeated at same position of the load cell. The same process is
followed at each new position of the load cell.
ESTIMATION OF UNCERTAINTY DEAD WEIGHT FORCE MACHINE

The uncertainty associated with the force realized in dead weight force machine can be directly
evaluated from the base unit of mss, length and time. The uncertainty budget for the dead weight
machine is represented in table 2. All practical purpose against the estimated expended uncertainty
(k=2) at 5 kN is ± 70 ppm. It is expected that the factors like parasitic components of applied force,
the measurement procedure, loading regime, etc. Contribute some finite value to the total uncertainty
during the practical determination of CMC of the machine which are not considered in the above
evaluation. Hence a value of 0.01% as expanded uncertainty associated with the force realized by the
dead weight force machine is considered to be a safe side for all practical purpose.
Table: 2 Expanded Uncertainty of Dead Weight Force Machine (5kN)
Parameter Distribution Value Estimated Probability Std. Sensitivity Uncertainty
Type Parameter Distribution Uncertainty Co- Contribution
Un efficient
Mass –m(kg) b 510.906 0.000016 2 8E-6 9.788012 7.8E-5
Local ‘g’ 9.78801
b 0.0001 2 5E-5 510.906 2.55E-2
Value (m/s²) 2
ρa (kg/m )
3
b 1.15 0.08 1.732 0.046 1.3E-3 6.0E-5
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ρm (kg/m3) b 7950 140 2 70 1.8E-8 1.26E-5

Source: Mathematical Calculation base on EIE Instruments Pvt. Ltd.
CALIBRATION RESULTS
The national traceability chain in force measurement establish through NPL India to the
industries. 5kN load cell was calibrated on dead weight force machine. The load cell calibrated base
on national and international standard (IS 4169:2014 and ISO 376:2011) procedure and relative
repeatability and relative reproducibility observed during the calibration of load cell results are shown
in table -3. The maximum relative repeatability 0.015% and relative reproducibility 0.013% is
observed. Same load cell was calibrated from the national standard force machine (NPLI) and results
observed that relative repeatability is 0.005% and relative reproducibility is 0.04%. To visualize the
degree of closeness the reference values of the force realized at NPLI and value obtained at dead
weight force machine, the En ration is determined at each force step and result are in presented table
-4. All the En values estimated are significantly below Unity (En<1), indicating that the deviation
between the reference value taken at NPLI and value taken of Dead weight force machine is within
the uncertainty limits of the dead weight force machine and within acceptable limits. This gives us the
confidence in the performance of the dead weight force machine installed in realizing the force with
the stated uncertainty.
The calibration of load cell using dead weight force machine base on IS 4169:2014 or ISO
376:2011. Load cell calibration procedure describes in above clause no 3. During calibration, the load
cell is classified for the range by considering each calibration force one after the other starting with
the maximum force to minimum calibration force. The load cell can be classified on the basis of a)
either for specific forces or b) for interpolation c) either incremental loading or d) incremental and
decremental loading. Classification criteria of load cell base on ”CASE A/B/C” Relative error of
Reproducibility(b’), Repeatability (b), Interpolation (fc), Zero Error(f0), Reversibility(v) and Creep
test(c).
Table: 3 the Relative Repeatability & Reproducibility Deviation of 5kN Load Cell by
National Force Machine & Design Force Calibration Machine.
Applied Force Relative Relative Relative Relative
(N) Repeatability Reproducibility Repeatability Reproducibility
(%) by NPL (%) by NPL (%) by EIE (%) by EIE
500 0.01 0.04 0.02 0.01
1000 0.01 0.02 0.01 0.00
1500 0.00 0.02 0.01 0.01
2000 0.00 0.01 0.00 0.01
2500 0.00 0.01 0.00 0.01
3000 0.00 0.01 0.00 0.01
4000 0.00 0.01 0.00 0.01
5000 0.00 0.01 0.00 0.01
Source: Result from NPL India and EIE Instruments Pvt. Ltd.
No of measurements taken in consistency and similar conditions using two different machines by
deriving the deviation, En value of National standard force machine and dead weight force machine as
per the following: .
X DWM−EIE − X DWM−NPL
𝐸𝑛 =
√(𝑈𝑛𝐷𝑊𝑀−𝐸𝐼𝐸 )2 + (𝑈𝑛𝐷𝑊𝑀−𝑁𝑃𝐿 )2
ISBN: 978-93-5351-069-5 996

Table: 4 The En Value Between Relative Repeatability &Reproducibility Deviation on the

National Force Machine & Design Dead Weight Force Calibration Machine.
Applied Relative Relative En Relative Relative En
Force Repeatability Repeatability Value Reproducibility Reproducibility Value
(N) (%) by NPL (%) by EIE (%) by NPL (%) by EIE
500 0.01 0.02 0.28 0.04 0.01 -0.83
1000 0.01 0.01 0.14 0.02 0.00 -0.35
1500 0.00 0.01 0.14 0.02 0.01 -0.28
2000 0.00 0.00 0.03 0.01 0.01 -0.07
2500 0.00 0.00 0.03 0.01 0.01 0.06
3000 0.00 0.00 0.02 0.01 0.01 0.05
4000 0.00 0.00 -0.02 0.01 0.01 0.10
5000 0.00 0.00 -0.01 0.01 0.01 0.10
Source: Result from NPL India and EIE Instruments Pvt. Ltd.
CONCLUSION
The calibration measurement capability of the 5 kN dead weight force machine over the full
range is found to be ± 0.01% at k=2. To compare observed reading of relative repeatability and
relative reproducibility would additionally generate the confidence that the design force machine is
stable and axial force is applied through Dead weight force machine to the load cell under calibration.
As the En, which is always less than one at all force step over a full range generate significant
confidence in the uncertainty associated with force applied by the machine.
The calibration of load cell can be carried out in tension or compression mode based on
international / national standard calibration procedures to the highest possible accuracy class. The
closeness between the repeatability at any position and at different angular position would generate
the confidence that the machine is stable and repeatable not only as regards axial load, but as regards
the generate parasitic components.
ACKNOWLEDGES
The author is grateful to Mr. Sanjay Parikh (CEO) & Mr. Kunal Parikh (MD) of EIE Instruments
Pvt. Ltd. Ahmedabad for give a permission to publish the paper and for encouragement.
REFERENCES
1. ASTM E74, Standard practice of calibration of force measuring instruments for verifying the force
indication of testing machines.
2. ISO 376:2011 ( IS 4169:2014), Metallic materials – Calibration of force-proving instruments used for the
verification of uniaxial testing machines.
3. Kamlesh K. Jain and S.K. Jain, Best measurement capability of the newly developed 5kN dead weight force
machine.
4. S.K. Jain, S.S.K. Titus, Rajesh Kumar and Kamlesh K. Jain, Design, development and fabrication of 50kN
force standard machines to provide national traceability in force measurement to the industries.
5. NABL 122-6, Specific criteria for calibration laboratories in mechanical discipline: Force Proving
Instruments.
6. NABL 122-2, Specific criteria for calibration laboratories in mechanical discipline: Mass (Weights).
7. NABL 141, Guidelines for estimation and expression of uncertainty in measurement.
8. NABL 164, Guidelines for inter-laboratory comparison for calibration laboratories where formal PT
programs are not available.
9. EURAMET cg-4, version 2.0, Uncertainty of force measurements.
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PCE120
TECHNOLOGICAL ADVANCEMENTS IN SUSTAINABLE FUELS
PRODUCTION FROM BIOMASS– A RESEARCH INSIGHT
THROUGH REVIEW AND FUTURE DIRECTIONS
Shah Jinesh Bipinbhai Dr. Janak B. Valaki
Ph.D. Research Scholar, GTU Associate Professor,
Assistant Professor, Mech. Engg. Dept. Mechanical Engineering Department,
AITS, Rajkot, Government Engineering College, Bhavnagar
Gujarat, India Gujarat, India
Jinesh.shah.mech@gmail.com janakvalaki@gmail.com
Abstract
Requirement of fossil fuel-based energy sources have witnessed a huge increase due to the rapid
growth of industrial activities throughout the world, specifically in developing countries like india
and other Asian countries since last 20 years. It has severely impacted the issues of energy crisis,
environmental pollution and global warming. On the other side, accumulation of unused biomasses
has been found as a major threat to the ecology, environment and soil fertility. Application of
Biomass for production of fuel is considered to be one of the most promising alternate because it is
renewable, carbon neutral and having high productivity characteristics. Technologies are available
for conversion of bio mass into liquid or gaseous bio fuels, like gasification, combustion, liquefaction,
pyrolysis etc. Combustion and gasification process produce bio gas which is difficult to store and
transport. This problem can be eliminated by conversion of bio fuel into bio oil through Pyrolysis or
liquefaction.
The authors in this review paper have intended to provide an insight into the technological
advancements to convert various biomasses into usable bio-fuels. Various technologies have been
reviewed from its thermo-chemical nature point of view and synthesis of fuel prepared. Moreover,
limitations of each process have been identified to provide directions for future research in biomass
conversion technologies for increased yield and quality of fuels.
KeyWords: Thermo-chemical conversion, Pyrolysis, Liquefaction, Combustion, Gasification,

Biomass.
Paper outline:
1 Introduction
1.1 Historical Perspective of Current Energy Scenario
1.2 Biomass Resources
2 Biomass conversion processes
2.1 Thermo-chemical processes
2.1.1 Combustion
2.1.2 Technological advancement in combustion process
2.1.3 Summary of combustion process
2.2.1 Gasification
2.2.2 Classification of gasification process
2.2.3 Biomass gasification principles and technologies
2.2.4 Technological advancement in gasification process
2.2.5 Summary of gasification process
2.3.1 Pyrolysis
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2.3.2 Pyrolysis process mechanism

2.3.3 Pyrolysis process parameters
2.3.4 Technological advancement in pyrolysis process
2.3.5 Summary of pyrolysis process
2.4.1 Liquefaction
2.4.2 Principle of liquefaction process
2.4.3 Types of liquefaction process
2.4.3 Summary of liquefaction process
3 Further research scope in thermo chemical based biomass conversion technologies
4 Comparative Analysis of Thermo-chemical Conversion Process.
5 Conclusion
6 References
INTRODUCTION
Historical Perspective of Current Energy Scenario
Energy revolution started in 18th century, where wind and water powered technology by fossil
hydrocarbon-based energy resources. Then onwards, Coal, oil, and now natural gas-based energy
sources have witnessed the major energy revolutions as shown inTable-1. The global use of
hydrocarbons for fuel by humans has increased nearly 800-folds since 1750 and about 12-fold in the
twentieth century(Hall et al.,2003).Greenhouse gas emission has increasing tremendously due to
production and usage of this hydrocarbon-based energy sources resulting in imbalance of carbon cycle
and several other problems. It has been notifying that human activity is responsible for last 50 years
global warning (Van at el., 2001).Fig.1 shows shortfall of energy in India.
Table: 1 History Of World Energy Revolution (Hall, C., et al. 2003).
Time period Energy source

18th century Water and wind-based technologies
19th century Coal based sources
20th century Oil based sources
21st century Oil and Natural gas based sources
Fig.1: India’s Energy Demand, Supply and Shortfall
Source: CEA, Ministry of power, India [2012]
In recent times, the United Nations agenda for sustainable development has demanded to replace
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GHG emitting sources by carbon neutral sources like biofuels, biogases, wind, and solar based energy
sources. Immediate solution to the need for oil as energy requirements can be made available from
Biofuels obtained from two major sources like vegetable oils, biomasses available in different forms.
The authors in this paper have reviewed the technological advancements in the biofuels production
from biomasses.
Biomass Resources
Biomass is a bio-based residue available by water-based vegetation, Forest or organic

waste, byproduct of during crop production and agro or food industry waste. Fig. 2 shows bio energy
produced mainly by woody biomass (87%), Agricultural by product (9%) and municipal and
industrial waste contributes (4%). Various biomasses are available in nature as: grasses, woody plants,
fruits, vegetables, manures and aquatic plants. Algae and Jatropha are also now used for
manufacturing bio-diesel (Anil Kumar et al., 2015). Fig.3 shows classification of various bio masses.
Out of many Biomass resources now major focus is on crop residues because crop residues are
available during pre and post harvesting of the crop in abundant quantity. There is no any fruitful use
of these residues. This residue either use for cooking or burn in the farm which emits hazardous gas
into the environment (Bhatia et al, 2014). Table 2 shows available crop residue in India. These
residues can be converted into bio fuel through various conversion technologies. This article is review
insight in various thermo chemical conversion technology used for conversion of crop residue in bio
fuel.
Fig. 2: Bioenergy Contribution in Global Energy Demand.
Source: based on IEA, [2006]; and IPCC, [2007]
Fig. 3: Bio Mass Classification
Source: Kumar et al, [2015]
ISBN: 978-93-5351-069-5 1000

Table: 2 Crop Wise Residue Generated in Various States of India (Bhatia, et al. 2014).
Production in 1994 Production in 2010
Crop residues
(Million Tons) (Million Tons)
Field based residues 214.35 284.99
Rice straw 103.48 159.98
Wheat straw 19.42 17.77
Millet Straw 18.98 29.07
Maize stalks 0.36 0.40
Cotton stalks 19.39 30.79
Soybeans stalks 12.87 34.87
Jute stalks 4.58 1.21
Sugar cane tops 68.12 117.97
Cocoa ponds 0.01 0.01
Groundnut straw 19.00 23.16
Total 480.56 700.22
BIOMASS CONVERSION PROCESSES
There are two routes for conversion of bio mass into bio fuel. One is through (a) Thermo-chemical
processes, and other is (b) Bio-chemical processes. However, bio chemical processes are facing
problems and challenges like low bulk density, high enzyme cost, high viscosity substrate and low
fermentability of some substrate. Due to this challenges cost of fuel derived is not compatible with
fossil fuel in economic and environmental point of view. Compared to bio-chemical process thermo
chemical process is having less process steps means less processing time and the end product are
compatible with fossil fuel. Despite of some remaining issues thermo-chemical process is more
commercially viable than bio-chemical process (Chen Y et al, 2012)
Thermo-chemical processes
Thermo chemical conversion process is the process that converts bio-mass into bio-fuel by heat
application. It has two approaches. One is to convert bio-mass into gaseous form through combustion
or gasification and another is to liquefy bio-mass through high pressure or high temperature. This
process converts biomass into useful product. Type of bio-mass, requirement of end product,
environmental standards, etc. is the affecting parameters on selection of conversion process. Different
thermo-chemical conversion processes shown in fig.4
Fig.4: Various Thermo Chemical Conversion Process
Thermo chemical conversion process
Combustion Gasification Pyrolysis Liquefaction
Source: Goyal, H. B.et al. [2008].
Combustion
Combustion is most widely used conversion process. Even today's combustion of agricultural bio-
mass is carried out for cooking and space heating purpose. Combustion is proposed for lignin rich
biomass. This process is applied for either direct conversion of whole bio-mass or for the portion
remained after bio-chemical conversion. Combustion process broadly depends on properties of the
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feedstock. The amount of heat released during combustion depends on the energy content of the
feedstock along with the conversion efficiency of the reaction (Jenkins, B., et al, 1998)
During Biomass combustion process carbon oxidized to Co and hydrogen oxidized to H2O.Fig. 5
show combustion principle. Combustion of Wood in the presence of oxygen produces energy along
with water and gas. Lack of oxygen creates incomplete combustion. Excess air slows down
combustion rate. Requirement of oxygen depends on the chemical and physical composition
of biomass. While designing combustion process parameters to be considered are fuel burn rate,
required combustion product, required air and fire temperature (Demirbas, A. et al, 2005)
Fig.5: Combustion Process Mechanism.
.
Source: Demirbas, A.et al. [2005].
Combustion characteristics influence by(a) particle size and specific gravity, (b) ash content, (c)
moisture content, (d) extractive content, (f) element (C, H, O and N) content, and (g) structural
constituent (cellulose, hemicelluloses and lignin) content.
Technological advancement in combustion process
The fixed bed combustion system has been used for many years. In this process primary and
secondary air supply provided to increase the combustion rate of char and gas. This process is
operated at a temperature range of 850–1400 °C (IEA, 2009). Fixed bed combustion
is being upgraded by Fluidized bed combustion system which is higher efficient technology than fixed
bed. It is of mainly two types circulating fluidized bed and bubbling fluidized
bed. Fluidized combustion system improves heat transfer rate and efficiency. The temperature
range of this technology is 700-1000°C which is lower than fixed bed. Limestone, dolomite, silica,
etc. used as bed material in fluidized bed system (Quaak P et al, 1999). An entrained flow reactor is
an advanced combustion technology than fixed bed and fluidized bed. In this insulated reactor is used
to improve the heat transfer rate and air is supplied pneumatically to enhance the combustion rate,
(Jimenez S et al, 2006). Co –firing technology is the advance technology for combustion, process in
which coal and bio-mass mixed together to make it cost economy for power production. This
technology is mainly used for that biomass having high moister content and cannot individually burn
in combustor (Savolainen K et al, 2003). To eliminate fly ash problem in above all technology
indirect co –firing technology invented. Which separate coal from fly ash (Tillman D.A. et al, 2000).
Fig.6 shows technological advancement in combustion process.
Fig.6 Advancement Flow of Combustion Technology.

Conentional Combustion technology: Fixed bed combustion ,
Fluidized bed combustion , Entrained flow reactor
Co-firing (Armesto L et al , 2003)
Indirect co- firing (Baxter L et al , 2005)
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Source: Zhang, L et al. [2010]
Summary of combustion process
In addition to so many advancements in the combustion process, this process is highly affected by
fouling and corrosion problems. During a series of reaction fly ash produce, which contain chlorine,
Silicon and alkaline in it. They are deposited on combustor wall, resulting in decreasing heat transfer
rate. So as per one analysis, combustion process is preferable for woody biomass having less content
of alkaline. Sulfur, chlorine and silicon compare to herbaceous biomass like grass (Demirbas A. et al,
2005).
Gasification
Bio-mass combustion process efficiency ranges from 20-40 %, which is very less, bio-mass
combustor is limited to 5-10 % feedstock; due to concerns about plugging existing coal feed systems
(Puig Arnavat et al, 2010, Caputo A. et al, 2005, Yoshioka T et al, 2005). Biomass gasification is
thermo chemical conversion of solid biomass into combustible product gases, including hydrogen,
methane, carbon dioxide and carbon monoxide Using gasifying agent like steam, air (partial
oxidation), or CO2 (Bhaskar T et al,2015).
In early 1920 gas powered car used in Sweden. Extensive studies were undertaken during 1939-1945
for refinement of wood gasifier, gas cleaning, cooling systems, and gas turbines optimize their
performance on wood waste Khan, A et al. In 1970-1980 more than 40 companies worldwide
used gasifier plant to produce heat and power from biomass gasification process. Now a day’s
flexibility of gasification process and various applications of syngas allow it to be integrated with
several industrial processes, as well as with power generation systems (Huber G et al, 2006).
Classification of gasification process
Gasification process can be classified based on reactor used, gasification agent used and heating
sources used as shown in fig. 7. Different combination of reactor, heating source and agent can be
possible as per feasibility. The temperature range of this process is 800-1300 °C. Currently entrained
flow bed (EFB) and circulating fluidized bed (CFB) operated with oxygen and steam, and indirect
circulating fluidized bed (I-CFB) operated with air are the proposed advance gasification technologies
for syngas production from lignocelluloses biomass (Haro. P et al, 2013).
Fig. 7 Types of Reactor, Heating Source and Gasification Agent.

Fixed bed Heating Gasification
Reactor Used
gasifier source agent
Fixed bed Updraft Allothermal Oxygen blown
Fluidized Down
Plazma Supercritical
bed draft
Entrained Concentrating
Cross flow Hydrothermal
flow solar biomass
Open core Steam
Source: Bhaskar T. et al. [2015].
Biomass gasification principles and technologies
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Gasification is a partial oxidation of biomass, which produces a high proportion of gas, the small
proportion of care and condensable gas. Gas produce is of standard quality and more resourceful than
to be dealt with biomass. Gasification adds value to non-valuable feedstock by converting it into
valuable fuels and products (McKendry et al, 2002, P.et el al, 2002, Li X et al, 2002.) The gasification
process completes in four stages which is shown in fig. 8. In the first stage drying of biomass to
remove moisture, particle, in 2nd stage decomposition of biomass starts, in 3rd stage oxidation
of biomass starts which release the heat and in last stage reduction process will carry out which
convert gas into producer gas.
Fig.8: Stages of Gasification Process
Reduction
Devolatilisation • Reaction taken placed
• Drying of biomass is between carbonized • In the presence of
carried out at around biomass and air oxygen, several
• In this stage biomass oxygen. Large amoubt
100-200 °c decomposition happens in the reduction reactions
of heat release during occur in the 800–1000
• Moisture content absence of oxygen which
oxidation process
removed from 5-35 %
produce hydrocarbon
gases,reduce volatile matter °C temperature range
to <5% and produce solid char • This reaction is
Drying Oxidation endothermic.
Source: McKendry, P. et al. [2002].
Technological advancement in gasification process
Since many years' gasification process is carried out in different gasifiers like fixed bed, fluidized bed
and entrained bed gasifiers. Fixed bed gasifiers produce low valued syngas. So it is not suitable for
high scale industry. It consists of up draft, down draft, cross-flow, and open-core gasifiers. Uniformity
in temperature is the biggest challenge in fixed bed gasifier (Rezaiyan J. et al, 2005). To achieve
uniform temperature distribution fluidized bed gasifier introduced. This reactor is used for medium
and large-scale industry. It is mainly of two types bubbling bed and circulating fluidized gasifiers.
Entrained flow gasifier operated at very high pressure and temperature. So syngas must be cooled
before it use, which leads to reduction in thermal efficiency if energy from this does not recover
(Marsh R.et al, 2006). Recently plasma gasification technology is invented. This process is taken
place around 3000 ° C generated through the plasma torch while ionized particle gas flow through the
tube. This technology is more environmentally friendly and applicable to any form of waste like
liquid or solid. In addition to this, during plasma gasification toxicity of waste reduced significantly
(Bratsev A. N. et al, 2006). In last super critical water gasification technology invented
for biomass gasification, which is having higher efficiency and lower tar formation than
conventional gasifier. This water is pressurized up to critical pressure. (22.1 MPa, 374 °C) (Lu Y.J. et
al, 2005). Fig. 9 shows technological advancement in gasification process.
.
Fig.9: Advancement in Gasification Process
Conventional gasifier
(Fixed bed, Fluidized bed, Entrained flow gasifier
Plasma gasification (Bratsev AN et al , 2006)
Super critical water gasification (Matsumura Y et al , 2007)
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Source: Zhang, L et al. [2010]
Summary of gasification process
Lot many advancements is carried out in biomass gasification starting from conventional gasification
to super critical water gasification. Even though this process is suffering from the clinker
problem while the oxidation temperature goes beyond the melting point of biomass (McKendry, P et
al, 2002). And corrosion generation in gasifier due to presence of alkaline, sulfides and chloride
compound Worley (Worley M. et al, 2012)
Pyrolysis
Pyrolysis is the fundamental decomposition of biomass when heat is applied in the absence of
oxygen. Pyrolysis process is of many types. Fig.10 shows different types of pyrolysis process. The
products of conversion include production of bio char, tar and some non-condensable gases like
carbon monoxide, carbon dioxide, hydrogen and methane. The product and process in which they
produced depend on process parameters, reactor used, biomass composition, etc. Slow
temperature, lower heating rate and high residence time favors production of bio char. High heating
rate, moderate temperature and less residence time favors production of liquid product like tar. And
Very high temperature, very less residence time and high heating rate favors’ production of bio gas
(Bhaskar T et al, 2015). Table 2 shows parametric range for different pyrolysis process.
Fig.10: Different Types of Pyrolysis Process
Pyrolysis
Slow Fast Intermidiate Flash Hydolysis Vaccum Microwave
Source: Bhaskar, T., & Pandey, A. [2015].
Table: 2 Parametric range for different pyrolysis processes, Balat, M. et al. (2008).
Parameters Slow pyrolysis Fast pyrolysis Flash pyrolysis

Pyrolysis temperature 550–950 850–1250 1050–1300
Heating rate 0.1–1 10–200 >1000
Particle size 5–50 <1 <0.2
Solid residence time 450–550 0.5–10 <0.5
Pyrolysis process mechanism.
Pyrolysis process is thermal degradation of bio mass. The reaction mechanisms are complex but can
be defined in two stages primary mechanism and secondary mechanism (Demirbas, A et al,
2003).Fig.11 shows mechanism of pyrolysis process.
Fig.11: Pyrolysis process mechanism
1005 ISBN: 978-93-5351-069-5

Source: Bridgewater A. V. et al., [2000].
Pyrolysis process parameters
Pyrolysis can be used for lignocelluloses base biomass. Max. The bio-oil yield depends on various
parameters like Temperature, Heating rate, feed rate, particle size, Reactor, gas flow rate, biomass
composition, residence time, etc. Out of these parameters, temperature, heating rate, and residence
time and particle size are the most affecting parameters (Guedes, R et al, 2017).
Technological advancement in pyrolysis process
In early 19s slow pyrolysis process was used for the production of coal, ethanol or methanol at low
temp. High residence time and slow heating rate. The main product of slow pyrolysis is bio oil, bio
char and bio gas (Gomes, M. D, et al, 2010). Rapid pyrolysis is used for production of bio oil at
elevated temperature and the fast heating rate and low residence time. This process has created lots of
interest in researchers currently. Variety of reactor used in this process like dragging-flow reactor,
vacuum furnace reactor, vortex reactor, rotary reactor, bubbling fluidized bed reactor, and others
(Goyal, H. B et al, 2008). Ultrafast pyrolysis takes place at very high heating rate and small residence
time. Due to very high heating rate this process is only carried out in the fluidized bed and flow-
dragged reactor only (Da Silva et al, 2015). Recently flash pyrolysis process is being used for
production of bio gas mainly at very high heating rate and very few second residence times. This
process is possible in fluidized bed reactor (Bridgewater, A. V et al, 1999). Fig. 12 shows
technological advancement in Pyrolysis process.
Fig.12: Advancement in Pyrolysis Process
Slow pyrolysis (Huber, G.W , et al,, 2006).
Rapid pyrolysis (Laird, D.A et al, 2009)
Ultra fast pyrolysis (G.D et al , 2011)

Direct Catalytic Fast Pyrolysis , Vapor Catalysis ,
Hydropyrolysis
Flash pyrolysis (Lima et al, 2015).
Source: Uddin, M et al. [2018]
Summary of pyrolysis process
Pyrolysis process is the most suitable process for development of bio oil. However, bio oil derived
through this process contains a high moisture contain, high oxygenated compound, low heating value
and highly acidic. Therefore, bio oil derived through a pyrolysis process leads to instability and
immiscibility with hydrocarbon. So bio-oil up-gradation is required before use, as fuel for the engine.
Liquefaction
Out of many pyrolysis processes fast pyrolysis is recommended for maximum bio oil yield. However,
Presence of Moisture content, heating and cooling rate and high process temperature make limited use
ISBN: 978-93-5351-069-5 1006

of the fast pyrolysis process. This limitation can be removed by the liquefaction process as this
process can be used for biomass having higher moisture content and save the energy consumed for
drying of biomass (Ramirez, J et al,2015).
Principle of liquefaction process
HTL process usually carried out at 250-400 °c temperature and 50-200 atmospheric pressure. At high
pressure solvent penetrate into biomass and start the biomass fragmentation process. This process
allows biomass having high moisture content. So, a variety of biomass can be liquefied to produce bio
crude (Ramirez J. et al, 2015). But produced biomass is required to be up-grade to be used for engine
oil. The liquefaction basic principle is shown in fig. 13
Fig.13: Hydro thermal liquefaction process
Source: Ramirez, J. et al. [2015].
Bio rude derived through HTL process is semi-liquid, viscous, dark-colored and have a smoke-like
smell. Viscosity of this oil is 10-10000 times higher than conventional diesel or biodiesel. Heating
value of bio crude derived through HTL process differs from the heating value of diesel or biodiesel.
This reason creates difficulty in usage of this bio crude as a transportation fuel except in marine
application (Berl E, et al, 1944 and Jena U. et al, 2011).
Types of liquefaction process

.
Liquefaction process mainly categorized in direct liquefaction and indirect liquefaction. Direct
liquefaction refers pyrolysis, solvolysis and high-pressure liquefaction to produce bio-oil, bio char and
bio gas. Indirect liquefaction sometime refers as gasification process and produce syngas. Fig. 14
shows the types of liquefaction process.
Fig.14: Types of liquefaction process
Liquefaction
Direct liquefaction Indirect liquefaction
Pyrolysis Solvolysis High pressure liquefaction
Source: Bhaskar, T et al, [2015].
Summary of liquefaction process
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Liquefaction process is at very primary phase, so there is no any advancement in this process
technology. However, this process is a new ray for third generation biomass (Algae). This process is
less used to compare to pyrolysis process due to its economy and complexity point of view.
Secondary % of yield is very less in this process
FURTHER RESEARCH SCOPES IN THERMO CHEMICAL BASED BIOMASS

CONVERSION TECHNOLOGIES.
Based on the review of the technological advancements in the field of thermo-chemical conversion
processes for biomasses, further research scopes have been identified, which are likely to provide
boost to the usage of biomasses for extraction of oils for energy requirements. The scopes and
directions are listed as below.
 Development of hybrid thermo-chemical conversion technologies to maximum the types of

biomasses which can be used. The single technology would increase the total utilization ratio of
the plant based on availability of biomasses.
 Development of Hybrid thermo-chemical processes for improved bio oil yield with built in oil up-
gradation technology for production of ready to use bio oils.
 Development of usages and applications for the byproducts of the thermo chemical processes.
 Optimization of technology of the conversion for economy of process and to meet the sustainabilit
ISBN: 978-93-5351-069-5 1008

SUMMARY OF THERMO-CHEMICAL CONVERSION TECHNOLOGIES FOR

BIOMASS
Table: 3 Comparative analysis on Advantages and Limitations of thermo-chemical conversion

process
Parameters Combustion Gasification Pyrolysis Liquefaction Further Scope

Temperature >300 ° C 700-1500 ° C 350-800 ° C 250-400 °c -----
Since liquefaction
process is carried
out at high
pressure leads to
increase process
Pressure Atmospheric Atmospheric Atmospheric 50-200 MPa
cost. So further
research is
required on
reduction in
pressure.
Further research is
required for
Bio-oil, Bio-oil, fruitful usage of
Primary
Heat Syngas Syngas, Bio- Syngas, Bio- end product from
product
char char all thermo-
chemical
conversion process
Technological
Avg. advancement is
Heating value
20MJ/one kg 60-75 % (Fast required for
% of yield of gas 6-19 20-60 %
of dry pyrolysis) optimum % of
MJ/m3
biomass yield from
biomass.
Further
Anything Algae, technological up-
Biomass < 10
Wood or any with organic sewage, gradation is
Biomass % moisture
plant content can Animal required to remove
content
be gasified manure etc. barrier in selection
of biomass
Strong technology
is required for
Moisture
Up to 65 % 5-30 % 10-20 % No limitation removal of
content
moisture content
from biomass.
Presence of
Highly As this
Clinkering
oxygen process is
Fouling and problem due Further
content and mainly for 3rd
corrosion on to increase in advancement is
moisture generation of
combustor oxidation required to remove
Limitations content create biomass
make limited temperature limitation of all
immiscibility whose
usage of this make its thermo-chemical
of bio-oil resource
process. usage limited conversion process
with availibity is
in industry
hydrocarbon very limited.
fuel.
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Future scope
More research can be carried out for development of using hybrid thermo conversion technology for
maximum bio oil yield and to overcome economy of process to meet the sustainability.
CONCLUSION
Waste and unused biomasses have already become a big threat to environment and local ecology in
most of the parts of India and the world. Since, Thermo-chemical conversion technologies are
available to use biomass for energy purpose, but, efficiency and other limitations of the technologies
is a cause of concern. Based on the literatures review, authors have concluded following limitations,
which need to be address to make thermo-chemical conversion processes more efficient and
sustainable.
Combustion process is suitable for lignin-based biomasses in power generation process. However, the
process suffers some drawbacks or challenges of fly ash, corrosion and emissions of hazardous gases.
Technological advancements are required to overcome these problems. Gasification process is
preferred for production of gas for industrial applications. The process has witnessed much
advancement in gasifier design for improved efficiency. However, the challenges like clinkering and
alkaline corrosion still prevails and further research for the advancement of the technology is
essential. Pyrolysis process has developed more interest among researchers due to its value-added end
products like, bio char, bio tar and bio gas that can be used for various industrial and other
applications. Fast pyrolysis can produce maximum bio-oil while slow pyrolysis favors bio char and
flash pyrolysis favors bio gas. Even though this process is facing some challenges for utilization as
fuel like higher water content, PH, higher oxygenated content etc. compare to diesel, which offers
scope for researchers to upgrade the technology. Liquefaction process has overcome the barrier of
moisture content in bio masses. The process is carried out at moderate temperature and high pressure,
however, requirement of high pressure in this process is likely to create unbalance in economics of the
process. Moreover, the issues related to lower oil yield and sustainability need further research
advancements to make it a better alternative technology for biomass conversion.
It is concluded that that each process has unique characteristics and suitable for certain type of
biomass quality. However, all the processes are not exploited upto its best possibility due to
technological limitations. So, there is a need for technological up-gradation and modifications in the
existing technologies to improve the energy yield. Availability of proper and efficient technologies for
biomass conversions has the potential to reduce the energy crisis of developing countries like India
and others.
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biomass. Energy Conversion and Management, 51(5), 969-982.
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[33] Tillman DA. Biomass co-firing: the technology, the experience, the combustion onsequences. Biomass Bioenergy
2000; 19:365–84.
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CRC Press Taylor & Francis Groups; 2005.
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Proceeding of the 22nd international conference on solid waste management and technology. Philadelphia (USA);
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[36] Bratsev AN, Popov VE, Rutberg AF, Shtengel’ SV. A facility for plasma gasification of waste of various types. High
Temp+ 2006; 44:823–8.
[37] Lu YJ, Guo LJ, Ji CM, Zhang XM, Hao XH, Yan QH. Hydrogen production by biomass gasification in supercritical
water: a parametric study. Int. J. Hydrogen Energy 2005; 31:822–31.
[38] GOMES, M. D. S. (2010). Produce the bio –oil through thermo-chemical pyrolysis process, SP: Fatec.
[39] Goyal, H. B., Seal, D., & Saxena, R. C. (2008). Bio-fuels from thermo-chemical conversion of renewable resources: a
review. Renewable and sustainable energy reviews, 12(2), 504-517.
[40] Da Silva Mota, F. D. A., Viegas, R. A., da Silva Lima, A. A., dos Santos, F. F. P., & Caselli, F. D. T. R. (2015).
PYROLYSIS OF LIGNOCELLULOSE BIOMASS: A REVIEW.
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doi:10.4172/2167-7972.1000e104
ISBN: 978-93-5351-069-5 1012

PCE193
COMPUTER AIDED DESIGN FOR THE COMPONENT OF

CENTRIFUGAL PROCESS PUMP
AE0373
Dr. Vratraj K Joshi
Assistant Professor
RNGPIT
vkj.fetr@gmail.com
Abstract
The centrifugal process pump is as important in industry as a heart in the human body. In today’s
world of cut-throat competition, customer’s expectations are very high and changed very rapidly.
Hence, it is very essential to develop efficient centrifugal process pump to satisfy customer’s
requirements. An impeller is a critical part of a centrifugal process pump. It should be designed in
such a way that the pump will consume less power and give maximum head at given discharge. This
work is tedious; chances of errors are there if done manually. Latest developments in the field of the
computer can be employed to solve the problem. In the present work, an actual case is studied to
design an impeller with the computer assistance. The dimensions of the impeller are calculated with a
programming environment (i.e. Visual Basic) as a Graphical User Interface (GUI). It is attempted to
develop a user-friendly program that depends on the Microsoft Access database to extract stored
data. Finite Element Analysis (FEA) is done for the component and validated with analytical method.
Keywords: Process pump, impeller, Visual Basic, GUI, FEA
INTRODUCTION
The centrifugal pump is a kinetic device to move a liquid from one location to another location. It
consists an impeller, immersed in a liquid, rotates within a casing. An impeller is having number of
blades and is mounted on a shaft projected outside of the casing. As shown in Figure 1, the liquid
enters the pump near the impeller axis, and the rotating impeller sweeps the liquid out toward the ends
of impeller blade at high pressure. Head and capacity are two important parameters for any pump.
Figure.1 Impeller as a component of centrifugal process pump
Source: Engineer’s world
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Due to influence of impeller geometry, designers often face a problem while selecting a number of
independent geometrical parameters for achieving the desired performance from the pump. As per S.
Yedidiah S. (1996), the blade geometry has a significantly greater effect on the developed head than
the outlet angle of the impeller blades. The blade geometrise are chosen in such a manner that the
theoretical components increased linearly from the inlet tips to their outlet tips. Dupont P.(2002) has
stated that the cavitation is the limiting factor in the pump design. It is better to keep outlet angle low
and restrict difference between outlet and inlet angles to avoid instability. As per Anderson,
increasing the impeller speed increases the efficiency of centrifugal pumps.
DESIGN CRITERIA
In the present study, the dimensions for the impeller with the radial ribs and partial shroud at the back
are calculated for the discharge 20 m3 /hr (5.56 lit/sec), specific speed of 2900 rpm and 20 meter of
total head. The material for impeller is considered as 04Cr17Ni12MO2 (AISI-316) having ultimate
stress (σu) 490 N/mm2 and HB 192. The given value of head and discharge are taken from company
catalogue. (i.e., PPI Pump, Ahmedabad). Flow to inlet (eye) of the impeller will be normal to the line
of the motion of the relevant portion of vane without pre whirl. The calculation of various parameters
of the vane profile is explained by Austin C. (1972, pp: 93-96). Actual flow (Qa) considering leakage
loss 5 % is as per equation (1),
Qa = 1.0520 (1)
= 21 m3 /hr
= 0.0058 m3 /sec
Suction pipe diameter is taken as 25 mm to calculate suction area (Asuc) as per equation (2)
Asuc = (2)
= 0.00049 m3
From that, suction velocity,
Vsuc
= Qa/Asuc
=0.058/0.00049
=11.89 m/sec
But recommended velocity at the inlet of impeller is 2 m/sec to 5 m/sec. So, it is reduced by provided
divergent in the suction flange of the casing. Let the velocity at eye V o is equal to 2.5 m/sec. For
calculation of eye diameter (Do), the value of actual discharge has been utilized into the equation (3),
assume nut diameter (Di) is as 22 mm, at the eye.
Qa = Vo (3)
= 2.5
D0= 0.059m
Let velocity at entry (Vf1), Vf1
= Vo 1.05
= 2.5 1.05 m/sec
= 2.625 m/sec
From that, Radius of impeller eye, R1 =22.85 mm Tangential velocity at outlet (U2) is found from
equation (4).
U2 = (4)
=
= 19.81 m/sec
The value of tangential velocity at outlet (U2) from the equation (4) is to be put in equation (5) to
calculate overall diameter of impeller disc (D2).
U2 = (5)
19.81 =
D2 = 0.131 m
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Velocities of flow Vf1 and Vf2 are radial at inlet as well as at outlet. The entrance angle (vane inlet
angle) β1 should be within limits 150 to 500. The discharge angle (vane outlet angle) β2 should be
within limits 150 to 350. To find, vane angle, calculation of tangential (peripheral) velocity of impeller
at inlet (U1) is required as per stated by equations (6)
U1 = (6)
=
= 8.92 m /sec
From Figure 2, inlet as well outlet velocity triangles are explained by Austin C. (1972, pp: 25).
Figure 2 Velocity triangle of an Impeller
Vane angle (β1) at inlet can be calculated from equation (7),

tanβ1 = (7)
=
= 0.29
β1 = 16.390
As it is preferable to have β2 > β1, β1 is assumed 17.50, velocity of whirl at outlet (Vw2) can be found
using equation (8),
Vw2 = U2 - (8)
= 19.81 –
= 11.48 m/sec
To find angle at which the water leave the impeller (ф), equation (9) will be useful,
ф = (9)
=
=12.880
Number of vanes (Z) can be calculated using equation (10),
z = (10)
=
=5
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Impeller passage width at inlet (b1) can be calculated using inlet correction factor (ε1) as suggested by
Austin C. (1972, pp: 109) using equation (11), assuming vane thickness tv as 5.5 mm as per V.
Labanoff (2012).
ε1 = (11)
=
=0.49
b1 =
=
=24.62 mm
Impeller passage width at outlet (b2) can be calculated using outlet correction factor (ε2) as per
equation (12),
ε2 = (12)
=
=0.77
b2 =
=
=7.04 mm
Table 1 describes summary of the calculated parameters for impeller design as per following for given
actual discharge (Qa) 0.0058 m3/sec and head (H) 20 m.
Table: 1 Summary of parameters to be calculated for impeller design
Description Remark
Impeller type Semi open
Impeller material 04Cr17Ni12M02
Velocity of water at suction flange vsuc 4.64 m/sec
Eye diameter Do 0.059 m
Impeller diameter D2 0.131 m
Tangential (peripheral) velocity of impeller at inlet U1 8.92 m/sec
Tangential (peripheral) velocity of impeller at outlet U2 19.81 m/sec
Radial component of velocity of flow at inlet Vf1 2.63 m/sec
Radial component of velocity of flow at outlet Vf2 2.63 m/sec
Tangential component of V1 of impeller (velocity of whirl at inlet) Vw1 0
Tangential component of V2 of impeller (velocity of whirl at outlet) Vw2 11.48 m/sec
Vane angle at inlet β1 16.390
Vane angle at outlet Β2 17.50
Angle at which the water leave the impeller ф 12.880
Number of vane Z 5
Vane thickness tv 5.5 mm
Impeller passage width at inlet b1 24.62 mm
Impeller passage width at inlet b2 7.04 mm
After calculated important parameters for impeller, power required to drive the pump is calculated as
suggested by Labanoff V. (2013).
For Specific speed NSS,
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NSS = (13)
=
= rpm
From that pump disc friction Pdf, Pdf = (14)
=
=
Hydraulic efficiency ηH, ηH = 1- (15)
= 1-
= 0.74
To calculate overall efficiency (η) according to Karassik I.(1976), volumetric efficiency (ηH) and
mechanical loss (Pm) are assumed as 0.85 and 0.15 respectively.
η = (16)
= 0.56
Motor power (P) to drive the pump can be calculated using equation (17)
P = (17)
=
= 1.95 kW
After calculating all the important criteria, it is required to check stresses in the impeller. It is noted
that bending stress occurs due to centrifugal forces and affected at the root of blade. The
approximated shape of blade is considered as a trapezoid. As per figure 3, the vane is considered as a
rotating mass.
Figure 3: Stress consideration in the vane
To calculate area of blade (A) using equation (18),

A = (18)
=
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= 2339.57 m2
Similarly to calculate mass of blade equation (19) is used,
m = ρ A tv (19)
= 7860 2339.57 5.5
= 0.1 Kg
To find centrifugal force (F) equation (19) is used as per following,
=
=
= 60.21 mm
y= (DO/2)
= 89.71 mm
F = mω2y (20)
=0.1 (2 (89.71/1000)
= 826.52 N
Now the vane is considered as a cantilever to calculate bending stress as per equation (20),
tanθ = (b1-b2)/lb
= (24.62-7.04) / 147.7
= 0.12
From the geometry of the vane,
tanθ = (b1-h)/
0.12 = (25.49-h)/
h = 17.45 mm
From that, z = lb h2/6
= 147.7
= 744.99 mm3
Considering point load,
Bending moment will Mb = F h /2
= 826.52
= 7211.39 N-mm
Hence, σb = Mb /z (21)
= 7211.39 / 744.99
= 9.62 N/mm2
Now considering shut off H = 30 m
P = 0.3 N/mm2
Force no blade at shut off F = P A
= 0.3
= 701.88 N
Bending moment will be Mb = 701.88 h /2
= 701.88
= 21130.1 N-mm
From that σb = Mb /z (22)
= 21130.1 / 701.88
= 30.1 N/mm2
2
Maximum permissible stress for vane is 80 N/mm . Calculated stress is less than maximum allowable
stress. Hence, vane is safe. As impeller is very much important part of the pump, deflection of the
vane is checked as per following calculations. Now, the deflection is to be within permissible
range. The angular speed and equivalent radius are calculated as mentioned in equation (23).
ISBN: 978-93-5351-069-5 1018

=
=
=
=
=
= m
From that, deflection can be calculated using equation (21)
(23)
= m
As stated earlier, there is a limited freedom to pick outlet angle only. For that, there are two
restrictions, outlet angle should be greater than inlet angle and it should be less than 35 0. Though, the
vane number should be in prime and in between 04 to 13 as a result. The manual procedure is iterative
and to avoid chances of errors, software is developed using Visual Basic (VB) as a GUI. The structure
of the programming language is very simple, particularly as to the executable code. Hence, Visual
Basic is adopted as a programming language because it is not only a language but primarily an
integrated, interactive development environment.
SOFTWARE FOR PUMP DESIGN
The software consists two parts: 1) pump design and 2) selection of the pump. The flowchart is
discussed in Figure 4 as per following. Inlet angle, outlet angle and blade height are main parameters
to design impeller. Change in one parameter causes change in entire dimensions of the impeller. So,
design of impeller is typical, time consuming and there is always chances of errors, if done manually.
Hence, there is a need for software to design centrifugal pump to make all calculation more accurate
and faster. Very few parameters are needed to program the impeller design. Visual basic is adopted as
a programming language. Dr. Liew (2017) has mentioned that Visual Basic has very good pre-build
interface elements as a Graphical User Inter5face (GUI). The language is user friendly and avoids
lengthy program writing. Facility of drop down (POP up) commands is also available. Only several
commands and instruction lines are required to build program.
Figure 4: Flowchart for impeller design
1019 ISBN: 978-93-5351-069-5

Following figures 5 (a) and (b) show screen shot of the software for the pump design. By clicking,
‘File’ from menu bar and then clicking ‘New design’, new design can be calculated by using the
software.
Figure 5 Screenshots of output of software for pump design

(a)
(b)
User can enter the value of discharge (Q), Head (H), and RPM. Material can also be selected and
displayed properties of the selected material are not possible to manipulate. The software is user
friendly to operator as it provides advice to avoid absurd result by suggesting maximum and minimum
head for the specific discharge. The software is easy to use and results generated by the software are
same as per calculated result. Hence, the software is error free. For better understanding, AutoCAD
drawings are embedded in the software with the pump design.
ISBN: 978-93-5351-069-5 1020

SOFTWARE FOR PUMP SELECTION
Selection of the pump for given head at specific discharge is time consuming. There is always chance
of error to select the pump for the required data from the catalogue charts. It is also difficult for semi
skill or unskilled worker. In general, impeller, motor power and NPSH charts are refer to select the
model. The same efforts are taken care by the software developed using Visual Basic due to better
GUI experience. The flowchart is discussed in Figure 6 as per following. Each database table is
having upper and lower limits of head H (H1 and H2) for given discharge Q. The software compares
given value of the discharge Q and head H from the table to find specific model.
Figure 6 Flowchart for pump selection
Start
Get capacity, Head,

RPM, Fluid and
Material properties
Select pump type
Select impeller
diameter
Select NPSH and

motor power
End
Following figures 7 (a) shows screen shot of the software for the pump selection. When software is
operated, it searches appropriate database from the specific table for the given discharge (Q) and head
(H). Each database table is having upper and lower limits of head H (H1 and H2) for given discharge
Q. The software compares given value of the discharge Q and head H from the table to find specific
model. Figure 7 (b) shows one of the created databases for impeller diameter, NPSH and motor RPM.
The values of discharge (Q) and head (H) is to be entered. ‘Model’ button is only activated after all
value entered. After clicking ‘Model’ button, if model is not available as per customer requirements,
message will be displayed that “Model is not available as per requirement” otherwise message will be
displayed that “Model is available as per requirement”. Graphically representation is possible by the
chart as shown in figure 7 (e).
1021 ISBN: 978-93-5351-069-5

Figure 7 Screenshots of output of software for pump design

(a)
(b)
` (c)
After development of the software, the finite element analysis is done for impeller for the radial load
is applied on the surface of vane profile and shut off pressure is 0.3 N/ (30 m Head) is applied on
the pump disk and results are narrated. Figure 8 (a) and (b) show modelling of front and back views of
ISBN: 978-93-5351-069-5 1022

an impeller respectively. As suggested by Gokhale N. (2008), solid tetra nodes having parabolic edge
with boundary conditions for given degree of freedom have been employed as shown in figure 8 (c)
and (d). It is to be noted that total nodes and finite elements generated are 21848 and 11425
respectively. Figure 8 (e) and (f) show pressure applied on disk and vane surfaces o impeller.
Figure 8 Screenshots of finite elements analysis for impeller
(a) (b)
(c) (d)
.
(e) (f)
After generating finite elements, defining boundary condition and applying pressures, analysis is done
for the bending stress and deflections as shown in figure 9(a) and (b).
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Figure 9 Screenshots of bending stress and deflections analysis for impeller

(a)
(b)
The results for bending stress and deflection obtain from finite element analysis are matched
reasonably with calculations obtained by equations (20).
CONCLUSIONS
Impeller is crucial part of a centrifugal process pump. In present work, it is attempted to develop
efficient centrifugal process pump to meet customer’s needs. As an impeller is a critical part of a
centrifugal process pump, the important parameters of an impeller is designed. The dimensions of an
impeller are calculated with a programming environment (i.e. Visual Basic) as a Graphical User
Interface (GUI). Softwares are developed to calculate pump design and to select available pump
model to make tedious task error free on the basis of actual case study. Program is user-friendly with
the help of Microsoft Access database to extract stored data. Stress considering bending moment for
the vane is calculated (i.e., 9.62 N/mm2) and validated by the Finite Element Analysis (FEA) method.
ISBN: 978-93-5351-069-5 1024

REFERENCES
1. Yedidiah S. (1996). Centrifugal Pump User’s Guidebook. Springer Science & Business Media, pp. 3-8
2. Dupont P. (2002). Numerical prediction of cavitations in pump. Proceedings of the American Society of
Mechanical Engineers Joint U.S.-European Fluids Engineering Conference (2), pp. 825.
3. Austin C. (1972). Centrifugal pump and blowers. John Willey Publication (12).
4. Lobanoff V. (2013). Centrifugal Pumps: Design and Application. Elsavier, pp: 40.
5. Karassik I (1976). Pump Hand book. McGraw-Hill, pp: 2.21
6. Dr. Liew (2017). Visual Basic Made easy, pp: 11
7. Gokhale N. (2008). Practical Finite Element Analysis. Finite To Infinite, pp:113
1025 ISBN: 978-93-5351-069-5

PCE224
CURRENT RESEARCH TRENDS IN ELECTRIC DISCHARGE

MACHINING UNDER ROTATING TOOL ELECTRODE: A REVIEW
Uttakantha Dixit Piyushkumar B Tailor

PG Scholar Associate Professor
Sardar Vallabhbhai Patel Sardar Vallabhbhai Patel
Institute of Technology, Institute of Technology,
Vasad – 388 306 Vasad – 388 306
uttakanthadixit@gmail.com piyushkumartailor.mech@svitvasad.ac.i
8866025057 n
9879222489
Abstract
The properties of advanced materials such as high strength-to-weight ratio, wear resistance, low thermal
expansion etc. attracts the industries to utilized more and more in verities of products. To manufacture
the products from advanced materials mostly advanced manufacturing processes are employed because
of the properties of work materials and geometrical complexity of product. In the recent past rotary
electrical discharge machine process (r-EDM) is developed and has a potential for industrial
applications. In present paper attempt has been made to critically review the development in rotary
electrical discharge machining process in context of novelty of the process, mechanism, pronounced
characteristics and applications. Apart from this, domains where further efforts still require exploring the
rotary electrical discharge machining process as a production process.
Keywords: Advanced materials, advanced manufacturing processes, rotary-EDM.
INTRODUCTION
The advanced material possesses attractive properties such as high strength, high bending stiffness, good
damping capacity, low thermal expansion, etc. which are considerable for modern day industrial
applications. The present manufacturing industries are facing problems in achieving the above-mentioned
characteristics when comes to the machining of harder material or super alloys or composite material(Ho
& Newman, 2003; Vishwakarma, Parashar, & Khare, 2012). To overcome these challenges new
machining techniques required to be developed. Conventional machining process results in
ineffectiveness in when it comes to advance materials. It results in poor material removal rate, excessive
tool wear and increased surface roughness and overall high cost. Theadvantage of EDM is that it does not
contact the workpiece while machining it means that it eliminates mechanical stresses, chatter and
vibration problem(Ho & Newman, 2003).The electric discharge machining is a thermal material removal
process, has firmly established its use in the production of forming tools, dies, molds and effectively
machining of advanced machining of advanced materials. The success of EDM is accomplished by
thermal energy to machine electrically conductive material regardless of its hardness has been its unique
feature and provides great advantages in manufacturing of moulds, die, automotive, aerospace and
surgical components(Ho & Newman, 2003). However, the rotation of electrode accelerates the machining
process and improves material removal rate(MRR), as reported by many of the researchers(Abulais, 2014;
ISBN: 978-93-5351-069-5 1026

Ho & Newman, 2003). In present paper, initially concept of r-EDM is discussed widely followed by other
configurations in which different approaches are incorporated. In the succeeding section, various
experimental approach and aspects of them has been explored further some conclusions of the above has
been mentioned along with the future scope.
CONCEPTUAL IDEA OF ROTARY EDM (r-EDM)
EDM is the spark erosion machining where material is removed by repeated series of spark
generation(Ghoreishi & Atkinson, 2002). The approximated gap between the tool and workpiece is found
to be 0.025 to 0.05mm (Abhinav & Suri, 2010). This gap is filled by a dielectric fluid which acts as
insulator up to a threshold voltage. These sparks are generated within microseconds (Abhinav & Suri,
2010). The rise of temperature is up to 8000oC to 12000oC which is such a high temperature to cause the
material to melt and allow machining to take place(Dwivedi & Choudhury, 2016). Various versions of
EDM has been developed over period aiming to increase material removal rate (MRR), improving the
surface quality or geometrical and dimensional accuracy. The r-EDM in one of such classified process of
EDM in which the tool is rotated about its own axis as shown in figure 1.
Figure 1 Tool rotation under r-EDM(Ghoreishi & Atkinson, 2002)
The material removal is achieved using electrical energy transform it into thermal energy, by recurring
series of discontinuous electric discharge occurring between tool and workpiece. The tool replicate to
produce a machining surface over the workpiece. MRR is highly influenced by the amount of heat
supplied to the workpiece. During the machining process there occurs the debris formation over the
machined surface that is flushed off by the dielectric fluid present (Abulais, 2014). By increasing the
current and heat flux one can achieve better surface finish but at the same time it causes high tool wear
rate and surface finish reviled rougher(Abbas, Solomon, & Bahari, 2007). To overcome such problem,
concept of tool rotation came into picture. The conventional EDM technique lacks in ability of tool
rotation axially while machining, however various advanced fabrication techniques has been developed to
1027 ISBN: 978-93-5351-069-5

overcome the same(Yan & Wang, 1999). Rotation of tool was found to provide better surface finish with
improved MRR(Abbas et al., 2007; Ho & Newman, 2003).
The basic principle of the r-EDM remains the same and a feature is added by rotating tool along
its own axis. The tool rotation in the electrode provides finishing regime and increased MRR but leads in
increase in tool wear rate(Ghoreishi & Atkinson, 2002).There are certain advantages of r-EDM over static
EDM. In the later one the tool moves in the downward direction in the direction of machine and
machining is done as such whereas, in the former one the tool is about to rotate about its own axis. This
has been cleared with the figure 1. It is recommended to machine the workpiece at high rotational speed
of electrode in order to get better surface finish (Yan & Wang, 1999).
Effects of tool rotation
Rotation of the tool adds extra tool movement during machining. This movement improves the flow of
dielectric fluid inside the gap thus improvises the fluid circulation and effectively removes the debris and
thus not allow the debris to rest on the wall of machined surface as shown in the figure 2 (Sriani &
Aoyama, 2010).
Figure 2 Comparison of debris distribution under EDM working zone (Sriani & Aoyama, 2010)
It has been noted that tool rotation provides us with various other parameters that governs the output
responses such as surface roughness, MRR, tool wear rate etc. Tool rotation adds on the parameters such
as rpm of tool rotation, duty factor apart from peak current, pulse on time, etc. The study reveals the fact
that increasing speed of electrode increases MRR(Sriani & Aoyama, 2010). It is because the tool rotation
allows the removed material or debris to get away from the way as the subsequent series of discharge
occurs. Apart from this, rotation of tool allows the dielectric fluid to fill the space between the tool and
workpiece and flushes away the debris or keep them in motion so that it does not provide hindrance for
recurring series of discharge.
DIFFERENT APPROACHES MADE UNDER ROTARY EDM
Various researchers had work over r-EDM to improve its performance further by adopting different
techniques or additional source of energies. In present section, such investigations have been discussed in
detail.
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Powder assisted r-EDM
(Gurule & Nandurkar, 2012) had investigated the effect of the tool rotation under powder mixed electric
discharge machining. This method was proposed to investigate the potential of mixing powder in
dielectric fluid for enhancing the MRR under rotary tool. The dielectric fluid is mixed with Al powder
and is continuously stirred using a stirrer to avoid the settling of powder particles as shown in figure 3. It
was concluded that the suspension of Al powder into the dielectric enhances MR. Between the two
adjacent powder particles breakdown occurs when the fluid density surpasses the dielectric resistance,
thus consequently creates discharge between the two particles and leads to “series of discharge”(Sharma
& Singh, 2014). This leads to a chain type formation of particles under sparking areas which cause an
increase in sparking intensity within a discharge leading to faster erosion from the workpiece (Tzeng &
Lee, 2001). Electric discharge energy is effected by the presence of Al powder. On an experimental basis
it was founded that 40g/l and 10μm granularities machining efficiencies was improved from 2.06 to 3.4
mm3(Zhao, Meng, & Wang, 2002).Other than this current “ON time”, tool material and tool rpm
significantly affects MRR (Gurule & Nandurkar, 2012) because as the current increases intensity of spark
increase which leads to the increase of higher energy along with discharge power. This created a large
craters with considerable depth at increased duty factor (Tzeng & Lee, 2001).
Figure 3 Powder mixed electric discharge machine(Gurule & Nandurkar, 2012)
Magnetic Field assisted r-EDM
An investigated work by researchers (Teimouri & Baseri, 2012)had examine the tool rotation under the
magnetic field. The experimentation was performed to get the result on the surface responses. The
experimentation was held to make the tool rotate under the effect if induced magnetic field as shown in
the figure 4.
1029 ISBN: 978-93-5351-069-5

Figure 4 Schematic diagram of tool rotation under induced magnetic field(Teimouri & Baseri, 2012)
The experimentation concluded that increasing the rotational speed of the electrode and intensity of the
magnetic field tends to increase the tool wear rate. The tool wear rate is increased due to repeatedly
removing the debris from machining gap(Teimouri & Baseri, 2012). The magnetic force runs the debris
away from machining gap and improves the characteristics of machining especially in high discharge
energy regime. Induced magnetic field is founded to be effective when the workpiece is a ferromagnetic
material (Chattopadhyay, Satsangi, Verma, & Sharma, 2008).
r-EDM for shape memory alloys
Another version of r-EDM was proposed by Daneshmand et al. (2013) to measure the responses for shape
memory alloys constituting NiTi (Nickel-Titanium) under r-EDM. It has been founded that rotation of
tool creates fewer craters on the workpiece due to continual movement and the surface roughness in
rotational spark is less as compared to that of traditional spark. Experimental work was made on
machining an NiTi shape memory allow using rotational tool electrode(Daneshmand, Kahrizi,
Neyestanak, & Mortazavi, 2013). It was thus concluded that rotating tool provides lesser surface
roughness than the conventional EDM in case of shape memory alloys NiTi. The results obtained by them
for MRR between traditional and rotational EDM is presented in figure 4.
ISBN: 978-93-5351-069-5 1030

Figure 4 Comparison between MRR in traditional and rotary EDM(Daneshmand et al., 2013)
Rotational EDM
Comparision of MRR in traditional and r-EDM
Traditional EDM
4
Material removal rate (mm3/min)
3.5
3
2.5
2
1.5
1
0.5
10 15 20 25
Current (A)
Though the material removal rate is case of r-EDM for shape memory alloys is comparatively lesser than
that of traditional EDM but for varying pulse OFF time there is lesser surface roughness as compared to
that of traditional EDM as shown in figure 5. Another concluded advantage was for surface roughness.
For varying pulse OFF time, it is obtained that tool wear rate is less when machining is done with r-EDM
(Daneshmand et al., 2013).
Figure 5 Comparison between surface roughness in traditional and rotary EDM(Daneshmand et al., 2013)
4.5 C o mparis io n o f s urface ro ug hnes s fo r t radit io na l and r - E D M

4
Surface roughness (μm)
3.5
3
2.5
2 Rotational EDM
1.5 Traditional EDM
1
0.5
0
40 50 60 200
Pulse off time (μsec)
1031 ISBN: 978-93-5351-069-5

r-EDM for machining titanium material
An another attempt was made by performing an experiment over titanium material on r-EDM by the
researcher (Soni & Chakraverti, 1993) along with hollow electrode. The investigation concluded out of
roundness measurement with rotating and non-rotating electrode in the workpiece material. The rotating
electrode improves flushing as well as conductivity for current in fluid that improvesout-of-roundness and
surface roughness. The rotational tool electrode permits the correction of dimensional accuracy by
performing finishing and roughing process as desired.
EXPERIMENTATIONS AND MODELLING IN r-EDM
A series of experiment was conducted to determine various responses such as material removal rate,
surface roughness and tool wear rate. Investigating each parameter involve the variation of process para
meters such as pulse on time, current, speed of rotation, etc. Researchers (Ghoreishi & Atkinson,
2002)has used EDM equipped with an iso-frequency pulse generator to perform the experiment. The
frequency with rotation does not have much effect on MRR and this remains same as in rotary case
(Ghoreishi & Atkinson, 2002). The significant parameters were identified by analysis of variance
(ANOVA).
Mathematical modelling
Chattopadhyay et. al, (2008) had derived an empirical expression to evaluate the relationship between the
output response such as MRR or surface roughness and input parameters. The functional relationship
between output and input parameters can be hypothesized using the following equation:
Y = A. (X1) a(X2) b(X3) c(X4) d(X5) e
Where Y is output response variables such as MRR, EWR; X1, X2, X3, X4, X5, X6 are independent
parameters, such as peak current, pulse on time, pulse off time, magnetic field strength, electrode rpm and
flushing pressure respectively; a, b, c, d, e, f are the exponents of these parameters.(Chattopadhyay et al.,
2008). The advantage of the same is that for similar experimental procedure it is easier to calculate the
output parameters.
An attempt of modelling r-EDM process through regression analysis by researchers (Kuppan, Rajadurai,
& Narayanan, 2008). The response parameters are represented by following equation:
Yu = f(X1u ,X1u …………………,Xku) + Eu
Where, u= 1,2,…..N represents N number of observation in the experimentation and X ku represents the
level of kth factor in uth observation. Eu is the error founded during observation. The significant term in the
model was founded using ANOVA. Further validation of regression model was done by performing pilot
experiments and where not the part of DOE. The holding parameters were responsible for determining
MRR and surface roughness (Kuppan et al., 2008).
CONCLUSIONS
The detail survey on r-EDM infers that r-EDM is one of the competent processes that must further
explore. The existing available information along with future scope can derived as follow.
In r-EDM the material removal rate is highly affected by the additional process parameter i.e. rotation of
tool apart from the other controlling parameters such as peak current, pulse on time and electrode rotation,
dielectric fluid flow etc.
ISBN: 978-93-5351-069-5 1032

1. Most of the researchers have investigated the advantages of rotation of tool for varieties of
work materials.
2. The different configurations of r-EDM also attempted aiming to improve the performance
like magnetic r-EDM, powder mixed r-EDM etc.
3. In the direction of process control still further efforts are needed.
FUTURE SCOPE
It has been understood from the detail review on r-EDM that rotational feature of tool enhances the
material removal. However, overall effect of rotational feature along with the other process conditions on
different quality aspects of process are to be explore yet. That has been target as a future research work by
the authors.
REFERENCES
[1]. Haifeng Ma, Jianhua Wu, Liuqing Yang, Zhenhua Xiong,“Active chatter suppression with displacement-
only measurement in turning process”, Journal of Sound and Vibration 401 (2017) 255–267
[2]. Abbas, N. M., Solomon, D. G., & Bahari, M. F. (2007). A review on current research trends in electrical
discharge machining (EDM). International Journal of Machine Tools and Manufacture, 47(7-8), 1214-
1228.
[3]. Abulais, S. (2014). Current Research trends in Electric Discharge Machining (EDM). International
Journal of Scientific & Engineering Research, 5, 100-118.
[4]. Chattopadhyay, K., Satsangi, P., Verma, S., & Sharma, P. (2008). Analysis of rotary electrical discharge
machining characteristics in reversal magnetic field for copper-en8 steel system. The International
Journal of Advanced Manufacturing Technology, 38(9-10), 925-937.
[5]. Daneshmand, S., Kahrizi, E. F., Neyestanak, A. A. L., & Mortazavi, M. (2013). Experimental
investigations into electro discharge machining of NiTi shape memory alloys using rotational tool.
International Journal of Electrochemical Science, 8(6), 7484-7497.
[6]. Dwivedi, A. P., & Choudhury, S. K. (2016). Increasing the Performance of EDM Process Using Tool
Rotation Methodology for Machining AISI D3 Steel. Procedia CIRP, 46, 131-134.
[7]. Ghoreishi, M., & Atkinson, J. (2002). A comparative experimental study of machining characteristics in
vibratory, rotary and vibro-rotary electro-discharge machining. Journal of Materials Processing
Technology, 120(1-3), 374-384.
[8]. Gurule, N., & Nandurkar, K. (2012). Effect of tool rotation on material removal rate during powder
mixed electric discharge machining of die steel. International Journal of Emerging Technology and
Advanced Engineering, 2(8), 328-338.
[9]. Ho, K., & Newman, S. (2003). State of the art electrical discharge machining (EDM). International
Journal of Machine Tools and Manufacture, 43(13), 1287-1300.
[10]. Kuppan, P., Rajadurai, A., & Narayanan, S. (2008). Influence of EDM process parameters in deep hole
drilling of Inconel 718. The International Journal of Advanced Manufacturing Technology, 38(1-2), 74-
84.
[11]. Sharma, R., & Singh, J. (2014). Effect of Powder Mixed Electrical Discharge Machining (PMEDM) on
Difficult-to-machine Materials–a Systematic Literature Review. Journal for Manufacturing Science and
Production, 14(4), 233-255.
[12]. Soni, J., & Chakraverti, G. (1993). Surface characteristics of titanium with rotary EDM. Bulletin of
Materials Science, 16(3), 213-227.
[13]. Sriani, T., & Aoyama, H. (2010). Novel tool design method for orbiting EDM. Journal of Advanced
Mechanical Design, Systems, and Manufacturing, 4(7), 1261-1271.
[14]. Teimouri, R., & Baseri, H. (2012). Study of tool wear and overcut in EDM process with rotary tool and
magnetic field. Advances in Tribology, 2012.
[15]. Tzeng, Y.-F., & Lee, C.-Y. (2001). Effects of powder characteristics on electrodischarge machining
efficiency. The International Journal of Advanced Manufacturing Technology, 17(8), 586-592.
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[16]. Vishwakarma, M., Parashar, V., & Khare, V. (2012). Advancement in Electric Discharge Machining on
metal matrix composite materials in recent: A Review. International Journal of Scientific and Research
Publications, 2(3), 1-8.
[17]. Yan, B. H., & Wang, C. C. (1999). The machining characteristics of Al2O3/6061Al composite using
rotary electro-discharge machining with a tube electrode. Journal of Materials Processing Technology,
95(1-3), 222-231.
[18]. Zhao, W., Meng, Q., & Wang, Z. (2002). The application of research on powder mixed EDM in rough
machining. Journal of Materials Processing Technology, 129(1-3), 30-33.
ISBN: 978-93-5351-069-5 1034

PCE190
EFFECT OF TOOL ROTATIONAL SPEED AND TOOL TRAVEL

SPEED ON FRICTION STIR WELD: A REVIEW
Dhaval M Modi Dr Shailee G Acharya

Student, Assistant Professor,
SVIT, VASAD SVIT, VASAD
modidhaval216@gmail.com Shaileeacharya.mech@svitvasad.ac.in
Abstract
Friction stir welding is sustainable green manufacturing technique because of its environmentally
friendly and energy efficient nature. It is a newly invented metal joining process, known as solid-state
joining process because it joins the metal in its plastic state. Mostly FSW is used to join soft metals like
aluminium & its alloy, copper & its alloy, magnesium & its alloys for aerospace and automobile
industries. FSW welding is carried out by the non-consumable rotating tools which consist mainly of
two parts: 1) Pin probe and 2) Tool Shoulder. These tools rotate along with the meeting surface of the
two plates which needs to be weld. Quality of the welding zone depends mainly upon tool pin, shoulder
geometry, tool rotation speed and tool travel speed. This review paper gives details about how tool
rotation speed and tool travel speed affect the quality of the weld and mechanical properties of weld
material.
Keywords: Friction Stir Welding, Solid State Joining process, Tool Rotation Speed, Tool Travel
Speed, Mechanical properties.
INTRODUCTION
Friction stir welding is the highly efficient and environmentally friendly process. Friction stir welding
is sustainable joining process as it does not produce fumes and no filler material required. It can join
aluminium, copper, and titanium. In this process no molten state that's why it is called a solid-state
joining process. Friction stir welding sometimes produces a weld that is stronger than the base material.
There is a non-consumable rotating tool is used with shoulder and pin geometry. Friction stir welding
greatly reduces the ill effect of high heat input and also eliminates solidification defects. FSW process
has some benefits.
There are major benefits of friction stir welding.
Energy benefits as it is less consumption of fuel so it applicable for manufacturing of lightweight
aircraft and ship applications. Process benefits as does not require surface cleaning, as it is a no
consumable materials gas, wire etc and a third one is structure benefits as it is solid state process, hence
good dimensions, stability and repeatability process.
FRICTION STIR WELDING PROCESS
In FSW initially tool is mounted on heavy duty machine or fixture and base plates are clamped under
the tool. Further both plates are set as side by side and tool pin is plunged between the edges of plates
shown in Figure 1. Then the shoulder is kept in contact with the plates, giving rotational
speed and welding speed tool starts rotating in the clockwise or anticlockwise direction. Due to this tool
1035 ISBN: 978-93-5351-069-5

friction produces between the tool and plates which will generates the heat. This heat without reach at
melting point and will deform material plastically. Tool continuously moved in forwarding direction
till weld is formed. A tool is continuously moved until the whole weld is formed. At last, the tool is
separated from the plates near the end of the join and process is done.
Figure 1 FRICTION STIR WELDING PROCESS
Source: (Mishra & Ma, 2005)
WELDING PARAMETERS
Welding parameters are playing an important role after selection of tool design. There are many welding
parameters like Welding speed, Rotational speed, Axial force, Tilt angle etc. but mainly parameters are
selected for the welding process are tool rotational speed and welding speed.
Rotational Speed
During the FSW process, a tool is moved in the clockwise or counter clockwise direction. The motion
of tool generates the heat between tool and base material, extruding the softened plasticized material
around it and forging the same in place so as to form a solid-state joint.
Welding Speed
The welding speed depends upon many factors like types of alloy, rotational speed, penetration depth
and joint type which could be measured in mm/min. Higher tool rotation speed generates higher
temperature because of higher friction rate which will result in higher stirring and increases mixing of
material. During this process softened material moving to advance side to the retreating side, due to the
tool rotational speed and welding speed and this transferred material solidify in the retreating side of a
tool by the application of axial force. (Mishra & Ma, 2005)
Axial force
Axial force is depends on the thickness of base material. If thickness of base material is higher than
increase the axial force.
ISBN: 978-93-5351-069-5 1036

LITERATURE REVIEW
Experimental Method
Reza-E-Rabby and Reynolds (2018) investigated the effect of tool geometric features on friction stir
weld response parameters. In this research work, 25.4 mm thick AA6061-T651 base material was
selected. Tool geometry was fabricated as scroll shoulder of 25.4 mm diameter with conical threaded
and taper pin of 15.9 mm diameter. Two variable parameters were considered as rotational speed (160,
200, 240, 320, 400 rpm) and welding speed (102, 203 mm/min). From the investigation of the effect of
tool geometry by different analysis like macrostructure, forge force, power torque temperature conclude
that thread conical pin profile gives better weld at given rotational speed and welding speed compare to
other pin profile.
Ch Mohana Rao (2017) Studied friction stir welding aluminium alloys 6061-to-6061 similar metals. In
this research work, 4 mm thick plate of AA6061 used. Tool geometry was fabricated as cylindrical taper
shoulder of 25 mm diameter with a cylindrical pin of 6 mm diameter. Variable parameters were chosen
as rotational speed (710, 900, 1000, 1120 rpm), welding speed (28, 35, 40, 60 mm/min) and tilt angle
(2 degrees). Total 4 numbers of experiments performed to measure the effect of rotational speed on
microstructure, hardness distribution and tensile properties on welded joints. Effect of rotational speed
and welding speed at 1000 rpm and 900 rpm on the stir zone is as shown in Figure 2. From
experimental results concluded tensile strength increases with rotational speed and hardness is
increasing with decreasing in welding speed.
Figure 2 Aluminium surface after the welding at 1000 and 900 rpm.
Source: (Ch Mohana Rao, 2017)
P Srinivasa Rao (2016) presented the effect of tool geometrical parameters on friction stir welding joint
properties of aluminium alloy 6061. In this research work, 6 mm thick plate of AA6061 material was
selected. Taper cylinder and square (4, 5 mm) pin with a cylindrical shoulder (20 mm) was fabricate for
tool geometry shown in Figure 3. Variable parameters selected as rotational speed
(1500, 2000, 2500 rpm) and welding speed (20, 40 mm/min). Total 12 numbers of experiments
performed to evaluate mechanical properties (tensile strength, hardness). From the analysis of
experiments concluded square pin profile gives better mechanical properties compared to taper cylinder
pin profile at 1500 rpm of rotational speed and 40 mm/min of welding speed.
Figure 3 Square and Tapered FSW tool
Source:(P Srinivasa Rao, 2016)
1037 ISBN: 978-93-5351-069-5

Gadakh and Kumar (2014) presented a friction stir welding window which is shown in
Figure 4 for AA6061-T6 aluminium alloy. In this research work, 6 mm thick AA6061 plate was used
with H13 steel as tool material. A tool was fabricated as cylindrical shoulder with taper hexagonal pin
profile with the ratio of D/d 4, 6, 8 and 10. Variable parameters were rotational speed (710, 1000, 1400,
1800 rpm) and welding speed (31.5, 40, 75 mm/min). FSW has been analysed macroscopically and
microscopically. From the experimental results concluded taper hexagonal tool gives better mechanical
properties at the value of D/d taken as 3 with 1000 rpm of rotational speed and 40 mm/min of welding
speed.
Figure 4 Friction stir welding window
Source:(Gadakh & Kumar, 2014)
Chandu, Rao, Rao, and Subrahmanyam (2013) investigated the strength of friction stir welded
Aluminium alloy 6061. Researchers fabricated square and triangular pin (6 mm) with a cylindrical
shoulder (18 mm). Variable parameters were considered as rotational speed (800, 1200, 1600 rpm) with
welding speed (28 mm/min) and axial force (7 KN). Tool material is used high carbon high chromium.
This investigation was about the tensile test and Brinell hardness test for weld material. From the
experiments conclude that square pin profile at 1200 rpm of rotational speed with 28 mm/min welding
speed gives higher tensile strength and hardness compared to other parameters
.
Prasanna, Penchalayya, and Rao (2013) investigated the effect of tool pin profiles and heat treatment
process in the friction stir welding of AA6061 aluminium alloy. In this research work, the effect of four
different tool pin profile which was taper cylindrical, square, triangular and hexagonal of 6 mm diameter
with a cylindrical shoulder of 18 mm diameter effect on the mechanical properties of AA6061 alloy.
Researchers used constant process parameters 1200 rpm of rotational speed, 14 mm/min of welding
speed and 7 KN of axial force. Also, different heat treatment processes like annealing, normalizing and
quenching were used. From the analysis of different heat treatment processes concluded hexagonal pin
profile has good tensile strength, per cent of elongation in annealing and hardness in quenching compare
to other pin profiles at 1200 rpm of rotational speed, 14 mm/min of welding sped with 7 KN of axial
force.
Lakshminarayanan, Balasubramanian, and Elangovan (2009) presented an effect of welding processes

on tensile properties of AA6061 aluminium alloy joints. In this research work, three different welding
processes used which were GTAW, GMAW and FSW. Variable parameters are selected for the FSW
processes were rotational speed of 1200 rpm, welding speed of 75 mm/min and axial force of 7 KN.
From the experimental analysis of all three processes concluded that FSW gives higher tensile strength
as 1200 rpm of rotational speed and 75 mm/min of welding speed compare to another two processes.
Kumar, Kailas, and Srivatsan (2008) investigated the influence of tool geometry in friction stir welding.
In this research work, aluminium alloy was used with specific reference to microstructure development,
defect formation and mechanical study. The aluminium sheet was 4.4 thick and tool material is die steel.
Researchers fabricated two shoulder geometries which were unchamfered and chamfered of 20 mm
diameter shown in Figure 5. Also, two pin profiles cylindrical flat end and
frustum shape round endpin of 3 and 8 diameters were used. The variable parameters are taken as the
rotational speed of 1400 rpm and a welding speed of 80 mm/min. From the ten numbers of experiments
ISBN: 978-93-5351-069-5 1038

conclude that frustum type pin with 20 mm shoulder diameter gives higher efficiency of the weld at
1400 rpm and 80 mm/min.
Figure 5 Chamfered and Unchamfered Shoulder
Source:(Kumar et al., 2008)
Liu and Ma (2008) presented an influence of tool dimension and welding parameters on microstructure
and mechanical properties of friction-stir-welded 6061-T651 aluminium alloy. In this investigation
AA6061 material of 6 mm thick plate selected as a base material. Researchers used cylindrical shoulder
geometry of 18, 20 and 24 mm diameter. Threaded and cylindrical pin profile of 6 and 8 mm diameter
as used for this investigation. Variable parameters are chosen Welding speed (200, 400, 600 mm/min)
and rotational speed (900, 1200, 1400 rpm) and performed total 8 numbers of experiments by different
combination and check micro hardness and tensile strength of each specimen. From the experiments
conclude that with increasing welding speed (mm/min) tensile strength also increases of weld
parameters.
Elangovan, Balasubramanian, and Valliappan (2008) presented the effect of tool pin profile and tool
rotational speed on mechanical properties of friction stir welded AA6061 aluminium alloy. In this
research work used five different tool pin profile of 6mm diameter with a cylindrical shoulder of 18mm
diameter as shown in Figure 6. The variable parameters were tool rotational speed (800,
1000, 1200, 1400, 1600 rpm) and performed a total 25 number of the experiment. Tool material was
used for these experiments is high carbon steel. Investigation shows that square pin profile gives higher
hardness at 1200rpm compared to other tool pin profile ( Figure 7).
Figure 6 Different types of tool profiles
Source :(Elangovan et al., 2008)
Figure 7 Effect of rotational speed on micro hardness for square pin profile
Source: (Elangovan et al., 2008)
1039 ISBN: 978-93-5351-069-5

Elangovan and Balasubramanian (2008) presented influence of tool pin profile and welding speed on
the formation of friction stir processing zone in AA2219 aluminium alloy. In this research work, 6 mm
thick plate of AA2219 was selected as a base material. Tools were fabricated as straight cylinder,
threaded cylinder, taper cylinder, square and triangular of 18 mm shoulder diameter and 6 mm pin
diameter. Variable parameters were welding speed (0.36, 0.76, 1.25 mm/sec) and rotational speed (1600
rpm). From the experimental analysis concluded square pin profile produce sound free and metallurgical
defect-free weld at 0.76 mm/sec of welding speed.
Balasubramanian (2008) studied on the relationship between base metal properties and friction stir
welding process parameters. In this investigation used five different base materials AA1050, AA6061,
AA2024, AA7039, and AA7075. Threaded pin geometry was fabricated of 5.7 mm diameter and
cylindrical shoulder of 18mm diameter. Variable parameters are selected as rotational speed (700-
1700rpm) and welding speed (22-135 mm/min). Range of rotational speed for AA1050 was 700 to 1100
rpm, for AA6061 - 900 to 1300 rpm, for AA2024 - 1100 to 1400 rpm, for AA7039 - 1100 to 1500 rpm
and for AA7075 - 1300 to 1700 rpm was considered. Tool material was used high carbon steel for the
25 number of experiments. From this investigation researcher establish the empirical relationship for
the FSW process parameters to fabricate defect-free joints as at 900 rpm in AA1050 aluminium material
gives defect free joints. Similar way rotational speed of 1100 rpm in AA6061, 1200 rpm in AA2024,
1300 rpm in AA7039, 1500 rpm in AA7075 gives defect free joints.
Elangovan and Balasubramanian (2007) investigated an influence of pin profile and the rotational speed
of the tool on the formation of friction stir processing zone in AA2219 aluminium alloy. In this research
work 6mm, thick AA2219 plate was selected as a base material. There were five different tools
fabricated as straight cylinder, threaded cylinder, taper cylinder, square and triangular of 18 mm
shoulder diameter and 6 mm pin diameter. Variable parameters are selected as rotational speed (1500,
1600, 1700 rpm) and welding speed (0.76 mm/sec) with 12 KN of axial force. From the experimental
results, researchers evaluated square pin profile give sound free weld at 1600 rpm of rotational speed.
Cavaliere, Campanile, Panella, and Squillace (2006) presented the effect of welding parameters on
mechanical and microstructural properties of AA6056 joints produced by friction stir welding. In this
research work, 4 mm thick AA6056 plate was used. A tool was fabricated as a cylindrical shoulder of
14 mm diameter with a cylindrical pin of 6 mm diameter. Variable parameters were rotational speed
(500, 800, 1000 rpm) and welding speed (40, 56, 80 mm/min). Researchers tested tensile strength and
hardness of weld material at room temperature for the mechanical properties. Microstructure evaluation
was observed from the analysis of cross-section area of weld material. From the analysis of the
experiments conclude that at 56 mm/min of welding speed gives the best behaviour in mechanical and
microstructure properties of weld material.
Fujii, Cui, Maeda, and Nogi (2006) studied the effect of tool shape on mechanical properties and
microstructure of friction stir welded aluminium alloys. In this research work, 5 mm thick plate was
used for different materials AA1050-H24, AA5083-O, AA6061-T6. Three tools were fabricated which
had a cylindrical shoulder of 15 mm diameter and pin design column without treads, a column with
threads and triangular prism of 6 mm diameter as shown in
Figure 8. Variable parameters were selected as rotational speed (600 to 1500 rpm) and
welding speed (25 to 1000 mm/min). From the experimental analysis conclude that 1050-H24 whose
deformation resistance is very low and produced a weld with best mechanical properties, for 6061-T6
whose deformation resistance very low and tool shape also does not affect on mechanical properties
and for 5083-O whose deformation resistance is very high and also rotational speed affected on
ISBN: 978-93-5351-069-5 1040

mechanical properties. Also, the minimum rotational speed of 600 rpm did not affect mechanical
properties and microstructure of weld.
Figure 8 FSW tool shapes
Source: (Fujii et al., 2006)
Azhar et al. presented the effect of rotational speed on weld strength of friction stir welded butt joint.
In this research work, AA5083 material of 5 mm thickness was selected. A tool was fabricated of
threaded pin and concave shoulder. Variable parameters were taken as rotational speed (490, 653, 910,
1280, 1700 rpm) with constant welding speed (67 mm/min). From the analysis of experiments conclude
that at 910 rpm rotational speed gives better surface finish compared to other rotational speed.
Khorsid, Moustafa, and Sabry (2001) presented the investigation of mechanical properties of friction
stir welded 6061 Aluminium plates. In this research work, 6.5 mm thick aluminium plate as a base
material and steel tool material is used. A special tool was fabricated for the experiments which have a
conical shoulder of 34 mm diameter with a re-entrant angle of 1.5 degrees and taper pin profile of 7.5
mm. Variable parameters were selected as a rotational speed of 720, 910, 1120, 1400 rpm and a welding
speed of 16, 20, 31.5 mm/min. Analysis from different testing like Vickers hardness testing concludes
that soundness was improving with increasing speed and weld exhibited higher joint efficiency relative
to conventional welding techniques.
Analytical Method
Heidarzadeh, Khodaverdizadeh, Mahmoudi, and Nazari (2012) presented tensile behaviour of friction
stir weld AA60601-T4 aluminium joints. In this investigation response surface methodology with the
central composite rotatable design was used. Researchers used cylindrical shoulder with a square pin as
tool geometry as shown in
Figure 9. Variable parameters were considered as rotational speed (763, 900,
1100, 1300, 1436 rpm), welding speed (46, 60, 80, 100, 113 mm/min) and axial force (5.32, 6, 7, 8,
8.68 KN). Total 20 numbers of experiments were performed and also created a mathematical model.
From investigation concluded at 1300 rpm, 60 mm/min and 8 KN of axial force giving maximum tensile
strength in welding material.
Figure 9 FSW tool with Square pin profile
1041 ISBN: 978-93-5351-069-5

Source: (Heidarzadeh et al., 2012)
Elangovan, Balasubramanian, and Babu (2009) studied in predicting tensile strength of friction stir
welded AA6061 aluminium alloy joints by a mathematical model. This study about welding speed, tool
rotational speed, and tool pin profile were the important parameters for the joint strength. Researchers
fabricated five different tool pin profile is as shown in Figure 10. And variable parameters were
rotational speed (800, 1000, 1200, 1400, 1600 rpm), welding speed (0.25, 075, 1.25, 1.75, 2.25 mm/sec)
and axial force (5, 6, 7, 8, 9 KN). Total 31 numbers of experiments were performed and measured
tensile strength. By using these results developed a mathematical model for tensile strength and
compare both experimental and mathematical results. From the investigation concluded tensile strength
is higher in the square pin profile at 1200 rpm tool rotational speed, 1.25 mm/sec welding speed and 7
KN axial forces.
Figure 10 Different tool profiles
Source :(Elangovan et al., 2009)
Response Surface Methodology
Shalin and Hiten (2018) had presented an experimental analysis on the effect of tool transverse feed,
tool rotational speed and tool pin profile type on weld tensile strength of friction stir welded joint of
AA6061. In this research work, 6 mm thick AA6061 plate is used as base metal with H-13 die steel
tool material. Tool fabricated as a cylindrical pin, taper pin and square pin tool 0f 5.6 mm and 6 mm
diameter. Variable parameter is chosen as tool rotational speed (2250, 2500, 2750 rpm) and welding
speed (10, 15, 20 mm/min). Total 27 numbers of experiments were performed by Response surface
method and analysis of variance for statically analysis was carried out. An experimental procedure is
as shown in
Figure 11. From the experimental investigation concluded welding speed increase, UTS
is also increased for certain limit. Similarly, way rotational speed increase UTS of FSW joint is also
increased.
Figure 11 Interaction between tool and base plate
ISBN: 978-93-5351-069-5 1042

Source: (Shalin & Hiten, 2018)
Sankar and Umamaheswarrao (2017) had worked on modelling and optimisation of friction stir welding
onAA6061 alloy. In this research, a work tool was fabricated as a cylindrical shoulder with a cylindrical
pin of 4, 5, 6, 7, 8 mm in diameters. Also variable parameters were chosen as rotational speed (800,
950, 1100, 1250, 1400 rpm), welding speed (30, 36.25, 42.5, 48.7, 55.5 mm/min) with constant axial
force (6 KN). The main aim of this work was to get superior mechanical properties like hardness and
tensile strength by using process parameters. Three factors five-level design matrix was developed on
MINITAB14 and prepared mathematical model by using Response surface method for 20 runs of
experiments. From the investigation, researchers observed hardness of welding joints is initially
increased up to 1150 rpm and then decrease. Similarly, strength is more at a lower rotational speed,
minimum diameter and at higher welding speed.
Elatharasan and Kumar (2013) presented experimental analysis and optimization of process parameters
on friction stir welding AA6061-T6 aluminium alloy using RSM. In this investigation, researchers used
a central composite design technique and a mathematical model was developed by response surface
methodology. Researchers consider three levels with a cylindrical shoulder with tapered square, tapered
hexagonal, paddle shape and cylindrical shape of a pin. Three variable parameters selected as axial
force (6, 8, 10 KN), rotational speed (800, 1000, 1200 rpm) and transverse speed (30, 60, 90 mm/min).
Total 20 numbers of experiments were performed and developed a relationship between the FSW
process parameters (rotational speed, welding speed and axial force). From the investigation concluded
maximum tensile strength and yield strength was exhibited by the FSW joint fabrication with optimized
parameters at 1200 rpm rotational speed and 30 mm/min of welding speed with 9KN of axial force.
Rajakumar, Muralidharan, and Balasubramanian (2011) investigated an influence of friction stir

welding process and tool parameters on strength properties of AA7075-T6 aluminium alloy joints. In
this research work, 5mm thick AA7075 was selected as a base material. A tool was fabricated of the
threaded pin which had different shoulder diameters like 6, 9, 12, 15, 18 and 21 mm also different pin
diameters like 3, 4, 5, 6 and 7 mm. Variable parameters are chosen as rotational speed (900, 1200, 1400,
1600, 1800 rpm) and welding speed (20, 40, 60, 80, 100 mm/min). Effect of rotational speed and
welding speed on the tensile strength of weld material is as shown in Figure
12 and Figure 13. From the experimental investigation concluded that at
1400 rpm of rotational speed, 60 mm/min of welding speed, 15 mm of shoulder diameter and 5 mm of
pin diameter gives higher strength properties compared to other variable parameters.
Figure 12 Effect of rotational speed on tensile strength
1043 ISBN: 978-93-5351-069-5

Source :(Rajakumar et al., 2011)
Figure 13 Effect of welding speed on tensile strength
Source :(Rajakumar et al., 2011)
Online Monitoring Method
Zeng, Wu, and Zhang (2006) presented an effect of tool wear on microstructure, mechanical properties
and acoustic emission of friction stir welded 6061 al alloy. They have used the cylindrical shoulder of
24 mm diameter and threaded pin of 6.35mm diameter. The variable parameters were taken rotational
speed (344 rpm) and welding speed (190 mm/min). After that, they performed acoustic emission sensing
which is shown in Figure 14, metallographic sectioning and tensile testing. As
a result, they analysed that the acoustic emission method is good for online monitoring and it is a
potentially effective method.
Figure 14 FSW online monitoring system
Source :(Zeng et al., 2006)
Artificial Neural Network Method
Okuyucu, Kurt, and Arcaklioglu (2007) have studied artificial neural network application for the
friction stir welding of aluminium plates. In this research work, 5 mm thick aluminium plate was used
as base material. Rotating tool was fabricated of 20 mm diameter. Variable parameters were considered
as tool rotational speed (500, 800, 1000, 1250, 1500 rpm) and welding speed (6.25, 10, 16, 20 mm/min)
with constant axial force of 210 N. Total 20 numbers of experiments were performed and from the
experimental results researchers developed ANN network for the tensile strength, yield strength,
elongation and hardness of weld material. The structure of three-layer ANN network is shown in
Figure 16. Researchers compare the experimental and ANN results and from the results concluded
correlation of hardness, tensile strength was better than the elongation results. Also concluded at 500
rpm of rotational speed and 20 mm/min of welding speed were gives the higher tensile strength and
yield strength.
Figure 15 Three layer ANN network for mechanical properties
ISBN: 978-93-5351-069-5 1044

Source :(Okuyucu et al., 2007)
Tansel, Demetgul, Okuyucu, and Yapici (2010) investigated optimisation of friction stir welding of
aluminium alloy by using genetically optimized neural network. In this research work, 5 mm thick
AA1080 consider as base plate. Variable parameters were considered as tool rotational speed (500, 800,
1000, 1250, 1500 rpm) and tool welding speed (6.25, 10, 16, 20 mm/min). Researchers developed the
GONNS (GENERIC OPTIMISED NEURAL NETWORK SYSTEM) network as shown in
Figure 16 with selected parameters range and also performed the total 20 numbers of experiments.
From the comparison of both GONNS and experimental results concluded at 500 rpm of rotational
speed and 20 mm/min of welding speed gives mechanical properties (Tensile strength, yield strength,
Elongation, Hardness) as shown in
Figure 17.
Figure 16 GONNS network developed for predicting mechanical properties
Source :(Tansel et al., 2010)
Figure 17 Measured and Predicted Values for tensile strength and yield strength
1045 ISBN: 978-93-5351-069-5

Source :(Tansel et al., 2010)
Ghetiya and Patel (2014) studied the prediction of tensile strength in friction stir welded aluminium
alloy using an artificial neural network. In this research work AA8014 taken as the base material with
high carbon, high chromium steel, H-13. A tool was fabricated as cylindrical shoulder with a cylindrical
pin for tool geometry. Variable parameters were rotational speed (355, 710, 1000, 1400, 2000 rpm),
welding speed (20, 31.5, 40, 50, 63 mm/min) and axial force (1, 2, 3, 4, 5 KN) and performed 25
numbers of experiments with testing on ANN model ANN has been developed from backpropagation
error method which is shown in
Figure 18 to predict the tensile strength in FSW. From the experiments and
ANN network measured tensile strength at different variable parameters. From this analysis conclude
at 1000 rpm of rotational speed, 40 mm/min of welding speed and 3 KN of axial force giving higher
tensile strength in weld material.
Figure 18 Back propagation error network
Source :(Ghetiya & Patel, 2014)
Taguchi Method
ISBN: 978-93-5351-069-5 1046

Ugender, Kumar, and Reddy (2015) investigated the effect of friction stir welding process parameters
on the mechanical properties of AA6061 Aluminium alloy using Taguchi orthogonal Technique. In this
research work, 5 mm thick aluminium-T6 material was selected as a base material. Stainless steel
screwed taper pin profile was fabricated. The diameter of the shoulder was taken 18, 21 and 24 mm
with a pin diameter of 6 mm. Variable parameters were chosen as D/d ratio (3, 3.5, 4 mm), the tilt angle
(1, 2, 3 degrees) and welding speed (25, 40, 75 mm/min). Taguchi L9 technique was used for the
experiments. From the analysis of experiments conclude that D/d ratio and welding speed are most
significant factors for friction stir welding also at 40 mm/min of welding speed and D/d ratio of three
gives higher tensile strength of weld material.
Panda, Mahapatraand, and Mohanty (2015) studied parametric investigation of friction welding on
AA6061 using Taguchi techniques. In this research work tool shape selected as taper cylindrical,
straight cylindrical and threaded cylindrical pin profile is as shown in Figure 19. Variable
parameters were selected as rotational speed (600, 900, 1200 rpm) and welding speed (20, 40, 60
mm/min). An orthogonal L9 Taguchi method was used so it’s given maximum information with a
minimum number of experiments. From the experimental analysis, it was concluded that welding speed
plays an important role and contributes 64% to the overall contribution for variation of welding strength.
Figure 19 Design and developed FSW tool probe profile
Source :(Panda et al., 2015)
Jayaraman, Sivasubramanian, Balasubramanian, and Lakshminarayanan (2009) studied an optimization

of process parameters for friction stir welding cast aluminium alloy A319 by Taguchi method. In this
study 6 mm thick plate used as base material. Variable parameters were considered as tool rotational
speed (1000, 1200, 1400 rpm), welding speed (22, 40, 75 mm/min) and axial force (2, 3, 4 KN). Total
27 numbers of experiments were performed for measuring tensile strength also used ANOVA method
for optimization of tensile strength. Effect of rotational speed, welding speed and axial force are shown
in Figure 20. Maximum tensile strength exhibited at 1200 rpm of rotational speed, 40 mm/min of
welding speed and 4 KN of axial force.
Figure 20 Effect of variable parameters on Tensile strength
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Source :(Jayaraman et al., 2009)
Lakshminarayanan and Balasubramanian (2008) investigated process parameters optimization of

friction stir welding of RDE-40 aluminium alloy using Taguchi method. In this research work, 6 mm
thick rolled plate were used. Tool was fabricated of threaded pin profile and tool material was selected
as high carbon steel. Variable parameters were considered as tool rotational speed (1200, 1400, 1600
rpm), welding speed (22, 45, 75 mm/min) and axial force (4, 6, 8 KN). Orthogonal L9 method was
selected for performed 9 numbers of experiments. By using of ANOVA optimise the values of tensile
strength. Effect of variable parameters on weld material and percentage of contribution of each
parameter are shown in Figure 21 and Figure 22. From the experimental
results concluded 1400 rpm of rotational speed, 45 mm/min of welding speed and 6 KN of axial force
gives the higher tensile strength.
Figure 21 Effect of welding parameters on Tensile strength
Source :(Lakshminarayanan & Balasubramanian, 2008)
Figure 22 Percentage of contribution of each parameter
Source :(Lakshminarayanan & Balasubramanian, 2008)
ISBN: 978-93-5351-069-5 1048

CONCLUSION
The current review paper addresses the effect of variation in tool rotation speed and tool travel speed
on the quality of the weld zone.
From the literature review, it can be observed that FSW has many advantages over the convention
welding processes depending upon selection parameters and their properties. It was observed that most
of the researchers have carried out their experiments for different parameters like rotational speed,
welding speed, axial force, tool tilt angle, D/d ratio and have optimized the same.
Table 1 bellow shows summary of optimised parameters selected for different FSW weld:
Table 1 Optimised process parameters for Aluminium alloys
Material Optimised Optimised Optimised Shoulder Methodology Remarks

rotational welding axial force to pin
speed speed (KN) diameter
(rpm) (mm/min) ratio
(D/d)
AA6061 2750 15 --- --- RSM[29] Tapered pin
profile gives
better weld
strength.
AA6061 1120 28 --- --- Experimental[4] Tensile strength
increasing with
rotational speed
of 710 to 1120
rpm.
AA6061 1120 46 6 3 RSM[28] Hardness of joint
first increase up
to 1120 rpm and
then decrease.
AA6061 1500 40 --- --- Experimental[23] Square pin
profile gave
better
mechanical
properties at
optimised
parameters.
AA6061 1200 28 7 3 Experimental[5] Optimised
parameters are
concluded for
hardness of
square pin
profile by using
Brinell hardness
test.
AA6061 1200 75 7 --- Analytical[8] Parameters are
decided by
developing
mathematical
model for tensile
strength.
AA6061- 1300 60 8 --- Analytical[14] RSM method
T4 used for
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optimised
parameters and
developed
mathematical
model to
measuring
tensile strength
for square pin
profile.
AA6061- - 40 --- 3 Taguchi[31] ANNOVA
T6 technique is used
for optimised
parameters.
AA6061- 1000 40 --- 3 Experimental[12] Square pin and
T6 taper pin gives
higher
mechanical
properties at
given optimised
parameters and
range of
parameters
selected by using
ready reckoner.
AA6061- 1200 30 9 --- RSM[10] RSM method
T6 used for
optimised
parameters for
different pin
profiles.
AA6061- 1400 600 --- 3 Experimental[20] Optimum
T651 parameters were
selected for
threaded and
cylindrical pin
profile form
DOE.
AA5083 910 67 --- --- Experimental[1] Optimised
parameters used
for concave
shoulder tool
geometry.
AA5083- 600 100 2.5 Experimental[11] Optimum
O parameters were
selected for three
different and
unique pin
profiles from
DOE.
AA8014 1000 40 3 --- ANN[13] ANN network
used for
selecting
optimised
parameters for
ISBN: 978-93-5351-069-5 1050

cylindrical pin
profile.
AA7075 1500 22 8 --- Experimental[2] Optimised
parameters
selected from
relationship
made for tool
material and
rotational speed
for threaded pin
profile.
AA7075- 1400 60 --- 3 RSM[26] Optimised
T6 parameters
selected for
threaded pin
profile from
DOE.
AA2219 1600 45.6 7 --- Experimental[7] Optimised
parameters
selected for five
different tool
profiles which
are mostly used
in FSW process.
parameters
selected from
relationship
made for tool
material and
rotational speed
for threaded pin
profile.
AA1050- 1500 700 2.5 Experimental[11] Optimum
H24 parameters were
selected for three
different and
unique pin
profiles from
DOE.
parameters
selected from
relationship
made for tool
material and
rotational speed
for threaded pin
profile.
parameters
selected from
relationship
made for tool
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material and
rotational speed
for threaded pin
profile.
AA6056 800-1000 56 --- 2.33 Experimental[3] Optimised
parameters were
selected from
low cycle and
high cycle
fatigue testing.
AA1080 500 20 --- --- ANN[30] GONNS network
was developed
for measuring
mechanical
properties.
RDE-40 1400 45 6 --- Taguchi[19] Measuring
tensile strength
using Taguchi
L9 method and
also find effect
of each
parameter.
A319 1200 40 4 --- Taguchi[15] Measuring
tensile strength
using Taguchi
method and
ANOVA
method.
From the above table it can be observed that, various methods like Taguchi method, Response surface
method, Mathematical method and Experimental method can be used to optimise the process parameters
of FSW. Based on different series of aluminium alloy the optimised value of rotational speed and
welding speed may differ as summarised below:
For hard material like AA5083 and AA5083-0 optimised value of rotational speed increases up to 600
to 910 rpm and welding speed increase up to 67 to 100 mm/min respectively. Similarly for the soft
material like AA6061, AA8014, AA7075 and AA6056 optimised value of rotational speed is increase
up to 1000 to 1500 rpm and welding speed increase up to 30 to 74 mm/min. Further for the AA1050
and AA1050-H24 optimised value for rotational speed increase up to 900 to 1500 rpm and welding
speed increase up to 135 to 700 mm/min also for RDE-40 and A319 aluminium alloys optimised values
for rotational speed increase up to 1200 to 1400 rpm and welding speed increase up to 40 to 45 mm/min.
This paper briefs important process parameters and its range for Friction stir weld of aluminium. This
can be useful for further experimental work on Aluminium for FSW.
REFERENCES
[1] Azhar, A. F., Hamid, D. A., Ismail, A., Rojan, M. A., Zainuddin, M. J., Baharudin, B. A., & Ali, A. M. M. The
Effect of Rotational Speed on Weld Strength of Friction Stir Welded Butt Joint.
[2] Balasubramanian, V. (2008). Relationship between base metal properties and friction stir welding process
parameters. Materials Science and Engineering: A, 480(1-2), 397-403.
ISBN: 978-93-5351-069-5 1052

[3] Cavaliere, P., Campanile, G., Panella, F., & Squillace, A. (2006). Effect of welding parameters on mechanical and
microstructural properties of AA6056 joints produced by friction stir welding. Journal of Materials Processing
Technology, 180(1-3), 263-270.
[4] Ch Mohana Rao, D. K. M. R. (2017). STUDIES ON FRICTION STIR WELDING OF ALUMINIUM ALLOYS
6061- TO- 6061 SIMILAR METALS. International Journal of Mechanical Engineering and Technology, 8(1),
264-269.
[5] Chandu, K., Rao, E. V., Rao, A. S., & Subrahmanyam, B. (2013). The strength of friction stir welded aluminium
alloy 6061. IJRMET, 4(1), 119-122.
[6] Elangovan, K., & Balasubramanian, V. (2007). Influences of pin profile and rotational speed of the tool on the
formation of friction stir processing zone in AA2219 aluminium alloy. Materials Science and Engineering: A,
459(1-2), 7-18.
[7] Elangovan, K., & Balasubramanian, V. (2008). Influences of tool pin profile and welding speed on the formation
of friction stir processing zone in AA2219 aluminium alloy. Journal of Materials Processing Technology, 200(1-
3), 163-175.
[8] Elangovan, K., Balasubramanian, V., & Babu, S. (2009). Predicting tensile strength of friction stir welded
AA6061 aluminium alloy joints by a mathematical model. Materials & Design, 30(1), 188-193.
[9] Elangovan, K., Balasubramanian, V., & Valliappan, M. (2008). Effect of tool pin profile and tool rotational speed
on mechanical properties of friction stir welded AA6061 aluminium alloy. Materials and Manufacturing
Processes, 23(3), 251-260.
[10] Elatharasan, G., & Kumar, V. S. (2013). An experimental analysis and optimization of process parameter on
friction stir welding of AA 6061-T6 aluminum alloy using RSM. Procedia Engineering, 64, 1227-1234.
[11] Fujii, H., Cui, L., Maeda, M., & Nogi, K. (2006). Effect of tool shape on mechanical properties and microstructure
of friction stir welded aluminum alloys. Materials Science and Engineering: A, 419(1-2), 25-31.
[12] Gadakh, V. S., & Kumar, A. (2014). Friction stir welding window for AA6061-T6 aluminium alloy. Proceedings
of the Institution of Mechanical Engineers, Part B: Journal of Engineering Manufacture, 228(9), 1172-1181.
[13] Ghetiya, N., & Patel, K. (2014). Prediction of tensile strength in friction stir welded aluminium alloy using
artificial neural network. Procedia Technology, 14, 274-281.
[14] Heidarzadeh, A., Khodaverdizadeh, H., Mahmoudi, A., & Nazari, a. E. (2012). Tensile behavior of friction stir
welded AA 6061-T4 aluminum alloy joints. Materials & Design, 37, 166-173.
[15] Jayaraman, M., Sivasubramanian, R., Balasubramanian, V., & Lakshminarayanan, A. (2009). Optimization of
process parameters for friction stir welding of cast aluminium alloy A319 by Taguchi method.
[16] Khorsid, A., Moustafa, A., & Sabry, I. (2001). Investigation of the mechanical properties of Friction Stir Welded
6061 Al plates. Mater. Sci. Eng.
[17] Kumar, K., Kailas, S. V., & Srivatsan, T. S. (2008). Influence of tool geometry in friction stir welding. Materials
and Manufacturing Processes, 23(2), 188-194.
[18] Lakshminarayanan, A., & Balasubramanian, V. (2008). Process parameters optimization for friction stir welding
of RDE-40 aluminium alloy using Taguchi technique. Transactions of Nonferrous Metals Society of China, 18(3),
548-554.
[19] Lakshminarayanan, A., Balasubramanian, V., & Elangovan, K. (2009). Effect of welding processes on tensile
properties of AA6061 aluminium alloy joints. The International Journal of Advanced Manufacturing Technology,
40(3-4), 286-296.
[20] Liu, F., & Ma, Z. (2008). Influence of tool dimension and welding parameters on microstructure and mechanical
properties of friction-stir-welded 6061-T651 aluminum alloy. Metallurgical and materials transactions A, 39(10),
2378-2388.
[21] Mishra, R. S., & Ma, Z. (2005). Friction stir welding and processing. Materials science and engineering: R:
reports, 50(1-2), 1-78.
[22] Okuyucu, H., Kurt, A., & Arcaklioglu, E. (2007). Artificial neural network application to the friction stir welding
of aluminum plates. Materials & Design, 28(1), 78-84.
[23] P Srinivasa Rao, A. F. O. B., Mokhtar Awang, A M Rani, Jebaraj S. (2016). EFFECT OF TOOL GEOMETRICAL
PARAMETERS ON FRICTION STIR WELDING JOINTS PROPERTIES OF ALUMINIUM ALLOY AA6061.
ARPN Journal of Engineering and Applied Sciences, 11(22), 13053-13057.
[24] Panda, M. R., Mahapatraand, S. S., & Mohanty, C. P. (2015). Parametric Investigation of Friction Stir Welding
on AA6061 Using Taguchi Technique. Materials Today: Proceedings, 2(4-5), 2399-2406.
[25] Prasanna, P., Penchalayya, C., & Rao, D. A. (2013). Effect of tool pin profiles and heat treatment process in the
friction stir welding of AA 6061 aluminium alloy. American journal of engineering research, 2(01), 07-15.
[26] Rajakumar, S., Muralidharan, C., & Balasubramanian, V. (2011). Influence of friction stir welding process and
tool parameters on strength properties of AA7075-T6 aluminium alloy joints. Materials & design, 32(2), 535-
549.
[27] Reza-E-Rabby, M., & Reynolds, A. P. (2018). Some effects of tool geometric features on friction stir weld
response parameters. Science and technology of welding and joining, 1-10.
1053 ISBN: 978-93-5351-069-5

[28] Sankar, B. R., & Umamaheswarrao, P. (2017). Modelling and optimisation of friction stir welding on AA6061
Alloy. Materials Today: Proceedings, 4(8), 7448-7456.
[29] Shalin, M., & Hiten, M. (2018). Experimental Analysis on Effect of Tool Transverse Feed, Tool Rotational Speed
And Tool Pin Profile Type on Weld Tensile Strength of Friction Stir Welded Joint of AA 6061. Materials Today:
Proceedings, 5(1), 487-493.
[30] Tansel, I. N., Demetgul, M., Okuyucu, H., & Yapici, A. (2010). Optimizations of friction stir welding of aluminum
alloy by using genetically optimized neural network. The International Journal of Advanced Manufacturing
Technology, 48(1-4), 95-101.
[31] Ugender, S., Kumar, A., & Reddy, A. S. (2015). Effect of Friction Stir Welding Process Parameters on the
Mechanical Properties of AA 6061 Aluminum Alloy Using Taguchi Orthogonal Technique. Applied Mechanics
& Materials.
[32] Zeng, W., Wu, H., & Zhang, J. (2006). Effect of tool wear on microstructure, mechanical properties and acoustic
emission of friction stir welded 6061 Al alloy. Acta Metallurgica Sinica (English Letters), 19(1), 9-19.
ISBN: 978-93-5351-069-5 1054

PCE228
A REVIEW ON MICRO-CHANNEL HEAT SINK FOR HEAT

TRANSFER ENHANCEMENT
Ankit D. Patel C.O. Yadav Dr. P.V. Ramana

P.G. Student Assistant professor Professor
SVIT, VASAD SVIT, VASAD SVIT, VASAD
wakeupankit@gmail.com coyadav@gmail.com pvr261@gmail.com
Abstract
The premature failures of the micro-electronic circuitry are increasing day by day due to the overheating
issues. To resolve this problem, micro-heat sinks cooling systems have been widely used to maintain
uniform surface temperature and remove large heat flux from the surface of the micro -electronic devices.
In the present study, an overview is carried out on the base of micro-channels, geometries, shapes, sink
size, various working transport fluids and materials. The purpose of this study is to provide the insight of
hydrodynamic and thermal behavior of working fluids and their effects on the performance of micro-
channel.
Keywords: micro-channel, heat transfer enhancement, manifolds design.
INTRODUCTION
Nowadays, the working performance of electronic device needs to be faster. The high performing circuits
produce a higher amount of heat during its application [28]. This generated heat may exceed the
permissible temperature point, which may cause the damage to the circuit or whole system. So, for
minimizing the damage by heat, several types of studies have been done by various researchers. Some of
the cooling techniques are: conduction cooling, heat sinks, radiation cooling, heat pipes, forced-air
cooling, liquid cooling etc.
The most common method which is used for micro-circuits is air cooling by a fan. But for some
application air cooling isn’t efficient. So here, micro-channel comes in light. Since Tuckerman and
Pease[31] first proposed the micro-channel heat sink cooling concept for electronic cooling in the early
1980s. Micro-channel combines two modes of heat transfer which includes conduction and convection. In
micro-channel, convection takes place by heat transfer between fluid to tubes of micro-channels and
conduction takes place by heat transfer between walls of micro-channels. During recent years some
developments have been done in micro-channels in geometrical aspects according to applications.
The main objective of this present review paper is to compare the shape, size, and material ofmicro-
channels for heat transfer enhancement during its application.
1055 ISBN: 978-93-5351-069-5

Firstly, we have studied the related articles on heat transfer in electronic micro-circuits.Secondly, we have
reviewed some related technical papers for more deep knowledge about the working process of micro-
channels. We have considered some specific categories of papers which mainly focus on design
implementation of micro-channel’s geometry for heat transfer enhancement. Overall, the literaturehas
been reviewed and presented in two sections as experimental studies and numerical studies in
tabulatedform. The literature review is mostly related to advances of micro-channel design and heat
transfer enhancement. Then, it was summarized and listed the major findings of the work done by various
researchers.At the end of the study, the future scope has been suggested which can be useful for further
investigations.
REVIEW OF RECENT LITERATURE
In this review paper, we have reviewed various research articlesthat dealt with micro-channel design heat
exchange and Nano-fluids. This review has been categorized into two main sections:
1. Numerical Studies
2. Experimental Studies
Review of Numerical Studies
Mohammed Zargartalebi et al. analyzed wavy micro-channels by means of simulation. They found that
wavy micro-channel heat sink gives better heat transfer against lower pressure drop penalty than straight
micro-channels in some certain amplitude. However, as the increasing, the amplitude increases the wall
shear and friction factor proportionally. Also, the temperature of MCHS increases directly with
decreasing wave amplitude. Figure 1, shows the pressure drop vs. Reynolds number of both wavy and
straight channels [14].Mohammad et al. analyzed thermal performance of MCHS by changing geometry
and working fluid properties. It’s concluded that the nanoparticles enhance heat transfer. Hence, the
thermal performance of nano-fluid is related to thegeometry of micro- channels [27]. Hajmohammadi et
al. gave optimal parameters including slip conditions. Here, slippage considerations gave the improved
dimensions for micro-channels as shown in figure 2. Also, lesser power consumed by the proposed design
[8].
Yaxian et al. established two heat sinks on one cooling system connected in parallel or in series with each
other. This idea is for reducing heat from multiple heat sources in the very compact area using one
system. In parallel flow, the pressure drop and mass flux vary on less than 0.4 L/min flow rate and above
0.4 L/min it becomes single-phase convective flow. For a series connection, the temperature of the
upstream heatsink remains constant except for the moment phase change occurs in downstream
[28].Sajjad et al. concluded that modification of the geometry of heat sink can lead to improved thermal
efficiency and lifetime. But, the pressure drop is increased by flowing through new proposed rectangular
micro-channel design [2].
Javad et al. used wavy microchannels using a square heat sink. By doing so pressure drop is increased by
increasing in heat flux in wavy micro-channels with using water as a base fluid compared to straight
micro-channels. But when using nanofluid, the pressure drop is significantly decreased by 10.6% with the
same heat flux applied on wavy micro-channel. So here as per analytical results for wavy micro-channels,
nanofluid plays an important role for heat transfer enhancement and also helps with reducing pressure
drop using wavy microchannels [7].Furthermore, in the modification of wavy type micro-channels,
Muhammad Usman et al tested three serpentine-wavy micro-channel designs for comparison by
analytically. The amplitudes for wavy channels is between125to 500 micro-meters as test section for heat
ISBN: 978-93-5351-069-5 1056

transfer and pressure drop analysis. Among all three channels, the wave having 0.2 amplitude gave the
highest pressure drop. All channels were also compared withstraight micro-channel with each and every
analysiswork. Hence CFD analysis also was done for all three channels with a simple serpentine channel
for generating streamlines during application [9].
Figure 1 pressure drop vs. Reynolds number [14] Figure 2.proposed design of micro-channel [3]
Figure 3 pressure drop variation vs. Reynolds number [9]
Table: 1 Numerical Studies

Sr. Investig Invest Cooling Materi Boundary Electronic Micro- Remarks
No. ator(s) igatio Fluid/ al used Conditions Component channel
n type mass Size/ geometry
flow rate External type and
geometry of dimensions
heat sink lc ,wc, dc ,n
(L x W x H)
RECTANGULAR SHAPE:
1 H.A. Nume Water Alumin Heat flux : Rectangular Wavy : Highest heat transfer co-
1057 ISBN: 978-93-5351-069-5

Moham rical Flow ium 100 W/m2 wavylc =2mm efficient 1.006 achieved
med et simula rate: (Ai) 10 mm × 20
wc=0.28mm
al. [14] tion Heat flux mm × 0.43
dc=0.43mm
(2011) at 100 mm λ =125 - 500
W/m2 μmn = 25
2 Lin Lin Nume Water Silicon Heat flux : Rectangular Wavy- Convective heat transfer
et al. rical Flow rate (si) 100 W/cm2 14 × 10 mm2 rectangular increased by new
[10] simula : lc=14×103μm proposed design
(2017) tion 300 K at wc=200μm
the inlet dc= 350 μm
n = 50
3 Moham Nume Nanoflui - Reynolds Rectangle Circular Optimal parameters like
mad et rical d number < 40 mm × 80 Φ = 0.8 fin and working fluid are
al. [27] simula 120 mm × 20 mm N = 8 selected for proposed
(2018) tion design
4 M.R. Nume water Silicon Thermal Rectangle Rectangular Parameters are improved
Hajmoh rical resistance : 1.4 cm × 2 cm 1.4 cm × 55 for heat transfer for slip
ammadi simula R = 0.098 × 430 μm μm × 287 μm boundary conditions
et al[8] tion (for no slip)
(2018) R= 0.19
(for slip)
5 Sajjad Nume Water copper Heat input: Rectangle Rectangular: Geometry increases the
Baraty rical Flow rate (Cu) 100 W ( High Power- lc = 3, lifetime of the system by
Beni et simula - 200 Diode Laser) wc= 0.4 44%
al. tion l/min 28 mm × 11.3 dc = 0.37,
[2] at 24 OC mm n = 14
(2017) × 1.8 mm Zigzag :
(L x W x H) lc = 3.18
Curved :
lc = 3.05
Sinusoidal:
lc = 3.30
SQUARE SHAPE:
6 Laxmi Numeri water silicon Heat sink Square Rectangular Aluminum gave optimal
dhar cal (Si), conductivit 10 mm × 10 100μm × values as a sink material
Biswa simulat alumin y: mm × 0.5 mm 300μm × for better heat transfer
l et al. ion um 100 100μm performance
[3] (Al), & W/(mˑK)
(2009) copper
(Cu)
7 Javad Numeri Nanofluid - Heat input : Square Wavy Nu = 33.2 % increased
Rosta cal :dilute 106 W 10 mm × dh=100-150
mi et simulat water-Cu 10mm×0.5mm nm
al. ion & water- λ = 200 µm
[18] Al2O3 n = 100
(2018)
MICROSTRUCTURE:
ISBN: 978-93-5351-069-5 1058

8 Javaid Numeric Water& - Reynold Microstructure serpentine Mixing efficiency of

et al al dilute number : pitch=0.8mm 86.9% achieved.
[9] simulatio dye Re = 40 A/λ=0.1,0.15
(2017) n solution ,0.2, l=30mm
Review of experimental studies:
Eylül et al. got 56% heat transfer enhancement experimentally with rectangular micro-channel at a
minimized pressure drop of 52 kpa [20].Kuo-Wei et al. experimentally and analytically proposed design
with drainage channel for pulling condensate which increases 5–15% heat transfer & also reduces
pressure drop about 5-25% during its application. In figure 6, drainage channel is shown, takes all
condensate from mainline [12].
Laxmidhar et al. numerically analyzed parameters like micro-channels count, flow rate, pressure drop and
thickness of sink base for heat transfer enhancement [3].R. vinoth et al. studied three types of micro-
channel cross sections which were semi-circular, square and trapezoidal. Their analysis showed that
among all three types of cross-sections, trapezoidal cross-section gave the highest heat transfer rate at the
highest mass flux applied. Due to which, the highest mass flux resulted in the highest penalty of pressure
drop during flow [25].
Z. Azizi et al. able to increase 0.3% heat transfer coefficient by a 5.60bar with a minimized pressure drop
of 0.15 bar using the circular sink. As shown in figure 7, cross-sectional view of proposed design is
visible [1]. A. Shivakumar et al. concluded experimentally that heat transfer rate is increased by 2 – 3%
with a penalty of pressure drop by 5.60 bar using serpentine micro-channels with using copper as a sink
material [23]. Robinet al. experimentally concluded that the mixing capability is increased with increasing
of Reynolds number from 6 to 70 for 3-dimensional micro-channels which are fabricated by the wet-
etching technique by using silicon material. In Figure 4 the modified serpentine micro-structure for 3D
flow is visible [11].Jeet et al. came up with a new idea for heat enhancement in which two types of
microchannel grooves are employed, which are rectangular groove & v-groove. In figure 5, the bubble
growth during the process is visible. Bubble growth dynamics also has been studied experimentally for
both types of micro-channels. The maximum heat transfer coefficient of about 96 kW/m2achieved by
using rectangular grooves [13].
Figure 4 serpentine micro-channels [11] Figure 5 Bubble growth of v-groove channels[13]
Figure 6 design of drainage channel feature [12] Figure 7 sectional view of Circular heat sink [1]
1059 ISBN: 978-93-5351-069-5

Table: 2 Experimental Studies
Sr. Investig Invest Cooling Materi Boundary Electronic Micro- Remarks

No. ator(s) igatio Fluid/ al used conditions Component channel
n mass Size/ geometry
type flow rate External type and
geometry of dimensions
heat sink lc ,wc, dc ,n
(L x W x
H)
RECTANGULAR SHAPE:
1 Weilin Experi Water Copper Reynolds Rectangular Rectangular 1% heat flux removal
Qu et mental Flow (Cu) number : 0.07 cm × lc= 44800 μm achieved at the outlet.
al. [17] and rate: Re = 139 to 1.0 cm × wc=231 μm
(2002) numeri Inlet at 1300 4.48 cm dc= 713 μm
cal 15ºC n= 21
2 Chanda Experi Water & Copper Reynolds Rectangular Circular tube Heat transfer rate is
Sekhar mental Diluted number : 38mm attached : enhanced by 43.83 %.
et al. Ethylene Re < 250 ×38mm L = 40 mm
[4] glycol ×2.5mm D =0.36mm
(2013) Flow rate
: 0.3-1.34
l/min
3 Mr. A. Experi CuO and Copper Reynolds Rectangular Serpentine Thermal resistance is
Sivaku mental ethylene (Cu) number : 75 mm× l = 44.9 mm decreased with using CuO
mar et and glycol Re < 1400 55 mm dc= 0.81 mm nanofluid.
al.[22] numeri Nanoflui n =5
(2015) cal d
4 Kuo- Experi fluid Alumin Mass flux : Rectangular Rectangular 5–15% increase in heat
Wei mental HFE- um 100 to 300 26 mm × 25 26mm × transfer coefficient and
Lin et and 7100 kg/m2s mm × 17.75 1.8mm about 5–25% reduction in
al. [12] analyti mm Drainage pressure drops.
(2016) cal channel :
n = 15
5 Lei Ma Experi Distilled Brass Heat flux : Rectangular Rectangular the system pressure drop
et al. mental water 30 W/cm2 46 mm × 26 fins (27.65º) about 41.31 kPa at 400
[24] and Flow mm × 2 mm lc= 5 mm ml/min flow
(2016) analyti rate: wc =0.5 mm
cal ranging dc= 1.5mm
ISBN: 978-93-5351-069-5 1060

from 100 n=27 at top &

- 400 24 at bottom
ml/min.
6 R. Experi Water Copper Mass flux : Rectangular Trapezoidal Trapezoidal cross-section
Vinoth mental and (Cu) 90-480 80 mm × 48 (Oblique 26˚) profile is found to perform
[25] Numer Al2O3/w kg/m2 mm lc= 1000 µm 4.8 % increase in heat
(2017) ical ater wc=900 µm transfer rate
nanofluid d= 800 µm
7 Yaxian Numer Refrigera Copper Heat flux : Two sink in Rectangular Reduces temperature about
Zhang ical nt R134a (Cu) 1.98 W/cm2s series & lc = 1.5 mm 10ºC.
et al. Experi Flow rate parallel : wc= 1.5 mm
[28] mental : for Rectangular dc = 0.5 mm
(2017) series : 71 mm × 51 n = 21(each
0.8 l/min mm × 12 sink)
For mm
parallel:
0.4 l/min
8 Sanket Experi water copper Heat input: - Rectangle heat transfer performance
Vartak mental 25W – 50W ( leaf pattern) is improved by 52%
et al. 25 mm × 25
[19] mm × 5 mm
(2017)
9 Gaddap Experi Water & copper Heat input: Rectangular Rectangular PCM coolant proved
awar et mental PCM 45 to 130 W 43 mm × w = 1 mm beneficial for cooling
al. [6] slurry 33 mm × dc = 1mm
(2017) 7mm
10 Eylül Experi De- Copper Heat flux: 9 Rectangular - Heat transfer rate is
Simsek mental ionized to 21 W/cm2 70 μm × 50 improved by micro-channel
et al. h2o, μm
[20] PVP-DI
(2018) h2o,Ag+P
VPfluid
SQUARE SHAPE :
11 Ghiu et Experi PF- Copper Heat flux : Square Rectangular Insulation on top of the
al[7] mental 5060 (Cu) 13 W/cm2 10x10 mm2 lw = 65-105- channel provided enhanced
(2005) Numeri fluid 360 µm, heat transfer
cal pitch= 0.7mm,
hc =0.6 mm
12 Chih Experi FC-72 Copper Heat flux : Square Rectangular Reducing the fin spacing or
Kuang mental nano (Cu) 9.8 × 105 10x10 mm2 (fins) increasing the fin length
Yu et al. Numeri fluid W/m2 Spacing= can raise the heat transfer
[29] cal 0.5,1,2 mm; rate by 10000 W/m2K
(2007) hc = 0.5,1,2,4
mm
1061 ISBN: 978-93-5351-069-5

13 Chinma Experi DI Copper Heat flux < Square Rectangular Heat Transfer Co-efficient
y M. mental water (Cu) 3000 kW/m2 10x10 mm with Fin = 995 kW/m2 achieved
Patil Numeri fw=200,500,10
[16] cal 00µm;
(2014) wc=300,400,5
00,762µm
hc=200,300,
a,b= 400µm
TRIANGILAR SHAPE :
14 Manirat Experi CNT coppe Heat input : Triangular Trapezoidal CNT with 0.005% nano
an mental nano-fluid r 100 W Upstream (Oblique 26˚) particles contaminant have
Singh et Numeri L=15-22 lc=1000 µm max. heat transfer co-
al [21] cal mm wc=900 µm efficient
(2016) W=0.5-1mm d=800 µm
H=2-7mm n= 14
CIRCULAR SHAPE :
15 Z. Azizi Experi Cu–water cu-be Heat flux 35 Circular Rectangular 0.3 % increase inheat
et al [1] mental nanofluid alloy to 50 kW/m2 L =50 mm fins,lc= 5 mm transfer co – efficient
(2015) Numeri D = 300 m wc =0.5 mm achieved with penalty of
cal dc=560 µm 0.15 bar pressure drop
n= 86
MICROSTRUCTURE :
16 Robin Experi Water& Silico Reynolds Microstruct Serpentine Enhanced micro-mixer

H. Liu mental EG, n number ure Rectangular gives better mixing &
[11] Numeri C20H14O4 nitride Re = 35 300 μm × feasible for
(2000) cal & NaOH (si3n4) 300 μm× 150 manufacturing in
Flow rate : μm geometry aspects
0.2 to 1.2
l/m
17 Cooke Experi DI water Coppe Heat Microstruct Rectangle Various structures of
et al. mental r flux>100 W ure lw= 0.19 mm, micro-channel studied,
[5] Numeri (Cu) 0. 37 mm, 72.3 kW/m2 K heat
(2011) cal 0.40 mm transfer rate is achieved
hc = 0.10 using distilled water
mm,0.40mm,
0.45 mm
18 Jeet S. Experi Water Cu Heat flux Microstruct Rectangular 18 % heat transfer rate
Mehta mental alloy 1070 kW/m2 ure V – groove improved by v groove
et al Numeri 101 hc = 22-51 μm;
[13] cal pitch=39-70 mm
(2013)
ISBN: 978-93-5351-069-5 1062

19 Yun- Experi Mixflow mono Reynold Microstruct Serpentine The pressure drop in
long mental rate : crystal number : Re ure Rectangular curve channel is larger
Zhou simulati vg= 0.8- line < 1500 l = 10 than straight but it is
[26] on 1.3m/s silicon 3 mm & 4.6 mm lower in Hydrophobic
(2016) vl=0.1-1.6 channel than the
m/s hydrophilic channel.
COMPARATIVE STUDY OF DIFFERENT GEOMETRIES:
The experimental result shows that the trapezoidal micro-channel geometry shows higher pressure drop
but provides 8.47% higher heat transfer rate when compared to other geometries in the rectangular heat
sink. Numerical investigation for three different micro-channel geometry viz. curved, zigzag and
sinusoidal micro-channels were compared and found that zig-zag channel produces higher pressure drop,
while sinusoidal channel increases cycle life.The rectangular heat sink with rectangular micro-channel
geometry produces higher pressure drop as compared to a serpentine channel.
FINDINGS
• From the literature review, it is observed that very few experimental studies have been
reportedfor serpentine micro-channels.
• It is observed that contact angles between the working fluid and micro-channel help toimprove
the overall performance of the micro-channel system.
• Mixed flow with various flow rates is also explored
• Micro-channel with curved geometry produces more pressure drop as compared to parallel
channels.
• The more pressure drop produced is commonly due to curved areas of wavy and serpentine
micro-channels.
RESEARCH GAP
• More experimental studies can be done on the heat sink by selecting various materials.
• More effective mixed flow can be achieved by introducing new mixing techniques.
• The fluid pressure drop reduction is required in the curvy channel.
• A very little research work has been reported till date which determines a method for
standardized or dedicated fluid or geometry developed for any particular application.
CONCLUSION
Micro-channel with a different configuration is extensively used for cooling of micro-electronic circuits.
The micro-channel manifold design provides a major impact on fluid streamlines during the flow. The
micro-channels with wavy geometry provide higher heat transfer coefficients compared to parallel type
1063 ISBN: 978-93-5351-069-5

micro-channel. The micro-channel with Nano-fluid as a working fluid improves the overall heat transfer
of the system. The pressure drop in the micro-channel is reduced by using a rough surface at the curved
part of the channel.
FUTURE SCOPE
• There is a scope of workby using differenttypes of working fluids with the same geometry of
micro-channels experimentally
• Enhancement scope in heat transfer rate by using modified serpentine micro-channel geometries
• There is a scope of Experimental investigation by using different heat sink materials and working
fluid.
• Scope for a reduction in pressure drop through proper selection of channel design such as
wavy/serpentine micro-channel.
• There is still exists a scope of improvement in the wavy channel heat sink through proper
selection of material and fabrication methods to reduce the pressure drop.
REFERENCES
1. Aziziet al. (2015). Convective heat transfer of Cu–water nanofluid in a cylindrical microchannel heat sink.
Energy Conversion and Management, 101, 515-524.
2. Beni et al. (2017). Design of novel geometries for microchannel heat sinks used for cooling diode lasers.
International Journal of Heat and Mass Transfer, 112, 689-698.
3. Biswal et al. (2009). Design and optimization of single-phase liquid cooled microchannel heat sink. IEEE
transactions on components and packaging technologies, 32(4), 876-886.
4. Chandra Sekhar et al. (2013). Experimental Investigation of Liquid Cooling System For Electronics
Cooling. International Journal of Engineering Research & Technology (IJERT), 1(2).
5. Cooke et al. (2010). Pool boiling heat transfer and bubble dynamics over plain and enhanced
microchannels. Paper presented at the ASME 2010 8th International Conference on Nanochannels,
Microchannels, and Minichannels collocated with 3rd Joint US-European Fluids Engineering Summer
Meeting.
6. Gaddapawar et al. (2017). Testing of Copper Based Microchannel Heat Sink Inspired by Leaf Venation
Pattern for Electronic Cooling. international Journal of Precision Technology (IJPTECH), 5(1), 2/3/4.
7. Ghiu et al. (2005). Visualization study of pool boiling from thin confined enhanced structures. International
Journal of Heat and Mass Transfer, 48(21-22), 4287-4299.
8. Hajmohammadi et al. (2018). Microfluidic effects on the heat transfer enhancement and optimal design of
microchannels heat sinks. International Journal of Heat and Mass Transfer, 126, 808-815.
9. Javaid et al. (2017). Analysis of passive mixing in a serpentine microchannel with sinusoidal side walls.
Micromachines, 9(1), 8.
10. Lin et al. (2017). Heat transfer enhancement in microchannel heat sink by wavy channel with changing
wavelength/amplitude. International Journal of Thermal Sciences, 118, 423-434.
11. Liu et al. (2000). Passive mixing in a three-dimensional serpentine microchannel. Journal of
microelectromechanical systems, 9(2), 190-197.
12. Lin K. W. et al. (2017). Enhanced condensation heat transfer for dielectric fluid within microchannel heat
sink. International Journal of Heat and Mass Transfer, 106, 518-525.
13. Mehta et al. (2013). Pool boiling heat transfer enhancement over cylindrical tubes with water at
atmospheric pressure, Part II: Experimental results and bubble dynamics for circumferential V-groove and
axial rectangular open microchannels. International Journal of Heat and Mass Transfer, 64, 1216-1225.
14. Mohammed et al. (2011). Numerical simulation of heat transfer enhancement in wavy microchannel heat
sink. International Communications in Heat and Mass Transfer, 38(1), 63-68.
15. Papautsky et al. (1998). A low-temperature IC-compatible process for fabricating surface-micromachined
metallic microchannels. Journal of microelectromechanical systems, 7(2), 267-273.
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16. Patil et al. (2014). Pool boiling enhancement through microporous coatings selectively electrodeposited on
fin tops of open microchannels. International Journal of Heat and Mass Transfer, 79, 816-828.
17. Qu, W et al. (2002). Experimental and numerical study of pressure drop and heat transfer in a single-phase
micro-channel heat sink. International Journal of Heat and Mass Transfer, 45(12), 2549-2565.
18. Rostami et al. (2018). Heat transfer by nanofluids in wavy microchannels. Advanced Powder Technology,
29(4), 925-933.
19. Sanket Vartak et al. (2017). Testing of copper-based microchannel heat sink inspired by leaf venation
pattern for electronic cooling. International Journal of Engineering Research & Technology, 5(1).
20. Şimşek et al. (2018). Heat transfer enhancement by silver nanowire suspensions in microchannel heat sinks.
International Journal of Thermal Sciences, 123, 1-13.
21. Singh et al. (2016). Experimental and Numerical Analysis of Micro-Scale Heat Transfer using Carbon
based Nanofluid in Microchannel for Enhanced Thermal Performance. Paper presented at the IOP
Conference Series: Materials Science and Engineering.
22. Sivakumar, A., Alagumurthi, N., & Senthilvelan, T. (2015). Effect of serpentine grooves on heat transfer
characteristics of microchannel heat sink with different nanofluids. Heat Transfer—Asian Research, 46(3),
201-217.
23. Ma L et al. (2016). Experimental study of single phase flow in a closed-loop cooling system with integrated
mini-channel heat sink. Entropy, 18(6), 128.
24. Vinoth et al. (2017). Channel cross-section effect on heat transfer performance of oblique finned
microchannel heat sink. International Communications in Heat and Mass Transfer, 87, 270-276.
25. Zhou et al. (2017). Gas-liquid two-phase flow in a serpentine microchannel with different wall wettability.
Chinese Journal of Chemical Engineering, 25(7), 874-881.
26. Zargartalebi et al. (2018). Heat transfer analysis of nanofluid-based microchannel heat sink. International
Journal of Heat and Mass Transfer, 127, 1233-1242.
27. Zhang, Y., Wang, J., Liu, W., & Liu, Z. (2017). Heat transfer and pressure drop characteristics of R134a
flow boiling in the parallel/tandem microchannel heat sinks. Energy Conversion and Management, 148,
1082-1095.
28. Yu et al. (2007). Pool boiling heat transfer on horizontal rectangular fin array in saturated FC-
72. International journal of heat and mass transfer, 50(17-18), 3624-3637.
29. Tuckerman et al. (1981). High-performance heat sinking for VLSI. IEEE Electron device letters, 2(5), 126-
129.
1065 ISBN: 978-93-5351-069-5

PCE007
DESIGN AND EXPERIMENTAL ANALYSIS OF SOLAR AIR

COLLECTOR FOR HYBRID DESALINATION SYSTEM
Hemin Thakkar
Research Scholar,
heminkumar@gmail.com
9427678451
Abstract
Solar thermal engineering is very interesting technical route for clean thermal applications. It is very
useful in the smart city project. Solar desalination, solar air conditioning, solar air heater, solar
dryer, solar furnace and solar space heater are major applications of solar thermal engineering. They
will play very important role for developing clean energy attitude. It is very challenging task for
mechanical engineers to design some small solar devices which will replace existing conventional
devices. In this research work a compact solar air collector was design and fabricated according to
Gujarat climate condition. Project was also included the testing the performance of solar air collector
at Government Polytechnic Ahmedabad. Solar air collector is one of the prominent components in
solar dryer, solar desalination and solar air conditioning. It short, SAC is very much useful for solar
agricultural applications and solar desalination applications.
Keywords: Solar energy, Solar air collector, Absorber plate, Dryer, Desalination.
INTRODUCTION:
Abudant amount of solar energy is received from sun in form of heat and light. This energy can be
used in different types of its applicatins like artifical photosynthesis, photovoltaics, solar
desalinations, molten solar power palnts and solar space heating, The two main fluids which can easly
used as energy storage medium in solar thermal applications are air and water.
Chauhan, P,M. et al.[1] presented drying characterictics of air collector coupled with coriander dryer
using rock as storage materials. Wazed, M,A. et al. [2] suggested two pass flate palte air collector
using metal plate as absorber considering cost,thermal performance and durability. It is possible to
increase the temperature of air upto 12.5 0C. Hematian, Amir. et al. [3] designed and fabricated flate
plate air collector using absorber made from steel. The results showed that the collector efficiency in
forced convection was lower than natural convection. Vaziri, Roozbeh. et al. [4] studied the thermal
performance of perforated glazed solar air heaters (PGSAHs) having different colors and a black
coated unglazed transpired solar air heater (UTSAH). It found that the highest values of efficiency for
black, green, blue, red, violet, light yellow and white PGSAHs were, 85%, 84%, 76%, 65%, 61%,
54%, and 55% respectively, while at the same mass flow rate the maximum value of efficiency for the
UTSAH was 50%. Fahad, A, Al-Sulaiman. et al.[5] used parabolic trough solar collector for
humidification dehumidification desalination system. The study demonstrates that the HDH
configuration with the air heater placed between the humidifier and the dehumidifier has a better
performance and a higher productivity. From above study, it was found that solar air collector with
compact configration will paly very important role in many solar thermal applications.
The solar water heater is also very interesting solar application. Many efforts are made for making
solar water heater more efficent and compact in size . Morrison,G, L. et al.[6] found that evacuated
tube solar collectors have better performance than flat-plate solar collectors, in particular for high
temperature operations.It is used for heating water. Omara, Z,A. et al.[7] evacuted tube collector for
water heating. ETC collector has 4.8 cm inner diameter and 1.8 meter length with evacuted copper
heat pipe. The effeciency of still was improved by ETC collector.Zhang, Xinyu. et al. [8] explained
RAV ratio of solar water heater tank volume to collector area. The optimum parameters to maximize
the performance of water-in-glass evacuated tube SWHs included a ratio of tank volume to collector
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area of 57–72 L/m2. The test was found that a shorter evacuated tube exhibited better thermal
performance than a longer tube. Michael Jee, Joe. et al.[9] tested flat plate solar water heater with
nano fulid Cuo. The volumetric fraction 0f cuo/water nano fluid chosen was 0.05%. The nano water
fluid incresed the performance of the sytem with the thermosyphon circulation compared to formced
circulation. H,Sheng xue. et al.[10] used solar water heater coupled with ETC and phase change
materials for energy storing. Dut ot the presence of PCM in the system, the storage volume was
reduced and the thermal performance of the system was intensified. Thakkar, Hemin. et al. [11]
found different type of solar collector for solar desalination system.It was suggested that the use of
hybrid solar collector (collector use for heating both fluid air and water) for ipmpove the performance
of the system.
Air and water both are very importnt for collecting solar energy for different thermal applications. But
in this reserch study efforts are made to fabricat efficient and compact solar air collector for solar
desalination.
COMPONENTS OF SOLAR AIR COLLECTOR :
Solar air colletcor is designed and fabricated using different components like absorbering palte, glass
cover, insulating materails, buffle plates and casing with air space. They are fabricated with local
availble materials.
Absorber plate: A dark flat plate absorber made from metal and painted with black color for better
abosrption. It is usually made form copper or aliminium as they have better conduction of heat. It can
be commonly painted by selective coatings for better absorpion and retaination of heat.
It is also possible to design single pass and double pass solar air collector. In double pass SAC, air
passed on both side of absorber palte. Wijeysundera N.E. et al.[12] suggested two pass SAC, which
was improved the efficiency by 10-15 %. Another configration of SAC with corrugated absober plate
of different shape was examinaed by Liu, Toe. et al.[13] . The performance was improved due to
increase in haet transfer area of corrugated absorber plate.
Glass cover: A transparent and less reflective glass cover that reduces the heat losses from the air
collector. It aslo known as glazzing. It facilates easly entry of solar radiation and also trap the solar
radiation inside the collector. In short , it also reduces top heat losses and provide easy entry to the
solar radiation. It reduces the losses by radiation due to green house effect and by convection due to
the motion free air layer was produced by traping the air.
A cover plate for a collector should have a high transmittance for solar radiation and should not
detoriate with time. The material most commonly used is glass. A 0.32-cm thick sheet of window
glass ( iron content, 0.12 percent ) transmits 85 percent of solar energy at normal incidence. And all
glass is practically opaque to long-wavelength radiation emitted by the absorber plate.Some plastic
materials can be used for collector glazing.They are cheaper and lighter than glass and, because they
can be used in very thin sheets, they often have higher transmittance. However, they are not as
durable as glass and they often degrade with exposure to ultraviolet radiation or high temperatures .
Figure 1 Model of solar air collector
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Buffle plates: It is made from matelic plate with black paint to increasing more contact area during
heat transfer between absorbing plate and air. The alluminium was used for buffle plates for reducing
the weight of the system.
Insulators : It is fitted to the bottom side of the collector for reducing the heat loss from the bottom
side of the air collector . Generally insulator ared made form glass wool materials. It can be used
combination with wooden play .The natural available materials like vegetable fiber and coconut coir
can be used as insulating materials. Andoh,H,Y. Et al [14] proved that the material cost of coconut
coir is 25% less than glass wool one.
Figure 2 Components of solar air collector
Figure 3 Casing with buffle plates
Casing : A box that the collector is enclosed in holds the components together, protect them from
weather, facilitates installation of the collector on a roof or appropriate frame. The input and ouput
passage (port) for entering and exit of air was provided in the casing. The material of casing was
allumimium channel for reducing weight of the system an making the device compact.
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Figure 4 Solar air collector different views
EXPERIMENTAL ANALYSIS
In the working of solar air collector, the sunlight passes through the glazing and strikes the absorber
plate, which heats up, changing solar energy into heat energy. Thus the heat is transferred to air
passing through pipes attached to the absorber plate by means of convective heat transfer. Absorber
plates are commonly painted with "selective coatings" which absorb and retain heat better than
ordinary black paint. The efficiency of solar air collector can be calculated using total heat received
from sun (recorded with pyronometer) and actual heat transfer to air using the air temperature at
outlet. The following table was calculted using recorded solar data in the month of february
2018.Thermocouples were used for measuring inlet and outlet temperatures. The velocity of air was
measured with anemometer.
Figure 5 Experimental Setup of solar air collector
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Table :1 Recorded data for solar air collector in the month february 2018
Local Time m Cp ∆T Q useful Q Efficiency

kg/s J/kg° k (K) W W 𝜂
8:00 to 9:00 0.05 1003 30 382.1 1880 20.3%
9:00 to 10:00 0.05 1003 32 520.97 2060.8 25.3%
10:00 to 11:00 0.05 1003 37 750.84 2219.8 33.82%
11:00 to12:00 0.05 1003 43 1050.76 2370.8 44.32%
12:00 to 13:00 . 0.05 1003 44 1240.21 2403.6 51.6%
13:00 to 14:00 0.05 1003 45 1367.51 2280.6 60.1%
14:00 to 15:00 0.05 1003 44.5 1295.64 2190.4 59.1%
15:00 to 16:00 0.05 1003 42 1154.19 2025.6 56.9%
16:00 to 17:00 0.05 1003 40 971.82 1825.8 53.2%
17:00 to 18:00 0.05 1003 38 770.42 1650.8 46.7%
18:00 to 19:00 0.05 1003 35 595.42 1340.2 44.4%
19:00 to 20:00 0.05 1003 33 501.62 1175 42.7%
Equation used for above calculations
Q useful = m X Cp X (Tout – Tin)

Q useful
= Q
𝑋 100
CONCLUSION
The maximum performance of solar air collector was found during noon time. The efficeincy of 60%
is possible with this solar collector. Other configrations of solar absorber plate ( corrugate ) will give
better result than flat absorber plate. The solar air collector using vegetable fiber and coconut coir as
insulating material will reduce the cost of solar air collector.
REFRENCES
1. Chauhan, P.M. Choudhury, C. and Garg, H.P. (1996). Comparative performance of coriander dryer coupled
to solar air heater and solar air heater cum rocked storage. Applied Thermal Engineering 6(16), pp. 475-486.
2. Wazed, M.A. Nukman, Y. and Islam, M.T. (2010). Design and fabrication of a cost effective solar air
heater for Bangladesh. Applied Energy 87, pp. 3030-3036.
3. Hematian, Amir. Ajabshirchi, Yahya. and Bakhtiari, Amir. Abbas. (2012). Experimental analysis of flat
plate solar air collector efficiency. IJST 5(8), pp. 3183-3187.
4. Vaziri, Roozbeh. Ilkhan, M.and Egelioglu F. (2015). Experimental performance of perforated glazed solar
air heaters and unglazed transpired solar air heater . Solar energy 119,pp.251-260.
5. Fahad, A, Al-Sulaiman. M, Ifras, Zubair. Maimoon, Atif. Palanichamy,Gandhidasan. Salem, A, Al-Dini.
Mohamed, A, Antar. (2015). Humidification dehumidification desalination system using parabolic trough
solar air collector.Applied Thermal Engineering 75,pp.809-816.
6. Morrison ,G, L. Budihardjo, I. and Behnia, M. (2004). Water-in-glass evacuated tube solar water
heaters.Solar energy 7, pp.135-140.
7. Omara , Z.,M. . Eltawil, Mohamed, A. and ElNashar, ElSayed, A. (2013). A new hybrid desalination
system using wicks/solar still and evacuated solar water heater.Desalination 325,pp.56-64.
8. Zhang ,Xinyu. You Shijun. Xu ,Wei. Min, Wang, He, Tao. and Zheng , Xuejing. (2014.). Experimental
investigation of the higher coefficient of thermal performance for water-in-glass evacuated tube solar water
heaters in China. Energy conservation and managment 78,pp.386-392.
9. Michael Jee, Joe. and Iniyan , S. (2015). Performance of copper oxide/water nanofluid in a flat plate solar
waterheater under natural and forced circulations. Energy conservation and managment 95,pp.160-169.
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10. H, Sheng xue.(2016). Experimental investigation of a domestic solar water heater with solar collector
coupled phase-change energy storage. Renewable energy 86,pp.257-261.
11. Thakkar, Hemin. Snkhala, Arvind. Ramana, P,V. and Panchal, Hitesh.(2018).A detailed review on solar
desalination techniques. International Journal of Ambient Energy, DOI: 10.1080/01430750.2018.1490351
12. Wijeysundera, N,E.Ah. Lee,Lee. and Tjioe, Lim,Ek. (1982). Thermal performance study of two pass solar
air heater. Solar energy 28,pp. 363-370.
13. Liu, Toe. Lin, Wenxian. Gao, Wenfeng. and Xia, Chaofeng. (2007).International Journal of Green
energy 4,pp.427-451.
14. Andoh,H,Y. Gbaha, P. Koua,B,K. Koffi, P,M,E. and Toure, S.(2010).Thermal performance study of a solar
collector using a natural vegetable fiber,coconut coir, as heat insulation . Energy for Sustainable
Development 14,pp.297-301.
1071 ISBN: 978-93-5351-069-5

PCE091
COMPARATIVE EVALUATION OF ARC WELDING PROCESSES ON

PITTING CORROSION AND MECHANICAL PROPERTIES FOR
DUPLEX STAINLESS STEEL WELD
Sagarkumar I. Shah Dr. Hemantkumar R. Thakkar

Ph.D. Research Scholar, GTU Associate Professor,
Asst. Prof., Mech. Engg. Dept. Mech. Engg. Dept.
AITS, Rajkot, GCET, Vallabh Vidyanagar,
shahsagar.7@gmail.com hemantthakkar@gcet.ac.in
Abstract
In current scenario developments of new chemical products and processes which demand the
materials with improved mechanical, metallurgical and corrosion resistance properties in aggressive
environments. Since last two decades new highly corrosion resistance materials such as super duplex
stainless steel (SDSS 2504) and duplex stainless steel (DSS 2205) have been introduced to accept
challenges in various aggressive environments such as petrochemical, marine, oil and gas, power
plants and other engineering applications. Duplex and super duplex stainless steels contain dual
phase of austenite and ferrite which exhibits higher strength, better stress corrosion cracking and
pitting resistance than austenitic stainless steel. Joining of duplex stainless steel is very critical due to
many uneven metallurgical changes which lead to imbalance fraction content of ferrite and austenite,
corrosion susceptibility, degraded ductility and cracks due to solidification. These review insights the
comparative analysis of different high arc welding processes using optimum process parameters
which affects the pitting corrosion and mechanical properties with considerable welding defect. This
comprehensive study emphasis on pitting corrosion resistance property by PREN (Pitting Resistance
Equivalent Number) and pitting corrosion test and on the other hand mechanical properties by
tensile, hardness and toughness test which develops an enormous attention for manufacturers,
researchers and users.
Keywords: Duplex stainless steel, super duplex stainless steel, pitting corrosion and PREN
INTRODUCTION:
Statistical data of Duplex Stainless Steel (DSS):
The statistical survey indicated that globally duplex stainless steel (DSS) production apart from all
grades of stainless steel is less than 200kT and which is about 1 % of total production of stainless
steels globally. Verma J. et al. reported that in 2004, Duplex stainless steel grades production was 0.6
% which has been published by International Stainless Steel Forum (ISSF) and then after in 2007 it
was raised to 1 %. Fig. 1 showcased the prediction of duplex stainless steel production will be raised
to 4 % in forth coming year 2020. However, Verma, J.et al. and Charles J documented austenitic
stainless steel requirement was decreased from 63.1 % in 2004 to 62 % in 2007. The reason behind
this was inconsistency in nickel price and it is also foresighted that it will be laid to 53 % till 2020 as
per Baldo S. and Verma, J.et al. Now a day stainless steels (SS) demand increases but supply of nickel
is not be able to meet the requirements due to their variation in prices which turned to use alternatives
of 300 series SS with low nickel SS grade such as 200 series and 400 series have been accelerated in
different engineering applications and environments as shown in Fig. 1. Global market survey
highlighted that austenitic stainless steel (ASS) have been utilized up to 70 %. The current trend
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emphasis on modern SS grade, duplex stainless steel (DSS) which is in demand and it will leads
increase in future for various sensitive engineering application.
Fig. 1: Stainless steels trend and forecast
Source: Baldo S. (2010)
Weldability of DSS:
Duplex stainless steel (DSS) typically consists of dual phase microstructure of ferrite and austenite in
equal proportion, leads to better corrosion and mechanical properties than austenitic stainless steel and
carbon steel having similar chemical composition as said by Charles J. Hasek. D. R. et al. reviewed
that since past two decades DSS use is accelerated due to both high strength and corrosion resistance,
e.g. for oil and gas separators, chemical tankers, desalination plants, pipelines and chemical and
petrochemicals. Backhouse A. highlighted nowadays welding of duplex stainless steels focuses on
various welding techniques such as shielded metal arc welding (SMAW), gas tungsten arc welding
(GTAW), gas metal arc welding (GMAW), plasma arc welding (PAW) and flux cored arc welding
(FCAW) and sometimes laser beam welding (LBW).
Gupta A. et al. mentioned that austenite and ferrite PREN ratio of DSSs and super DSSs should be
balanced nearby 50 % to attain superior properties. Jebraj A. V. et al. explained, it is very important to
understand alloying process in modern DSS and the solution annealing by using water quenching was
used as alloying process for balanced duplex microstructure. For balanced microstructure of DSS,
Mo, Cr, V, Nb, Ti, Si and W are the ferrite stimulating elements while C, Ni, N, Cu, Mn and Co are
the austenite stimulating elements. This combination of ferrite and austenite lattice possesses body
centered cubic (BCC) and face centered cubic structure which exhibits better strength and resistance
to stress corrosion cracking.
Jebraj A. V. et al. reported, DSS joining process depends on energy cooling rate, heat input and
homogeneity of consumable with the parent metal. However, phase balance in fusion zone (FZ) and
heat affected zone (HAZ) are affected in DSS weld which leads to better weldability. Gupta A. et al.
revealed that higher temperature and accelerated cooling rates occurs due to presence of ferrite
content in HAZ and FZ. The ill effect of this, increasing ferrite content in weld zone (WZ) which was
greater than 50 % and exhibits imbalance ratio of austenite and ferrite. Imbalance ratio ferrite-
austenite is balanced by selecting filler metal having more austenite stabilizer of Ni than base metal.
Heat input plays vital role in ferrite-austenite ratio, high heat input with slow cooling rate offers
desired phase stability but it exhibits larger grain size in FZ. Due to high heat input precipitation of
sigma σ and chi χ occurs and it has worse effect on mechanical properties.
Pitting Corrosion:
Lippold, J. C. investigated that pitting is generally attack at localized site which is identified by pits or
holes in surface of any metal. Pitting is very difficult to investigate until the material has been
extremely attacked as it is inner form of corrosion. Usually pits are growing in gravity side;
occasionally grow in vertical direction from the horizontal surface at bottom. Fig. 2, show that there is
minor noticeable surface deterioration, however corrosion attack is considerable at subsurface. Local
cell of corrosion during pitting forms with effect of dissolution of anodic metal in to pit by
autocatalytic process.
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Fig. 2: Illustration of pitting attack
Source: Lippold, J. C. (2014).
Pitting corrosion can be handled by selecting convenient alloy and for this nickel base and duplex
stainless (DSSs) grade alloys are advisable. Effect of alloying element mentioned by Lippold, J. C. in
Table 1 plays a vital role in pitting corrosion and it is not avoidable in weld region of SS and thus
localized pitting attack is enhanced when elemental partitioning during weld solidification occurs.
Many factors are influencing pitting resistance like presence of intermetallic phases, elemental
partitioning between two phases, PREN (Pitting Resistance Equivalent Number) value and
austenite/ferrite ratio. Pitting behavior of DSS is measured by PREN value using
PREN=%Cr+3.3%Mo+(16–30)%N equation. Different PREN values for both phases due to different
elemental partitioning. PREN value is also control the pitting resistance of DSS. Paulraj, P. et al.
showcased that if both phases consists equal PREN value, then it is best corrosion resistance. Table 2
highlighted by Lippold, J. C which refers the PREN values for most common grades of austenitic
stainless steel (ASS) and duplex stainless steel (DSS).
Table 1: Pitting corrosion – Effect of alloy element Table 2 ASS and DSS pitting resistance equivalent
number (PREN)
Source: Lippold, J. C. (2014)
Paulraj P. et al. observed that cause of pitting corrosion in DSS is the localized deterioration of
passive protective layer. There are various techniques documented by Cervo, R. et al., to investigate
susceptibility of pitting corrosion such as ASTM G5 - potentiodynamic polarization test by analyzing
pitting and corrosion potential, ASTM G150 – critical pitting temperature by evaluating highest
considerable working temperature for test specimen and ASTM G48 – gravimetric test weight loss of
tested specimen is measured by immersing specimen in to chloride solution [24].
Precipitation occurs during welding process due to inflation in service temperature above 300˚C. As
increase in temperature at high heat input leads to imbalance ferrite/austenite ratio and attain high
austenite content compared to ferrite content. This is resulting formation of carbide, brittle and nitride
phases in large amount. One another parameter investigated by Elsaady, M. A. et al., Cervo, R. et al.
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fast cooling rate is also cause of austenite and ferrite ratio after welding and it highlights that high
ferrite content compared to austenite content.
Pitting Corrosion Test Procedure as per ASTM G48-A :
Standard test procedure for pitting corrosion resistance of stainless steels and related alloys by using
ferric chloride solution as per ASTM G48-A is given in Fig. 3.
Fig. 3: Pitting Corrosion Test Procedure as per ASTM G48-A
Source: Designation, A. S. T. M. (2009)
Mechanical Properties and Chemical Composition:
Mechanical properties of duplex grade stainless steels:
Phenomenal mechanical properties owned by duplex stainless steel and are given in Table 3. As per
ASME Section II A. International Molybdenum Association (IMA) mentioned that duplex stainless
steel attains yield strength twice that of austenitic stainless steel at room temperature and solution
annealing condition, while DSS plate exhibits toughness mostly between 0.5 to 0.66 times in
transverse direction than the longitudinal direction on specimen.
Table 3: Minimum ASTM mechanical property limits for duplex stainless steel plate
Yield Tensile Elongation Max Max.
UNS
Grade strength strength, in 2 inch Brinnel Rockwell B
No.
0.2% MPa MPa % Hardness Hardness
2304 S32304 400 600 25 290 32
2205 S32205 450 620 25 293 31
2507 S32750 650 795 15 310 32
Source: Boiler, A. S. M. E., & Code, P. V. (2013). Section II Materials. Part A–Properties
Ductility of DSS is considerably not as good of the ASS and to avoid crack in the specimen bend
radius needs to more. Ductility of DSS can be enhanced by annealing cycles. Machinabilty of the DSS
is poor because it exhibits greater hardness and rate of work hardening than that of commercial ASS
grade as per IMA.
Chemical composition of duplex grade stainless steels and consumables:
Table 4 showcased chemical compositions of duplex grade stainless steels and consumable which are
used for joining of metal with acceptable mechanical and corrosion resistance properties.
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Table 4: Chemical composition of duplex grade stainless steels and consumables
Chemical Composition (%)

Material Grade
C Mn P S Si Cr Ni Mo N Cu W
4.5- 0.14- -
2205 0.030 2 0.030 0.020 1 22-23 3-3.5 -
6.5 0.2
Base 21.5- 0.05- 0.05- 0.05- -
2304 0.030 2.5 0.040 0.030 1 3-5.5
metal 24.5 0.06 0.20 0.6
0.24- -
2507 0.030 1.2 0.035 0.02 0.80 24-26 6-8 3-5 0.5
0.32
21.5- 7.5- 2.5- 0.08- -
ER2209 0.030 0.5-2 0.030 0.030 0.90 075
23.5 9.5 3.5 0.20
21.5- 8.5- 2.5- 0.08- -
E2209 0.04 0.5-2 0.040 0.030 1 0.75
23.5 10.5 3.5 0.20
4.5- 2.9- 0.1- 1.5- -
ER2553 0.040 1.5 0.040 0.030 1 24-27
Consum 6.5 3.9 0.25 2.5
-ables 6.5- 2.9- 0.10- 1.5- -
E2553 0.060 0.5-1.5 0.040 0.030 1 24-27
8.5 3.9 0.25 2.5
8- 2.5- 1
ER2594 0.030 2.5 0.030 0.020 1 24-27 0.2-0.3 1.5
10.5 4.5
8- 3.5- -
E2594 0.040 0.5-2 0.040 0.030 1 24-27 0.2-0.3 0.75
10.5 4.5
Source:Boiler, A. S. M. E., & Code, P. V. (2013). Section II Part A and C
This paper aimed for review insight pitting corrosion and mechanical properties in DSS weld using
various arc welding processes.
OBJECTIVES OF REVIEW:
The objectives of this present review are:

• To explore significant of phase precipitation during DSS weld.
• To identify appropriate consumables for DSS weld at considerable heat input
• To investigate effect of various arc welding processes on pitting corrosion resistance and
mechanical properties
LITERATURE REVIEW:
Phase Transformation:
However, during welding of DSS various secondary phases can be handled and generated in between
250˚ C and 1000˚ C temperature. Verma, J et al., Elsaady, M. A. et al., Karlsson, L., Bettahar, K. et
al., Urena, A., et al. revealed, the detrimental precipitation various phases like chi (χ), sigma (σ),
carbide and nitride are resulting deterioration of material strength and corrosion property [7, 8]. DSS
base metal primarily consists of equal proportion of ferrite and austenite content as shown in Fig. 4
with high resolution micrographs.
Fig. 4: DSS base metal Micrograph (a) Optical, (b) Scanning Electron Microscope (SEM) (c) Transition Electron Microscope
(TEM)
Source: Verma, J., & Taiwade, R. V. (2017)
ISBN: 978-93-5351-069-5 1076

Wang, X. G. et al., Karlsson, L. et al. investigated, first intermetallic phase precipitate at some extent
of temperature ranges and time is somewhat short which should be taken in to consideration while
framing duplex stainless steel procedure. Also, Baldo S. and Verma J. et al. examined that R phase,
secondary austenite, π phase and spinodal decomposition occurs at temperature range between 300˚C
and 650˚C. Further details about temperatures precipitation and crystal structure are reported in Table
5.
Sigma (σ) phase is silicon, molybdenum and chromium enrich phase which precipitates in
temperature range between 600˚ and 1000˚C reported by Calliari, I.et al. This is intermetallic phase in
which critical temperature range is 850˚C to 900˚C, leads to quick precipitation thus resulting poor
corrosion resistance and mechanical properties referred by Baldo S., Josefsson, B. et al., Chen, T. H.
et al., Calliari, I. et al. During this phase ferrite is transformed to austenite due to eutectoid reaction in
which ferrite grain boundaries are nucleates reported by Verma, J. et al. Baldo S., Josefsson, B. et al.,
Chen, T. H. et al. summarized that Solution annealing temperature modification and cooling rate are
playing crucial role to optimize sigma phase formation.
Table 5: Duplex Stainless Steel (DSS) Phase Precipitation Critical Temperature Range
Phases in DSS Nominal chemical formula Temperature Range (⁰C)

σ phase Fe-Cr-Mo 600-1000
Chromium nitride Cr2N 700-900
Chromium nitride CrN 900-1000
χ chi phase Fe36 Cr12 Mo10 700-900
R phase Fe-Cr-Mo 550-650
π phase Fe7Mo13N4 550-600
τ phase - 550-650
Carbide M7C3 950-1050
Carbide M23C6 600-950
Source: Verma, J., & Taiwade, R. V. (2017)
Baldo S., Nilsson, J. O., Escriba, D. M. et al., Duprez, L. et al. observed that chi (χ) phase is also
chromium-molybdenum enriched phase having critical temperature between 700˚C to 900˚C. The ill
effect of chi phase precipitation is high Mo content which causes slow diffusion process, larger aging
time and low cooling rate.
Baldo S. and Nilsson, J. O. found that nitrides (Cr2N, CrN) phase formation occurs due to faster
cooling in temperature range from 700˚C to 900˚C and precipitation chromium nitride is Inter-
granular.
Baldo S. and Nilsson, J. O. revealed that carbide (M23C6, M7C3) phase is carbon enriched phase and
precipitates in temperature between 600˚C to 1050˚C. M23C6 formation is very ordinary and usually
forms below 950˚C temperature. However M7C3 formation occurs at high temperature range from
950˚C to 1050˚C. This phenomenon can be solved by controlling in carbon percentage in SS and
DSSs are recommended.
Miranda Pérez et al. investigated, R phase and π phase are Mo enriched phase and it precipitates in
temperature between 550˚C to 650˚C. The ill effect on these phases is heat treatment process at
constant temperature 600˚C which leads to pitting corrosion and embrittlement in duplex stainless
steel.
Spinodal decomposition and secondary austenite phase comprises of ferrite and it forms after high
aging time in between 300˚C to 600˚C temperature and prone to embrittlement reported by Baldo S.,
Verma, J. et al. and Escriba, D. M. et al.
High Arc Energy Welding Processes:
Metal joining process is having significant effect on corrosion and mechanical properties of DSS weld
which is fully dependent on structure. All major types of high arc energy welding processes are
suitable for DSS 2205 such as shielded metal arc welding (SMAW) by Elsaady, M. A.et al., gas
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tungsten arc welding (GTAW) by Elsaady, M. A.et al. and Paulraj, P. et al., submerged arc welding
(SAW) by Wu, M., Liu et al., flux cored arc welding (FCAW) by Saha, M. K. et al., gas metal arc
welding (GMAW) by Múnez, C. J. et al. and pulsed current gas tungsten arc welding (PCGTAW) by
Abdollahi, A. et al. and Yousefieh, M. et al.
Among, all these high arc energy welding processes comprises of merits and demerits with concern to
microscopic examination. Significant work carried out on DSS 2205 weld prefers heat input range
from 0.50 kJ/mm to 2.50 kJ/mm. Jebaraj, A. V. et al. observed that at low heat energy, cooling rate
becomes faster, leads to greater amount of ferrite phase forms which degrade the tensile property and
toughness but better corrosion property. While at high heat energy, cooling rate becomes slower, leads
to large amount of Inter-granular and widmanstatten austenite phases are precipitated in ferrite grains
which cause improved mechanical properties but poor corrosion property.
Shielded Metal Arc Welding (SMAW) and Gas Tungsten Arc Welding (GTAW) Process:
M.A. Elsaady et al. investigated pitting corrosion for prolonged temperature for DSS 2205 weld using
two welding processes shielded metal arc welding (SMAW) and gas tungsten arc welding (GTAW)
are carried out and at the end comparison of two processes is done with respect to corrosion rate at
different temperature and aging time. Consumable used for SMAW is ER2209 and for GTAW is
E2209. The study has revealed that at 850˚C temperature high metal loss and serious pitting corrosion
attained and at 1050˚C temperature effect of pitting corrosion is nullify as shown in Fig. 5.
Fig. 5: Metal loss in DSS 2205 weld at various aging time and temperature (a) SMAW (b) GTAW
Source: Elsaady, M. A., Khalifa, W., Nabil, M. A., & El-Mahallawi, I. S. (2016)
At the end it is concluded that DSS 2205 weld by GTAW showcased more desirable than the SMAW
for pitting resistance. Critical temperature range from 650˚C to 850˚C at which severe pitting attack
found with simultaneously increase in aging time. However, pitting resistance improved at
temperature range from 950˚C to 1050˚C with increase in aging time. For all aging temperature,
ferrite and sigma phase initiates the pitting attack.
Paulraj, P. et al. investigated pitting performance with effect of different welding parameters on DSS
and SDSS by GTAW process using 22.8.3.L and 25.10.4.L duplex grade consumables. The
conclusion drawn from the experiments and test results, it revealed that higher nitrogen content in
shielding gas, low heat input and inter-pass temperature exhibits better corrosion resistance property.
Wang, S. et al. characterized the microstructure, mechanical properties and corrosion resistance of
dissimilar welded joint between 2205 duplex stainless steel and 16MnR using SMAW and GTAW
process with ER2209 and E2209 filler metal respectively. Scanning electron microscope, optical
microscope and transition electron microscopy is used to investigate welded joint microstructure.
From the test result it has been concluded that microstructure of both welded joints are contain high
content of austenite and acicular ferrite, which enhances the corrosion resistance and mechanical
properties as shown in Fig. 6. Also, sigma phase is not observed during analysis. Impact toughness in
SMAW showcased quasi-cleavage fracture, while in GTAW ductile failure. However, in tensile
strength both process having acceptable result.
ISBN: 978-93-5351-069-5 1078

Fig. 6: Microstructure of weld metal: (a) GTAW joint and (b) SMAW joint
Source: Wang, S., Ma, Q., & Li, Y. (2011)
From this research it has been noticed that pitting attack susceptibility can be evaluated using chloride
solution and it revealed that GTAW process is having potential than SMAW process.
Submerged Arc Welding (SAW) Process:
Mingfang Wu. et al. evaluated the DSS 2205 weld in aspects of pitting corrosion and microstructure
using submerged arc welding (SAW) process. For SAW 2205 filler wire and 805 flux is used. The
effects of both heat input and groove type on the ferrite/austenite ratio and elemental diffusion of weld
joints were investigated. Results showcased that single V and double V groove, base metal offers
better corrosion resistance than weld metal. Table 4 highlight that single V groove is better ability of
self repairing in passive film of weld region. However, pitting corrosion susceptibility is more in
fusion zone of coarse grained heat affected zone, thus to attain considerable ferrite/austenite ratio heat
input should be controlled compulsory.
Table 6 lists the electrochemical parameters Eb and Eb–Ep. The Eb represents breakdown potential of
passive film. Higher pitting resistance of the material is achieved at greater value of Eb. However
better self repairing ability is attained at lower value of Eb–Ep. Table 6 pointed out that both welded
joint were susceptible to pitting attack than base metal.
Table 6: The electrochemical parameters of base metal and welded specimens
Source: Wu, M., Liu, F., Pu, J., Anderson, N. E., Li, L., & Liu, D. (2017)
Pitting corrosion resistance and chemical composition of alloying element was evaluated by pitting
resistance equivalent number (PREN) having equation PREN=%Cr+3.39%Mo+169%N. Lower value
of PREN for specimen considered as poor pitting corrosion resistance property. For base metal, single
V groove and double V groove PREN were calculated and obtained values of 34.1, 33.3 and 33.6
respectively. At the end it is revealed that DSS 2205 exhibits slight better pitting resistance than single
V and double V groove welded specimen.
Flux Cored Arc Welding (FCAW) Process:
Saha, M. K et al. investigated effect of heat input for corrosion resistance property in DSS cladding
using flux cored arc welding (FCAW) on flats of low alloy. In this research, DSS graded E2209 T0-1
filler metal and 100 % CO as shielding gas was used for low alloy steel E250. In this present work,
three different levels of heat input 0.49, 0.56 and 0.66 kJ/mm is selected for experiments.
Results of corrosion test as per ASTM G48, clearly indicate that increasing heat input increases
corrosion rate as shown in Fig. 7. At higher heat input, solidification time is more as solid state
transformation causes more austenitic precipitation from single phase ferrite that may have increased
1079 ISBN: 978-93-5351-069-5

corrosion rate. Least corrosion rate is found at the lowest heat input, i.e. 0.49 kJ/mm. At high heat
input of 0.66 kJ/mm, maximum corrosion rate is found. Results also indicate that increasing welding
current at the same level of heat input decreases corrosion rate. So, least heat input 0.49 kJ/mm is
recommended.
Fig. 7: Plot of pitting corrosion rate with heat input of duplex stainless steel clad piece obtained in two replications
450
Pitting Corrosion Rate
400
350 1st Replication
(gm/m2hr)
300
250 2nd Replication
200
150
100
0.45 0.5 0.55 0.6 0.65 0.7
Heat Input (Kj/mm)
Source: Saha, M. K., Mondal, J., Mondal, A., & Das, S. (2018)
Gas Metal Arc Welding (GMAW) Process:
Múnez, C. J et al. [30] analyzed influence of the filler material on pitting corrosion in welded duplex
stainless steel 2205 using gas metal arc welding (GMAW) process. In experimental work joints were
made using three variants of fillers metal were used, one of duplex ER2209 and two of austenitic
ER316LSi and ER308LSi. From scanning electron microscopic (SEM) examination it has been
observed that weld bead of 2205-ER 2209 joint showcased columnar grains of ferrite structure with
widmanstatten austenite at grain edges. Whereas austenitic fillers shows austenitic structure of
columnar grains with ferrite content attained in interdendric vacancies as shown in Fig. 8.
The result of experiment concludes that the joint produce by ER2209 confirmed that pitting resistance
property is very close to the base metal and maintain the mechanical property. However, pitting
resistance is having poor results with austenitic filler metal and it is noted that ER316LSi more
preferable than ER308LSi although it has higher Mo content. While ER308LSi exhibits better
mechanical properties.
Fig. 8: SEM microstructure of DSS 2205 at fusion zone with different filler metals (a) ER2209, (b) ER316LSi, (c) ER3087LSi
(d) Ferrite grain precipitation
Source: Múnez, C. J., Utrilla, M. V., Ureña, A., & Otero, E. (2010)
Pulsed Current Gas Tungsten (PCGT) Process:
Abdollahi, A. et al. investigated welding behavior of dissimilar metal between UNS S32750 and AISI
321 by using optimized parameters. Comparative analysis of pulsed current gas tungsten arc welding
(PCGTAW) and constant current arc welding (CCGTAW) have been carried out by with ER2594
ISBN: 978-93-5351-069-5 1080

filler rod at considerable parameter. Pitting resistance property has been obtained by potentiodynamic
polarization test at room temperature with NaCl solution of 3.5 % fraction.
This research is emphasis on microstructural investigation, mechanical properties and pitting
corrosion resistance. Microstructural investigation showcased that equal proportion of austenite and
ferrite content are attained in weld of PCGTAW. On the other hand in weld of CCGTAW 40 % of
ferrite and 60 % of austenite attained.
Fig. 9 and 10 revealed that the average values of hardness and toughness in weld zone of PCGTAW
were better than that of CCGTAW. However, corrosion potential is better in CCGTAW than
PCGTAW. As it clear that PCGTAW process is recommended.
Fig. 9: PCGTAW and CCGTAW microhardness at weld metal Fig. 10: Charpy V notch average impact enrgy at base
metal and weld metal
Source: Abdollahi, A., Shamanian, M., & Golozar, M. A. (2018)
Yousefieh, M. et al. optimized the pulsed current gas tungsten arc welding (PCGTAW) parameters
such as pulse current, background current, % on time and pulse frequency for corrosion resistance of
super duplex stainless steel (UNS S32760) welds using the Taguchi method. Anodic polarization test
at room temperature in 3.5 % NaCl solution was performed to evaluate corrosion resistance. From the
four parameters at three level tested and it has been evaluated that the pulse current having most
significant effect and contribution on the pitting potential and the background current having next
most significant effect compared to pulse frequency and % on time. Although pitting potential is also
close to predicted and observed value.
RESEARCH SUMMARY:
Among these processes more research carried out using high arc welding processes with
recommended consumable and heat input to investigate mechanical and corrosion resistance
properties which is summarized in Table 7.
Table 7: Mechanical and corrosion resistance properties of various arc welding process with recommended consumable
and heat input
Consumable Heat Average Average

Average Average Pitting
Welding Input Tensile Impact
Shielding Hardness Corrosion
Process Filler Range Strength Toughness
Gas & (HV) Behavior
Metal (kJ/mm) (Mpa) (Joule)
Flux
36-60 Pitting Potential
SMAW E 2209 - 0.95-1.70 808 264-270
(-40˚C) (Epit) 0.89-0.92 V
Gas
0.615- 40-70 Pitting Potential
GTAW ER2209 Ar + 780 228-283
1.30 (-40˚C) (Epit) 0.33-0.48 V
2%N
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106
Gas 100-140 Pitting Potential
PCGTAW ER2209 621-654 257-327 (Room
Ar A (Epit) 1.03 -1.06 V
Temp.)
Gas Critical Pitting
GMAW ER 2209 Ar, Co2, 0.3-0.5 730 290-407 - Temperature (CPT)
N 44˚C
Pitting Potential
FCAW E2209 - 0.49-0.66 890 - -
(Epit) 0.22-0.50 V
Critical Pitting
56-117
SAW ER2209 Flux 805 1.13- 2.6 791-798 275-277 Temperature (CPT)
(-20˚C)
55-60 ˚C
Source: Elsaady et al. (2016), Paulraj, P. et al. (2016), Wu, M. et al. (2017), Saha, M. K. et al. (2018), Múnez, C. J. et al.
(2010), Abdollahi, A. et al. (2018), Yousefieh, M. et al. (2011), Gupta, A. et al. (2018), Geng, S. et al. (2015), Muthupandi,
V. et al. (2003), Rahmani, M. et al. (2014), Ramkumar, K. D. et al. (2015), de Salazar et al. (2007), Kang, D. H. et al.
(2012), Zhang, Z. et al. (2017) and Luo, J. et al. (2013)
CONCLUSION:
By rigorous investigations on mechanical and corrosion resistance properties of DSS weld are
summarized in this present review from recent literature survey. It is revealed from comprehensive
literature as follows:
1. DSS 2205 weld σ phase, Chromium nitride, χ chi and carbide precipitation occurs at 600-
1000˚C. In this temperature range weld metal is more sensitive pitting corrosion.
2. ER 2209 and E 2209, nickel enriched filler metal as well as argon shielding gas with added
nitrogen, having significant effect on microstructure which exhibits considerable austenite
ferrite ratio during welding of DSS 2205. From the rigorous research it has been summarized
that range of heat input may be consider in range from 0.50 kJ/mm to 2.50 kJ/mm. For better
result low heat input is recommended.
3. SMAW, GTAW, FCAW and SAW showcased better average tensile property 780 to 890 Mpa
in DSS 2205 weld at high heat input. At high heat input, cooling rate becomes slower and
leads to precipitation of sigma and chi phase which is more susceptible to pitting corrosion.
Thus, heat input needs to be controlled
4. However highest average pitting potential 1.03 to 1.06 V in PCGTAW compared to SMAW,
GTAW and FCAW. As a result PCGTAW process is preferable to enhance pitting resistance
property but it exhibits lower average tensile strength 621 to 654 Mpa compared to other
processes.
5. Critical pitting temperature range (CPT) of SAW compared to GMAW, is highest average 55-
60˚C which attributes better pitting resistance.
6. Maximum average hardness found in GMAW process 290-407 HV and better toughness is
found to be in SMAW, GMAW and SAW process.
However, welding of DSS 2205 using SMAW, GTAW, PCGTAW, GMAW, FCAW and SAW are
meet the requirements of the mechanical properties within the considerable parameters. While in case
of pitting resistance SMAW, GTAW and PCGTAW is recommended.
FUTURE SCOPE:
Based on past literature, DSS 2205 welding for thick section is less reported with high arc welding
process. So, the investigation regarding microstructural, mechanical and corrosion resistance
properties needs to be analyzed. Advance welding techniques such as A-TIG, PCGTAW and hybrid
arc welding process required in depth research for DSS 2205 weld.
ISBN: 978-93-5351-069-5 1082

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[37]. Verma, J., & Taiwade, R. V. (2017). Effect of welding processes and conditions on the
microstructure, mechanical properties and corrosion resistance of duplex stainless steel
weldments—A review. Journal of Manufacturing Processes, 25, 134-152.
[38]. Voronenko, B. I. (1997). Austenitic-ferritic stainless steels: A state-of-the-art review. Metal
Science and Heat Treatment, 39(10), 428-437.
[39]. Wang, S., Ma, Q., & Li, Y. (2011). Characterization of microstructure, mechanical properties
and corrosion resistance of dissimilar welded joint between 2205 duplex stainless steel and
16MnR. Materials & Design, 32(2), 831-837.
[40]. Wang, X. G., Dumortier, D., & Riquier, Y. (1991). Structural Evolution of Zeron 100 Duplex
Stainless Steel Between 550 and 1100 deg C. Duplex Stainless Steels'91., 1, 127-134
[41]. Wu, M., Liu, F., Pu, J., Anderson, N. E., Li, L., & Liu, D. (2017). The Microstructure and
Pitting Resistance of Weld Joints of 2205 Duplex Stainless Steel. Journal of Materials
Engineering and Performance, 26(11), 5341-5347.
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[42]. Yousefieh, M., Shamanian, M., & Saatchi, A. (2011). Optimization of the pulsed current gas
tungsten arc welding (PCGTAW) parameters for corrosion resistance of super duplex
stainless steel (UNS S32760) welds using the Taguchi method. Journal of Alloys and
Compounds, 509(3), 782-788.
[43]. Zhang, Z., Jing, H., Xu, L., Han, Y., Zhao, L., & Zhang, J. (2017). Influence of
microstructure and elemental partitioning on pitting corrosion resistance of duplex stainless
steel welding joints. Applied Surface Science, 394, 297-314.
[44]. Zou, D. N., Wu, K., Han, Y., Zhang, W., Cheng, B., & Qiao, G. J. (2013). Deformation
characteristic and prediction of flow stress for as-cast 21Cr economical duplex stainless steel
under hot compression. Materials & Design, 51, 975-982
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PCE219
A REVIEW ON SEAMLESS INTEGRATION BETWEEN CAD, CAPP AND
CAM SOFTWARE BY USING THE STEP DATA FOR ROTATIONAL
PART.
Bintul J Patel V S Bali

Student, Assistant professor,
SVIT, Vasad. SVIT, Vasad.
Patelbintul72@gmail.com viswabali@gmail.com
8511688571 7016539772
ABSTRACT
Achieving manufacturing flexibility and improvement in production efficiency by adopting automatic
production activities becoming major significant issue for manufacturing industries. In this regard, the
integration between CAD/CAPP/CAM models is major key area for attention. In this integration CAPP
(Computer-aided process planning) play a role as bridge between CAD (Computer aided design) and
CAM (Computer-aided manufacturing) software. The data saved in the CAD model is directly transfer to
CAPP and from CAPP to CAM for seamless integration between each other. In this paper, the CAD
software is used which has ability to representing the designed rotational part model in STEP AP-214 as
natural file. Using the neutral file as input, CAPP system recognize and extract the features of the model
and also generate the process plan for manufacturing purpose. The module will be developed for
generation of CNC program for the part by using of information about feature recognition. The CNC
program is exported to any CAM package for verification of the process plan generated for the part. The
entire work and the software modules has been validated by the real life example part.
Keywords: Feature reorganization, Neutral file, Seamless integration, STEP (standard for the
Exchange of Product Model Data), Feature extraction.
INTRODUCTION
For achieving manufacturing flexibility and increasing production efficiency by automatic

production activities becomes major significant issue for manufacturing industries. For reducing the issue
generated in manufacturing industries, CIM (Computer Integrated Manufacturing) approach is a
conceived as most prospective way to attain it. In this module, to support the life cycle of product the
computer aided systems work together as integrated approach. In this integration CAD (Computer Aided
Design), CAPP (Computer Aided Process Planning) and CAM (Computer Aided Manufacturing) is
recognized as key area for attention. In this integration CAPP play a role as bridge between CAD and
CAM, which are remarkably different from each other. In this integration each software work as
independently for whole life cycle of product, i.e. (CAD software is used for design & CAM is used for
manufacturing purpose). And the integration issue is normally not focused in their development.
CAPP is the application of computer to help the human process planner in process planning function.
For seamless integration between computer aided systems, the data saved in database of CAD model
during designing process should directly flow to CAPP and then to CAM system respectively. From this
statement, we can say that in actual manufacturing system, there is always need to manage the data
transfer between each system for various application. Transferring the data between each system is
practically very difficult, because each system has its personal internal data format. For resolve the data
ISBN: 978-93-5351-069-5 1086

transposition issue a generic file format is used, which can easily read by any computer aided systems. By
using direct data translation between CIM applications the data can be altered but the issue is that, every
different system required different translators. So in the world, to handle entire computer aided systems
many different amount of translators are used. “The file with different formats which is free of any
definite standard and act as a representative to communicate dissimilar computer system due to data
format incompatibility is called as neutral file.”
It should be noted that neutral format is the permissible and comfortable format with in
manufacturing industries. A review show that show that, to achieving the integration into manufacturing
industries they are used neutral file formats. In this research, I9SO standard STEP-10303-21 with
different application protocols i.e. (AP-203, AP-214, AP-224) is recommended to be the standard form of
the neutral file. By using the neural file as input CAPP system developed the DXF file of the part from its
CAD representation. DXF is capable for development of automatic feature reorganization, machining
planning and for generation of CNC codes. The different types of methods used for the feature
reorganization, feature extraction and process planning generation are study in this research.
STANDARD FOR THE DATA EXCHANGE OF PRODUCT MODEL DATA. (STEP)

For exchange and sharing the engineering data, the mechanism is developed by using the STEP
approach. To make computer system understandable for representation and product data exchange the
ISO-10330 is international standard. The main objective is that to manage the neutral mechanism as
capable to describing product data to entire lifecycle of approach. For mechanical parts, the product data
description has been standardized as ISO-10303, and it is known as step. By using this nature of
description STEP is not only suitable for data exchange, but also for implementing and sharing product
database.
For product data representation and exchange in manufacturing industries STEP-10303 approach is
used widely. STEP has capability to share the data between different application and it also includes
different types of international standard with the purpose of describing the data between the
manufacturing life cycle and full engineering. For various application purpose STEP has number of
application protocols (AP). In STEP approach the geometrical data including boundary representation
data (shells, faces, and vertices), surface geometry (planes, cylinder, and cones) and curve geometry
(lines, circles, ellipse, and b-spline curves) are converted into text file. The description of some STEP
element is shown in Table 1.
Table 1: The Brief Description of Some STEP Elements

ADVANCE_FACE The face that associated with a type of surface.
CIRCLE A circle in which the geometry is defined by the
associated surface, boundary and vertices.
CARTESIAN_POINT Location of a point in Cartesian space.
CYLINDRICAL_SURFACE A face of cylinder in which the geometry is
defined by the associated surface, boundary and
vertices.
LINE A line in which the geometry is defined by the
PLANE A plane in which the geometry is defined by the
Source:[1]
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CREATION OF STEP NATURAL FILE BY USING ANY CAD SOFTWARE.

The STEP neutral file of a CAD model can be created using any CAD package which supports STEP
applications using following steps,
1. Create or open the 3D model of the designed part.
2. Save the file using the option of saving the file with an extension “.stp”.
3. Specify a name to this file, which become major input for the proposed work.
The STEP file of the CAD model is created and saved with an extension .stp which is in ASCII
format can be opened any text editor and can read from a computer program easily.
METHODS FOR FEATURE EXTRACTION OF PART.

To producing the product, machine are directly depend on product information. Thus, to produce the
proper product information feature extraction is the significant key area for research. Therefore to raising
the accuracy, CAD data required to be extracted. The data generated during the CAD models will be used
for machining planning, feature recognition, producing products and time scheduling. For increasing the
productivity and reduce the production cost was inspire to the programmer to develop the manufacturing
system. For machining process extracted data from the CAD model is needed. Extraction is used for
extract the line, text, arcs, boundaries and circles of the component. In current study the issue related to
extraction of CAD model data from its STEP neutral file. To evolution of the information related to
product and this information can be utilized for downstream activities of CAPP mainly for feature
reorganization and machining planning. [1] are used rule based algorithm for extracting the holes feature
mostly found in tools, die industries and machined components. The rule based algorithm for through
hole in xy plane by is written as below: [1]
If
Circle iX and circle iY for a same circle with circle
iX and circle iY for other circle and same with
Circle jX and circle jY for one of the cylindrical
And
The CIRADIUS for same circle same with
CIRADIUS for other same circle and also same with
CYRADIUS for the same cylindrical
And
CIPLANE for one of the circle is FALSE
And CIPLANE for other circle also must be FALSE
Then, the result is through hole.
[2] used implementation method and developed the algorithm, which is capable to determine the
type and orientation of each face using the B-Rep data base including all topological and geometrical
information for the object and the B-rep data base is modified accordingly. The algorithm used for
geometric data extraction is as below:
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Figure 1: Geometric Data Extraction (GDE) Algorithm. [2]
[3] & [4] utilized the generalized program developed in C++ language for the development of
feature extraction module. According to the researchers in this paper they are used a part for the truing
operation and consider the starting point from the right side of the part. C++ language has abilities to
represent and extract the topological and geometrical data from STEP files into easy way. [5] used the
generalized JAVA program module for the milling feature extraction process. To reduce the human error
the automation for the feature extraction is the best way. According to this statement [6] worked on it and
give the program developed by using the JAVA language for the prismatic parts. By input the STEP file
the program give the information about feature extraction. According to [7] features are also extracted by
using the concave test method for the part generated in any CAD software. The approach for feature
extraction is object- oriented approach. It has abilities to extract the b-rap data of every parts from the
STEP file very easily.
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[8] extract the feature from the prismatic part by using of the object-oriented approach. [9] used
volume decomposition and knowledge based approach, by using volume decomposition method the one
recognized volume converted in to many small volumes like slots, holes, etc. [10] used the EXPRESS
language for the non- planer surfaces for the extraction of the features.
FEATURE RECOGNIZATION METHODS

Mainly, in CAPP system, feature reorganization is used for translating the design features into
manufacturing feature. By using the details of geometrical and topological parameters from the model, the
recommendation of this is to determine the material removal volume, tool path and for the calculation of
number of cycles required for the material remove from the component during the manufacturing process.
Feature reorganization mainly derived from manually or automatically by using of the software. For
seamless integration between the computers aided system, automation for the recognition of feature play
an important role. For the recognition purpose there are different types of methods are used, that are as: 1)
Hint based approach 2) Graphed based approach 3) Syntactic pattern approach 4) Decomposition
approach 5) Expert rules and logic approach 6) State transition approach 7) Constructive solid geometry
approach.
By using the B-rep data generated from the extraction of the feature of the part as input the feature
recognition if carried out. [2] derived the algorithm for the feature recognition of the turned components
(i.e. cone, cylinder, surface of revolution) in there research. The method used in there study is expert rules
and logic approach. The algorithm for the primary feature recognition is shown in below fig 2.
Figure 2. Algorithm for Recognizing Primary Turing Features. [2]
ISBN: 978-93-5351-069-5 1090

[4] &[6] used the rule based system for recognition of feature for the rotation part with including
groove feature. By using the geometric and topological rules the whole rule based system is work as
together for recognition of the groove feature. [5] utilized the graph based approach and decomposition
method for the recognition of the feature. In graph-based system graph is used for the representation of
the boundary surface of the component involving the nodes and attributes of it. [11] used the various type
of method from integrating the STEP application protocol (AP-203) and AP-224. For recognizing AP-224
from AP-203 is shown in below fig 3.
Figure 3. An Integrated STEP-Compliant Manufacturing System. [11]
Hint based approach using the boundary representation of model the features are generated. In this
method the whole feature are not found. The boundary is found first and then missing parts of the feature
are constructed. [12] used hint based system for the recognition of feature for prismatic part. [13] utilized
the automatic feature recognition system for the prismatic parts. In their study feature recognition start
with edge classification and then the loop are classified. [14] used the hybrid feature recognition system.
Hybrid feature recognition system has different steps first is data extraction second is Raw stock and
feature volume determination and the third is feature processing. [15] used the attribute-based recognition
system with b-rep scheme. In this b-rep provided the primary information which is not directly used for
the feature recognition. Frame work used by the author in this study is as below fig 4.
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Figure 4. Feature Recognition Framework. [15]
MACHINING DATABASE
After recognition of feature completed, to make the machines able to machining the feature of the
given part, the proper planning is required. For this the information required of the all components used in
machining process are arranged in proper manner for the better consideration by the machine. Mostly the
information about the machining planning are presented into tabulate form. There are several types of
database is considered for the machining process. Like Machine parameter database, Machine operation
database, Cutting tool database, Machine tool database and Work piece data based including the type of
material. [16] share his knowledge from this research about the machining data generation, according
him CAPP has mainly two approach namely variant and generative approach. The variant approach is the
first computer assisted technique, it is used concept of the similar parts has same process plan. The
computer is used as the tool for the identification of the similar parts. The generative type is the second
type of the approach and it is fully automatic, therefore there is no requirement of any human interface.
Generative approach is produce the process planning system by using the information available in the
manufacturing database.
ISBN: 978-93-5351-069-5 1092

CONCLUSION
This research make us to capable for understand the concept of the seamless integration
between the computers aided system. There are mainly three steps are used for integrate the
CAD/CAM and CAPP systems seamlessly. 1) Feature extraction 2) Feature recognition 3)
Machining database. The conclusion related to the work carried by the researcher is in below
details.
 There are two types of method is used for the extraction of the features first one is rule based
system used by the [1]. This method very easy for any CAD part but the disadvantage of this
method is that this method is extract only the negative features. And the second method is utilized
by [2] an it is known as generalized data extraction method but this method is used for only
extract the data from STEP protocol (AP-203). From this two statement the conclusion is that, the
program generated from the JAVA language by [6] is sufficient and easy method for the feature
extraction.
 By using the extracted data as input the feature extraction is carried out. There are various types
of method are used for the feature recognition, every method are used for different types of the
application purpose. Using any of the method we get we the appropriate results. But from this
study we can say that the rule based method developed by using the java language which take the
B-rep data as input is easy and frequently used.
 The final step is machining data generation. For the accurate communication with machine after
the feature recognition method it is required. According to the researcher [16] there are two types
of process planning method are used. First is variant, this type of method is used for the same
attribute type features. And the second is generative approach, it is used computer aided approach
for the generation of process plan without interfacing the any human effort. By using of second
approach the error generated in it not solved by human, therefore to solve this problem the author
suggest the hybrid method which is the combination of the variant and generative approach.
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PCE255
Performance Evaluation and Selection of FMS system using
Multi-Criteria Decision Making (MCDM)
Dr.S.H.Sundarani Dr.M.N.Qureshi
Head of Mechanical Engineering Department, Associate Professor,
Government Polytechnic, MSU, Vadodara.
Chhota Udepur, Gujarat. and KKU – Abha.
gpasiraj@yahoo.com mnqureshi@rediffmail.com
9227200147 9712000387
Abstract
Performance evaluation and selection of FMS is vital. Flexible Manufacturing System (FMS) plays a
significant role in enhancing production and productivity. Management’s decision towards
acquisition and implementation of such system relies on technical, operational and corporate
objectives. Many tangible and intangible factors that are critical in performance evaluation and
selection must be considered hence, a decision-making model is required. Performance evaluation
and selection of FMS system using Multi-Criteria Decision Making (MCDM) i.e. Two-phase AHP-
TOPSIS have been recommended and supported with an appropriate illustration.
Keywords: Analytic Hierarchy Process (AHP), Flexible Manufacturing System (FMS),

Performance evaluation of FMS, Multi-Criteria Decision Making (MCDM), Technique for order
of preference by similarity to ideal solution (TOPSIS).
INTRODUCTION
Traditional production oriented systems like mass production have become obsolete and have been
replaced by flexible manufacturing system (FMS). The changes in manufacturing system have
become a mandatory stay in the market to avert fierce competition. Now a day’s FMS provides the
much-required agility and flexibility. FMS has been preferred for its versatility and capability to
support the hardest materials in machining. It also supports high material removal rate (MRR) to cut
the cycle time to market. FMS also provides the much-needed merits technical know-how. The
ongoing changes in machine technology have influenced the manufacturing system in a big way. The
direct numerical control (DNC) and computerised numerical control (CNC) machines have become
part and partial of the manufacturing system.
FMS offers many merits to enhance production and productivity. FMS has a tremendous
manufacturing capability, thus reduces shop-floor inventory drastically and supports higher inventory
turnover (ElMaraghy 2005).Besides merits, FMS also poses a few challenges. FMS requires very high
initial system capital cost and restricts its functionality due to the system hardware expandability i.e.
physical/hard reconfiguration becomes difficult (ElMaraghy, 2005). FMS needs revisiting on its huge
infrastructure resources, employee productivity, production volume, order positioning etc. Thus, the
decision to acquire FMS poses a lot of challenges to the management. In order to acquire right FMS
selection management must look for right decision making. A MCDM based AHP-TOPSIS may
be adopted in decision-making and optimizing. AHP will benefit the comprehensive performance
evaluation where as TOPSIS will optimize selection among the available alternatives. Based on the
above premises, research has been undertaken with the following two-fold objectives.
1. To prepare a framework for performance evaluation and selection of the FMS system.
2. To prepare a two-phase AHP-TOPSIS based model for the performance evaluation and selection of
the FMS system.
ISBN: 978-93-5351-069-5 1096

The paper documents the framework for FMS selection, followed by a literature review of the same.
A MCDM based AHP-TOPSIS is briefly discussed with a case problem illustration. It provides a
comparative evaluation of various FMS carried out using MCDM based AHP-TOPSIS, provides
insight on its significance and further throws light on the managerial implications.
REVIEW OF THE LITERATURE
On reviewing FMS selection literature, it has been found that the selection issue has been the focus
area for many researchers. Several types of researches on FMS evaluation and its selection are found.
Some important researches belong to FMS system selection, AGV selection, Robot selection, AS/RS
selection, Material handling equipment selection etc.
Shamsuzzaman et al. (2003) developed FMS selection model using FAHP. Rao (2006) applied a
digraph and matrix methods in evaluating FMS. AHP was proposed in the FMS selection (Cimren et
al. 2007), followed by FDEA/AR methodology(Liu 2008) and Bhattacharya et al., (2008). Raj et
al.(2008),employed AHP selecting advanced manufacturing system. An integration data envelopment
analysis (DEA) and AHP was also used (Rezaie et al., 2009). FMS selection was carried out using an
improved compromise ranking method(Rao, 2009). Combinatorial mathematics-based decision-
making (Rao & Parnichkun, 2009) and grey relation under uncertainty(Dhal et al., 2011) is also found
in FMS selection. Preference selection index (PSI) (Maniya & Bhatt, 2011)has been applied in FMS
selection. Rao & Singh (2011)applied Euclidean distance-based integrated approach in evaluating
FMS. MACBETH method has been used for the evaluation and selection of a FMS alternative
(Karande & Chakraborty, 2013). Preference ranking methods for FMS selection has also been
used(Chatterjee & Chakraborty, 2014) followed Fuzzy Hybrid Decision Model using GRA-TOPSIS
(Yang et al. 2014).
Analytic Hierarchy Process (AHP) is one of Multi-criteria decision making method. AHP plays a
significant role in structured/hierarchical based decision making. The Technique for Order of
Preference by Similarity to Ideal Solution (TOPSIS) is a multi-criteria decision analysis method,
which was originally developed by Ching-Lai Hwang and Yoon in 1981 with further developments by
Yoon in 1987, and Hwang, Lai and Liu in 1993.TOPSIS helps in identifying the best option from the
available alternatives considering conflicting objectives i.e. maximizing and minimizing. From the
comprehensive review of the literature, it may be concluded that MCDM based two-phase AHP-
TOPSIS methodology hasn’t been applied in FMS selection. Hence present research paper will prove
significant for managers in the selection of FMS.
FRAMEWORK FOR FMS SELECTION
The framework for the FMS selection is evolved and discussed in this section:
As shown in Figure 1, based on the detailed literature review the main criteria for FMS selection
problem have been identified which also tend to influence the economic cost of the FMS system. The
collected criteria and sub-criteria for the FMS selection have been studied carefully for further
performance analysis. Three Decision Makers (DMs) having more than 10 years of experience in the
area of manufacturing system have been consulted to seek their opinion on performance evaluation of
criteria. The main criteria and sub-criteria are documented as under.
Review of Literature on FMS Selection
Collecting & Scrutinizing Criteria for FMS Alternatives
Identification of Criteria →DMs← Identification of Sub-Criteria
Use of AHP and TOPSIS for Performance Evaluation and selection of FMS
Figure 1: Framework for FMS selection
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Main Criteria
Line Efficiency: It is the ratio of total workstation time to the product of cycle time and the available
workstations.
Performance: The performance of FMS is a significant factor as it enhances production and
productivity.
Process: It influences FMS utility tremendously.
Volume: Profit is directly linked with the production.
Configuration control: It maneuvers the overall FMS functioning.
Sub- Criteria
Machine Utilization: IT helps in increasing the line efficiency and depends upon the available
inventory.
Reduced Labour: It influences the production and overall productivity.
Set-Up Time: The line efficiency is governed by set-up time.
In-Process Inventory: FMS performance is supported by in-process inventory to avoid large hold-ups
for shortages of work materials.
Production Lead-Time: Right selection of FMS provides the least production lead-time.
Part Mix: It depends upon the FMS Precision parameters like size of a table, buffer pallets, ATC,
Transport software, etc.
Design Change Accommodation: Modified and new production process depends upon the flexibility
in design change accommodation.
Scheduling and Control: It influences the production volume and influences CNC software, System
control, and Computer Interfacing.
Ease of Operation: It leads to higher production and depends upon the table, buffer pallets, ATC.
System control, Transport Software, and Loading.
Routing Flexibility: It enhances the production volume in the case of maintenance and breakdown.
Production Capacity: It directly affects the Volume and has a high influence of ATC.
Capacity Growth: It affects the production volume and depends upon the Transport Software, System
control, Robot loader and Computer Interfacing.
Delivered Accuracy: It depends upon the configuration control. It is influenced by a table, and buffer
pallets, ATC and Manufacturing system.
Manufacturing Precision: It affects the configuration control. It is governed by FMS Precision
parameters and Manufacturing system (Manufacturing control).
Design Complexity: It influences Configuration control.
MCDM BASED TWO-PHASE AHP-TOPSIS METHODOLOGY
Main-criteria and sub-criteria do play a vital role in the selection of the criteria and sub-criteria
selections have a significant influence of the FMS selection. A MCDM based AHP may be employed
for the criteria weightages. Similarly, TOPSIS may also be used in the ranking of sub-criteria.
AMCDM based methods are utilised in evaluating goals, objectives and ranking problems. An
integrated AHP and TOPSIS approach (Gumus, 2009;Min & Perçin, 2009) has been applied in the
present research.
Analytic Hierarchy Process (AHP)
A complex decision problem having multiple levels of a hierarchy can be resolved by AHP. IT
contains the main goal, criteria and sub-criteria and the alternatives arranged from top to bottom in the
systematic hierarchy. A pair-wise technique is applied using the expert opinion of DMs. The AHP
procedure is described as follows:(Saaty, 1994).
Step 1: Decomposition: Structuring the decision problem into a hierarchy with the help of DMs.
ISBN: 978-93-5351-069-5 1098

Step 2: Comparative Judgments: The various pair-wise matrixes may be prepared using the
judgment of DMs. The pair-wise decision matrix depends upon the selection of suitable comparison
using Saaty’s scale. It provides the opportunity of selecting 1, 3, 5, 7, and 9, and intermediate values
of 2,4,6,8 during pair-wise comparison. The Saaty’s scale may be applied where 1 refers to “equally
important,” 3 denotes “slightly more important,” 5 equals “strongly more important,” 7 represents
“demonstrably more important” and 9 denotes “absolutely more important.” Also, 2, 4, 6, and 8 are
used for intermediate values. This yields an n x n comparison matrix A as shown in equation (1).
A= [aij] n x n = = (1)
Where normalization may be obtained through equation (2)

(2)
For all j = 1, 2… n.
Weight calculation is made using equation (3)
(3)
For all i = 1, 2… n.
After a decision-making matrix is prepared, the priority weights of the criteria are ascertained through
the maximum Eigen vectors and Eigen values using equation (4) & (5) respectively.
A ·w = λMax · w (4)
(5)
Where, w is Eigen vector and λMax is the largest Eigen value, of matrix A.
Step 3: Consistency Check: AHP validity is a must to provide a correct decision. Each decision
matrix may be tested for its consistency using the equations (6) and (7): consistency index (CI),
measures the inconsistencies of pair-wise comparisons and can be calculated as:
(6)
Where λMax is the largest Eigen value of pair-wise comparison matrix and n is the rank of the matrix.
Consistency ratio (CR) should be less than 0.1, for acceptable judgment (Saaty, 1994), which can be
derived using equation (7).
(7)
Wherein Random Index (RI) is obtained based on the value of n from the Table 1.
Table 1: Random Index Values (Saaty, 1994)

Size 1 2 3 4 5 6 7 8 9 10
RI 0.00 0.00 0.52 0.89 1.11 1.25 1.35 1.40 1.45 1.49
Step 4: Synthesis of Priorities: Pair-wise matrices will give weightage of each, the main-criterion,
sub-criterion respectively as per its goal. Thus relative weights of the main criteria and sub-criteria are
obtained later can be used as input data for selecting the best alternatives in TOPSIS.
Technique for order of preference by similarity to ideal solution (TOPSIS)
TOPSIS is a technique to find ideal solution in similarity (Hwang & Yoon 2012). It has a positive
ideal solution (PIS) and a negative-ideal solution (NIS) in a geometrical (i.e. Euclidean) sense. The
TOPSIS approach is described as follows:
Step 5: Calculation of the normalized decision matrix. The normalized value rij is calculated using
equation (8):
j = 1, 2, 3, ……,J; i= 1,2,3,……,n (8)
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Step 6:Calculation of the weighted normalized decision matrix. The weighted normalized value
is calculated using equation (9):
j = 1, 2, 3, ……,J; i= 1,2,3,……,n (9)
Where is the weight of the ith attribute or criterion, and
Step 7: Determination of the ideal and negative-ideal solution: The ideal and negative ideal
solution may be obtained using equations (10) and (11):
{( │i∈ ), ( │i∈ )} (10)
{( │i∈ ), ( │i∈ )} (11)
Where is associated with benefit criteria, and is associated with cost criteria.
Step 8: Calculation of the separation measures: Using the n-dimensional Euclidean Distance, the
separation distances from PIS and NIS may be obtained. The separation of each alternative from the
ideal solution is calculated using equation (12):
, j = 1, 2, 3,…, J . (12)
Similarly, the separation from the negative ideal solution is calculated using equation (13):
, j = 1, 2, 3,…, J . (13)
Step 9: Calculation of the relative closeness to the ideal solution or Closeness Coefficient
(CC).Closeness Coefficient is calculated using equation (14):
‘ j = 1, 2, 3,…, J. (14)
The higher value of the Closeness Coefficient indicates higher preference of that alternative.
Illustration of Actual Case problem for FMS Selection
A hypothetical case of selecting a FMS system for a manufacturing unit has been presented for
illustration.
The AHP-TOPSIS Illustration
Step 1: Decomposition: Structuring the decision problem into a hierarchy with the help of decision
makers, group decision or survey technique. The significant, main-criteria and sub-criteria of the FMS
selection are identified and a systematic AHP hierarchy is prepared as shown in Figure 2.
Step 2: Comparative Judgments: The various matrixes are prepared using pair-wise comparisons by
considering the interactions of all main-criteria and sub-criteria with respect to each main-criterion
and sub-criteria. The pair-wise comparison of main-criteria i.e. Line Efficiency (LE), Performance
(PER), Process (PRO), Volume (VOL) and Configuration Control (CC) is depicted in Table 2.
Similarly, pair-wise comparison of sub-criteria may be carried out. The pair-wise comparison matrix
of the main- criteria shown in Table 2. The respective weights obtained for each main-criterion are
shown in the last column. Later on, these weights thus obtained are further used along with
weightages of sub-criteria of each main –criterion.
Step 3: Consistency Check: For the validity of AHP, each decision matrix has been checked for
consistency to verify the decision makers’ judgment. Consistency check has been carried out using
equation (6) and (7). The calculated values are found to be within the acceptable limit. For Main-
criteria the CI and CR values are depicted in Table 2. Since 0.0928< 0.10; Pair-wise comparison is
acceptable (Saaty,1994). Similarly, all other judgmental matrixes are checked for consistency ratio.
Step 4: Synthesis of Priorities: All the pair-wise matrices yield weightages of each main-criterion,
sub-criteria with reference to the FMS selection. The relative weights of the main criteria and sub-
criteria were obtained through pair-wise comparisons with Task Force committee. The relative
weights of the main criteria and sub-criteria with respect to FMS selection is given in Table 3.
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Step 5: Calculation of the normalized decision matrix: The relative weightages of FMS
alternatives without considering the obtained weightage (OW) are depicted in Table 4. The
normalized value rij for the FMS alternative is calculated using equation (8). The normalised decision
matrix for the FMS selection is given in Table 5.
Figure 2: FMS Hierarchical Structure

Table 2: Pair-wise Comparison of Main Criteria of FMS Selection
Criteria LE PER PRO VOL CC Weights
Line Efficiency (LE) 1 1 3 3 3 0.3251
Performance (PER) 1 1 3 3 1 0.2700
Process (PRO) 1/3 1/3 1 2 2 0.1513
Volume (VOL) 1/3 1/3 1/2 1 ¼ 0.0752
Configuration 1/3 1 1/2 4 1 0.1784
Control (CC)
λ max= 5.4159, RI= 1.12 CI= 0.1040, CR=0.0928
Step 6: Calculation of the weighted normalized decision matrix: The weighted normalized
decision matrix for the FMS alternatives may be obtained using equation (9). The weighted decision
matrix for the FMS selection alternatives is shown in Table 6.
Step 7: Determination of the ideal and negative-ideal solution: The ideal solution (A*) and
negative ideal solution (A-) is determined by using equation (10) and (11). The ideal solution (A*) and
negative ideal solution (A-) values thus obtained are depicted in Table 7.
Step 8: Calculation of the separation measures: The ideal Euclidean distance for the benefiting
criteria must be near to the PIS. Similarly, non-benefiting criteria or the cost criteria of must be away
from the PIS or near to NIS. The various separation distances may be obtained by using equations
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(12) and (13), thus various separation distances for each FMS alternative may be obtained, the same
are depicted in Table 8.
Step 9: Calculation of the relative closeness to the ideal solution or Closeness Coefficient (CC):
Using equation (14) the closeness coefficient of the various FMS alternatives may be obtained. The
FMS alternative having larger CC value may be preferred. The calculated CC of the various FMS
alternatives is shown in Table 9.
Table 3: Weights of Criteria, Sub-Criteria and Alternatives of FMS

Criteria LE PER PRO VOL CC
CW 0.325 0.270 0.151 0.075 0..08
SC MU RL ST II PT PM DCA SC EO RF PC CG DA MP DC
OW 0..259 0.0052 0..440 0.2025 0.0675 0.0134 0.0050 0.0320 0.0036 0.0473 0.0006 0.0006 0.0790 0.0691 0.0303
FMS-A 0.4981 0.6479 0.5247 0.7456 0.2605 0.2311 0.6008 0.2605 0.1593 0.3873 0.2605 0.1149 0.4796 0.2132 0.1062
FMS-B 0.4148 0.2299 0.3338 0.1343 0.6333 0.6651 0.2290 0.6333 0.5889 0.1698 0.6333 0.7028 0.4055 0.7014 0.6333
FMS-C 0.0870 0.1222 0.1416 0.1201 0.1062 0.1038 0.1702 0.1062 0.2519 0.4429 0.1062 0.1822 0.1150 0.0853 0.2605
Table 4: The relative weights of FMS alternatives with respect to each weights of sub-criterion
FMS- 0.7616 0.9279 0.8227 0.9720 0.3759 0.3247 0.9033 0.3759 0.2413 0.6325 0.3759 0.1563 0.7511 0.2889 0.1532
A
FMS- 0.6342 0.3292 0.5234 0.1751 0.9139 0.9345 0.3443 0.9139 0.8923 0.2774 0.9139 0.9561 0.6351 0.9504 0.9139
B
FMS- 0.1331 0.1750 0.2220 0.1566 0.1532 0.1459 0.2558 0.1532 0.3816 0.7232 0.1532 0.2479 0.1801 0.1156 0.3759
C
Table 5: The normalized weights of FMS alternatives with respect to each weights of sub-criterion
FMS-A 0.0959 0.0512 0.1185 0.1968 0.0254 0.0044 0.0226 0.0120 0.0081 0.0299 0.0141 0.0059 0.0593 0.0200 0.0046
FMS-B 0.0799 0.0182 0.0754 0.0354 0.0617 0.0126 0.0086 0.0293 0.0299 0.0131 0.0344 0.0359 0.0502 0.0657 0.0277
FMS- 0.0168 0.0097 0.0320 0.0317 0.0103 0.0020 0.0064 0.0049 0.0128 0.0342 0.0058 0.0093 0.0142 0.0080 0.0114
C
Table 6: The weighted normalized decision matrix of FMS alternatives

FMS- 0.0959 0.0512 0.1185 0.1968 0.0254 0.0044 0.0226 0.0120 0.0081 0.0299 0.0141 0.0059 0.0593 0.0200 0.0046
A
FMS- 0.0799 0.0182 0.0754 0.0354 0.0617 0.0126 0.0086 0.0293 0.0299 0.0131 0.0344 0.0359 0.0502 0.0657 0.0277
B
FMS- 0.0168 0.0097 0.0320 0.0317 0.0103 0.0020 0.0064 0.0049 0.0128 0.0342 0.0058 0.0093 0.0142 0.0080 0.0114
C
Table 7: The ideal solution A* and negative ideal solution A-

MAX 0.0959 0.0512 0.0320 0.0317 0.0103 0.0126 0.0226 0.0293 0.0299 0.0342 0.0344 0.0359 0.0593 0.0657 0.0046
MIN 0.0168 0.0097 0.1185 0.1968 0.0617 0.0020 0.0064 0.0049 0.0081 0.0131 0.0058 0.0059 0.0142 0.0080 0.0277
Table 8: Results of Positive and Negative Extreme (

Separation Measure
Alternatives
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FMSA 0.112 0.313

FMSB 0.191 0.281
FMSC 0.195 0.318
Table 9: Results of a two-phase AHP and TOPSIS methodology

FMSA FMSB FMSC
0.359 0.679 0.613
Ranking 3 1 2
Sensitivity analysis
The sensitivity analysis demonstrates the effect and stability of the criterion’s weight on FMS
selection. Each criterion’s weight is interchanged with another criterion’s weight to verify the effect
of on the five main criteria and respective relative closeness to the ideal solution is calculated.
Sensitivity analysis helps in visualizing the change in output when there is a change in input. By
varying the weightages considering under various conditions, the effect on the FMS selection can be
determined. Figure 3 shows the FMS selection output using sensitivity analysis.
0.800 FMS-A FMS-B FMS-C

0.700 0.717
0.679 0.662
0.639 0.637
0.600 0.609 0.590
0.500
0.466
0.442
0.400 0.405 0.415
0.357
0.300 0.313 0.320
0.288
0.200
0.100
0.000
1 2 3 4 5
Conditions
Figure 3: Sensitivity Analysis with respect to FMS selection
Management has a great deal of confusion while selecting a potential FMS. Hence a MCDM based
AHP and TOPSIS methodology may prove vital in such a situation. AHP helps in realizing the
weightages of each main criterion whereas the TOPSIS helps in identifying the best alternatives in
conflicting objectives. The results of a MCDM based two-phase AHP-TOPSIS approach,
implemented to FMS selection problem, results in the values as 0.679, 0.613 and 0.359 in FMS-A,
FMS-B and FMS-C order. Hence, the relationship of FMS-B>FMS-C>FMS-A (where ‘>’ means
‘preferred to’) may be obtained. Based on the weightages calculation using AHP and application of
TOPSIS FMS-B gives highest weightages thus it can be concluded that, FMS-B may be preferred over
FMS-C and FMS-A.
CONCLUSIONS
1103 ISBN: 978-93-5351-069-5

The present research provides a MCDM based two-phase AHP-TOPSIS approach in FMS selection.
Based on the results obtained and discussed earlier, the FMS-B may be preferred over FMS-C and
FMS-A. The result obtained is also verified using sensitivity analysis. Under various conditions, it has
also been seen that FMS-B has highest weightages. Thus, it is concluded that FMS-B is the potential
alternative for the present hypothetical case.
MANAGERIAL APPLICATION AND SCOPE FOR FUTURE RESEARCH
The presented a MCDM AHP-TOPSIS is simple and fruitful in deriving the required decision. The
management may select the FMS for its short or long term goals. In the present model, the main
criteria and sub-criteria may be modified depending upon the need. Analytic Network Process (ANP)
seems to provide quantification of inter-dependence hence may be used in future. Fuzzy based
approach may be used to eliminate vagueness and judgmental biasness from the decision model.
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1105 ISBN: 978-93-5351-069-5

PCE019
DESIGN& OPTIMIZATION OF THE LIQUID CHILLER TANK USING

SS SHRED AROUND THE INNER TANK
Dhaval B. Prajapati Arpit G. Suthar Kiran M. Valand Adesh J. Vora

Assistant Professor Student Student Student
SAL College of SAL College of SAL College of SAL College of
Engineering, Engineering, Engineering, Engineering,
Ahmedabad, Gujarat, Ahmedabad, Ahmedabad, Ahmedabad, Gujarat,
India. Gujarat, India. Gujarat, India. India.
dhavalbprajapati71@g Arpitsuthar802@g Kiranparekh2808@ Voraadesh2389723897
mail.com mail.com gmail.com @gmail.com
Abstract
In many industries and organization, liquid chillers are used to store the chemicals, milk, water etc. to have long
life of that liquid for different applications at different time. Here, every chiller contains the copper tubing to
supply the refrigerant for chilling purpose. But that copper tubing is very costly than SS and it’s in direct and
indirect contact with the liquid may cause corrode the tubes and that required to replace which may cost higher.
As a remedy of that SS strips can be welded on by seam welding to produce numbers of path for the refrigerant
outer side of the inner tank. To reduce the heat loss whole tank will be insulated either by vacuum or puff
insulation and that will be covered by the outer cover tank for ease of handling and appearance point of view.
Here, the work is done for considering 1000 litre tank capacity having 1.2m height, 1m inner diameter and
0.5mm thick, which is required to maintain liquid temperature at around ~ 12 oC by refrigerant R-134a in less
than 4 to 5 hours. This work is related with the selection of the refrigerant, design and optimization of the
numbers of round of the SS slot required to produce the desired chilling effect.
Keywords: Liquid chiller tank design, Chiller tank with SS Shred, Seam welding cooling tank, chilling by
SS304L.
INTRODUCTION
In many industries and organization, liquid chillers are used to store the chemicals, milk, water etc.; every
chillercontains the copper tubing to supply the refrigerant for chilling purpose. But that copper tubing is very
costly than SS and it’s in direct and indirect contact with the liquid may cause corrode the tubes and that required
to replace which may cost higher.
As a remedy of that SS strip can be weld on by seam welding to produce numbers of path for the refrigerant
outer side of the inner tank.To reduce the heat loss whole tank will be insulated either by vacuum or puff
insulation and that will be covered by the outer cover tank for ease of handling and appearance point of view,
schematic diagram of conceptual liquid chiller tank is shown in figure 1.
Here, motor is use to rotate blade which helps for equivalent cooling of liquid by circulation of liquid. Direction
of refrigerant is considered from up to down in the opposite direction to the convective current of the liquid.This
work is related with the selection of the refrigerant, design and optimization of the turns of the SS slotneeded to
produce required cooling effect.
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Figure1 Schematic of Liquid Chiller Tank
SELECTION OF REFRIGERANT
There are many refrigerants available in the market and can be used for producing required cooling effect like
R11, R12, R22, R134a, R717 etc. out of which R11, R12, R22 are CFC (Chlorofluorocarbons) in which chlorin
cause the Ozone depletion [1] and also have high global warming potential [2, 3]. R717 is ammonia which is
toxic; but R134a is inflammable, nontoxic, no ozone depletion effect due to HFC (Hydrofluorocarbon) and have
low ozone depletion potential than other refrigerants & it is easily available in the market in low cost. So, it is
good to use R134a.
Table 1: Refrigerant Properties [4, 5]
Sr. No. Refrigerant Type NBP ( 'C) NBP (K) hfg KJ/Kg Tcr ('C) Tcr (K) Cp/Cv ODP(Ozone Deplation Potential) GWP (Global warming Potential)
1 R11 CFC -23.7 249.45 182.5 197.98 471.13 1.13 1 3500
2 R12 CFC -29.8 243.35 165.8 112.04 385.19 1.126 1 7300
3 R22 FCFC -40.8 232.35 233.2 96.02 369.17 1.166 0.05 1500
4 R134a HFC -26.15 247 222.5 101.06 374.21 1.102 0 1200
5 R717 NH3 -33.35 239.8 1368.9 133 406.15 1.31 0 0
6 R744 CO2 -78.4 194.75 321.3 31.1 304.25 1.3 0 1
7 R718 H2O 100 373.15 2257.9 374.15 647.3 1.33 0 1
8 R600 Iso-butane -11.73 261.42 367.7 135 408.15 1.086 0 3
9 R410A 50%R32, 50%R125 -48.5 224.65 72.8 345.95 0 2088
DESIGN METHODOLOGY& RESULTS

Design is done for considering 1000 litre tank capacity having 1.2m height, 1m inner diameter and 0.5mm thick,
which is required to maintain liquid temperature at around ~ 12oC by refrigerant R-134a in less than 4 to 5 hours
with considering water and milk as the required media to be chill inside the tank [6, 7, 8]. Here, tank is divided
into small sections and design is done for required tubing in single section. Each division contain SS 304 strip
shred which is to be weld by seam welding and converted into tubing form call slot. That number of turns is
calculated and compared with the availability of space in each division by considering different slot height for
tubing. Consideration of the tubing is as shown in figure 2 where slot width is considered as 10mm for each
calculation.
1107 ISBN: 978-93-5351-069-5

Figure 2 Slot Dimensions for 1000lit Tank Capacity
Tank Diameter
For these criteria following table 2 shows the number of turns required for the 1000lit tank capacity which is
compared with the availability of the space in each division of the tank with considering 4mm to 5mm height
occupied by the seam welding.
Table 2: Number of Turns According to Slot Height & Cooldown Time to achieve 12 oC for 1000 litre Capacity
of Water
Height of Slot No. of turn acc to
1Hr 2Hr 3Hr 4Hr 5Hr 6Hr
(mm) Available slot size
8 8.05 7.91 7.82 7.76 7.71 7.67 8.25
9 7.76 7.60 7.51 7.44 7.39 7.35 7.66
10 7.52 7.36 7.26 7.18 7.13 7.09 7.15
11 7.32 7.15 7.04 6.97 6.91 6.86 6.70
12 7.15 6.97 6.86 6.78 6.72 6.67 6.31
13 7.01 6.82 6.70 6.62 6.56 6.51 5.96
14 6.89 6.68 6.56 6.48 6.41 6.36 5.64
15 6.78 6.57 6.44 6.36 6.29 6.24 5.36
16 6.69 6.47 6.34 6.25 6.18 6.12 5.11
17 6.60 6.38 6.24 6.15 6.08 6.02 4.87
18 6.53 6.29 6.16 6.06 5.99 5.93 4.66
19 6.47 6.22 6.08 5.98 5.91 5.85 4.47
20 6.41 6.16 6.01 5.91 5.84 5.78 4.29
From table 2, it is clear that increase in cooldown time value leads to decrease inrequired numbers of turns and
as the height of slot increases the number of turns decreases for any cool down time.
Similarly, the calculation is done for different tank capacity and two fluid: water and milk for different required
temperature of storage. Following graphs in figure 3 shows the numbers of turns according to slot height and
cool down time to achieve 12oC for 500 litre of water tank having the same design diameter for every cool down
time required numbers of turns are more than available space which is not possible, for 1000 litre water capacity
and 1 hour cool down time requires 8 numbers of turns with 8mm slot height, 2 hour cool down time requires 7.6
numbers of turns with 9mm slot height, 3 hour cool down time requires 7.5 numbers of turns with 9mm slot
height, 4 hour cool down time requires 7.5 numbers of turns with 9mm slot height, 5 hour cool down time
requires 7.4 numbers of turns with 10mm slot height, 6 hour cool down time requires 7.1 numbers of turns with
10mm slot height which shows very negligible changes in numbers of turns as well as change in slot height; for
1500 litre water capacity and 1 hour cool down time requires 11.8 numbers of turns with 12mm slot height, 2
hour cool down time requires 11.7 numbers of turns with 12mm slot height, 3 hour cool down time requires 11.2
numbers of turns with 13mm slot height, 4 hour cool down time requires 11.1 numbers of turns with 13mm
slotheight, 5 hour cool down time requires 11.1 numbers of turns with 13mm slot height, 6 hour cool down time
ISBN: 978-93-5351-069-5 1108

requires 11 numbers of turns with 13mm slot height which also shows very negligible changes in numbers of
turns as well as change in slot height; for 2000 litre water capacity and 1 hour cool down time requires 15.5
numbers of turns with 14mm slot height, 2 hour cool down time requires 15 numbers of turns with 15mm slot
height, 3 hour cool down time requires 14.8 numbers of turns with 15mm slot height, 4 hour cool down time
requires 14.7 numbers of turns with 15mm slot height, 5 hour cool down time requires 14.62 numbers of turns
with 15mm slot height, 6 hour cool down time requires 14.56 numbers of turns with 15mm slot height which
also shows very negligible changes in numbers of turns as well as slot height.
o
Figure 3 (a), (b), (c) & (d) Number of Turns According to Slot Height & Cooldown Time to Achieve 12 C & Different Capacity of Tank for
Water
(a) (b)
(c)(d)
Figure 4 (a), (b), (c) & (d) shows the graph for numbers of turns according to slot height & cool down time to
achieve 15oc & different capacity of tank for water, Figure 5 (a), (b), (c) & (d) shows the graph for numbers of
turns according to slot height & cool down time to achieve 20oc & different capacity to store water.
0
Water
1109 ISBN: 978-93-5351-069-5

(a) (b)
(c) (d)
0
Water
(a) (b)
ISBN: 978-93-5351-069-5 1110

(c) (d)
Similarly, figure 6 (a), (b), (c) & (d) shows the graph for numbers of turns according to slot height & cool down
time to achieve 4oc & different capacity of tank for milk storage, Figure 7 (a), (b), (c) & (d) shows the graph for
numbers of turns according to slot height & cool down time to achieve 10 oc & different capacity to store milk in
storage tank. Figure 8 (a), (b), (c) & (d) shows the graph for numbers of turns according to slot height & cool
down time to achieve 15oc & different capacity of tank for milk.
o
Milk
(a) (b)
(c) (d)
o
Milk
1111 ISBN: 978-93-5351-069-5

(a) (b)
(c) (d)
o
Milk
(a) (b)
ISBN: 978-93-5351-069-5 1112

(c) (d)
Table 3& 4 shows the number of turns required with optimizing slot height at maximum value for ease of
welding purpose with consideration of available space for turns and different required cool down time to achieve
different required temperatures for tank of different storage capacity of water and milk
Table 3: Optimizednumber of turns by optimizing slot height withdifferent required cool down time to achieve
different required temperatures for tank of different storage capacity of water
Water Storage Tank
1000 Litre 1500 Litre 2000 Litre
Cool
Cool down Down No No Slot
Temperature ('C) Time Slot Slot No of
Of Of height
(Hrs) height (mm) height (mm) turns
turns turns (mm)
1 8 8.0 12 11.8 14 15.5

2 9 7.6 12 11.6 15 14.9
3 9 7.5 13 11.7 15 14.8
12
4 9 7.4 13 11.9 15 14.7
5 10 7.1 13 11.0 15 14.6
6 10 7.1 13 11.0 15 14.6
1 11 6.7 15 9.9 18 12.7
2 11 6.5 16 9.5 19 12.2
3 12 6.2 17 9.1 20 11.9
15
4 12 6.1 17 9.0 20 11.8
5 13 5.9 18 8.8 20 11.7
6 13 5.9 18 8.7 21 11.4
1 15 5.3 21 7.6 26 9.5
2 16 5.0 23 7.1 28 9.0
3 17 4.8 24 6.9 29 8.7
20
4 17 4.7 25 6.7 30 8.5
5 18 4.6 26 6.5 31 8.3
6 18 4.5 26 6.4 31 8.2
1113 ISBN: 978-93-5351-069-5

Table 4: Optimizednumber of turns by optimizing slot height withdifferent required cool down time to achieve
different required temperatures for tank of different storage capacity of milk
Milk Storage Tank

1000 Litre 1500 Litre 2000 Litre
Cool
Cool down Down Slot Slot Slot
No of No of No of
Temperature ('C) Time height height height
turns turns turns
(Hrs) (mm) (mm) (mm)
1 10 13.5 11 18.3
2 10 13.4 12 17.5
3 10 13.3 12 17.4
10
4 10 13.2 12 17.3
5 11 12.7 12 17.3
6 8 2.2 11 12.6 12 17.2
1 11 6.7 15 9.8 18 12.7
2 11 6.5 16 9.4 19 12.2
3 12 6.2 17 9.1 20 11.9
15
4 12 6.1 17 9.0 20 11.7
5 13 5.9 18 8.8 21 11.5
6 13 5.9 18 8.7 21 11.4
From table 3 & 4 it is clear that as the required cool down time with optimized slot height decreases the numbers
of turn required to cool down particular fluid to achieve said temperature. As the tank capacity increases the slot
height as well as numbers of turns also increases. This table show the value of numbers of turns required with a
slot height for the particular capacity of fluid tank which is required to store the fluid at a particular temperature
CONCLUSION
Current work deals with design and optimization of the numbers of turns for 1000 litre tank capacity having
1.2m height, 1m inner diameter and 0.5mm thick, which is required to maintain water temperature at around ~
12oC by refrigerant R-134a in less than 4 to 5 hours; for1 hour cool down time requires 8 numbers of turns with
8mm slot height, 2 hour cool down time requires 7.6 numbers of turns with 9mm slot height, 3 hour cool down
time requires 7.5 numbers of turns with 9mm slot height, 4 hour cool down time requires 7.5 numbers of turns
with 9mm slot height, 5 hour cool down time requires 7.4 numbers of turns with 10mm slot height, 6 hour cool
down time requires 7.1 numbers of turns with 10mm slot height is optimized.
REFERENCES
1. https://en.wikipedia.org/wiki/Ozone_depletion_potential
2. http://www.ghgprotocol.org/sites/default/files/ghgp/Global-Warming-Potential-
Values%20%28Feb%2016%202016%29_1.pdf
3. https://en.wikipedia.org/wiki/Global_warming_potential
4. ASHRAE, 2001; Bitzer, 2007
5. “Performance Analysis of Vapour Compression Refrigeration Systems Using Hydrofluorocarbon Refrigerants”,
Dr. A.C. Tiwari and Shyam kumar Barode, International Journal of Scientific & Engineering Research, Volume
3, Issue 12, December-2012, ISSN 2229-5518.
ISBN: 978-93-5351-069-5 1114

6. https://www.nist.gov.html
7. Heat and Mass Transfer by R K Rajput, 5th Edition.
8. Refrigeration and Air Conditioning, R S Khurmi, S Chand Publication
1115 ISBN: 978-93-5351-069-5

PCE285
SECOND ORDER MODELING AND CYCLIC ANALYSIS OF

PULSE TUBE REFRIGERATOR WITH HYBRID REGENERATOR
U. V. JOSHI DR. V. D. DHIMAN

Mechanical engineering department, Mechanical engineering department,
Government Engineering College, Dr. S &S S Ghandhy Govt. Engg.College,
Bharuch. Surat.
Research scholar, Gujarat Technological Gujarat Technological University
University, Ahmedabad, India. Ahmedabad,India.
uvj.gtu@gmail.com vddhiman@gmail.com
Abstract
Technological development and demand for better performance of refrigerators working in cryogenic
temperature range (<123 K) need consistent development in design modeling and analysis of such
systems. Pulse tube refrigerator (PTR) are performed to expectation level in space, bio-surgical and low
temperature physics applications. The regenerator act as heart of PTR system and plays an important
role in attaining lower temperature. The system performance depends on the proper design of
regenerator and selection of proper regenerator material and mesh structure for the given temperature
range. The regenerator design must satisfy a large number of conflicting requirements, where uniform
mesh size and material of regenerator limit the lowest temperature attained by PTR system. Hybrid
regenerator is combination of two different matrixes or different materials for matrix in one regenerator.
The appropriate combination of different mesh sizes, ideally show reduced total refrigeration losses of
regenerator. Present paper detailed out design two-mesh hybrid regenerator for optimum performance of
PTR. An improved one dimensional second order cyclic analysis model is used for system performance
prediction with detail loss analysis. Appropriate correlations of oscillating flow condition to estimate
pressure drop and heat transfer in regenerator are adopted. The loss analysis for regenerator is
discussed.The hybrid regenerator design discussed here for optimum performance reported 34.78% more
net refrigeration effect at 2.676 W as compared to 1.985 W delivered by simple regenerator model of PTR
system.
Keywords: Pulse tube refrigerator, hybrid regenerator,numerical model, cyclic analysis.
INTRODUCTION
As technology advances, there is an increased demand for thermal management at very low temperatures,
below 150 K, in cryogenic temperature ranges, for application in several fields. Thermal management of
optical sensors, tissue ablation, gas liquefaction and preservation of biological material, cryopumps,
ISBN: 978-93-5351-069-5 1116

liquefaction of natural gases, cooling of radiation shields, SQUID (super conducting quantum interference
device), Magnetometers, SC Magnets, Semiconductor fabrication etc. are few to name. This demand is met
with the development and use of compact high-performance refrigerators, often enunciated as
'Cryocoolers'.The essential requirement imposed in these applications is to have effective refrigeration
method, compact & light weight construction, less vibrations at cold end and reliable operation at very low
temperature. Hence considerable concentration towards design, research, development and testing of
cryocoolers is seen in last few decades.Stirling cryocooler, Gifford McMahon refrigerator and Pulse Tube
Refrigerator (PTR) are most popular as per wide applications are considered.
Pulse tube refrigerator
Pulse tube refrigerator work on a closed cycle system that work with oscillating pressure pulse, usually
produced by an oscillating piston, at one end and a passive phase shifting unit at another end, which
together generate an oscillating gas flow in the rest of the system. The concept of PTR was first conceived
by Gifford and Longsworth [1] and followed by extensive development in next few decades [2].
Construction of pulse tube refrigerator
As shown in figure 1, the major components of PTR are: Compressor to supply gas pressurization and
depressurization in the closed volume (pulse tube); an Aftercooler that to remove the heat of gas
compression; Regenerator to absorb the heat from the incoming gas and deliver that heat back to the gas
during the each half cycle of oscillation, thus act as a seal to maintain a large temperature difference of
room temperature and very low cryogenic temperature at each end; Cold Heat Exchanger (CHX) work as
the evaporator and absorbs the refrigeration load from the connected heat load; Pulse Tube, a hollow
cylindrical tube, carry the heat from the cold end to the deliver to warm end as enthalpy flow that imposed
by correct phase difference between pressure and mass flow, Hot Heat Exchanger (HHX) receives heat
absorbed by CHX and pumped by pulse tube, and reject at a higher temperature to the environment, Orifice
Valve or Inertance Tube and Surge Volumesystem is used to appropriately adjust the phase difference
between the mass flow rate and the pressure by controlling the orifice diameter or the inertance tube
diameter and length, where, the reservoir (surge volume) can be viewed as a closed buffer reservoir of
sufficient volume to damp small pressure variations resulting from the oscillating mass flow.
Figure 1. Schematic diagram of inertance tube pulse tube refrigerator [2]
1117 ISBN: 978-93-5351-069-5

Numerical modeling and analysis of pulse tube refrigerator
Design of PTR system and analysis of various loss making mechanism and factors was reported by several
researchers through development for several theoretical, numerical and experimental studies to improve the
performance, miniaturization and modifications to suite typical applications. Rout [3] summarized the
development.
An important contribution is made towards numerical modeling and cyclic simulation for design,
performance investigation and optimization of Stirling cryocoolers by Atrey et al. [4-6]. It was a simple
second order cyclic analysis with loss estimation. They [7] have also reported the cyclic analysis for an
orifice pulse tube refrigerator. Zhu and Chen [8] have presented a simplified isothermal model of pulse
tube refrigerator. The gas at the center of pulse tube, that work as the displacer, is assumed adiabatic, and
in rest of the components as isothermal. Recently, Sajid [9] have reported the loss analysis of a pulse tube
refrigerator for estimation of losses due to regenerator ineffectiveness, pressure drop in the regenerator,
axial heat conduction.
REGENERATOR
Regenerator, pulse tube and phase shifting mechanism (orifice or inertance tube- reservoir system) are
often viewed as the most complex and essential components of pulse tube refrigerator. Present reported
work is highlighting the design parameters such as aspect ratios (length to diameter ratio), physical
dimensions, pore structures and regenerator materials, have a significant impact on the PTR overall
performance.
The regenerator act as heart of pulse tube refrigerator and plays an important role in attaining lower
temperature. The regenerator is made with wire mesh screens packed in the tube that will provide large
porous surface area for heat transfer. The mesh screen stack act as a thermodynamic sponge which
alternatively release and absorbs the heat. The hot fluid entering at constant temperature, heats the matrix
for half of the cycle, and cold fluid cools the matrix for the second half of cycle while flowing in the
reverse direction, thus periodically heating and cooling the matrix while reversing the flow.
The performance of regenerator is sensitive not only to design and selection of wire mesh screens but also
to the effect of physical properties of mesh material and working fluid at low cryogenic temperatures. It is
also the largest source of loss mechanisms which directly affect cryocooler performance [5]. Axial heat
conduction within the regenerator matrix, effectiveness of heat transfer between mesh and working gas,
and frictional losses are dominating parameters that affect the PTR performance.
Several studies are published on the various characteristics of regenerator, its design and optimization, and
attempts are made to minimize the losses and improve the effectiveness and net refrigerating effect of
cryocooler regenerator.
In literature [6], the effect of different mesh sizes is reported as parameter of optimization of design of
Stirling cycle cryocooler. Extensive discussion on the effect of various parameters affecting regenerator
performance and the investigation of optimum size of regenerator is made in literature [10]. The design and
fabrication of compact high-effectiveness cryogenic heat exchangers using wire mesh surfaces is reported.
Miyabe et al. [11] reported the theoretical analysis on the thermal behaviour of matrix as well as on the
thermal effectiveness of regenerator It was emphasized that the thermo-physical properties of materials as
well as working fluids are strong functions of temperature at low temperature.
ISBN: 978-93-5351-069-5 1118

Correlation for pressure drop and heat transfer in regenerator
Regenerator is subjected to oscillating gas flow; hence it is essential to adopt appropriate correlation
equation obtained for oscillating flows and not the steady, single blow, gas flow through mesh matrix.
Thomas and Pittman [12] extensively carried out the study of correlation to estimate pressure drop and heat
transfer in regenerator wire mesh matrix published by several researchers. The friction factor in oscillating
flow predicted by Gedeon and Wood [13] are higher by an order than the steady flow, and able to predict
more accurate pressure drop over range of Reynolds number.
ρ
∆P=Cf n u2 (1)
2
68.556
where, Cf =0.5274+ Re
(2)
Also, the correlation for estimation of regenerator heat transfer in the form of Nusselt number, also
include the effect of porosity of regenerator mesh that other published correlations seems to not consider
separately. The Nusselt number correlation predicts high Nusselt number, estimated from the experimental
data that collectively account the overall thermal loss in regenerator.
Nutotal =(1.010+0.790Re0.662 )(1+0.845(1-ε)) (3)
1.2.2 Requirements of an efficient regenerator

The regenerator design should satisfy several requirements for minimizing the losses, such as,
(i) A maximum ratio of the regenerator heat capacity to the heat capacity of the gas is expected.
(ii) Efficient heat transfer between the gas and the regenerator, which can be achieved by using a long and
fine-meshed matrix with a large surface area.
(iii) Minimum pressure drop along the regenerator. This can be achieved by using a short, highly porous
matrix.
(iv) Minimum heat conduction from the hot to the cold side of the regenerator.
(v) Complete penetration of the heat in the regenerator material when it is heated or cooled. This can be
achieved by using finely divided regenerator material with a small characteristic dimension.
HYBRID REGENERATOR
The concept of hybrid regenerator is derived to satisfy the conflicting demands in regenerator design for a
given application. The material and working fluid properties vary with temperature and therefore affect
heat transfer, thereby affecting the regenerator effectiveness significantly. An effective regenerator design
will allow for high heat transfer over lower possible pressure drop. At very low temperatures heat capacity
of mesh matrix can be increased by using dense mesh size, where at high temperature end porous mesh
will satisfy to reduce the pressure drop, if property design is carried out. The hybrid regenerator is build by
combining different size mesh matrix, so that porous matrix is at warm end and dense matrix at cold end
[14].
Suitably hybridized regenerator can give much better performance and increased effectiveness. The
performance of hybrid regenerator is much better as compared to a simple homogeneous regenerator due to
more uniformly decreasing hydraulic diameter [15]. The selection of optimum proportion of each mesh
matrix is the key problem in designing hybrid regenerator. The optimum combination serves the purpose of
1119 ISBN: 978-93-5351-069-5

minimum heat loss due to pressure drop and improved effectiveness. Figure 2 show the schematic of
hybrid regenerator and simple regenerator mesh structure.
M. Arablu, A. Jafarian [16] reported the results of the simulations carried out for the study of effects of
synchronous utilization of multi-mesh regenerator and double-inlet on the performance of the two-stage
pulse tube cryocoolers.Latest published literature by Dang and Zhao [17] report the CFD modelling and a
single-stage inertance tube coaxial Stirling-type pulse tube cryocooler using mixed stainless steel mesh
regenerator matrices.
SECOND ORDER CYCLIC ANALYSIS OF PULSE TUBE REFRIGERATOR
Present work report the results obtained from numerical model for design and component size selection of pulse tube
refrigerator. A numerical model [18] of one-dimensional second order cyclic analysis of a PTR including estimation
of losses in refrigeration effect is used.It is helpful for optimum design and size selection with fair accuracy.
Figure 2. Schematic diagram of hybrid regenerator
Hot Cold
end end
Homogeneous regenerator
(Uniform mesh size)
Hot Cold
end end
(Porous mesh) (Dense mesh)
Two-mesh Hybrid regenerator
The model is further modified in present work and carried out an extensive parametric study and
performance comparison on replacement of simple homogeneous regenerator with hybrid mesh
regenerator, using the combinations of standard ready-market available wire mesh screen structures.
The dimension of components of PTR depends upon operating conditions. The demand of high frequency
operation is also upcoming in technology development to concise the system need extensive design
analysis. Numerical modeling helps in this task. The design constraints typically for PTR are the working
cold end temperature, heat load and the overall size and weight of system.
A numerical model of a single stage pulse tube refrigerator has been developed by considering an adiabatic
model for pulse tube. The pulse tube refrigerator is considered to be divided into a number of subsystems
[19] as shown in figure 3.
The cyclic analysis is carried out by dividing the cycle into small intervals. For each interval, the pressure
is estimated from ideal gas approximation. The flow rate is calculated at inertance tube and mass balance is
carried out for three imaginary sections of pulse tube. Further, ideal refrigeration effect and power input is
obtained. A heat balance analysis then conducted by estimating the gross and net cooling powers.
Previously published basic model [19] not accounted oscillating flow correlations for pressure drop and
heat transfer. Present code is modification considering the correlations suggested by Gedeon and Wood
ISBN: 978-93-5351-069-5 1120

[13]. Also, Lumped component model, which depends on volume of inertance tube, is included for
modeling the inertance effect, to estimate the effect of tube dimensions.
Figure 3 Schematic diagram of IPTR model for cyclic analysis
0 inertance tube, 1 warm heat exchanger (WHX-2), 2 pulse tube, 3 cold heat exchanger (CHX), 4 regenerator, 5
warm heat exchanger or aftercooler (WHX-1), 6 compressor, 7 reservoir. I gas segment near warm end, II gas
segment near center of pulse tube work as displacer, and III gas segment near cold end of pulse tube.
The calculation of mass flow rate through the inertance tube a lumped component model given by Roach
and Kashani [20] treats the inertance tube and the reservoir as a simple network of lumped electrical
components.
Mass flow rate through inertance tube is affected by the combined effect of inertance, compliance and
resistance, in the form of impedance (Z) of tube and is obtained as
−1 −1 −1
1 1
𝑍 = [( 𝐶 ) +( 𝐶 + 𝑅 + 𝑗𝜔𝐿) ] (4)
𝑗𝜔 𝑗𝜔(𝐶𝑟 + )
2 2
where, ω is angular frequency and j is imaginary number. The resistance (R) of inertance tube due to the
viscous drag between neighboring fluid particles, the compliance (C) for inertance tube due to
compressibility of gas, and Inertance (I) of tube due to inertia of gas inside the tube.
The model is based on simplified assumptions in line with that developed for Stirling cryocooler [7] as
follows.
i. Working fluid - Helium gas is considered as ideal gas.
ii. The variation of pressure is sinusoidal.
iii. The pressure in the system remains constant at any instant of time.
iv. Gas I & Gas III are isothermal and gas II is adiabatic.
v. Frictional and viscous effects are neglected.
vi. Convective heat loss to the atmosphere is negligible.
vii. Losses due to oscillating flow are not considered.
viii. Flow in pulse tube is fully developed and balanced.
Refrigeration capacity of a pulse tube refrigerator decreases due to the losses like regenerator
ineffectiveness, P-V loss due to pressure drop in regenerator, heat conduction through various solid parts,
regenerator mesh matrix. Further the heat loss due to temperature swing of regenerator matrix is also
accounted. If the effects of all separately identified individual losses are combined, as they are in the real
situation, the net refrigeration power is substantially reduced pertaining to the ideal case.
Modification in numerical model for hybrid regenerator
The hybrid regenerator is modeled by combining different size mesh matrix, so that porous matrix is at
warm end and dense matrix at cold end [14], as shown in figure 2.Each sub-section regenerator is
1121 ISBN: 978-93-5351-069-5

considered as a separate regenerator. Additional assumptions adopted for analysis of each sub-section,
such as, the fluid temperature assumed constant at the inlet of each matrix; and the axial temperature
distribution assumed linear through the regenerator matrix. NTU resulting effectiveness, pressure drop due
to flow resistance and axial heat conduction are evaluated separately, and collective effect is estimated as
follows:
NTUH =NTU1 +NTU2 (5)
1
εH =(1-IH )=1- (1+(NTU )) (6)
H
∆PH =∆P1 +∆P2 (7)
Refrigeration loss due to ineffectiveness, pressure drop and axial heat conduction is then calculated. The
refrigeration loss due to radiation is neglected. Net refrigeration effect available is obtained as
Q NET =Q GROSS -(Q I,H +Q ∆P +Q A,H )
(8)
Numerical Model for Cyclic Analysis
A computer code was written and run in MATLAB® Release2018, that solve the set of equations to
predict the performance and losses associated for above selected set of dimensions and working conditions.
The flowchart for the numerical model of pulse tube refrigerator considering different losses for calculating
net refrigeration effect is given in figure 4.
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Figure 4. Flow chart for second order cyclic analysis of PTR
Model dimensions and working conditions
Recently, Cha [21] reported successful modeling of a pulse tube refrigerator using the Computational Fluid
Dynamics (CFD) that predicts close performance to that observed experimentally. The present work
adopted the same geometry of the system reported by Cha [21]. Detail dimension of the system are given
in table 1.
The operating condition adopted as reference scale is to obtain maximum refrigeration effect at 80 K.
Initial condition of temperature throughout the system is 300 K and system charge pressure is 3.1 MPa
and the frequency of operation at 34 Hz. Boundary conditions set for regenerator, pulse tube and reservoir
wall is adiabatic where CHX wall is isothermal.
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Table 1. Dimensions of PTR components [21]

Sr. no. Component Radius (m) Length (m)
1 Compressor 9.54E-3 7.50E-3
2 Transfer line 1.55E-3 1.01E-1
3 Hot heat exchanger 1 4E-3 2E-2
4 Regenerator 4E-3 5.80E-2
5 Cold heat exchanger 3E-3 5.7E-3
6 Pulse Tube 2.5E-3 6E-2
8 Inertance Tube 4.25E-4 6.84E-1
9 Surge Volume 1.3E-2 1.3E-1
Helium gas is selected as working fluid, where all the thermal properties are set in the form temperature
dependent polynomial equations derived from NIST material database.
Specific heat (j/kg-k): 5315.527337 + (−1.019987594 T) + (0.002033853586 T 2 )
Thermal conductivity (w/m-K):
0.027902324 + (0.0005207454786 T) + (−0.0000002901694656 T 2 )
Viscosity (Pa-sec): 0.000004492575251 + (0.0000000585509476 T) + (−2.218506132E −11 T 2 )
Density (kg/m3): 27.11447935 + (−0.15423787 T) + (0.0002711355883 T 2 )
Several mesh screens of different size and porosity, as detailed in table 2, are considered for deriving the
combination of hybrid regenerator.
Table 2. Mesh matrix characteristics [15]
Mesh Wire Wire
Pitch, P Porosity Hydraulic
Size Size Dia. dw
(mm) (Φ) Dia (mm)
No. No. (mm)
200 47 0.13 0.0500 0.6680 1.0060E-04
250 48 0.10 0.0400 0.6650 7.9403E-05
300 49 0.08 0.0300 0.6990 6.9668E-05
400 49 0.06 0.0300 0.6289 5.0841E-05
400 50 0.06 0.0250 0.6620 4.8964E-05
500 50 0.05 0.0250 0.6135 3.9681E-05

Sr. no. Component Radius (m) Length (m)
Present analysis is first 1performed
Compressor 9.54E-3
to compare the results obtained7.50E-3
by that reported by Cha [21].
Regenerator wire mesh of2400-49 Transfer
SS sizeline 1.55E-3
is selected. Cyclic 1.01E-1 the net refrigeration effect
analysis reported
3 Hot heat exchanger 1 4E-3
very close (1.985 W) to that Cha [21] reported by CFD analysis as (1.6 2E-2W), where earlier model [19]
reported (3.914 W), due to4 adopted
Regenerator
better fitting correlation
4E-3for loss estimation
5.80E-2 based on oscillating flow
conditions. 5 Cold heat exchanger 3E-3 5.7E-3
6 Pulse Tube 2.5E-3 6E-2
8 Inertance Tube 4.25E-4 6.84E-1
ISBN: 978-93-5351-069-5 9 Surge Volume 1124 1.3E-2 1.3E-1
Cyclic analysis of Hybrid regenerator
Multiple simulations are run to test the PTR performance for optimization of refrigeration effect at 80 K
temperature at cold heat exchanger.
The optimization of hybrid regenerator is carried out by varying: (1) The relative lengths of each sub-
regenerator layers, and (2) Hydraulic diameter at warm end and cold end i.e. employing matrixes with
different mesh sizes. Several different combinations of mesh structure are formed in order of increasing
ratio of hydraulic diameter of hot end and cold end mesh screen.
Hybrid regenerator loss analysis
Over a range of mesh length ratio, as ratio of length dense mesh at cold end to total regenerator length, the
combinations are evaluated and results for various heat losses are estimated. Present paper report detail
analysis of cold end mesh size 400-49 and hot end mesh size 200-47.
Figure 4 (a) to (f) give the details of various losses for selected combination over range of length ratio
compared with simple homogeneous uniform mesh regenerator of 400-49 size. Different losses are
compared with simple regenerator.
Figure 4(a) reveal the estimated lower pressure drop over all the length ratio of selected combination of
hybrid mesh regenerator due to presence of porous mesh at hot end that reduce the resistance to fluid flow
compared to the uniform dense mesh.Hence PV-loss due to pressure drop is also less in hybrid regenerator.
The pressure drop increases with the length of dense mesh, as reported in figure 4(b).
Figure 4(c) show conduction losses through the mesh matrix, that are also dependent on length of dense
mesh present in hybrid regenerator, and increases due to presence of more material for axial conduction
through matrix.
Presence of porous mesh causes more temperature swing over cycle of operation due to less heat capacity,
as shown in figure 4(d). Figure 4(e) also reveals similar case for the refrigeration loss due to
ineffectiveness, which is affected by larger porous matrix length. At cold end the thermal penetration depth
of working fluid (Helium gas) is affected by variation in its specific heat and density, so dense mesh at cold
end is essential to sustain effective heat transfer.
Figure 4(f) give the collective effects of all the previously discussed losses are reflected in net refrigeration
effect. A typical cold end length balances the losses due to pressure drop and ineffectiveness.
Performance comparison between Hybrid regenerator and homogeneous regenerator.
Figure 5 show the combined effect of all major losses and net refrigeration effect estimated by cyclic
analysis model. The length ratio of dense mesh affect the PV-loss and loss due to ineffectiveness in
divergence, so an optimum combination attains balance of these two major losses giving highest net
refrigeration effect for selected mesh combination. Also the hybrid regenerator with two-mesh combination
is reporting higher net refrigeration effect compared to the simple regenerator.
Table 3 give the account of various losses estimated with optimum combination giving maximum net
refrigeration effect for hybrid regenerator and simple regenerator. Presence of porous mesh derives larger
loss due to ineffectiveness and temperature swing which is balanced by conservation in PV-loss to a large
extent. 34.78% larger net refrigeration effect can be availed by hybrid mesh regenerator.
1125 ISBN: 978-93-5351-069-5

Figure 4 (a) to (f) Loss analysis of hybrid regenerator
Abscissa quantities are the length ratio of dense mesh at cold end to total regenerator
length in all figures and ordinate quantities are in unit Watts, except figure 4(a).
CONCLUSION
A simplified one dimensional model using second order cyclic analysis with loss estimation is used for
parametric study to select optimum mesh size combination for hybrid regenerator for pulse tube
refrigerator. Appropriate selection of pressure drop and heat transfer correlations accounting oscillating
flow in regenerator is important for loss analysis. Present model has shown ability to predict the
performance closer than previously published results.
Cyclic analysis method has advantage of design verification with least time consumption due to fast
computation facility. However these modeling techniques are limited to preliminary performance
prediction and accuracy of results is limited due to associated assumptions.
ISBN: 978-93-5351-069-5 1126

Figure 5 Refrigeration losses estimated over length ratio
Table 3.Losses calculated for hybrid regenerator and simple homogeneous regenerator.
Homogeneous Hybrid
% change in
Parameter regenerator mesh with
performance
400-49 mesh ratio 0.52
Ideal refrigerating effect,W 10.917 10.917 0.00
Loss due to regenerator ineffectiveness, W 0.929 1.314 41.46
Loss due to temperature swing in matrix
1.816 2.099 15.62
material, W
Total heat conduction loss through (pulse
tube wall, regenerator tube wall and 1.036 1.030 -0.57
regenerator mesh matrix, W)
Pressure drop, Pa 135867.608 90625.633 -33.30
P-V loss, W 4.714 3.794 -19.52
Net refrigeration capacity, W 1.985 2.676 34.78
Some results are discussed for estimation of refrigeration losses in regenerator selection of mesh
combination for hybrid regenerator. Mesh combination 200-47 at hot end and 400-49 mesh at cold end in
hybrid regenerator is discussed at length.
The appropriate combination, reported reduced overall refrigeration losses in regenerator. The hybrid
regenerator design discussed here for optimum performance reported 34.78% more net refrigeration effect
at 2.676 W as compared to 1.985 W delivered by simple regenerator model of PTR system.
1127 ISBN: 978-93-5351-069-5

REFERENCES
1. Gifford W. E. and Longsworth R. C. (1964). Pulse Tube Refrigeration, Trans. Of the ASME, August 1964, pp.
264.
2. Radebaugh R. (2000). Development of the Pulse Tube Refrigerator as an Efficient and Reliable Cryocooler,
Proc. Institute of Refrigeration (London).
3. Rout S. K. (2015). Design and Analysis of Pulse Tube Refrigerator, PhD Thesis, NIT Rourkela, pp. 42.
4. Atrey, M. D., Bapat, S. L. and Narayankhedkar K. G. (1990). Cyclic simulation of Stirling cryocooler,
Cryogenics, vol. 30, 341.
5. Atrey, M. D., Bapat, S. L. and Narayankhedkar K. G. (1990). Microcomputer aided cyclic analysis of the
Stirling cryocooler with different regenerator meshes, Cryogenics, vol. 30, 237.
6. Atrey, M. D., Bapat, S. L. and Narayankhedkar, K. G. (1992). Optimization of design parameters of Stirling
cycle cryocooler (PLN-106) considering regenerator mesh sizes and working fluid Indian Journal of
Cryogenics, vol. 17, 9.
7. Atrey, M. D. and Narayankhedkar, K. G. (2000). Development of second order isothermal model of orifice
pulse tube refrigerator Proceedings of ICEC, vol. 18, page 519.
8. Zhu, S. W. and Chen, Z. Q. (1994). Isothermal model of pulse tube refrigerator Cryogenics, vol. 34, page 591.
9. Sajid, N. K. M. (2009). Heat balance analysis of a single stage orifice pulse tube refrigerator Inst. of Engineers
(India) journal, vol. 90, page 23.
10. Lins R. C. and Elkan M. A. (1975) Design and fabrication of compact high-effectiveness cryogenic heat
exchangers using wire mesh screens; Advances in cryogenic engineering, Vol. 20, pp. 283-294.
11. Miyabe J., Takahashi S. and Hameguchi K. (1982) An approach to design of Stirling engine regenerator matrix
using packs of wire gauge; Proc. of 17th IECEC, pp. 1839-1844.
12. Thomas B. and Pittman D. (2000). Update on the evaluation of different correlations for the flow friction factor
and heat transfer of Stirling engine regenerators, Research report, American Institute of Aeronautics &
Astronautics, AOO-37712.
13. Gedeon D. and Wood J. G. (1996) Oscillating-Flow Regenerator Test Rig: Hardware and Theory With Derived
Correlations for Screens and Felts, NASA Contractor Report 198442,.
14. Andeen B. R. (1982) Heat capacity and geometry impacts on regenerator performance, Advances in cryogenic
engineering, vol. 27, pp. 611-619.
15. Joshi U. V. (2004). Design and Performance Investigation of Hybrid Regenerator for Miniature Stirling
Cryocooler, ME Dissertation, Gujarat University, Ahmedabad.
16. Arablu M. and Jafarian A. (2013) A modified two-stage pulse tube cryocooler utilizing double-inlet and
multi-mesh regenerator, Cryogenics volume 58, pages 26-32.
17. Dang H. and Zhao Y. (2016) CFD modeling and experimental verification of a single-stage coaxial Stirling-
type pulse tube cryocooler without either double-inlet or multi-bypass operating at 30–35 K using mixed
stainless steel mesh regenerator matrices, Cryogenics, vol. 78, pp. 40–50.
18. Joshi U. V. and Dhiman V. D. (2018). Second order modeling and performance analysis of pulse tube
refrigerator, International Conference on Science, Technology, Engineering & Mathematics (STEM), Vibrant
Gujarat – 2019, Government of Gujarat.
19. Thakkar S. A., Joshi U .V. and Patel L. N. (2011). Cyclic analysis of inertance tube pulse tube refrigerator,
International Conference on Advances in Mechanical Engineering, June -2011, section 5, pp. 854.
20. Roach P. R. and Kashani A. (1997). Pulse tube coolers with an inertance tube: theory, modeling and practice,
Advances on Cryogenic Engineering, vol. 43B, pp. 1895-1902.
21. Cha J. S., Ghiaasiaan S., Harvey J., Desai P. and Kirkconnell C. S. (2004). CFD Simulation of Multi
Dimensional Effects in an Inertance Tube Pulse Tube Refrigerator, Cryocooler, vol. 13, pp. 285-292.
ISBN: 978-93-5351-069-5 1128

Appendix – I Nomenclatures
𝐶𝑓 Friction factor
ΔP Pressure drop, Pa
n number of wire mesh screen layers
𝑁𝑢𝑡𝑜𝑡𝑎𝑙 Nusselt number based on gross heat transfer area
NTU No. of transfer units
Q Refrigeration effect, W
Re Reynolds number
u Flow velocity in matrix, m/sec.
ε Effectiveness
ρ Density, kg/m3
Subscripts
H Hybrid regenerator
1 Regenerator mesh at hot end
2 Regenerator mesh at cold end
I Ineffectiveness
A Axial conduction
1129 ISBN: 978-93-5351-069-5

PCE017
CONVERSION OF A SINGLE GAS ROTAMETER TO MEASURE

VOLUME FLOW RATE OF DIFFERENT GASES
Dhaval B. Prajapati A. K. Sahu

Assistant Professor, Scientist-Engineer SG,
SAL College of Engineering, IPR, Bhat, Gandhinagar, Gujarat, India.
Ahmedabad, Gujarat, India. Institute for Plasma Research
dhavalbprajapati71@gmail.com aksahu@ipr.res.in
Abstract
Gas based any laboratories or industries which are related with the supply of different gases, it is
necessary to measure and control the volume flow rate of the gases. So, to measure the volume flow rate,
different volume flow meters- rotameters are used for the different gases. Due to the different properties
of the different gases at the same pressure and temperature; one particular gas rotameter can’t be used
to measure the volumetric low rate of the different gases. But with the help of densities of the gases, one
may calculate the volumetric flow range for different gases for one specified rotameter as described in
this literature. This work contains the design methodology to use single rotameter for different gases to
measure their volume flow rate & how to convert one specific gas rotameter into another gas rotameter.
Keywords: Rotameter, Multiple Gas Flow meter.
INTRODUCTION AND LITERATURE

Rotameter is a device which is used to measure the volumetric flow rate of the gas. Principle &
schematic of the rotameter is shown in fig.1.
Figure 1 Principle & schematic of the Rotameter
Source:http://www.msubbu.in/ln/fm/Unit-III/Rotameter.htm
A rotameter consists of a tapering glass tube, a rotor or active element called 'float' is located inside the
glass tube[2], made either of PVC, SS, anodized aluminum or a ceramic, actually a shaped weight, inside
that is pushed up by the drag force of the flow and pulled down by gravity.
Higher flow rate through a given area increases flow speed and drag force, so the float will be pushed
upwards. However, as the inside shape of the rotameter is of cone shaped (widens), the area around the
float through which the fluid flows increases, the flow speed and drag force decrease until there is
mechanical equilibrium with the float's weight.Tapering of metering tube is so designed that the vertical
movement of the float becomes linearly proportional to the rate of flow and the scale is provided to read
ISBN: 978-93-5351-069-5 1130

the position of the float, thus giving birth to flow rate indication.Based on Bernoulli's theorem [2, 3], the
principle mentioned above can be theoretically expressed as follows.So, volumetric flow rate;
. . .(1)
Where,
Cd = Discharge coefficient;
Aa = Tube cross-section;
Ab = Cross-section of annulus (area between the tube and float);
Vf = Volume of float;
Af = Area of float;
ρf = Density of float;
ρ = Density of fluid;
hf = Height of float;
g = Gravitational acceleration.
DESIGN METHODOLOGY
In any gas based company, industry or laboratory, it is required to measure and control the volume flow
rate of the gases. So, to measure and control the volume flow rate, the flow meter- Rotameter is being
used there.
For different gases different rotameters are used, because every gas has different density at same pressure
and temperature. The higher be the density, the mass transfer is more in one cubic meter than lower
density gas. But in a single rotameter for the same cross section area, to transfer same volume, the higher
density gas will apply more thrust on the needle and reading will go higher, because the higher mass
which is going to be transfer through it, will apply more pressure on needle from the bottom side.
So, as increase in the density, the volumetric flow range will increase and Rotameter will show the higher
reading. But, how much?? & how it is related with the density?To solve this, consider two fluids: Fluid 1
& Fluid 2. And for a comparison, one may write eq. (1) as below:
In above equation, float related parameters will remains constant because float is not going to be change,
1*ℎ is very small compared to parameter of float, so it can be neglected.
1131 ISBN: 978-93-5351-069-5

Discharge coefficient remains almost same Cd1=Cd2, because it depends on Reynolds number and at same
applied pressure gases shows same kinds of flow. And in density of the fluid is negligible as
compared to the density of float because .
And in , the square of ratio of area will be very small compared to 1 because of small tapper
angle. So, it can be neglected. So, from final simplification the above equation will be:
. . . (2)
Suppose here, area Ab1 and Ab2 are the cross section of the Annulus - area between the tube and float for
position 1 and 2 respectively asshown in Fig. 3.
So, Ab1 = Π*D*t1;
where, D=Diameter of float,

t= gap between the tube and the float.
Similarly, Ab2 = Π*D*t2.
But, Diameter of the float remains same for any position of the float in the tube. From the figure 2, it can
also be calculated by,
Ab1 =Π/4*(D2itube-D2)
=Π/4*((D+2t1)2-D2)
=Π/4*(D2+2D*2t1+4t12-D2)
Here, t12<<Dt1, so, t12 can be neglected.
=Π/4*(4Dt1);
=Π*D*t1
Figure 2 Cross Section Area at Annulus
Similarly, for 2nd position of the float, Ab2 = Π*D*t2, which is just same as we have considered above.
But here, Diameter of the float will be constant. So, Area is directly proportional to the gap, t. Therefore,
equation (2) can be written as,
. . . (3)
Now, consider the following fig.3 which shows the schematic of the Rotameter which has the tapper
angle, θ and two different heights of the float, h1& h2, it gives two different gaps t1& t2 respectively. So,
it is clear that,
ISBN: 978-93-5351-069-5 1132

. . . (4)
Figure 3 Float Movement in Rotameter
Therefore,
. . . (5)
So, from the above equation, gap is directly proportional to the height of the float & from the equations
(3) & (5), it is clear that annulus area is directly proportional to height of the float. As the height of the
float increases the cross section area of the annulus increases. Therefore,
. . . (6)
Substitute equation (6) into (2);
. . . (7)
Now, from ideal gas equation: pV= mRT;
where,
R = individual/specific gas constant,
m = mass of the gas.
. . . (8)
By substituting this eq. (8) into (7),
. . . (9)
1133 ISBN: 978-93-5351-069-5

So, from equation (9), one can say that volume flow rate is directly proportional to the height of the float
and square root of the temperature and the characteristic gas constant & inversely proportional to the
square root of the pressure. If the float of the Rotameter shows/ considered at the same height, h 1=h2 then
equation (9) can be written as below:
. . . (10)
EXPERIMENTAL SETUP & METHODOLOGY

Fig. 4 shows the rotameter experimental setup line diagram,which consists of two pressure gauge, out of
both, one pressure gauge is mounted before inlet of the rotameter to measure the inlet pressure of the gas
and another is mounted at the outlet of the rotameter to measure the outlet pressure. A Gas cylinder is
attached with the inlet line with pressure regulator to change the operative pressure during the
experiment. And at the end, one hand ball valve is mounted to control the pressure and flow inside the
experimental system. The operating needle valve of the rotameter is kept fully open to avoid error and
leakage problem, the flow is regulated by hand ball valve. Here, the experiment was conducted for the
different gases which were passed though Helium Rotameter designed for the pressure of ~1.2 bar,
temperature of 300K and 0-1000 LPM range and another of Helium gas calibrated for 2 bar pressure and
300 K temperature and 0-100 LPM range.
Figure 4 Line Diagram of Experimental Setup of Rotameter
Following figure 5 shows the experimental setup, which consists of two pressure gauge, one at inlet and
one at outlet to measure the respective pressure in the lines. A gas cylinder is attached with the setup by
pressure regulator. During the whole experiment, the needle valve of the rotameter kept open and hand
valve kept close after flushing the line with experimental gas each time before the experiment. Opening
the hand valve slowly will lead to fly the float inside the rotameter. And set that flow to a particular value
say~100 LPM.
Figure 5 Experimental Setup of Rotameter
ISBN: 978-93-5351-069-5 1134

A nitrogen cylinder is made up of 47litre volume and filled with nitrogen gas at pressure of 150 Kg/cm2
means in has 7.05 m3 gas or 7.91 Kg of nitrogen gas. Similarly following table gives the value of Kg of
gas in cylinders at 150 bar:
Table.1 Kg of gas in cylinders at 150 bar and amount released at every 10 bar.
Total Kg of Gas in
Total Kg of Gas in Kg of Gas
Cylinder should be
Gas Cylinder(according Released in
there (according to
to bar) every 10 bar
Kg/cm2)
He 1.1308 1.1089 0.0739
H2 0.5695 0.5584 0.0372
O2 9.0499 8.8749 0.5917
N2 7.9191 7.7660 0.5177
Ar 11.2977 11.0793 0.7386
Figure 6 Comparison of total amount of different gases released at every 10 bar and total Kg of gas in the cylinder
14.0000
Mass of the Gas Released
12.0000
0.7386
0.5917
10.0000
0.5177
8.0000
Kg of Gas
6.0000 Kg of Gas
11.0793
Released in 10
8.8749 bar
4.0000 7.7660
0.0739 0.0372
2.0000
1.1089 0.5584
0.0000
He H2 O2 N2 Ar
Gases
1135 ISBN: 978-93-5351-069-5

Now, we can calculate the total amount of the gas released at each 10 bar or 10 Kg/cm2 pressure
reduction which is given in below table for different gases; 1Kg/cm2 = 0.9806 bar, but volume occupied
by 10kg/cm2 gas is equals to volume occupied by the gas at 10bar. That amount of gas released during
experimental time divided by that time gives practical mass flow rate which is to be compare with the
theoretical mass flow rate with the help of derived equation explained below:
In this equation, subscript 1 indicate the actual value of the rotameter at which it is calibrated and
subscript 2 is for the gas which is going to be passed through it.
Suppose, available rotameter is Nitrogen Rotameter, which shows 100LPM reading when Nitrogen is
supplied at 300K & 10 bar (density= 11.25Kg/m3). So, for the same volume flow rate of hydrogen
gas(Q1=Q2=100LPM) what will be the reading on the same Nitrogen Rotameter? (Density of the
hydrogen at 300K, 10 bar, is 0.8035 Kg/m3.) So, from the above equation (for linear reading indication
of Rotameter, otherwise it should be calculated in mm or cm unit.):
= 0.267 * 100 = 26.7 LPM
So, for the same volume flow rate of hydrogen at same temperature and pressure, the Nitrogen Rotameter
indicates 26.7 LPM.
Below it is given some of the conversions for different gases for 2 to 20 bar:
hH2 = hN2 * 0.27; hO2 = hN2 * 1.07;
hHe = hN2 * 0.38; hAr = hN2 * 1.19.
Similarly, during experiment one can take Q1 as volume flow rate indicated on the rotameter reading and
Q2 (LPM) can be calculated by using this equation for given density, pressure and temperature of the
experiment, so, mass flow rate can be given by,
Theoretical mass flow rate, m = (Q2*ρ)/60.
RESULTS
Experimental mass flow rate is derived by the Kg gas released from the cylinder for each 10 bar and
theoretical mass flow rate is calculated with above explained methodology. Following data shows
experimental results and comparison between theoretical calculations done by developed equation and
experimentally derived mass flow rate of different gases which supplied with different operating
conditions through a Helium Rotameter having measurement range of 0-1000 LPM which was designed
for 1.2 bar operating pressure and 300 K Operating temperature.Similarly, we have also checked the
derived equation from different rotameter for different gases during experimental work.
Table. 2 Comparison of Theoretical and Experimental Mass Flow Rate for 0-1000 LPM Helium
Rotameter
ISBN: 978-93-5351-069-5 1136

Table. 3 Comparison of Theoretical and Experimental Mass Flow Rate for 0-100 LPM Helium Rotameter
It seems that the last two columns in both of the tables indicates mass flow rate calculated from the
theoretical equation and measured during the experiment are matching. So, we can say that the above
derived equation is feasible to use for measurement of volume/mass flow rate of different gases by single
gas flow meter rotameter.
Sometimes mismatching of results occurs which may be reduced by increasing the accuracy and reducing
human error, manufacturing error and experimental selected method error.
Individual/ specific gas constant of different gases are given below[4]: RAr= 208 J/KgK; RN2= 296.8
J/KgK; RO2= 259.8 J/KgK; RCO2= 188.9 J/KgK; RHe= 2077 J/KgK; RH2= 4124 J/KgK; RCO= 297 J/KgK;
RH2O= 461.5 J/KgK.
1137 ISBN: 978-93-5351-069-5

CONCLUSION
The current work deals with Conversion of a Single Gas Rotameter to Measure Volume Flow Rate of
Different Gases. The answer derived through the developed design methodology, the equation is
satisfying the experimental testing data and give similar result. The minor error that may be considered as
the human error, setup alignment error, vision error or instrumental and manufacturing error. So, it is
concluded that by using this design methodology one can use single gas Rotameter for different gases to
measure and calculate volume flow rate of the same.
REFERENCES
1. http://www.msubbu.in/ln/fm/Unit-III/Rotameter.htm
2. Fluid Mechanics, Mahajan Publications, 3rdEddition.
3. https://www.sciencedirect.com/topics/earth-and-planetary-sciences/bernoulli-theorem
4. http://www.engineeringtoolbox.com/individual-universal-gas-constant-d_588.html
ISBN: 978-93-5351-069-5 1138

PCE066
A TECHNICAL REVIEW ON FUSION WELDING OF Al-Mg-Si ALLOY

FOR MECHANICAL PROPERTIES.
Pratik T. Kikani Dr. Hemantkumar R. Thakkar

Research Scholar, Associate Professor,
Gujarat Technological University, Gujarat, India Mech. Engg. Dept.
Asst. Prof., Mech. Engg. Dept. GCET, V.V. Nagar,
AITS, Rajkot, Gujarat, India Gujarat, India
ptkikani@aits.edu.in Hemantthakkar@gcet.ac.in
Abstract
The welding processes constantly signify enormous challenges for welders and Engineers. The current
investigation is aspiring at to the review the study of fusion processes execute to Al-Mg-Si alloys.
Different fusion welding processes like TIG, MIG, pulsed TIG, and Pulsed MIG are investigated
notionally due to their reasonably easier relevantly and enhanced economy. The process and its effect are
explored on mechanical properties.TIG is the reasonably potential process that can be performed at
industry level for any thickness, joints with moderate mechanical properties.
Keywords: Fusion welding, Al-Mg-Si alloys, Mechanical Properties
INTRODUCTION
The one of richest element available in the earth crust is aluminum having 8 % wt. which is second after
ferrous alloy like steel between inexpensively significant metal. Some other nonferrous elements like
copper, tin, lead were used for many years. Aluminum was identified by Sir Humphrey Davy (Britain) in
1808. (Coniglio, 2008)Aluminum is a non ferrous, low melting point metal having excellent corrosion
resistance high thermal conductivity, low density. Aluminum is The major application of aluminum alloys
are in different industries like automotive industries, aerospace industries, high speed ships, railway
vehicles, offshore structures, packaging industries etc. due to its higher strength to density ratio, high
stiffness to density ratios.(Lakshminarayanan, Balasubramanian, & Elangovan, 2009)(P. Kikani &
Thakkar, 2017) and become an important alternative to conventional carbon steel.(Fauzi, Jamil, Samad, &
Muangjunburee, 2017)
Different aluminum alloys & their oxides have different melting points(Mathers, 2002). For all the
applications various joining methods are used to weld it. Fusion welding is one of the best methods which
many industries are adopting. During fusion welding of alloys the oxides layers are generated on the
surface of the metal. It is indispensable to eradicate and separate out this layer of oxides layer before and
during welding to facilitate the necessary quality(Mathers, 2002).
The apparent consumption of aluminum worldwide market is presented by The Aluminum association
which is publicized in Table 1.
1139 ISBN: 978-93-5351-069-5

Table: 1Apparent Consumption of Aluminum by market
Source: The Aluminum Association
Aluminum alloys contains principle alloying elements which are illustrated in figure 2.
Figure 1 classification of wrought Al alloy series

Sr Alloy Principle alloying
No Series Element
1 1XXX 99.00% minimum Al
2 2XXX Copper
3 3XXX Manganese
4 4XXX Silicon
5 5XXX Magnesium
6 6XXX Magnesium & Silicon
7 7XXX Zinc
8 8XXX Other elements

Source: (P. T. Kikani & Thakkar, 2018)
The element composition and mechanical properties of Al-Mg-Si or AA 6XXX aluminum alloys are
described in Table 1 & Table2. (T.SENTHIL KUMAR, 2005)
Table: 1 Mechanical Properties of Al-Mg-Si auminum Alloys

Ultimate
Brinell Hardness
Tensile Yield Strength
Alloy Series Number
Strength (MPa)
(500 Kg)
(MPa)
Al-Mg-Si
124-400 50-360 25-95
(6XXX)
ISBN: 978-93-5351-069-5 1140

Source:(T.SENTHIL KUMAR, 2005)
Table: 2 Element Composition of Al-Mg-Si Aluminum Alloys

Alloy
Mg Si Cu Fe Mn Cr Ni Zn
Series
6XXX 0.35-1.5 0.2-1.8 0.04-2.6 0.15-1 0.03-1 0.03-0.15 0.2 0.05-2.4
Source:(T.SENTHIL KUMAR, 2005)
The physical properties of Aluminum are described by Alan M. Russel which is illustrated as below.
Figure 2 Physical properties of Aluminum
Source: Russell, A., & Lee, K. L., 2005
Many researchers have adopted various welding processes like fusion welding, solid state welding. the
industries have demanded quality welds with superior mechanical properties has become a great interest
for increasing the life of the component in many industries.(Chauhan, Singh, & Chandra, 2016)
To accomplish quality weld joints of Al-Mg-Si alloys, the preference of design of joint, parameters
procedures and processes of weld ought to consider. The weldability depends on the base material,
quality, design and welding process.(European Aluminium Association, 2015)
1141 ISBN: 978-93-5351-069-5

Figure 4 Weldability a system approach
Source: European Aluminium Association, 2015
One must have to opt suitable process that gives quality weld joints. The list of some welding process that
can be used for welding of aluminum alloys.
The problems associated with welding of aluminum are cracks. because cracks is the initialization of
failure. It leads to damage of weld joints that can concern on overall cost.Kikani at el. have lassified and
formulated the cracks in given fig. 5.(P. T. Kikani & Thakkar, 2018).
Figure: 5 Types of cracking
Source: P. T. Kikani & Thakkar, 2018
Different cracks are generated at different regions which is mention in fig. 6

Figure: 6 Cracks location in Aluminum welding
Source: Aucott, 2015
ISBN: 978-93-5351-069-5 1142

OBJECTIVES
1. To investigate Fusion welding processes like TIG, MIG, Pulsed TIG, Pulsed MIG notionally.
2. To identify the welding method for Al-Mg-Si alloys it should be economical, worth weld
process.
LITERATURE REVIEW
 Mathers, Geneat el, gives idea of different fusion welding processes for aluminum alloys which is
tabulated as below
Table 3 Different fusion welding processes for aluminum alloys and its application
Process Applications
Tungsten inert gas (TIG) welding High quality, all position welding process, manual or
mechanized or automatic, straight or pulsed current
Metal inert gas (MIG) welding High quality, all position welding process,continous wire feed,
manual or mechanized or automatic, straight or pulsed current
Friction stir welding (FSW) High quality, flat position, mechanized, high pressure & friction
Source: Mathers 2002
 Manti et al. reported the pulsed TIG welding process parameters on Tensile strength, hardness
and microstructures. They have concluded that during pulsed frequency is lower, tensile strength,
hardness were observed superior compare in case that of higher pulsed frequencies.
Graph 1 Pulsed frequency vs Hardness and Pulsed frequency vs. Tensile strength graph for different duty cycles
1143 ISBN: 978-93-5351-069-5

Source: Manti, Dwivedi, & Agarwal, 2008b
 Manti et al. presented in their research that the effect of pulsed TIG welding parameters for
instance peak current, pulse frequency, pulse duration on microstructure of HAZ. They concluded
that the size of Al grains decreases with increasing of pulse frequency. At the high pulse
frequency, the higher average size difference was observed at fusion boundary and at weld center
line (Manti & Dwivedi, 2007).
 Kumar et al. have studied the effect of parameters of pulsed TIG welding on mechanical
properties such as hardness, notch tensile strength, and impact toughness in as welded conditions.
They came to know by performing the experiments on different parameters’ range, the percentage
contribution of each parameters on notch tensile strength, impact toughness and on hardness.
Graph 2: S/N ratio and percentage contribution on NTS, impact toughness and Hardness
Source: Kumar & Sundarrajan, 2009

 Kumar et al. have suggested the approach methodology for selection of the welding process
parameters for Al-Mg-Si aluminum alloy with optimum value of mechanical properties.
 G. mathers has illustrated the process parameters range to perform TIG welding of aluminum
alloys. The archetypal current range for different thickness plate of Al alloys are exemplify for
butt joint and for fillet joints in Fig. (Mathers, 2002)
ISBN: 978-93-5351-069-5 1144

Figure 7 Archetypal current range for different thickness plate of Al alloys for fillet & butt joints
.
Source: Mathers 2009(Mathers, 2002)
Different input and output parameters for TIG, Pulsed TIG, MIG & Pulsed MIG welding processes are
referred below. It provides suggestion for performing of welding of Al-Mg-Si alloys.
Table 4 Different Input and Output parameters for fusion welding

Sr TIG/ Pulsed TIG MIG/ Pulsed MIG
No Input output Input output
Current/ peak Current/ peak
1 Tensile Strength Tensile Strength
current/Base current current/Base current
2 Voltage Yield Strength Voltage Yield Strength
Compressive strength Compressive strength
3 Frequency frequency
4 Pulse on time Bending strength Pulse n time Bending strength

Shielding gas Shielding gas
5 Hardness Hardness
proportion proportion
6 Gas flow rate Impact strength Gas flow rate Impact strength
7 Travel speed Notch tensile strength Travel speed Notch tensile strength
Electrode-work piece Torch- work piece
8 Notch yield strength Notch yield strength
distance Distance
9 Electrode vortex angle Notch strength ratio Filler wire diameter Notch strength ratio
10 Electrode diameter Joint efficiency Filler wire type Joint efficiency
11 Electrode type Bead contour Size of gas nozzle Bead contour
12 Size of gas nozzle Bead appearance polarity Bead appearance
13 polarity Depth of penetration Depth of penetration
Source: (Squillace, Fenzo, Giorleo, & Bellucci, 2004)(Chen et al., 2018; Cunha, Louise Voigt, & Bohrquez,
2016; Ericsson & Sandstro, 2003; Kumar & Sundarrajan, 2009; Liang, Shen, Hu, Wang, & Pang, 2018;
Manti et al., 2008; Salazar, Ureña, Villauriz, Manzanedo, & Barrena, 1999; T.SENTHIL KUMAR,
2005)(Ghosh, 2017; Kumar & Sundarrajan, 2006; Manti, Dwivedi, & Agarwal, 2008)
Recommended welding parameters – argon gas shielding and other parameters like current, no. of passes,
filler diameter, travel speed nozzle diameter etc. are cited.
1145 ISBN: 978-93-5351-069-5

Table 5 Recommended parameters for welding for argon gas shielding
Source (Mathers, 2002)
CONCLUSION
The paper illustrated general suggestion of welding for Al-Mg-Si alloys. The processes like TIG, MIG,
their constraint. The technical review clearly gives an idea about process use for less than 10 mm thicker
material is TIG, individual can go for MIG welding for more than 10 mm thicker material. The pulsed
TIG or pulsed MIG processes gives the superior mechanical properties contrast to constant current TIG or
MIG processes.
REFERENCES
1. Chauhan, S., Singh, R., & Chandra, P. (2016). Statistical Analysis of the Effect of Notches and Strain Rate
on the Tensile Properties of Welded 6061 Aluminum Alloy. Transactions of the Indian Institute of Metals.
2. Chen, C., Wei, X., Zhao, Y., Yan, K., Jia, Z., & He, Y. (2018). Effects of helium gas flow rate on arc
shape, molten pool behavior and penetration in aluminum alloy DCEN TIG welding. Journal of Materials
Processing Technology, 255(2), 696–702. https://doi.org/10.1016/j.jmatprotec.2017.12.029
3. Coniglio, D. N. (2008). Aluminum Alloy Weldability : Identification of Weld Solidification Cracking
Mechanisms through Novel Experimental Technique and Model Development.
4. Cunha, T. V. Da, Louise Voigt, A., & Boh??rquez, C. E. N. (2016). Analysis of mean and RMS current
welding in the pulsed TIG welding process. Journal of Materials Processing Technology, 231, 449–455.
https://doi.org/10.1016/j.jmatprotec.2016.01.005
5. Ericsson, M., & Sandstro, R. (2003). Influence of welding speed on the fatigue of friction stir welds , and
comparison with MIG and TIG. International Journal of Fatigue, 25, 1379–1387.
ISBN: 978-93-5351-069-5 1146

https://doi.org/10.1016/S0142-1123(03)00059-8
6. European Aluminium Association. (2015). EAA Aluminium Automotive Manual – Joining. The Aluminium
Automotive Manual.
7. Fauzi, E. R. I., Jamil, M. S. C. H. E., Samad, Z., & Muangjunburee, P. (2017). Microstructure analysis and
mechanical characteristics of tungsten inert gas and metal inert gas welded AA6082-T6 tubular joint : A
comparative study. Transactions of Nonferrous Metals Society of China, 27(1), 17–24.
https://doi.org/10.1016/S1003-6326(17)60003-7
8. Ghosh, P. K. (2017). Pulse Current Gas Metal Arc Welding. (P. J. Paulo Davim, Aveiro, Ed.). Springer.
https://doi.org/10.1007/978-981-10-3557-9
9. Kikani, P. T., & Thakkar, H. R. (2018). A Technical Review on Solidification Cracking Behaviour and
Susceptibility of Aluminum Alloy Weld. Trends in Mechanical Engineering & Technology, 8(2), 77–84.
10. Kikani, P., & Thakkar, H. R. (2017). Study of cracking susceptibility in Al alloys welds . In 2nd
International Conference on emerging Trends in Mechanical Engineering (pp. 50–55).
11. Kumar, A., & Sundarrajan, S. (2006). Selection of welding process parameters for the optimum butt-joint
strength of an aluminum alloy. Materials and Manufacturing Processes, 21(8), 779–782.
https://doi.org/10.1080/03602550600728117
12. Kumar, A., & Sundarrajan, S. (2009). Effect of welding parameters on mechanical properties and
optimization of pulsed TIG welding of Al-Mg-Si alloy. International Journal of Advanced Manufacturing
Technology, 42(1–2), 118–125. https://doi.org/10.1007/s00170-008-1572-8
13. Lakshminarayanan, A. K., Balasubramanian, V., & Elangovan, K. (2009). Effect of welding processes on
tensile properties of AA6061 aluminium alloy joints. International Journal of Advanced Manufacturing
Technology, 40(3–4), 286–296. https://doi.org/10.1007/s00170-007-1325-0
14. Liang, Y., Shen, J., Hu, S., Wang, H., & Pang, J. (2018). Effect of TIG current on microstructural and
mechanical properties of 6061- T6 aluminium alloy joints by TIG – CMT hybrid welding. Journal of
Materials Processing Tech., 255(November 2017), 161–174.
15. Manti, R., & Dwivedi, D. K. (2007). Microstructure of Al – Mg – Si Weld Joints Produced by Pulse TIG
Welding. Materials and Manufacturing Processes, 6914(December), 57–61.
https://doi.org/10.1080/10426910601015923
16. Manti, R., Dwivedi, D. K., & Agarwal, A. (2008a). Microstructure and hardness of Al-Mg-Si weldments
produced by pulse GTA welding. International Journal of Advanced Manufacturing Technology, 36(3–4),
263–269. https://doi.org/10.1007/s00170-006-0849-z
17. Manti, R., Dwivedi, D. K., & Agarwal, A. (2008b). Pulse TIG Welding of Two Al-Mg-Si Alloys. Journal
of Materials Engineering and Performance, 17(5), 667–673. https://doi.org/10.1007/s11665-008-9210-z
18. Mathers, G. (2002). The welding of aluminium and its alloys. New York: Woodhead Publishing Limited.
https://doi.org/10.1533/9781855737631.1
19. Salazar, J. M. G. De, Ureña, A., Villauriz, E., Manzanedo, S., & Barrena, I. (1999). TIG and MIG welding
of 6061 and 7020 aluminium alloys . Microstructural studies and mechanical properties TIG and MIG
welding of 6061 and-7020 aluminium alloys . Microstructural studies and mechanical properties. Taylor,
Publisher, (January 2015), 293–295. https://doi.org/10.1080/09507119909447381
20. Squillace, A., Fenzo, A. De, Giorleo, G., & Bellucci, F. (2004). A comparison between FSW and TIG
welding techniques : modifications of microstructure and pitting corrosion resistance in AA 2024-T3 butt
joints. Journal of Materials Processing Technology, 152, 97–105.
21. T.SENTHIL KUMAR. (2005). Effect of computer controlled pulsed current tig welding parameters on
mechanical properties of aa6061 aluminium alloy.
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Segment IV
Engineering
Theme:
Scientific Revolution through

Engineering and Technical Research
Part – II
Abstracts of Papers
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ISBN: 978-93-5351-069-5 1150

PCE133
THYMOL LOADED SODIUM ALGINATE AND ETHYL CELLULOSE
MICROPARTICLE BY PRECIPRITATION: A COMPARATIVE
APPROACH
Yashawant P. Bhalerao Shrikant J. Wagh
Research Scholar Principal
Gujarat Technological University Gujarat Power Engineering & Research
Ahmedabad, Gujarat, India Institute (GPERI), Mehsana, Gujarat, India
ypb199@gmail.com sjwagh@gmail.com
Abstract
This main objective of this work is to determine a suitable polymer for encapsulation of thymol by
precipitation. Sodium alginate and ethyl cellulose as a polymer were used as shell material and thymol
as core or drug material. The effect of drug-polymer ratio, stirring speed on synthesis and time on the
encapsulation efficiency and drug release were studied. Formulation showed that microencapsulation
method gives sustained action in in-vitro release. Formulation between thymol and sodium alginate
shows maximum 95.18±0.43 % drug release in 10 h, whereas the Formulation between thymol and
ethyl cellulose shows maximum 98.36 ±0.37 % drug release in 10 h. Encapsulation efficiency (EE) of
thymol loaded ethyl cellulose and sodium alginate microparticles shows direct relationship with the
polymer concentration i.e. EE is higher at higher polymer concentration and minimum with lower
polymer concentration. (Or polymer concentration increases the EE). The % EE between thymol and
sodium alginate of the microparticle was calculated to be in the range 31.18 % to 96.81 %. On the
other hand the EE between thymol and ethyl cellulose was obtained in the range of 63.12 % to 75.47
%. Thymol loaded ethyl cellulose microparticles were successfully prepared by nanoprecipitation
method without any incompatibility. This study revealed that the ethyl cellulose gives promising shell
material for sustained delivery of thymol which might be due to the lesser particle size of the
microparticles.
Keywords: Biodegradable polymers, Ethyl Cellulose, Sodium alginate beads, Thymol
1151 ISBN: 978-93-5351-069-5

PCE155
TREATMENT OF MUNICIPAL WASTE WATER BY

PYROLYSIS OF MUNICIPAL SEWAGE SLUDGE
Kinjal R Rokad
Assistant Professor
V. V. P. Engineering College,
Rajkot, Gujarat, India kinjalrokad.gcet@gmail.com
Abstract
Fast industrialization and population growth in India has lead to the relocation of people from
villages to cities, and hence produces thousand tons of sewage sludge daily. Some traditional
techniques used for disposal are land filling, land application and incineration but these methods
have their own limitations. Pyrolysis is the basic technique used to reduce sewage sludge disposal.
Study of Pyrolysis enhances the sewage sludge conversion to bio-oil with high economical value.
In this work, experiments has been performed in a batch reactor with muffle furnace as varying
temperature from 400 to 600˚C with constant time of 1hr and at 1 atm pressure. The maximum
yield of bio-oil is found at 500˚ C. Further, the bio oil produced from Pyrolysis are characterized
by conducting the elemental analysis and measuring heating value, identification of functional
group using Fourier Transform Infrared (FTIR), the chemical composition are investigated
using the Gas Chromatography Mass Spectroscopy (GC-MS), metals and several non-metals are
identified using Inductively Coupled Plasma (ICP) analysis. The fuel properties of sewage sludge
bio-oil evident that, it has the potential to substitute conventional fuels, because of heating
value found 13.77 MJ/kg compared to conventional fuels heating value ranges from 15-20
MJ/kg. The study indicates approximately 80% of the organic matter in sludge is converted via
Pyrolysis into useful source of bioenergy.
Keywords: Pyrolysis, Renewable energy, Sewage sludge, Bio-oil
ISBN: 978-93-5351-069-5 1152

PCE192
INTEGRATION OF AG DOPED TIO2 NANO PARTICLES, CARBON

AND TIO2 NANO PARTICLES IN SOLAR PHOTO-FENTON
PROCESS FOR PHARMACEUTICAL EFFLUENT TREATMENT
Mrs Darshana Tushar Bhatti Mr Nikul M Dave Mr Brijesh B Karkar

Assistant Professor Student Student
V.V.P Engineering College V.V.P Engineering College V.V.P Engineering College
919722243638 917874909881 918469244033
darshana333@yahoo.com nikuldave4321@gmail.com brijeshkarkar108@gmail.com
Abstract
Pharmaceutical industrial effluent contains non-biodegradable organics which cannot be removed
by conventional waste water treatment such as adsorption, Activated sludge process, filtration
etc.currently majority of pharmaceutical industries are incinerating their effluent which
consumes lots of energy and creates air pollution. Hence some alternate methods should be
developed to treat such effluent.Fenton process is an Advanced Oxidation Process (AOP) which
is used for mineralization of organics. Fenton’s reaction is used to treat a large variety of water
pollutants such as Phenols, Formaldehyde, and Pesticides etc. In this paper photo degradation
of the pharmaceuticals like Paracetamol (PCT) in aqueous solutions using modified photo-Fenton
treatment using carbon and Ag doped TiO2nano particles as catalyst is investigated under solar
irradiation. Ag doped TiO2 nano particles is synthesized using sol gel method and characterized
using X-ray diffraction (XRD). Chemical Oxygen Demand (COD) and Total Dissolved Solids
(TDS) removal efficiency is determined using different types of catalyst. Ag doped TiO2 nano
particles as catalyst promoted photo Fenton reaction and has shown maximum of 72 % COD
removal efficiency compared to Carbon and Simple TiO2 catalyst. Effect of various parameters like
pH and catalyst dose is also determined to obtain optimum conditions.
Keywords: Advanced Oxidation Process, Solar Radiation, Antibiotic, Photo Catalyst,

Mineralization, Chemical Oxygen Demand
1153 ISBN: 978-93-5351-069-5

PCE217
ROTARY PRESSURE SWING ADSORPTION
Kinjal Patel
Assistant Professor
chem.kinjal@gmail.com
9974407792
Abstract
Separation techniques are indispensable part of modern manufacturing units. New separation
techniques have great significance to present-day plants compared to conventional separation
techniques when they are not productive and troublesome in operation and maintenance. Among all
advance separation techniques pressure swing adsorption(PSA) is applied in myriad fields naming a
few automobile engine, oil and gas, cryogenics, medical oxygen and petrochemical which is
predominantly due to excellent flexibility of PSA. It is undeniable that adsorbent characteristics plays
major role in adsorption phenomena, but improvement in process engineering makes the PSA more
fruitful application. The paper presents outline of PSA fundamental process principle with details of
rotary valve and its operation. It includes variety of PSA technology and modifications in the process
from energy point of view. It also describes comparative study of alternate process. The system is also
available with skid design allowing lower cost of erection. Starting from basic cycle, it describes new
and advanced cycles with different number of beds like 4 bed, 6 bed and 24 bed. Component gas
separation from mixture of gases with highlights and challenges in the process operation is accounted.
Keywords: Air separation, advanced separation techniques, enriched oxygen, fast cycle PSA,
molecular sieve, pure Hydrogen, rotary valve
ISBN: 978-93-5351-069-5 1154

PCE234
TiO2 –GO: THE NANOMATERIAL AND THEIR COMPOSITES FOR

PHOTOCATALYTIC ACTIVITY AND MORPHOLOGICAL STUDY
Deepa S Kshirsagar Prof.T.S.Rajaraman

Student Assistant Professor
L.D college of Engineering, Ahmedabad L.D college of Engineering, Ahmedabad
Kshirsagardeepa52@gmail.com Raja1990.lfc@gmail.com
Abstract:
The most promising material of choice commercially available is Tio2 (Titanium Dioxide) photocatalyst
for the photocatalysis. Low cost, non toxic nature and chemical stability are some of the reasons for
its popularity. However TiO2 has problems of rapid recombination of photo generated carriers and
is inactive under visible light owing to its large band gap (3.2eV). This limits it's use in sunlight which
has about 45% of visible light range in it's spectrum. Graphene Oxide (GO) has been found to be
more effective nanomaterial for the degradation due to its novel electrical ,optical, and mechanical
properties. Graphene oxide (GO) has a tuneable bandgap range and can be active under visible
spectrum leading to more efficient photocatalysis. GO is emerging as a material which can be modified
in various ways and used in combination with other photocatalysts for dye degradation reactions with
enhanced activity as compared to TiO2. GO is also stable within temperatures expected for operation
of photocatalysis experiment than TiO2 photocatalyst. The GO and TiO2 composite is quite promising
as a visible light photocatalyst. The composite can give better efficiencies for pollutant degradation
in wastewater. Go modified Tio2 composite have drawn increasing attention due to the combined
benefits of both the material. The superior electrical conductivity of GO aids in better separation of
photo generated electron hole pairs thereby reducing recombination. This in turn results in increased
participation of strong oxidizing radicals like O2− and OH· in the pollutant degradation. The present
work contains synthesis, characterization and performance and various TiO2 graphene composites and
their comparison with the conventional photocatalysts.
Keywords: photocatalysis, Graphene oxide, titanium dioxide
1155 ISBN: 978-93-5351-069-5

PCE245
A REVIEW ON FEASIBILITY STUDY ON REMOVAL OF

HEXAVALENT CHROMIUM (Cr+6) IONS FROM AQUEOUS
SOLUTION USING ELECTROCOAGULATION
Yash T. Amin, Sunil R. Patel, Beena K. Sheth
Chemical Engineering Department, Vishwakarma Government Engineering
College, Ahmedabad - 382424.
yash13a@gmail.com, sunilpatel.juet@gmail.com,
krishna2406@yahoo.com
Abstract
The Controversy related to the environment pollution is increased in human life and in the eco-
system. Especially, water pollution is currently worldwide major problem. Mainly Pollution caused
by substances, on which biotic and abiotic agencies of decomposition are ineffective, is a unique
type of pollution. Toxic trace elements and heavy metals come under this category of non-degradable
pollutants. For these elements above a certain concentration become harmful to the living organisms.
Due to a wide use of chromium (Cr) by modern industries large quantity of this element being
discharged into the environment. Cr may exist in water in both hexavalent and trivalent states.
Trivalent Cr has a lower toxicity than the hexavalent. Due to this concern, the significance
of improving technology for removing Cr Metal ions has been increased. Duly it is needed to
compare different techniques to treat and reduce concentration of this harmful element Cr from
effluents. This review has contained comparison of those techniques and chooses the premier one.
This paper also offers a broad review of recent literatures which has been dedicated to utilizing
electrocoagulation method with focusing on current specific, as well as for future prospective. Mostly
Electrocoagulation researches have been focusing on Aluminium and Iron electrodes as
sacrificial electrodes without paying attentions to other electrodes and the optimum process
parameters to keep in attention while removing this type of heavy metals.
Keywords: Electrocoagulation, Chromium, wastewater treatment, Copper electrode
ISBN: 978-93-5351-069-5 1156

PCE304
MOLECULAR EVENT BASED KINETICS MODELING OF OXIDATIVE

COUPLING OF METHANE
Kajal Purohit
Student of ME
Vishwkarma Government Engineering Collage, Chandkheda
kajal.purohit2229@gmail.com
7069288422
Abstract
Molecular event based kinetic modeling of Oxidative Coupling of Methane (OCM) in which direct
conversion of methane into ethylene. In this reaction I study about the kinetic Monte Carlo (KMC)
simulation. For KMC I study the basic idea of KMC algorithm. For this reaction first I will simulate
molecular level for OCM and estimate kinetic rate constant by using KMC simulation. Then, validate
KMC algorithms for OCM with literature data and for validation I will use zacros software.
Understand the effect of reaction, temperature, pressure on kinetics of OCM.
Keywords: Oxidative coupling of methane , Kinetic Monte Carlo , Simulation
1157 ISBN: 978-93-5351-069-5

PCE008
SUSTAINABLE DESIGN PROPOSALS FOR IMPROVE THE GROWTH

OF KAWAS VILLAGE
Darshan J. Mehta Keyur J. Prajapati

Dr. S. & S S Ghandhy GEC, Surat SSASIT, Surat
darshanmehta2490@gmail.com keyurprajapati34@gmail.com
+91-9428959910 +91-7567561757
Abstract
Urbanization has become a common feature of Indian society. Growth of various industries, people
started moving towards cities. But a country can never prosper if the villages are not developed as
this is an important part of our country’ economy. Government of Gujarat has launched
Vishwakarma Yojana (scheme) for development of villages by identifying the requirements of villages.
The aim of this initiative or scheme is to provide the facilities and amenities into the rural areas
similar to the urban areas. Under this scheme, the villages are surveyed and this project was
identified and selected for implementation Rurbanisation is to bring peace of mind to the villagers by
providing them the basic amenities required and still keeping the village soul intact. In our study, we
have selected Kawas village of Surat city as our study area. The existing village facilities were
observed and compared with various Government schemes & parameters of Ideal Village by techno-
economic survey. Gap analyses of such facilities or amenities were presented for the given village.
Out of which the main requirements or needed facility to be provided are Crematorium and Girl’s
School Building. We had also designed a new improved design for the existing garden which is the
only recreational area in the village having very poor condition. Estimation and Costing were also
carried out for all listed designs keeping in mind with the overall progress of village.
Keywords: Building, Government, Kawas, Village, Vishwakarma Yojana

-
ISBN: 978-93-5351-069-5 1158

PCE033
SPATIO-TEMPORAL ANALYSIS OF URBANIZATION IN SURAT

REGION
Bhasker Vijaykumar Bhatt Dr. Neerajkumar D. Sharma Dr. Shashikant Kumar
Research Scholar Gujarat Principal Principal
Technological University GIDC Degree Engineering Bhaikaka Centre for Human
Gujarat, India College Settlements (APIED)
er.bhasker@gmail.com Navsari, Gujarat, India Vallabh Vidyanagar, Gujarat,
neerajrwh@gmail.com India
shashikant.kumar@apied.edu.in
Abstract
Urbanization is a global phenomenon. United Nations, in the year 2009 projected that the urban
centres would absorb most of the growth in the global population from the year 2017 to 2030 (United-
Nations, 2014). A special report in the year 2012 on urban life by ‘The Economist’ predicted that by
the year 2050 about 86 per cent of the developed world, and 64 per cent of the developing world
would have urban residents (The-Economist, 2012). In India, the share of the urban population was
reported to the extent of 31.16 per cent in the records of the Census of India, 2011 and the UN State
of the World Population report (UNFPA, 2018) expects it to be surplus of 40 per cent by the year
2030. Recently, the jurisdictional limits of SUDA area from 722 km2 to 1357 km2 in the year 2016 is
in the process to accommodate the rising population. The area under the administration of SUDA at
present is considered as the study region. Over the period, how much and in which direction the
urban area is expanding? The question is addressed in the current work. The demographic changes
over decades are discussed with consideration of urbanisation and sprawl within the study area if
present SUDA limits. Also, the remote-sensing images obtained from USGS’s Landsat TM 4-5, Landsat
ETM Plus 7 and Landsat 8 OLI and TIRS are processed and analysed to understand the extent of
increase in the built up, spatially. The NDVI analysis carried out in the current work identifies
that the vegetation cover in the area around Surat city is sparse and distributed showing a complete
absence of dense vegetation. The agricultural fields are cultivated with crops that has less of intensity.
The coverage of vegetation was found to be reducing over a study period of year 2001 to 2011. Also,
the increase in the negative values for NDVI shows that there is an increase in the vacant lands. In
addition, it was also identified that the built-up spaces in the city is increasing at a rate of about 5.2
km2 each year (0.4 percent of SUDA administration area per year). Majority of population increase is
observed towards the N-E and S-E direction from the city centre.
Keywords: Outgrowth, Remote-sensing, Spatial analysis, Surat, Urban Agglomeration.
1159 ISBN: 978-93-5351-069-5

PCE051
ASSESSMENT OF RAINWATER HARVESTING SYSTEMS IN RURAL

AREAS: A CASE STUDY
Rudresh Joshi Jaysan Gohil Charmin Jarsania

Student B.E. (Civil) Student B.E. (Civil) Assistant Professor
Marwadi college (097) Marwadi college (097) Marwadi University
rudresh26121997@gmail.com jaysangohil@gmail.com jarsania.charmin@gmail.com
Abstract
Gauridad is a village of Rajkot district, located at Northern direction from Rajkot district. In account
of area-based constituency, It’s position is third after Metoda (3094 Hectares) and Vadali (2990
Hectares). Gauridad total bounded area is 2591 Hectares). According to last censes in 2011, its total
population is 4046.Gauridad village is located at 22°22’3’’N 70°47’48” E. It has an average elevation
of 128 meters (420 ft.). It is situated in the region called Saurashtra in the Gujarat state of India.By
study of village topography, one can notice that inner side of main Anadpar road, sloping gradient
slightly increases and at the end of river bank, it has vast intriguing with high fertile land. In village,
most preferable crop choice of farmers is ground nut. Although, they also produce light crop like tuver.
In India, village has a reinforced and a well-organized image to compare to the last few years.
Besides this, it is also true that development cannot reaches at most inner part of small village lifecycle
and continuously damaging of source of natural resource creates many problems in ecosystems. To
the basis of most required thing of any live organism, water is most essential priority for every village
or city. In past some years, finally some passable steps are intimating in direction of storage of surface
runoff and also recharge the underground water-table. Rainwater harvesting is the finest technique
for easy and economical precipitation’s water storage. In this region, essential system for RWH
is available in enough quantities, but lack of knowledge and loafing stances of rural communities could
not accept its true value. It should be carried high degree of attention to improve the quality and
quantity of RWH systems in this village; with helping of various technical methods and equipment.
Keywords: Rainwater Harvesting, Lifecycle, Precipitation, Loafing Stances, Water Quality, Non-
Potable
ISBN: 978-93-5351-069-5 1160

PCE064
WATER QUALITY ASSESSMENT OF GAVIER LAKE – SURAT,

GUJARAT
Dipesh Rajput
Lecturer in Civil Engineering
Dr. S. & S. S. Ghandhy College of Engg. & Tech., Surat
dipeshrajput3000@gmail.com
Abstract
Water is the most important in shaping the land and regulating the climate. It is one of the most
important compounds that profoundly influence life. The quality of water usually described according
to its physical, chemical and biological characteristics. Rapid industrialization and indiscriminate use
of chemical fertilizers and pesticides in agriculture are causing heavy and varied pollution in aquatic
environment leading to deterioration of water quality and depletion of aquatic biota. Due to use of
contaminated water, human population suffers from water borne diseases. It is therefore necessary to
check the water quality at regular interval of time. The present study was made to assess the water
quality of Gavier Lake, Surat, India during September-October 2018. To carry out the study, samples
were collected from the lake at 21°7’38.57”N and 72°44’2.35”E. Various parameters such as pH,
Temperature, Turbidity, Conductivity, Alkalinity, Total dissolved solids(TDS), Total hardness,
Calcium hardness, Magnesium hardness, Dissolved oxygen(DO), Chlorides, etc were determined.
These parameters were then compared with the WHO and ISI standards to draw the conclusion on the
quality of the lake water.
Keywords: Gavier lake, Water quality, Physico-chemicals, Drinking water standard, Surat
1161 ISBN: 978-93-5351-069-5

PCE077
OPTIMIZATION OF EMBODIED ENERGY FOR LOW ENERGY GREEN

CONCRETE
Rahul Chauhan Ajaysinh Vaghela

Assistant professor Student of M.E. Structural Engineering,
crahul615@gmail.com ,
+919998995954 G.H. Patel College of Engg. and Tech.
ajayvaghela@gcet.ac.in
+918347466992
Abstract
The building plays an important role for energy consumption in the nation. For building construction
it requires enormous amount of energy. The production of building materials which involves series of
processes, due to the energy used for each process, the carbon dioxide emissions in the atmosphere
and certain expenses done for performing the process. Extraction of raw material, transportation of
raw material to site, manufacture of building material it involves mechanical and thermal energies.
The sum of the energies of all operations is known as embodied energy of the building material.
Hence, there is a good trend to use various building materials for construction which consumes low
amount of energy. Concrete has extensive amount of contribution to the building construction, so we
will focus on low energy green concrete. Low energy green concrete is a revolutionary topic in the
history of concrete. It is not rely on colour. As green concrete uses less energy in the production and
generates less carbon dioxide than common concrete, hence it is more preferable. Materials used for
building construction such as concrete, complete or partial replacement of cement, fine aggregate &
course aggregate can be used as green concrete. Building materials which consumes high embodied
energy such as cement can be replaced with low embodied energy materials such as fly ash, ground
granulated blast furnace slag, limestone powder, Phosphogypsum powder. By accessing the embodied
energy of concrete materials, through comparative study, try to produce green concrete which
consumes low energy, would be efficient for its workability and durability and concluded by analytical
study that this concrete is suitable for construction work.
Keywords: Embodied energy, Fly ash (class F), Ground granulated blast furnace slag (GGBS),
Limestone powder (LSP), Phosphogypsum powder (PGP), Green concrete
ISBN: 978-93-5351-069-5 1162

PCE085
EXPLORING THE IMPACT OF HUMAN HAIR AS A FIBER IN

CONCRETE MIX DESIGN FOR RIGID PAVEMENT
Shaaqib. A. Mansuri Chandni. M. Patel Yash. U. Shah
Civil Engineering Student Civil Engineering Student Civil Engineering Student
BVM Engineering College BVM Engineering College BVM Engineering College
shaaqib17@gmail.com cmp8101997@gmail.com yashs6559@gmail.com
Renuka. K. Goswami C. B. Mishra

Civil Engineering Student Associate Professor
BVM Engineering College Civil Engg., BVM Engineering
renukag687@gmail.com College
cbmishra@bvmengineering.ac.in
Abstract
India is cruising ahead with tremendous pace and is leading in various aspects throughout the globe.
However, for India, whilst transitioning from developing nation to developed nation, one of the weak
link are the links itself i.e. the road network. India with the second largest road network on the planet,
it is of extreme significance that these colossal road links must be sustainable to the point that it ends
up as fundamental point of convergence of engineer's vision to check in each and every criterion for
good quality roads accentuating on quality, durability and strength. Human hair, a waste non-
biodegradable material is a natural protein fiber which can be utilized because of its high tensile
strength even superior than that of copper, contributing to elevation in magnitude of quality
parameters while abstaining concrete from forming cracks. Utilizing this waste material in concrete
will not only augment the properties of concrete roads, yet in addition, have a green impact on the
environment. This exploration is an endeavor to use waste material human hair as a fiber in concrete
in varying dosages i.e. 1%, 1.25%, 1.5%, 1.75% and 2% by the weight of cement as per codal
provisions IS 10262: 2009 and IS 456: 2000 to enhance the mechanical properties. The most significant
elevation in strengths is achieved at 1.75 % of human hairs with substitution by the weight of the cement,
subsequently, reducing thickness of roads without trading off with quality. Admixture is also added for
better functionality and performance of concrete. This research showcases the beneficial concrete
blend mix layout with sensible estimation of human hairs opening another way to deal with making
and globalizing the quality concrete and rebuilding Indian roads for better journey.
Keywords: Human hair, Fiber, HFRC, Strength, Durability, Concrete
1163 ISBN: 978-93-5351-069-5

PCE089
Impacts of Land Use/Land Cover Changes on Surface Temperature of

Palam in Delhi Region, India
Dr. Surendra Pratap Singh

In-charge Principal
Valia Polytechnic College
pratap.surendra25@gmail.com
Abstract
Land is one of the prime natural resources. Urban population growth and urban sprawl-induced
land use changes and land transformation. Investigated changes in land use, climate and the
environment during a period of rapid economic development in Palam, Delhi region. This study
characterizes changes in the climate, land use and cover types by the surface energy balance
approach during the period (1973–2014).Supervised classification of satellite images used to
extract the information of Land use/Land cover change indicates that the pace of urbanization in
Palam was more rapid in the Delhi region. The significant increase in scattering radiance and
earth's albedo caused by the urbanization and its process between urban land and aggravates the
warming in the regional scale. This analysis also indicates that surface temperature will decrease
with the increase of woodland, grassland and farmland, and will increase with the increase of
urbanized and unexploited lands. Added to warming caused by an increase in land use/Land
cover change and human activities may be the primary reason for the rising temperatures in the
study area. The change in regional thermal conditions reduces both local humidity and land-
atmosphere flux exchange. Increased in surface temperature have been found 0.27 0C in Palam
area from 1973 to 2014.
Keywords: Land use/Land cover change, Surface energy balance, Environment, Surface
temperature.
ISBN: 978-93-5351-069-5 1164

PCE096
SPONGE NEIGHBOURHOOD IN INDIAN CONTEXT: STRATEGIC

PLANNING FOR STORM WATER MANAGEMENT AND WATER
CONSERVATION
Ridham V. Moradiya Prof. Mital J. Dholawala

Bachelor Student Assistant Professor
moradiyaridham30@gmail.com mital.dholawala@ckpcet.ac.in
+91 96622 47015 +91 97129 04100
Abstract
In India, surface water flooding is currently viewed as the most serious water-related issue in many of
the large cities due to rapid urbanization, land-use change and the process of rapid socio-economic
development. To address issues such as increased surface water runoff, impervious surfaces due to
urbanisation,the concept of sponge neighbourhood has been proposed in this paper.. A sponge
neighbourhood refers to a strategic planning for storm water management and water conservation for
sustainable urban development including flood control conservation, water quality improvement and
natural eco-system protection. It envisions a neighbourhood with a water system which operates like
a sponge to absorb, store, infiltrate and purify rainwater and release it for reuse when needed.
This study is aimed to explicate the Sponge city concept and its development, and consider the
implications of the transformation of urban land-use planning and urban-water management practice
in India. The concept is being developed to make use of ‘blue’ and ‘green’ spaces in the urban
environment for storm water management and control. From this concept, astrategic sponge
neighbourhood planning proposal has been developed in AutoCAD for Indian conditions to deal with
storm water management and water conservation which can be applied to suitable urban areas . The
sponge neighbourhood is planned with various components like green roofs, rain garden system,
pervious pavement, underground infiltration trench etc.
Keywords: Green infrastructure, low impact development, urban storm water management, sponge
neighbourhood planning
1165 ISBN: 978-93-5351-069-5

PCE100
ASSESSMENT OF AMBIENT AIR QUALITY USING SENSOR BASED

MOBILE MONITORING SYSTEM
Anjalee Ramchandani Vasudev Amruta Shailendra Kuhikar
Masters of Engineering Assistant Professor
Environmental Management Environmental Engineering Department
anjalee21031996@gmail.com amrutafegade@gmail.com
Abstract
Technological development in fighting air pollution has been focused in the area of controlling the
pollutants to reduce air quality deterioration at national and local scales, which have significant
financial and health impacts. Unfortunately in urban areas large part of forest is being cleared every
year and at the other hand fastly moving urban people have increased the consumption of all the
resources available to mankind linking to air pollution, thus making it world’s single largest
environmental health risk. The regulation of air quality ensures breathable air which of course is the
top most priority for all. Ambient air monitoring is an integral part of an effective air quality
management system. It’s a common practice to monitor air quality from stationary devices HVAS
(high volume air samplers) at a particular location and then laboratory analysis of the sample which
takes about 24 hours to give the measured air quality and hence it becomes an issue when we want to
monitor air quality for real time. The idea is to develop a mobile air quality monitor, which is
portable and easy to mount on a vehicle. This paper aims at: (i) Introduction to sensor based mobile
air monitoring system (ii) Summary of monitoring and air quality assessment techniques practiced in
today’s world.
Keywords: Air Pollution, Mobile monitoring, Real time monitoring, sensor based monitoring
ISBN: 978-93-5351-069-5 1166

PCE106
REDUCTION OF COLOR FROM INDUSTRIAL EFFLUENTS USING

POLYMERIC ADSORBENT RESIN
Parmar Krishnaben Girdharlal

M.E. Environmental Management
L.D. College of Engineering, Ahmedabad-15
parmarkishu116@gmail.com
Abstract
Adsorption is a promising technique for the removal of color from industrial effluent at relatively
low cost and with satisfactory efficiency. Industry specially Textile industry is the major source
of water consumption and wastewater pollution.Textile effluent containing color compounds may
cause serious environmental problems, colored wastewater discharged into any environmental
sink may significantly affects the photosynthetic activity in aquatic life due to reduced light
penetration. The most frequently applied adsorbent for the removal of coloris Activated carbon.
However, after certain period activated carbon must be either regenerated or replaced to obtain
desired efficiency but this is not economically viable because it may require high temperature
(800°C) to regenerate and become expensive. The Polymeric Adsorbent Resins are highly effective
alternatives to the Activated carbon for color removal as they can easily regenerated and have
long adsorbent life.
In the present study, lab scale model of column using Polymeric adsorbent resin XAD-600 for
the reduction of color from Industrial effluent is carried out. The results showed that Polymeric
adsorbent resin XAD-600 give better efficiency and found to be more economical.
Keywords:Adsorption, Polymeric adsorbent resin XAD-600, Reduction of color, Textile effluent
1167 ISBN: 978-93-5351-069-5

PCE117
APPLICATION OF REMOTE SENSING AND GIS IN FLOOD: A

CASE STUDY OF VILLAGES NEAR MAHI RIVER IN GUJARAT
Dhruvesh.K.Mathur
Assistant Professor in Physics
SVIT Vasad
dhruvesh8mathur@gmail.com
9712703107
Abstract
Flood is a natural disaster occurring in every part of the world every year. Effect of flood
causing damage to property and human life. Remote Sensing and GIS are important tools for
managing the effects of disasters. Remote Sensing and GIS both used in pre and post-
disaster planning. Using remote sensing area affected during the flood is easily identified. The
GIS helps in managing rescue planning and post-disaster phase operations. Villages frequently
affected by Mahi River flood are considered in the present study. Factors like elevation,
population density, resources for post-disaster rescue operations of villages of Anand district
are studied. Based on analysis villages near to Mahi are classified in three different vulnerable
classes. Sample rescue plan for villages which are highly affected is demonstrated.
Keywords: Remote Sensing, Geographic Information System (GIS), Flood, Mahi River
ISBN: 978-93-5351-069-5 1168

PCE119
FEASIBILITY STUDY FOR HARDNESS REMOVAL USING

ELECTROLYTIC PROCESS: LAB SCALE AND PILOT SCALE
Sarah Syed Nirjar Bhatt Prof Amruta Kuhikar

Student, Director, Assistant Professor,
L D College of Engineering Reciclar Technologies L D College of Engineering
sarahsyed95@gmail.com voravishani@gmail.com amrutak@ldce.ac.in
Abstract
One of the most troublesome fouling agents encountered while dealing with applications where
water is used is scale. The scale deposits are majorly due to carbonates, sulphates, silicates and
phosphates of calcium and magnesium. In industries, it poses problem in cooling towers, boilers
and condensers where a thick insulating layer of scale prevents efficient heat transfer, plugs pipelines
and even reduces boiler output. RO membranes get choked up and need to be replaced frequently
due to mineral deposits. In houses, scale starts depositing in the insides of pipelines, faucets,
fixtures, kettle and water heaters. The resulting built up of scale restricts the flow of water in pipes.
Electrolytic treatment is one of the method available to treat hard water and convert it into relatively
soft water by precipitating out salts in form of CaCO3 and Mg(OH)2. In this study performance
evaluation of electrolytic cell for hardness reduction from groundwater was probed. A lab scale
model was constructed and series of experiments were carried out using Mixed metal oxide (MMO)
electrode as anode and stainless steel (SS) electrode as cathode. Experiments were carried out
varying electrolysis time, current density and inter electrode spacing. Different configurations tried
were one anode one cathode and two cathode one anode. Hardness Removal of 70% was obtained
at 3 A current and 2 hour detention time in single anode cathode configuration. Results were also
taken on a continuous flow model.
Keywords: Electrolysis, Mixed metal oxide (MMO), hardness, scale
1169 ISBN: 978-93-5351-069-5

PCE127
PILOT SCALE STUDY OF VERNIFILTRATION FOR FOOD

PROCESSING INDUSTRY WASTE WATER
Harsh Patel Prof. Y.M.Gajera

Student L.D. College of Engineering
L.D. College of engineering yogesh.gajera.@ldce.ac.in
patelharsh3005@gmail.com 9429838385
9664929480
Abstract
This paper presents a systematic pilot scale study of vermifiltration for food processing industry
wastewater. Vermifiltration is used for treatment of food industry wastewater using earthworm species
eisenia fetida. Vermifiltration technology which uses earthworms as means of aerobic treatment
wastewater is increasingly becoming an environment-friendly wastewater treatment technique.
Vermifiltration is low cost, odourless and non-labour-intensive method of wastewater treatment.
Vermifiltration reactor is constructed and using different natural ingredient and earthworms as a
media. Operation problem of pilot scale vermifiltration for food processing industry wastewater are
considered. Vermifiltration system show a good performance in the removal of chemical oxygen
demand (COD),biochemical oxygen demand (BOD), total dissolved solid (TDS), suspended
solid(SS), potential of hydrogen (pH) of water. Current study shows that vermifiltration holds the
potential for low cost treatment option for food processing industry wastewater.
Keywords: -Vermifiltration, food industry wastewater, treatment, earthworms.
ISBN: 978-93-5351-069-5 1170

PCE130
Sustainable Pervious Pavement Design
Prof. Boski P. Chauhan Chiragkumar P. Kavar Apurva J. Patel

Assistant Professor Bachelor Student Bachelor Student
Gujarat Technological Gujarat Technological Gujarat Technological University
University University apurva.patel99@gmail.com
boski.chauhan@ckpcet.ac.in chintukavar17@gmail.com +91 84014 48848
+91 98988 65266 +91 90332 16777
Abstract
Increases in impermeable surfaces with traditional drainage systems, kerbs and gutters linked
directly to surface drainage networks, can result in high instantaneous water flows that can
inundate existing infrastructure leading to increased risks of flash flooding. Pervious concrete is
a special high porosity concrete used for flatwork applications that allows water from precipitation
and other sources to pass through, thereby reducing the runoff from a site and recharging ground
water levels. Typically, pervious concrete has little or no one aggregate and has just enough
cementations paste to coat the coarse aggregate particles while preserving the interconnectivity
of the voids. Pervious pavement is traditionally used in parking areas, areas with light traffic,
pedestrian walkways, and greenhouses and contributes to sustainable construction. Permeable
pavement is defined as a type of pavement that has ability to store storm water until it infiltrates
through the subgrade soil and can function as a conventional pavement to carry specific traffic
load and speed. In order to improve the strength suitable mix design should be adopted. In
present study, the design criteria for permeable concrete are explained in Indian context. The
analysis was undertaken by conducting a number of standard concrete tests and comparing the
characteristics of the pervious concrete and conventional concrete samples.
Keywords: Pervious concrete, increase in ground water, pervious pavement, rain water collection,
reduction in runoff.
1171 ISBN: 978-93-5351-069-5

PCE131
STUDY ON PERFOMANCE OF CONCRETE BY PARTIAL

REPLACEMENT OF FINE AGGREGATE WITH NON
BIODEGRADABLE WASTE
Bhalani Deep
Post Graduate Student
Sardar Vallabhbhai Patel Institute of Technology
deepbhalani55@gmail.com
Abstract
Nowadays, one cannot imagine construction without concrete in building material. Concrete has high
strength and durability this is the main reason of the popularity. Concrete has natural resources like
sand. The present aims to study the possibility of replacing fine aggregate with a mixture of non-
biodegradable waste in manufacturing cement concrete. This review paper comprises effect of
replacement of fine aggregate with glass particle and plastic particle in concrete and their comparison.
Keywords: Concrete, non-biodegradable waste, fine aggregate, strength, durability, glass waste, plastic
waste
ISBN: 978-93-5351-069-5 1172

PCE145
OPTIMIZATION OF REMOVAL EFFICIENCY OF PM

CONTROL EQUIPMENTS FOR EXISTING TEXTILE
BOILER
Nirmalkumar Patel Gaurang Ban
nirmal5055@gmail.com gauranghban@yahoo.com
9879666806 9979605829
Abstract
Due to industrial growth and expansion, fuel consumption increases so that total load of particulate
matter increased in ambient air. In Micro, Small and Medium Enterprises (MSME) industry do not
have any automatic fuel feeding system hence problem related to their removal efficiency is there.
Present study focuses on optimization of removal efficiency of Air Pollution Control Equipment exist
in textile boiler under varied fuel feeding condition. Also, air pollution control equipments are design
per hour load base so that one optimum feeding load are required in MSME industry. Percentage of
ash in fuel can be determine by ultimate and proximate analysis. By conducting ash Balance at
Different fuel feeding Load to determine particulate matter emission. Experimental results show that
the overall collection efficiencies and grade efficiencies increased with the increasing particle
concentrations and inlet velocities, and most of the particles with the diameter bigger than 10 μm can
be removed by cyclone separator.
Keywords: Ash Balance, efficiency increase, ultimate and proximate analysis
1173 ISBN: 978-93-5351-069-5

PCE146
USE OF KOTA STONE SLURRY/POWDER TO IMPROVE

ENGINEERING PROPERTIES OFEXPANSIVE SOIL
Dayanand Tak1 Jitendra Kumar Sharma2 K. S. Grover3
1 2 3
Senior Lecturer Professor Professor
Civil Engineering Dept., Civil Engineering Dept., Civil Engineering Dept.,
Government Polytechnic Kota, RajasthanTechnicalUniversity RajasthanTechnical University
dayanandtak83@gmail.com jksharma@rtu.ac.in kdsgrover@gmail.com
Abstract
Black cotton soils/Expansive soils are amongst the most problematic soils from civil engineering
construction point of view, it create problems to civil engineering structures due to its dangerous
engineering characteristics. A task was therefore undertaken to investigate and improve the
engineering properties of the black cotton soilso that a better understanding is facilitated for the civil
engineering practitioners while dealing with these soils. Soil stabilization is required to improve the
engineering properties of soils which are not suitable for construction of buildings, foundations,
retaining structures, canal linings, roads, airfield pavement etc. Expansive soils are problematic to
the civil engineering structures because such soils have a tendency of undergoing high
volumechanges, when they come in contact with water in rainy season or drying in summer. The
conventional soilstabilization techniques are expensive which involve large quantity of costly
stabilizing materials. High cost of construction involved toneed to go for alternate low-cost
construction materials.
Kota city have a major problem of Kota stone slurry or powder to pollute nearby environment,
reduces fertility of soil, pollute underground water etc, which is a residue byproduct after finishing or
polishing of local available stone in stone industries. One of the innovative improvement techniques
can be practiced with using stabilizing agent as a Kota stone waste powder. The use of this powder in
soil improvement leads to not only saving of the land utilized for dumping but also reducing its
environmental hindrance aspect. This technique offer the advantages such as space saving,
environmental sensitivity, material available, technical superiority, cost saving, less construction time
etc.
Kotastone is a calcareous stone and creates environmental problems. Calcareous sedimentary rocks
are available in different colors (brown, blue, green, gray etc.) and textures. The present study deals
with evaluation of the optimum percentage of utilization of Kota stone slurry waste for improvethe
soil engineering properties. The behaviour of black cotton soil is studied by mixing Kota stone slurry
as a stabilizing agent. California bearing ratio (CBR) and different consistency index experiments
are carried out for different percentage (5%, 10%, 15%, 20% and 25%) of Kota stone slurry powder
mix.
Keywords: Black Cotton Soil/expansive soil (BCS), Kota Stone Slurry Powder (KSSP), CBR
(California Bearing Ratio) test, Plasticity Index (PI)
ISBN: 978-93-5351-069-5 1174

PCE158
A CASE STUDY ON WATER QUALITY OF GOMTI LAKE-A

PILGRIMAGE PLACE LOCATED IN DAKOR, GUJARAT
MEET SURESHBHAI PRAJAPATI

PG STUDENT
SVIT, VASAD
Meetsp8@gmail.com
Abstract
Dakor is well known sacred place for worship of Lord Dhwarkadishji. The vast Lake near Dakor
temple which is named as Gomti Lake gives as essence of holiness. The influence of surrounding
human activities and visitors have adversely affected the purity of water in Lake like holy bath,
rituals etc. Thus, it has drawn high attention to study and analyze the existing condition of Lake
and propose possible solutions in form of remediation. To study the present condition of the
sacred Lake, influencing factors that cause entry of the pollutants in Lake and analyze the
characteristics of the Lake. Parameters like physio-chemical characteristics and biological
parameters shall be analyzed.
Keywords: Lake, water pollution, Gomti, aeration, rituals, water testes
1175 ISBN: 978-93-5351-069-5

PCE177
SCIENTIFICALY EVALUATING THE USAGE OF
CRUMB RUBBERPOWDER FOR SOIL
STABILIZATION
Vatsal H. Patel Kanishq Sharma C. B. Mishra
Civil Engineering Student, Civil Engineering Student, Associate Professor,
BVM Engineering College BVM Engineering College BVM Engineering College
vatsalpatelbvm@gmail.co kanishqsharma4@gmail.co cbmishra@bvmengineering.ac.i
m m n
Abstract
A major issue confronted in developing country such as India is to deal with the huge difficulties
of securing and updating the pavement system in order to reduce maintenance cost of roads and
uneasiness suffered by the road users, which demands for utilizing new inventive material for
maximizing the strength of raw soils to meet the exponentially increasing number of vehicle growth
clubbed with redundancy of weight of vehicle load on the road and changing environment. These
requires the need for improving the nature of subgrade using stabilizers to improve the CBR values,
which results in reducing the thickness of road which can be planned with zero compromise with
quality of construction work. Initially the examination of natural soil is done in laboratory to
survey the physical and designing properties of it with and without using waste crumb rubber
powder materials in varied dosages of 9%, 11% and 13% as an additive by weight of soil as
demonstrated by Indian Standard (1498 – 1970) for subgrade soil adjustment. On observing the
test results, it indicates that designing properties got modified and CBR of stabilized clayey samples
increased considerably, which reflects the lower thickness in correlation with natural
characteristic soil properties, especially soil with 11% crumb rubber powder indicates the
improvement in properties, also reduction in thickness of pavement and advantageous to the road
builders, policy makers and pavement designers.
Keywords: Crumb Rubber powder, waste material, CBR, Subgrade, Stabilization, Pavement
Thickness.
ISBN: 978-93-5351-069-5 1176

PCE207
EXPERIMENTAL STUDY ON CANAL SEEPAGE
Sherin S. Christian Dr. Niranjan M. Trivedi

PG Student in WRME Associate Professor
S S Govt. Engg. College Sardar Vallabhbhai Patel Institute of
Bhavnagar, Gujarat, India Technology,Vasad, Gujarat, India
ABSTRACT
Water seepage is the most severe problem in irrigation unlined canal. In present scenario, water
scarcity is the major problem and fresh water losses takes place through canal. In this experimental
work Jojwa – Wadhwana irrigation scheme was considered. Various laboratory tests were
performed to determine the required parameters viz. core cutter test, wet sieve analysis, liquid
limit, plastic limit and falling head permeability tests. Gross volume of water delivered in the
canal was calculated using data of canal supply discharge for the period between 2014 and 2017.
Gross amount of seepage was found significantly varying based on number of days for which the
canal was run for a particular year. Number of days for which the canal was actually run in year
2014, 2015, 2016, and 2017 are 83, 140, 211, and 204 days respectively. For canal reach of
720-1500 m and 1500-2430 m estimated seepage rates are comparatively higher as compared
to other canal reaches. The analysis of soil samples support this observation as soil is relatively
having higher sand contain. Seepage loss based on field observation was found to be minimum
103.08 ha-m in year 2014 and maximum 262.05 ha-m in year 2016.
Keywords: Seepage, unlined canal, field experiments
1177 ISBN: 978-93-5351-069-5

PCE218
Evaluation of Compressive Strength of RCC Column Strengthened Using
Ferrocement
BHARGAVKUMAR JINJALA
Asst. Engineer
Irrigation
bhargavjinjala1234@gmail.com
Abstract
Reinforced concrete used abundantly as a construction material both in developed and developing
country. This material often suffer very severe damage due to natural disaster like earthquake,
chemical attack, environmental impact etc. And members of structures such as slab, beam, and
column deteriorated due to this attack. Column is the important structural element in building that
transfer load of superstructure to the foundation. To strengthen damaged column various material
like glass fibre, aramid fibre, Ferro cement etc. can be used. In this Study Ferro cement used as
Repair material because it is economical, long lasting, crack resistance. In this study, Short RCC
column specimen tested under different percentage of ultimate load (50%, 75% &100%), then this
preloaded column specimen strengthened using ferrocement and retested to failure to find its ultimate
load carrying capacity. Test result show that strengthening preloaded column using Ferro cement
improves its load carrying capacity.
Keywords: RCC column, strengthening of column, Ferro cement jacketing
ISBN: 978-93-5351-069-5 1178

PCE292
REDUCTION OF PARTICULATE MATTER CONCENTRATION AT

TRAFFIC BOOTH USING DIFFERENT FILTER ASSEMBLY
Ravikumar Jadav Gaurang Ban

Student Associate professor
ravijadav1247@gmail.com gauranghban@yahoo.com
+91-9574791168 +91-9979605829
Abstract
In India approx. 60-65% (Henry Perkins) air pollution is caused by a vehicular pollution. Traffic
congestion are the biggest problems in most of the metro cities of India & traffic polices are the main
receptor of air pollutants emitted by vehicles. They are under exposure of vehicular air pollution
generally at least for 8 hours of their duty at traffic booths. Among all automobile air pollutants
particulate matter has significant impact on human health. Hence in order to minimize the exposure of
particulate matter to traffic police an attempt has been made in study to design an air purification
system with different types of filter media. Trial has been done at one traffic booth of Ahmedabad city.
Use of this air purification system reduce the concentration of particulate matter at traffic booth.
Keywords: Particulate matter, Air purifier, Traffic booth.
1179 ISBN: 978-93-5351-069-5

PCE293
DECENTRALIZE MANAGEMENT SYSTEM FOR MUNICIPAL SOLID
WASTE IN MAJOR MUNICIPAL CORPORATION
Krunalkumar Deshmukh Gaurang Ban
deshmukh.krunalkumar.31@ldce.ac.in gauranghban@yahoo.com
8511905602 9979605829
Abstract
Municipal Solid Waste management is a major environmental issue. Due to rapid increase in
population, urbanization and industrialization, the generation rate of municipal solid waste is
increased. The generation rate of municipal solid waste in Indian towns and cities is also increased.
Mismanagement of municipal solid waste can cause adverse impact on environment, human health
and other socio-economic problem. The purpose of study is to fundamentally survey the present
situation of Solid Waste Management. The study developed the model for effective and efficient
solution to the solid waste management it’s include source segregation, composting at site, dry solid
waste to energy and plastic to pyrolysis and treatment in co-processing.
Keywords: Municipal Solid Waste, composting, recycling, co-processing.
ISBN: 978-93-5351-069-5 1180

PCE294
TREATMENT OF CETP INFLUENT BY HYDRODYNAMIC
CAVITATION
Chiragbhai Chotaliya Gaurang Ban

chotaliyachirag8@gmail.com gauranghban@yahoo.com
7567271501 9979605829
Abstract
Due to the industrial effluents discharged into the water bodies, water pollution has become a major
problem for the environment and human health. Day by day, new molecules such as dyes, pesticides,
and pharmaceutical drugs are being detected in the water bodies, which are bio-refractory to
microorganisms. CETP wastewater consist of high refractory organic compounds in very large amount
which can not be degraded by biological treatment and therefore advanced oxidation process are
required to treat them which convert the complex refractory organic compounds into simpler
compounds such as CO2 and H2O. For meeting the high standards of environmental regulations, new
techniques are being added to wastewater treatment schemes. The present work highlights the use of
such technique like hydrodynamic cavitation for CETP wastewater treatment. Hydrodynamic
cavitation is one of the latest advanced oxidation processes which uses venturi/ orifice plate as a
cavitating device to generate the cavities, these cavities get collapsed and generate OH* and H*
radicals which react with refractory organic compounds in wastewater and oxidized them.
Keywords: CETP wastewater, Hydrodynamic cavitation, Advanced oxidation process.
1181 ISBN: 978-93-5351-069-5

PCE328
NITRATE AND FLUORIDE CONCENTRATION IN GROUNDWATER:

A CASE STUDY OF MEHSANA DISTRICT, GUJARAT
Kanani Niyati Arvindbhai Prof. Minarva J. Pandya

Post Graduate Student Associate Professor
L. D. College of Engineering L. D. College of Engineering
niyatikanani2011@gmail.com minarva.pandya@ldce.ac.in
Abstract
Mehsana district is located in the northern part of Gujarat. As there is no major source of surface
water for drinking purpose, mainly groundwater is used as drinking water. No treatment is given for
groundwater at community level. Nitrate and Fluoride concentration more than permissible limit is of
prime concern for drinking water in Mehsana district. As per IS 10500:2012, for Fluoride (F-)
acceptable limit is 1 mg/L while permissible
-
limit in absence of alternate
-
source is 1.5 mg/L while
permissible limit for Nitrate (NO3 ) is 45 mg/L and. But Nitrate (NO3 ) concentration in some area is
more than 300 mg/L and fluoride (F-) concentration is more than 6 mg/L. High nitrate levels interrupt
the normal body processes of some infants. Nitrate becomes toxic when it is reduced to nitrite. Nitrite
in the blood combines with haemoglobin to form methemoglobin, which reduces the capability of the
blood to carry oxygen to all parts of the body. Excessive exposure to fluoride cause number of
problems like dental fluorosis, skeletal fluorosis, thyroid problems, neurological problems, fluoride
poisoning etc.
Keywords: Nitrate, Fluoride
ISBN: 978-93-5351-069-5 1182

PCE015
IMPROVED ROUTE SELECTION METHOD OF TORA BASED ON

LIFETIME OVER MOBILE AD HOC NETWORK
Lakhtariya Jenisha
M.E.
Gardi College
lakhtariyajeni@gmail.com
Abstract
Mobile ad-hoc Networks (MANETs) is a wireless network which comprises of set of wireless mobile nodes.
These nodes are infrastructure-less as well as devoid of central administration. The links of this network are
frequently broken down due to mobility and dynamic infrastructure. MANETs are used in variety of applications
due to their ability to establish and release network instantly without the need of pre-established network or
infrastructure. Here the challenging task is to search for the most efficient routing due to dynamic behavior of
nodes as well as changing topology of nodes in MANET. Energy consumption is a vital issue because routing is
based on nodes battery lifetime and it's efficiency to maintain the network. So routing decisions must be such
that critical nodes does not exhaust and network lifetime and route reliability increases. Numerous routing
protocols like AODV, DSR, TORA etc have been proposed. In our proposed work we are using TORA for
improve route selection. “Temporarily Ordered Routing Algorithm (TORA) is a highly adaptive loop-free
distributed routing algorithm based on the concept of link reversal. TORA decouples the generation of potentially
far-reaching control messages from the rate of topological changes. The protocol is based on link reversal
algorithm. During the route creation and maintenance phases nodes use a height metric to establish a Directed
Acyclic Graph (DAG) rooted at the destination”. Thereafter links are assigned a direction based on the relative
heights. As TORA maintains multi routes from source to destination where energy drain is an issue so energy
efficiency is of utmost importance. In our work we are going to use load balancing technique with successor
and fesible successor path for each connections, consider energy parameter & modify routing table. Purpose of
selecting load balance is for the Fair battery consumption of the nodes and link failure purpose. We are changing
the route selection mechanism. Instead of hop count, we use residual energy and multipath methodology.
This proposed protocol not only provides multiple routes between source and destination but also selects the
optimized routing. The two best routes are found and if the first one fails then 2nd best route is chosen, so
as to improve the performance of TORA and thus ultimately leading to load balancing.
Keywords: TORA, load balancing, energy, multipath
1183 ISBN: 978-93-5351-069-5

PCE076
SURVEY ON HIDDEN INCUMBENT PROBLEM IN 802.22

Khusali Obhalia,
2nd year M. Tech,
BVM Engineering College,Vallabh Vidyanagar
khushaliobhaliya@gmail.com
Abstract
Hidden incumbent Problem is a MAC Layer issue faced by IEEE standards. IEEE 802.22 is the first
standard to use Cognitive Radio that tries to use the unutilized spectrum allocated to TV bands. In
this paper we discuss the hidden incumbent problem of 802.22, which refers to the following scenario:
consumer premise equipment (CPE) a secondary user is within the operating range of primary user
i.e incumbent but fails to inform base station (BS) about presence of the primary user and BS cannot
sense incumbent as incumbent is not in the sensing range of BS. In this paper we present a survey on
different techniques in 802.22 Wireless Regional Area Network (WRAN) proposed by different
researchers to mitigate the hidden incumbent problem.
Keywords : WRAN, Hidden incumbent problem, cognitive radio
ISBN: 978-93-5351-069-5 1184

PCE154
A SYSTEMATIC REVIEW: APPROACHES OF MACHINE LEARNING FOR

INTRUSION DETECTION SYSTEM
Varun Brahmkshatriya Shreya Nimbhorkar Swapnil M Parikh

Student Student Assistant Professor
Babaria Institute of Technology Babaria Institute of Technology Babaria Institute of Technology
Varnama, Vadodara Varnama, Vadodara Varnama, Vadodara
varun64madhu@gmail.com shreya.nimbhorkar@gmail.com swapnil.parikh@gmail.com
Om Vora Khyaati Pandita

Student Student
Babaria Institute of Technology Babaria Institute of Technology
Varnama, Vadodara Varnama, Vadodara
om.vora33@gmail.com khyaati.pandita98@gmail.com
Abstract
Internet has developed to an unpredictable level; almost all the companies are dependent upon the various Internet
Technologies. The hackers have developed their immense skill and they try to attack various networks which many of the
times are not been caught by the network security people / algorithms. It implies that Firewall and Intrusion Detection
System, used nowadays, should be more effective and efficient to catch unknown attacks. Over a decade, security analysts
have introduced many machine learning approaches in network security domain in different manner. Here this research
paper addresses challenges of different machine learning approaches / algorithms for Intrusion Detection Systems. A
comparison table is shown to discuss benefits and shortcomings of these algorithms which will be helpful for further
research.
Keywords: Intrusion Detection System, Machine Learning, Network Security
1185 ISBN: 978-93-5351-069-5

PCE187
COMPARATIVE STUDY OF AODV AND AOMDV ROUTING

PROTOCOL IN MANET
Mihir Mehta Vinay Soni Chintan Bhavsar
Lecturer Lecture Lecture
Govt. Polytechnic, A’bad Govt. Polytechnic, A’bad Govt. Polytechnic, A’bad
mihir240491@gmail.com vinaysonilive@gmail.com ck.bhavsar@gmail.com
Abstract
A Mobile Ad hoc Network is a remote impromptu system, and is a self-arranging system of versatile
nodes associated by remote connections. The nodes are allowed to move haphazardly and sort out
themselves self-assertively; in this manner, the system's remote topology may change quickly and
capriciously. Routing is a process of selecting a path for delivery of packet from source to destination
node. In this paper we compare AODV and AOMDV routing protocols for MANETs. The AODV is a
unipath routing protocol and AOMDV is a multipath version of AODV. The key concept in AOMDV is
computing multiple loop-free paths per route discovery. With multiple redundant paths available, the
protocol switches routes to a different path when an earlier path fails. Thus a new route discovery is
avoided.
Keywords : MANET , AODV , AOMDV , LOOP FREEDOM
ISBN: 978-93-5351-069-5 1186

PCE203
HUMAN ACTIVITY IDENTIFICATION USING HYBRID APPROACH
Tarunika Chaudhari
Assistant Professor
Government Engineering College,Dahod
tarunikachaudhari12@gmailcom
Abstract
The primarily concerned with the study of recent advances on human detection techniques and
designing a novel approach for invariant activity classification. The goal of activity identification is an
automated analysis of ongoing events from videos. Human activity recognition is partition into main
three aspects likewise core technology, human activity identification, application from low level to high
level representation. Core technology involves human segmentation from other objects and feature
extraction as well as activity identification and classification. Human activity identification involves
single person action detection in addition multi person activity detection and crowd detection.
Applications are like video surveillance, entertainment and health care system. The goal behind this is
to provide a comprehensive state-of-the-art review of the field and addresses several challenges which
are associated with these applications.
Keywords: Feature extraction, Classification, Surveillance, Entertainment
1187 ISBN: 978-93-5351-069-5

PCE215
REAL TIME FACIAL LANDMARKS DETECTION USING CASCADED

DEEP NEURAL NETWORK
Bassar Ahemed M. Patel
Communication System Engineering
Shantilal Shah Engineering College, Bhavnagar, India
patelbassar@gmail.com
Abstract
Face detection and recognition has always been a trending topic in the field of computer vision and
machine learning . Face detection refers to detecting a face area from an image. Face recognition
is to determine whether a particular facial image corresponds to a person. There are many
applications of face detection and recognition in real life. For example, the FaceID function of the
iPhone X allows users to unlock automatically by simply aiming at the phone. There are many ways
to implement face detection, such as the famous Viola Jones algorithm and deep learning in recent
years. Since it is difficult to capture the frontal image of a human face in actual situations, a step is
usually added after face detection called "face alignment". In this process, it is necessary to detect
feature points in the face image, and mark some specific areas such as eye corners, eyebrows,
mouth corners and the like. This feature point detection behavior is called Facial landmark
Detection. When the feature point detection is completed, we can mark the specific position of the
face in the image, and even estimate the orientation of the face. This novel cascaded deep neural
network provides real-time facial landmark detection. Experiments show that our proposed method
achieves the state-of-the-art results on photos,videos and real-time camera input.
Keywords: Face landmark Detection, Facial Landmarks, Biometrics, Face Recognition, Cascaded
deep neural network, Deep Neural Network, Face Spoofing, Face Anti-spoofing, Eye Blink Detection
ISBN: 978-93-5351-069-5 1188

PCE264
REVIEW PAPER ON
FORENSIC ANALYSIS ON ANDROID MOBILE APPLICATION
Vala Khushali
ME Student,
Ahmedabad, Gujarat
vhappiness247@gmail.com
9429641544
Abstract
Mobile application can also be used as tools to extend criminal activity or increasingly mobile
devices are seen as key evidence in many cases. Mobile phones become necessary element of our
lives. In the past mobile phones were used only for communication purposes. Now in days it provides
almost similar functionalities available in desktop/laptop computers. Users capabilities have extended
to create documents, browse internet access, read and send emails, phone calling, SMSs and MMSs,
social media, gaming, online banking, stock trading, personal planners, keeping confidential
information in various forms. These android devices and applications provide flexibility and social
interaction among friends, families, and various groups personally and professionally. On the other
side, these devices and applications are vulnerable places to prayed cyber criminals to compromise
the applications. In a flow to identify a sequence of activities carried out suspected person, forensic
examination of the smartphone is necessary for many of cyber crime investigations. The analysis
results provided and facilitate an investigator to correlate the activities carried out by a person using
the Smartphone with malicious intention. The experiments and results show that significant quantity
of potential evidences and valuable data will be found on Android devices by forensic investigators.
Keywords:Digital forensic, Android forensic, Mobile devices, Messaging application
1189 ISBN: 978-93-5351-069-5

PCE265
A REVIEW ON ANDROIDBASED MOBILE APPLICATION SECURITY

Sunali Jogsan
ME Student
sunali.jogsan23@gmail.com
972798877
Abstract
In the current era Smart phone and other mobile devices have become more important in every aspect
of our life, because they all have practically offered same functionality as desktop. Therefore, Security
is considered as an important factor in wireless communication technologies. One of the most attractive
features of smart phones is the availability of a large number of apps for users to download and install.
However, it also means hackers can easily distribute malware to smart phones, launching various
attacks. This paper is a review on the topic of Android Based Mobile Application Security. This topic
has been chosen because of the rise in mobile applications and the insufficient rise in the topic of the
security within those applications. In this paper first discusses about the Android and its vulnerabilities
and attacks, after then discusses about the mobile security and mobile application security. Then
explain about the some methods for the security. Next it reviews the existing malware prevention and
detections, it points out efforts from app developers, app store administrators, and users, who also
requireddefending against such malware and attacks. In this paper, various techniques as well as
methods for security measurements and analysis.Additionally, increases understanding and awareness
of security on mobile application platforms to avoid detection, forensics and countermeasure used by
the operating systems.
Keywords : Android, Mobile Application, Security, Android Mobile Application Security
ISBN: 978-93-5351-069-5 1190

PCE271
WANNACRY RANSOMWARE: A REVIEW
Srusti D Mehta
Student
srustimehta1996@gmail.com
9586481899
Abstract
Day by day, Ransomware virus software spread like a cyclone winds. Ransomware is a software virus
that hijack users data. It may lock the system in a way which is not for a knowledgeable person to
reverse. It not only targets home computers but business also gets affected. It encrypts data in such a
way that normal person can no longer decrypt. A person has to pay ransom to decrypt it. But still it
does not generate that files will be released. Technology is more and more advanced now a days and
with the increasing in technologies many issues occur to the information: security, privacy and
integrity. Wannacry ransomware and the possible detection of the ransomware using static and
dynamic analysis. The intrusion detection technique used here in this study is Yara-rule based detection
which involves an attempt to define a set of rules which compromises of unique strings which is
decoded from the Wannacry file. A complete malware analysis process is quite a time- consuming
campaign. The dynamic analysis of Wannacry ransomware explores behavioural indicators and
extracts important IOCs (Indicators of Compromise). Utilizing Yara tool to create customized
patterns is useful for malware information sharing mechanism. Also, such mechanism help reduce
time and human resource spent on detecting or finding similar malware families.
Keywords: Ransomware, Wannacry, Yara-rules, Intrusion Detection, Dynamic Analysis
1191 ISBN: 978-93-5351-069-5

PCE272
WEB BASED AUTO TIMETABLE GENERATOR
Dhawal Punamchand Khem Nishit Rajeshbhai Trivedi

Assistant Professor B.E. C.E.
Computer Engineering Government Student
Engineering College, Sector- 28, Govt. Engineering College, Sector-
Gandhinagar, Gujarat, India 28, Gandhinagar, Gujarat, India
khemdhawal@gmail.com nishitrtrivedi24@gmail.com
Ashutosh Sharma
Hemant Solanki B.E. C.E.
B.E. C.E. Student Student
Govt. Engineering College, Sector-28, Govt. Engineering
Gandhinagar, Gujarat, India College, Sector-
hem81998@gmail.com 28, Gandhinagar,
Gujarat, India
ashutoshsharma18.7.1998@gmail.com
Abstract
Creating an effective timetable is an all-time need for better resource planning, utilisation, execution
and management. Preparing manual timetable is time consuming, tedious, erroneous and repetitive
task. Several solution approaches and techniques have been found to make timetabling activities
simple, easy and autonomous. Here we are proposing a web-based client-server architecture to
overcome the limitations of the existing solutions through combining the manual flexibility along with
the autonomous speed and accuracy. The aim of this work is to build a supportive platform for
generalised resource allocation tool, with flexible input-output formats.
Keyword: Web-Based, Automation, Resource Scheduling
ISBN: 978-93-5351-069-5 1192

PCE273
REVIEW ON URL BASED PHISHING ATTACK DETECTION

TECHNIQUES
Oza Pranali Purnendu

Student of GTU PG School, ME-Cyber Security,1st Sem
ozapranali8@gmail.com
9157534695
Abstract
Phishing lures the user to interact with the fake websites that appears similar to real ones. The main purpose of
this attack is to steal the sensitive information from the users. Social networks are one of the most popular
platform for users to interact with each other. Most phishing attacks work by sending a fake email that contains
a URL which leads you to the fake website by clicking on it. Phishers target user’s sensitive information through
a fake website that looks like a legitimate site in terms of interface and uniform resource locator (URL) address.
This paper mainly focuses on detecting phishing URLs (Uniform Resource Locator) using different-different
methodologies and work on URLs features like IP address, Length of URL, Suspicious characters, Prefix and
suffix, Phishing words in URL, etc.
Keywords: Phishing attack, Phishers, URL based features, Phishing detection
1193 ISBN: 978-93-5351-069-5

PCE307
A SURVEY ON HUMAN ACTIVITY RECOGNITION
Binjal Suthar Pinal Patel

PG Student CE Dept., Assistant Professor
GEC,Sector-28,Gandhinagar GEC,Sector-28,Gandhinagar
sutharbinjal@gmail.com pinalpatel@gecg28.ac.in
Abstract
Human activity recognition is the issue of predicting what a person is doing dependent on a hint
of their movement utilizing different strategies. It is the issue of ordering arrangements of
accelerometer data recorded by particular saddles or smart mobile phones into known all around
characterized movements. Recognizing human activities is a mainstream territory of enthusiasm
because of its numerous potential applications; however it is still in its outset. It is an active analysis
area obsessive by the spectrum from medicinal services, dependable automation to developing and
smart supervision system. Nonetheless, complicated activities proceeds with a challenging and
dynamic research area yet effective human activity recognition would specifically benefit data
analysis for substantial scale image indexing, scene investigation for human PC connections and
mechanical autonomy, and object recognition and detection. In this paper, we are surveying and
observing the various methods of human activity recognitions.
Keywords- Activity Recognition, Sensor based, Cell phones, Radar, Feature engineering
ISBN: 978-93-5351-069-5 1194

PCE322
KNOWLEDGE BASED EXPERT SYSTEM FOR

MEDICAL DISEASE DIAGNOSIS
Diksi M. Suthar
2nd Year, M.Tech
BVM Engineering College
dikshisuthar@gmail.com
Abstract
As we know that most of the villages are facing a lot of shortage of hospitals in their area. So, good
medical services are not provided to those people. Peoples do not take care of their health so they
suffer from many health related issues. We can also find a number of patients in hospitals. Nowadays
common diseases like pneumonia, flue, cold, and Typhoid etc. are day by day increasing and
becoming more injurious to the people. Also some common causes which can be risk factors of most
of diseases like smoking, bad immune system play pivotal role in causing these diseases. Now these
problems become a big challenge for the developing countries that how to provide a good medical
services to their country people. And also to avoid huge crowd of patients from hospitals. As per
the review of the different research paper proposed a model of Medical Diagnosis System using
Bayesian network for probabilistic reasoning and patients that affected with some diseases can use
this expert system to get immediate solution to their problem without going to hospital or waiting in
long queue also this system will give a prescription and suggestions as a medical expert.Furthermore,
this system is very useful for rural areas where we have shortage of medical experts or don’t have
medical experts.
Keywords: Bayesian networks, Medical diagnosis, Disease
1195 ISBN: 978-93-5351-069-5

PCE337
COMPARING SENSOR NETWORKS AND INTERRUPTS WITH HOB

Bassar Ahemed M. Patel
Communication System Engineering Shantilal Shah Engineering
College, Bhavnagar, India
patelbassar@gmail.com
Abstract
Homogeneous configurations and operating systems have garnered minimal interest from both security
experts and futurists in the last several years. Here, we verify the development of the location-identity
split, which embodies the confusing principles of hardware and architecture. Our focus here is not
on whether the little-known multimodal algorithm for the construction of the partition table by Jones
and Suzuki is maximally efficient, but rather on introducing an analysis of virtual machines (Hob).
Keywords: Sensor Networks, Interrupts, Hob, RAID, Data Storage
ISBN: 978-93-5351-069-5 1196

PCE036
INTERODUCTION OF INTEGRATED RENEWABLE ENERGY

SYSTEM BASED POWER GENERATION FOR OFF GRID RURAL
AREA
Harshad Patel Vaibhav Patel

Research scholar Student 8th sem Electrical
AHEC, IIT Roorkee G.E.C. Patan
Email-harshadpatel@ah.iitr.ac.in Email-vaibhav22698@gmail.com
Abstract
The need for energy in its most appropriate form is the need of millions of people worldwide. Due
to depletion nature of fossil fuels and global climate change, exploitation of renewable energy
sources have become necessary to fulfil the growing needs of energy. The transport of
conventional energy sources in remote areas is very difficult and the extension of the grid is not
cost- effective due to the distance and the difficult terrain. Adequate standalone systems using
local renewable energy sources are now a preferred option.In the present paper, proper
methodology for Integrated Renewable Energy System and Review of unit sizing, cost optimization
and renewable energy flow management has been discussed.
Keyword: IRES- Integrated Renewable Energy System cost optimization, energy flow
management, SPV-Solar photovoltaic,AE-Alternative energy
1197 ISBN: 978-93-5351-069-5

PCE043
MAXIMUM POWER EXTRACTION FROM PHOTOVOLTAIC

ARRAY USING DC-DC BOOST CONVERTER
R.D. Bhagiya Dr. R.M. Patel

Assistant Professor Professor
rdbhagiya@gmail.com r_mpatel77@hotmail.com
Abstract
Photovoltaic (PV) cell converts the energy of solar photons into electrical energy. Power
conversion efficiency depends on the operating point on I-V characteristic of PV cell. In this
paper, dc-dc boost converter is used to operate the PV array corresponding to maximum power
point irrespective of any solar irradiations and load resistances. A two loop control is proposed
for dc-dc boost converter to extract maximum possible power from PV array. Perturb and
observe (P & O) algorithm is used to determine the reference PV terminal voltage for a two loop
control strategy for the dc-dc boost converter. The effectiveness of the proposed algorithm is
validated through the MATLAB/Simulink model of the system.
Keywords: Photovoltaic (PV) cell, DC-DC boost converter, Perturb and observe (P & O) algorithm,
Maximum power point, Two loop control
ISBN: 978-93-5351-069-5 1198

PCE210
From Smart Grids to an Energy Internet: A Review Paper on Key

Features of an Energy Internet
Rozina R. Surani
Asst. Prof. Electrical Engineering
Department VGEC-Chandkheda,
Gujarat, India
rozina.surani@gmail.com
Abstract
Invest in “Green” and Alternative Energy Sources by using the latest technology with digitalization
is indeed a need of every country to survive. In future smart electric grids, large-scale deployment
of distributed energy resources (DERs), renewable generation units such as wind turbine and
photovoltaic generation are expected. To obtain reliability and security, every stakeholder of energy
delivery has to cooperate and interact with each other. Of course future of Smart Grids is an Energy
Internet. The new concept of an Energy Internet with its key features and architecture is presented
in this research paper. Energy sustainability in future demands Energy Internet for efficient
energy management with a higher degree of interactive flexibility from all the stakeholders.
Keywords: Energy Internet, Smart Grid, Future Grid , Distributed Energy Resources, Future
Renewable Electric Energy Delivery and Management (FREEDM)
1199 ISBN: 978-93-5351-069-5

PCE244
POWER QUALITY IMPROVEMENT TECHNIQUES

Suryakant Gupta Saurabh Yadav
Student Student
gsuryakant36@gmail.com sysaurabh543@gmail.com
7043852651 8469181745
Abstract
There are many loses present in the devices which are used in industries and many other places
in present scenario. Due to which, the efficiency, reliability, components, etc. are badly effected
which indirectly affects the economy of the organization . To overcome from this losses many engineers
and researchers try to minimize those losses by utilizing different unique techniques and by improving
the quality of power. Hence, for the development of an industrialization and better infrastructure it is
necessary to improve the quality of power as good as possible. The following are some of the methods
or techniques through which improvement in power quality can take place:- 1.Proper connection
2.Reduction in power disturbances 3. Proper controlling of power 4.Use power quality equipment
5.Using buck and boost circuit 6.Uninterruptible power supply
Keywords :- infrastructure , efficiency , reliability , industrialization , uninterruptible , etc.
ISBN: 978-93-5351-069-5 1200

PCE253
AN OVERVIEW OF SODIUM SULFUR BATTERY TECHNOLOGY

FOR ENERGY STORAGE
Deepak Kumar
Assistant Professor
(Physics)
Electronics and Mechanical Engineering School, Corps of Electronics & Mechanical
Engineering, Ministry of Defence, Gujarat–390008, India
E-mail: deepak.kumar06@gov.in
Abstract
The usage of traditional energy resources (e.g. fossil fuels) has abruptly enhanced the global
environmental pollution. In order to fulfill the ongoing need to store energy safely, compactly
and more affordably requires dedicated research and development on all cell chemistries such as
Li+, Na+ and Mg2+. From last one decade the researcher’s interests are aligning towards safer
and stable room temperature sodium-sulfur (Na-S) batteries to power our future society,
especially in conjunction with stationary energy storage at grid level. The Na-S battery has
advantages of high theoretical specific capacity and energy density of ~1672 mAh g−1 and
1230 Wh kg−1 respectively based on the final discharge product Na2S. The progress, prospects,
challenges, feasibility and recent development on room temperature sodium-sulfur battery
technology are highlighted and briefly explained.
Keywords: Sodium-sulfur cell, Sulfur cathode, Electrochemical performance, Grid storage
1201 ISBN: 978-93-5351-069-5

PCE313
VARIOUS CONTROL TECHNIQUES OF HOME AUTOMATION

SYSTEM
Paras Savani Rudra Umraliya Chirag Pandya
Student Student Assistant Professor
Gyanmanjari Institute of Gyanmanjari Institute of Gyanmanjari Institute of
Technology Technology Technology
savaniparasb@gmail.com rudra.umraliya@gmail.com chirag7pandya@gmail.com
Abstract
In current years, smart wireless technology has been superior over manual system, which offers
automatic controlling over device by means of smart technology which gave birth to automation
system. Home automation system is a method to control any of the electrical devices from any
location in home, using either remote controlled techniques or wireless transmission of electrical
signals. Automation plays a significant role in day to day life of mankind. It is also a great technology
which is being empowered for betterment of the lives of the elderly and the handicapped people.
Home automation is a system that is said to be a wide range solution including controlling,
monitoring and automating various equipment in the house. Home automation is a widely used
technique to control the appliances in the house in remote way and hence it reduces efforts. It is a
flexible, portable and low cost method that can be made available in the house. Home automation
can be achieved by various techniques, using various methodologies, of which automation using
Internet of Things (IoT), Wi-Fi, Bluetooth technology and sensor control are the widely used ones.
This paper gives a review of the Home Automation system as well as various control techniques
used in it. Comparison of various techniques available is also discussed in the paper.
Keywords: Wireless Technology, Home Automation, Internet of Things (IoT), Bluetooth

Technology, Wi-Fi
ISBN: 978-93-5351-069-5 1202

PCE044
ENHANCED APPROACH OF ENERGY

EFFICIENT ZONE BASE ROUTING OVER MANET
Ms. Tinkal Patel

P.G Student, Computer
Engineering B.H.Gardi Collage of
Engg.& Tech., India.
tinkalpatel07@gmail.com
Abstract
Ad hoc networks are wireless networks without a fixed infrastructure, and are usually established on
a temporary basis for a specific application like emergency rescue or battle field communication.
Energy management in wireless networks is the process of managing the sources and consumers of
energy in a node or in the network as a whole for enhancing the lifetime of the network. Since, most
of the mobile nodes in the network are equipped with low power batteries, it could be difficult for a
mobile device to sustain for a long time if it send and receive data more often. The ZRP or Zone
Routing Protocol for MANET is a hybrid kind of routing protocol which uses the advantages of both
proactive and reactive route discovery mechanisms while communicating locally within a cluster or
communicating to a different cluster respectively. Mod ZRP use different approach for selection of
cluster head base on cost function and also use multipath mechanism. By applying the changes and
modification in traditional ZRP using NS2.33 simulation tool, traditional ZRP is converted to enhance
ZRP with improvement in packet delivery ratio, good put and throughput.
Keyword: MANET, Energy efficient, Distance, auto scaled, multipath, packet delivery ratio.
1203 ISBN: 978-93-5351-069-5

PCE093
A DESIGN MICROSTRIP PATCH ANTENNA FOR

GAIN ENHANCEMENT USING PAPER
SUBSTRATE
Varsha.K.Gohil Mayuri.K.Prajapati
M.E Student Asst. Professor
KIRC.Kalol KIRC, Kalol
varshakheradiya85@gmail.com mayuriprajapati@gmail.com
Abstract
In the field of technology, the dimension of things has been smaller and smaller. The microwave
frequency is fundamental part of various applications like; Bluetooth, GSM and WLAN etc. These
applications require antenna of varying size for better functioning. Nowadays technology becomes
more advanced, the demand of such antenna has been increased which can operate at sufficient
frequency range. To fulfil this requirement, the research suggests a design of single patch antenna
using paper material as a substrate to enhance gain. The paper material is low cost, environment
friendly, flexible material and organic also. This antenna is analysed and simulated using Ansoft
HFSS software. In this paper, single patch antenna is designed using offset feed method at 2.4 GHz.
The simulated peak gain of the single patch antenna is achieved at 2.0504dB.
Keywords: Microstrip patch antenna, High frequency structure simulator (HFSS 17.2)
ISBN: 978-93-5351-069-5 1204

PCE262
A REVIEW ON MECHANICAL MEASUREMENT OF

INFLATABLE ANTENNA
DHARMENDRASINH JEELUBHAI REVAR

M.E.-MCNT
GTU SCHOOL OF ENGINEERING AND
TECHNOLOGY GANDHINAGAR, INDIA
revardharmendra88@gmail.com
Abstract
Inflatable space antenna has advantages of small folding volume, light weight, launch low cost and
so on, so it becomes one of the most potential technologies for large aperture space antenna
in the future. Surface accuracy measurement and measure the parameter of 3-m aperture inflatable
antenna reflector using membrane is measured using digital photogrammetry, and its accuracy at
different internal pressures are analyzed. The results show that inflatable reflector's accuracy is
affected by its internal pressure and the main errors are around the center of the reflector. Also
measure the RMS (Root Mean Squre) values at different pressures.
Keywords: inflatable space antenna, accuracy, photogrammetry, internal pressure
1205 ISBN: 978-93-5351-069-5

PCE277
DESIGN OF ARDUINO CONTROLLED ROBOTIC ARM USING

ESP8266
Meet Sarvaiya Shivam Joshi Harsh Patel

GMIT, Bhavnagar GMIT, Bhavnagar GMIT, Bhavnagar
Meetsarvaiya11@gmail.com Shivam91197@gmail.com Hp11142@gmail.com
Chirag Vaghani Chetan Chauhan

GMIT, Bhavnagar GMIT, Bhavnagar
Chiragvaghani1234@gmail.com Cnchauhan@gmit.edu.in
Abstract
Arduino controlled smart arm which is operated by smartphone using IFTTT application and ESP8266
WIFI module. Arduino UNO R3 board used for programming purpose which operates on 12V DC
power supply. It has an ATMEGA328 microcontroller. Four servo motors are used to rotate the arm
and two dc motor serves the purpose of moving the whole model from one place to another. The
L293D motor driver IC is used to control the direction of DC motor. Video can be recorded by
OV7670 camera module.
Keywords: Arduino, IC L293D, Servo motor, DC motor, ESP8266, Camera module OV7670
ISBN: 978-93-5351-069-5 1206

PCE235
ENRICHMENT OF ULTRASOUND IMAGES USING NOISE

REDUCTION TECHNIQUES: REVIEW PAPER
Reema Parekh Manish Thakker
Assistant Professor Professor
Gujarat Technological University L D College of Engineering, Ahmedabad
reemashah88@gmail.com dr.mtthakker@gmail.com
Abstract
Visual inspection plays a pivotal role in medical diagnosis. Medical imaging techniques have
ubiquitous applications. Ultrasound – one of the most popular medical imaging techniques is the first-
hand tool used for imaging internal organs. The ability of ultrasound to provide a cost-effective, real-
time image makes it a first choice for physicians. India has a least patient to doctor ratio as per the
world health organisation (WHO) benchmark requirement. Considering this fact, India needs a radical
solution to patient care in early diagnosis. The inherent properties of Ultrasound make it a unique tool
for real-time diagnosis of masses. This research paper intends to review noise reduction filters to
enhance the quality of the ultrasound images acquired through the ultrasound machine. The enhanced
noise free ultrasound images can easily investigate the nodule and further malignancy of a tumour
accurately. This review covers techniques to diagnose abnormalities in gland or organ at the primary
stage to increase the life expectancy of the patient. This review helps in orchestrating a machine
learning tool in coherence with ultrasound, which could make a real disruption in current diagnosis
method and bring along a state-of-the-art solution to early diagnosis, fast and cost-effective medical
imaging solution.
Keywords: Ultrasound, Image pre-processing, De-speckling image, Filters
1207 ISBN: 978-93-5351-069-5

PCE274
IMPLIMENTATION OF DATA FUSION ALGORITHM ON INDOOR

ENVIRONMENT MONITORING SYSTEM
Singh Zeal Rajesh Dr. Manish Thakker

P.G. Scholar, Professor-IC Engineering
zeals10111@gmail.com dr.mtthakker@gmail.com
Abstract
Multisensor sensor data-fusion (MSDF) has significant attention in the recent years for industrial as
well as home automation applications to overcome the uncertainty and limitation of individual sensor.
Multisensor data-fusion plays a vital role of monitoring in applications like greenhouse monitoring
and smart home systems. The main objective of this paper is to model an indoor environment system
to monitor the ambient parameter like temperature. The system designed aims to reduce the error
produced by testing equipment which often give wrong reading in case of faultiness. A real-time
online monitoring system is designed based on the detection of the above mentioned parameter. The
data acquisition system consist of microcontroller development board and virtual instrumentation
software LabVIEW as monitoring platform. The technology of multi-sensor data fusion which involves
use of various algorithms such as moving average algorithm, adaptive weighted averaging algorithm
to generate accurate measurement and reliable evaluation for the system in consideration. In this
paper to measure temperature, a two-level fusion algorithm developed and implemented based on the
data obtained from the real time system. The output was obtained by using moving average algorithm
and adaptive weighted algorithm and the result was compared with a single sensor system. This
concept can be expanded for industrial measurement system for small scale industry/ home
automation system/furnace system etc. and can be used to give better performance compared to single
sensor system.
Keywords: Multisensor data fusion system, moving average, weighted average, temperature
measurement
ISBN: 978-93-5351-069-5 1208

PCE010
ROTATING VANE SWIRLER USING ATMOSPHERIC AMBIENT

AIR IN COMBUSTION CHAMBER
Mansha Kumari
Assistant Professor
VIE, Kotambi
manshakumari28@yahoo.com
Abstract
Swirl flow offer an interesting field of study for aerospace & mechanical engineers in general and for
combustion engineers in particular since it involves complex interaction of recirculation & turbulent
mixing, which aid flame stabilization in combustion system.
Swirl can reduce combustion length by producing higher rates of entrainment of ambient fluid and fast
mixing close to exit nozzle & on boundaries of recirculation zone in strongly swirling zones.
Experimental studies show that swirl has large – scale effect on flow fields: jet growth, entrainment &
decay and flame size, shape, stability & combustion intensity are affected by degree of swirl imparted
to the flow, therefore swirling flows are commonly used to improve & control mixing process. This
work present design of combustion chamber. Swirler applicable for producing CRZ (Central
Recirculating Zone) to control length & stability of flame.
The core objective of this study is to present the details of the experimental swirl flow. The flow through
8 blades rotating vane swirler is studied experimentally by using five-hole probe. Comparison is been
done with fixed vane swirler as well as rotating vane. Diffuser & tailpipe is provided to avoid disturbance
in development of flow. Present work gives complete behaviour and knowledge about recirculation
zone & effect of guide vanes.
Keywords: Swirl, Tailpipe, CRZ, Guide vane, Probe
1209 ISBN: 978-93-5351-069-5

PCE011
ALGAE BIODIESEL: A SUSTAINABLE FUEL FOR SOLUTION OF

MAJOR GLOBAL PROBLEMS
Dr. Alpesh Mehta Dr. Nirvesh Mehta

Assistant Professor Mechanical Professor
Engineering Department Mechanical Engineering Department
Government Engineering College LDRP-ITR, Gandhinagar
Godhra Gujarat, India
Gujarat, India. avmehta2002@gmail.com
Abstract
Major burning issues faced globally are scarcity of drinking water, global warming, melting of
glaciers, pollution and related issues, cleaning of sanitation water and waste water, etc. Lots of
research to minimize above problems has been widely encouraged by the society and industries. Out
of them, one major field of research is related alternate renewable fuel for power generation and for
the automobiles through energy from biomass.
The present research talks about biodiesel production from algae via pyrolysis process. The derived
biodiesel was tested on fixed compression ratio Cooper diesel Engine available at Birla Vishvakarma
Mahavidhyalaya, Vallabh Vidyanagar, Anand in set of B0, B20 and B50. Diesel engine gives best
performance of BSFC=0.7765 kg/kW-hr and brake thermal efficiency= 11.4% at 50% blending,
compression ratio of 16 and with full load condition i.e. at 16lb. Exhaust gas analysis for B0, B20
and, B50 was carried in the laboratory and compared with exhaust gas emission standards BS-IV.
Indian exhaust gas emission norms, BS-IV, were satisfied by algae biodiesel. Thus algae biodiesel as
a sustainable, cleaner and greener fuel is a proven which can address current burning issues with no
or minor changes in the existing diesel engine.
Keywords: Renewable fuel, Biodiesel, Algae, Sustainable
ISBN: 978-93-5351-069-5 1210

PCE034
DEVELOPMENT AND IMPLEMETATION OF ELECTRO SLAG

WELDING OVERLAY FOR MONEL 400
Brijesh Padhiyar
Student,
S.N.P.I.T. & R.C; Umrakh
padhiyarbrijesh2696@gmail.com
Abstract
Developments to increase production rate and purity of end product of chemical processes increased
the process temperature and pressure to a very high extent. This requires heavy dimensioned reactors
and vessels. Such equipment are also subjected to very severe corrosion rate. In the modern world of
industrialization the wear is eating metal assets worth millions of dollars per year. The wear is in the
form of corrosion, erosion, abrasion etc. which occur in the process industries like oil & gas,
refineries, cement plants, steel plants, shipping and offshore working structures. The equipment like
pressure vessels, heat exchangers, hydro processing reactors which very often work at elevated
temperatures face corrosion in the internal surface. The industries must improve the corrosion /
erosion and wear performance of these major component. On economical basis it is impractical to
fabricate vessel with costly high alloy corrosion resistant steel. In this situation inner surface of
vessels made from low alloy high strength steel or carbon steel is lined with high alloy corrosion
resistant steel using Electro Slag Strip Cladding, Submerged Arc Strip Cladding, Flux Cored Arc
Welding or Shielded Metal Arc Welding. Among these processes Electro Slag Strip Cladding offers
some distinct benefits like higher deposition rate, higher travel speed, lower dilution, lower flux
consumption etc. Reproducibility of the process is also consistent in term of chemical recovery and
ease of operation. Aim of this project is to development and implementation of Monel 400 Electro
Slag Welding overlay using EQNiCu-7 (strip) + Record EST 400 (flux) as a barrier layer and as a
subsequent layer to achieve 2.5% Fe (max.) at the depth of 3 mm from finish surface with the use of
parameters like Voltage, Current, Travel Speed, Magnetic steering device.
Keywords: Cladding, Electro slag welding, Monel 400, Magnetic Steering, Corrosion Resistance
1211 ISBN: 978-93-5351-069-5

PCE037
VIBRATIONAL DYNAMICS OF A CU60ZR20HF10TI10 BULK METALLIC

GLASS
Aditya M. Vora
Department of Physics, University School of Sciences, Gujarat
University, Ahmedabad 380 009, Gujarat
amvora@gujaratuniversity.ac.in
Abstract
In the present article, the computations of the vibrational phonon frequencies of the longitudinal and
transverse branches in a quaternary Cu60Zr20Hf10Ti10 bulk metallic glass (BMG) using a simple Hubbard-
Beeby (HB) model approach have been presented. Ashcroft’s empty core model pseudopotential is utilized
in conjunction with Hartree screening of conduction electrons with and without the inclusion of correlation
effects by employing various forms of local field correction functions. The phonon frequency observations
reproduce the typical features of the dispersing nature. Also, the thermodynamic and elastic properties of
the said BMG are calculated through the elastic limit of the dispersion bends.
Keywords: Longitudinal and transverse phonon frequencies, Bulk metallic glass (BMG), Thermodynamic
and elastic properties
ISBN: 978-93-5351-069-5 1212

PCE038
AN EMPIRICAL REVIEW ON CHARACTERISTICS OF

PULSE PARAMETERS OF PULSED METAL INERT GAS
WELDING
Doshi Sachindra J. D.B. Jani

Research Scholar, Gujarat Technological Associate Professor Mechanical Engineering
University Department
Mechanical Engineering Department Government Engineering College, Dahod
Government Engineering College, Bhavnagar dbjani@rediffmail.com
professordoshi@gmail.com
Abstract
Controlled heat input is a key to achieve sound welding of sheet metal, especially Al alloy. Controlled
heat input is possible through pulsed welding, which resulted in to spray mode of metal transfer.
Pulse Metal Inert Gas (MIG) welding is gaining popularity among nonferrous welders. Currently,
significant research is going on pulsed MIG welding. The low ‘background’ current used to
maintain the arc in pulse MIG welding. On this low background current high current pulse is
superimposed, that result into formation of the molten droplet which detaches on the reduction
of high current to low current. This continuous repetition forms the spray mode metal transfer
and stable arc at low average welding current. Pulse parameters like background current, peak
current, pulse frequency have significant effects on the welding process and weld bead like arc
stability, weld bead appearance, weld bead geometry, and weld quality. Casual selection of pulse
parameters are not forgiving and will result in weld defects, such as lack of fusion, undercut, irregular
bead. Therefore it is paramount to understand the characteristics of pulse parameters in the pulsed
MIG welding process. The optimum combination of pulse parameters in pulse MIG welding gives
high reliability of defect-free weld bead for the structural component. Trial and error method of
setting up pulse parameters never result in better combination and will end up to the poor quality of
weld bead. Therefore the selection of correct pulse parameters has always been a focus of
researchers and demand of industries. Hence, it is evident to study characteristics of pulse
parameters for MIG welding to arrive at the combination of parameters that form a sound weld.
This review article focus on different characteristics of pulse parameters of MIG welding, their
effects on the welding process and weld quality.
Keywords: Pulsed MIG welding, Background current, Peak current, Pulse frequency, Spray metal
transfer
1213 ISBN: 978-93-5351-069-5

PCE040
A COMPARATIVE STUDY OF DIFFERENT GEOMETRY OF

ROTARY DESICCANT DEHUMIDIFIER
Lalkiya Deep Dr. D. B. Jani Kiran Bhabhor

PG student Associate Professor Assistant Professor
Government Engineering Government Engineering Government Engineering
College, Dahod College, Dahod College, Dahod
lalkiyadeep1112@gmail.com dbjani11@gmail.com kkbhabhor001@gmail.com
Deeplalkiya95@gmail.com dbjani@rediffmail.com kiranmech012@gmail.com
Abstract
Desiccant dehumidifier is an important component of Desiccant cooling system in which

dehumidification takes place. Such dehumidification depends on channel geometry and
desiccant material used in the same. Higher efficiency of desiccant cooling system can be
achieved by selecting optimum geometry and desiccant material. Different geometry has
different moisture removal capacity and also it has different working efficiency in different
climate conditions. So optimum geometry has to select with the consideration of such criteria
to achieve better performance of desiccant cooling system. Here in this paper, there is
comparison between different geometry used in desiccant dehumidifier with the
consideration of humidity ratio and temperature.
Keywords: Dehumidification, Channel geometry, Desiccant Dehumidifier
ISBN: 978-93-5351-069-5 1214

PCE045
COMPARION OF KINEMATIC ANALYSIS OF MODIFIED THEO

JANSEN MECHANISAM BASED ROBOT MADE OF PLA AND MILD
STEEL
Keval Bhavsar Pranav Darji Dharmik Gohel
Aditya Silver Oak Institute of Aditya Silver Oak Institute of Aditya Silver Oak Institute of
Technology Technology Technology
kevalbhavsar42@ gmail.com pdarji576@gmail dharmikgohel67
.com @gmail.com
Jitendra Modi Umang Parmar

Student Professor
Aditya Silver Oak Institute of Technology Aditya Silver Oak Institute of Technology
jmodi655@gmail umangparmar.me
.com @socet.edu.in
Abstract
This paper presents the design analysis of an intellectual model of an autonomous Surveillance robot.
The principle objective is to do surveillance in the muddy or desert area or on that region where the
surface is less grippy. This Spider is having EIGHT legs controlled by Two DC Servo Motors. The
mechanism which is used to make those legs is THEO JANSEN MECHANISM, which is one of the
animal walking patterns. To do the surveillance, a 360-degree rotating camera is used which is
having its own working module. All the electronics are controlled by Arduino. and that Arduino take
power to run itself as well as all the other system by 12V DC Battery. As this is the first Spider robot
which will made by Polylactic Acid (PLA) material. This paper gives comparison between Kinematic
analysis of robots made from Polylactic Acid (PLA) and Mild Steel.
Keywords:-Theo Janson mechanism, Animal walking pattern ,360 camera, surveillance device,
PLA material, mild steel, kinematic analysis, comparison of analysis
1215 ISBN: 978-93-5351-069-5

PCE046
PHASE CHANGE MATERIALS AND COMPONENTS FOR MEDIUM

AND HIGH TEMPERATURE THERMAL ENERGY STORAGE
SYSTEM – A REVIEW
Mayur Solanki Dr Ronak Shah
PG Student Assistant Professor
ADIT, New V V nagar ADIT, New V V Nagar
Mayursolanki1993@gmail.com ronak28@yahoo.com
Abstract
Solar thermal energy is taking up increasing proportions of future power generation worldwide.
Thermal energy storage technology helps the time discrepancy between solar energy supply and
electricity demand. However, there is currently no available cost-effective compact storage
technology according to the International Energy Agency (IEA). In this paper, review for developing
cost effective phase change thermal energy storage (TES) system is discussed for suitable storage
material and selecting Phase Change Material (PCM) having different aspects. High temperature
PCMs with melting temperature above 300 ◦C have the potential for thermal energy storage in
concentrated solar power plants. High heat of fusion, melting and solidifying temperatures, charging
and discharging cycle time, small unit size, high storage density and relatively constant heat transfer
fluid (HTF) temperature during the discharge process and other thermal and chemical properties of
material. This are providing the essential information for additional research in the development of
cost-effective high temperature phase change thermal storage systems.
Keywords: Thermal energy storage, solar energy, Phase Change Material, Heat Transfer Fluid,
temperatue
ISBN: 978-93-5351-069-5 1216

PCE060
ARTIFICIAL MUSCLES: ROBOTICS APPLICATION

Pratiksha Awasthi Sunil J. Padhiyar Rupande N. Desai
Student Assistant Professor HOD
Rubber Technology Rubber Technology Rubber Technology
LDCE, GTU LDCE, GTU LDCE, GTU
pratikshaawasthi23@gmail.com sunil.rubtech@gmail.com rupandendesai@gmail.com
Abstract
Delicate actuator which is elastomeric consolidates the versatile properties of a polymeric framework
and the volume change of a liquid upon liquid– vapor progress upto outrageous dimension. In this
work delicate composite material is made out of silicone elastic framework with ethanol conveyed
similarly all through the network. When we apply electric voltage ethanol will reach to its vapor
change stage and it goes into pores of elastomeric grid (Silicon elastic) which will grow the entire
composite. For this extension volume blend of ethanol ought to be suitable. This will demonstrate
strain upto 900%. What's more, to build dielectric steady barium titanate strands delivered by electro
turning are joined. At the point when electro turning is done strain is connected. The perspective
proportion of barium titanate filaments ought to be suitable and introduction of strands inside the
blender ought to be toward the path where we need to accomplish most noteworthy quality.
When we apply voltage to this framework even at little voltage we can see the development of
impelling counterfeit muscles on account of the expansion in volume of ethanol inside the elastomeric
grid. It fills in as an 'actuator' signifies development is in controllable range. In this framework
number of cycles of development and constriction will gives the toughness. Degree of development
and compression relies on the utilization of robots specifically field. Furthermore, on arrival of the
voltage again muscle will contract to its unique position. Incitation of a muscle relies on power,
stress, strain and speed of reaction. It goes about as a vitality powerful material and makes new
application in field of mechanical autonomy.
Keywords: Silicone rubber, electro spinning, barium titanate, Aspect ratio
1217 ISBN: 978-93-5351-069-5

PCE067
LUBRICATION SYSTEM AND LUBRICATION FOR SUSTAINABLE

MACHINING: RECENT TRENDS AND FUTURE DIRECTION
Jayal C. Gandhi Shashank J. Thanki Jaykumar J. Vora
M.E. Student Associate Professor Assistant Professor
Shri S’ad Vidya Mandal Shri S’ad Vidya Pandit Deendayal
Institute of Technology, Mandal Institute of Petroleum University,
Bharuch. Technology, Bharuch. Gandhinagar.
jayalgandhi64@gmail.co shashankthanki@yahoo.co jay.vora@sot.pdpu.ac.in
m 7405594336, m 9096690094 9099962298
9664648758.
Abstract
Lubrication system and lubrication has significant impact on environmental and economic
aspects of sustainable machining process. Non-conventional lubrication approaches such as
dry machining, high pressure cooling, nano fluids, solid lubrication, vegetable based
lubrication oil, and liquid nitrogen are little popular due to lack of significant research.
However, it is essential to employ sustainable lubrication system and lubricants to ensure
sustainability of the machining process through efficient and economic machining operation.
Literature suggests that non-conventional lubrication system gives better result in terms of
surface roughness quality, tool life improvement, minimum cutting temperature, low cutting
force compared to conventional lubrication. As selection of cutting fluid, lubricants and
lubrication system are very critical parameters for sustainability of machining processes,
current study aims to provide an organized, evaluative and extensive review about different
lubrication systems, lubricants and cutting fluids used in recent era and their impact on the
sustainable performance of the machining process.
Keywords: Lubrication system, Cutting fluids, sustainable machining, non-conventional lubrication
ISBN: 978-93-5351-069-5 1218

PCE072
MINIMIZATION OF GAS POROSITY DEFECT IN NO- BAKE
CASTING USING ARTIFICIAL NEURAL NETWORK AND GENETIC
ALGORITHM
Manojkumar V. Sheladiya Dr. Shailee G. Acharya

Research Scholar, Asst. Prof., Mech. Engg. Dept.
Gujarat Technological University, Gujarat, India SVIT, Vasad, Gujarat, India
Asst. Prof., Mech. Engg. Dept. AITS, Rajkot, shailee.acharya@gmail.com
Gujarat, India mvsheladiya@gmail.com
Abstract
Defects occurring in any manufacturing process are the ultimate limitations of the process. No-Bake
casting process also faces the same hitches. To find and optimize the conditions for acquiring the least
casting defects is paramount. Trial and error method was the normal method for minimizing defects.
But due to limitations like being expensive, time-consuming and involvement of uncertainty, this
method costs too much to the industries. The intent of any industry is the optimum use of available
resources to improve productivity. In this paper, a genetic algorithm (GA) and artificial neural
network (ANN) have been applied to minimize the gas porosity defect (evaluated through Pareto
charts) by optimizing the process parameters. Process parameters are selected on the basis of
rigorous literature survey and data collection and questionnaires from the different industries. The
highest and lowest values of different process parameters are analyzed from the industry situated
in the Saurashtra region. The selected parameters are grain fineness number (GFN), loss on ignition
(LoI), the potential of hydrogen (pH), percentage of resin based on sand weight, mixing temperature
of the sand and compressive strength of the mould.
Keywords: Artificial Neural Network, Genetic Algorithm, Mould-Metal Interface, Grain fineness
number
1219 ISBN: 978-93-5351-069-5

PCE079
A REVIEW PAPER ON OPTIMIZATION OF MULTIPLE PROCESS

PARAMETERS OF ELECTRICAL DISCHARGE MACHINE FOR MACHINING
OF COMMERCIALLY PURE TITANIUM AND ITS ALLOYS
Ruchit N. Gohil
ME student
Shri S’ad vidya mandal institute of technology,
Bharuch.
ruchitgohil369@gmail.com
9429112228
Dr Shashank J. Thanki
Associate professor
Shri S’ad vidya mandal institute of technology,
Bharuch.
shashankthanki@yahoo.com
9096690094
Dr. Jaykumar J. Vora

Assistant Professor Pandit Deendayal Petroleum
University, Gandhinagar.
jay.vora@sot.pdpu.ac.in
9099962298
Abstract
Commercially puretitanium(Cp-Ti) & it's alloys have wide applications in engineering field, Mostly in
aerospace,biomedical and automotive parts due to their high specific strength & excellent corrosion
resistance. However the machinability of Cp titanium &it's alloys is difficult due to their low thermal
conductivity and elastic modulas. The study will be pivoted to effectively set the EDM process
parameter particularly for achieving optimum Material Removal Rate (MRR) & Surface Roughness.
In order to optimize, Response Surface Methodology (RSM) technique will be used for devising the
experimental design matrix.Authors firmly believe that the industries involved in
manufacturing/fabrication of Ti parts pertaing to aerospace & automotive would be interested &
benefitted from the study. As per best of the author's knowledge limited study has been reported on
machining of Cp-Ti and hence it's worthwhile to study the multi-objective optimization of EDM
process parameters for Cp-Ti
Keywords : commercially pure titanium, EDM , Response surface methodology
ISBN: 978-93-5351-069-5 1220

PCE092
A COMPARATIVE STUDY OF PVD AND CVD COATED INSERTS

USED FOR IMPROVEMENT OF CUTTING TOOL LIFE
Keyur V. Parmar Dr. Hemantkumar R. Thakkar

Research Scholar Associate Proffesor
Asst. Prof., Mech. Engg. Dept. GCET, VVNagar
Mech. Engg. Dept. AITS, Rajkot hemantthakkar@gcet.ac.in
keyurme032@gmail.com
Abstract
This study presents comparison of coated inserts which are generally used in normal machining
application of different metal cutting. Now a days PVD (Physical Vapour Deposition) and CVD
(Chemical Vapour Deposition) coated inserts are most widely used in manufacturing field. TiN, TiC
and Al2O3 are three main coating material used in CVD coating process. Whereas TiN, TiCN and
TiAlN are the coating material used in PVD coating process. TiN coating will give excellent built up
edge resistance, TiC coating gives excellent wear resistance and Al2O3 provides excellent crater
resistance. TiCN and TiAlN are harder than other types of coating material. In this paper, effect of
PVD and CVD coating on cutting tool life is studied. Finally at the end suitable coatings are
suggested for machining different workpiece material which will give higher tool life and lower tool
wear.
Keywords: PVD, CVD, Cutting Tool life, Insert Coating
1221 ISBN: 978-93-5351-069-5

PCE094
DESIGN AND OPTIMIZATION OF THIN AND THICK PRESSURE

VESSEL
DHIRAJ PRAJAPATI PROF. DHAVAL L PATEL

STUDENT S.P.C.E., VISNAGAR ASSOCIATE PROFESSOR
Dsp7081994@gmail.com S.P.C.E.,VISNAGAR
ABSTRACT
The pressure vessel closed container using to hold gas or liquid fluid at pressure substantially
different from the atmosphere pressure. The pressure inside of the vessel is different at various
operation condition. The pressure vessel is dangerous and accidents have been occurred in history
during operation. Pressure vessels are generally designed; manufactured and operating conditions
are by American Society of Mechanical Engineering (ASME) Code. The main objective of this paper
is carry out investigations for the modifications in pressure vessel design, followed by the analysis
using best modelling & analytical software as per ASME code section VIII, division-2. Analysis is
done with the vessel of thickness 10 mm and is reduced up to 2 mm by providing stiffner after rigorous
analysis.
Keyword: ASME, ANSYS, CREO, Pressure Vessel
ISBN: 978-93-5351-069-5 1222

PCE102
A REVIEW ON RESIDUAL STRESS IN FRICTION STIR

WELDING:CAUSES, MEASURING TECHNIQUES,
NATURE OF DISTRIBUTIONS, CONSEQUENCES AND
CONTROL
Samir K Raval K B Judal
Lecturer, Principal GEC, Palanpur
K D polytechnic Patan judalkb@gmail.com
raval.smr@mail.com 9375844848
7575809673
Abstract
Residual stressesare process-induced, locked-in stresses which are desirably or undesirably

present in components. They developprimarily due to non-uniform volumetric change in metallic
components irrespective of manufacturing methods and sometimes without external loading.Residual
stresses in welded joints primarily build up due to differential weld thermalcycle (i.e. heating, peak
temperature and cooling at the any moment during welding). It is more common in fusion welding
with high magnitude but usually believed to be less in solid state welding owing to lower peak
temperature (below melting) during joining.Friction Stir Welding (TWI, 1991) is rapidly blooming
in the contemporary modern engineering fields of aerospace, defense, marine, automotive, and
railway industries as proven approach of solid state joining. Residual stresses are also found in
the friction stir welded plates due to thermal loading and unloading, plastic deformation, and
mechanical constraints imposed during welding.Over the last few years, both experimental and
numerical techniques have been conducted to study the residual stress distribution during similar
and dissimilar friction stir welding of aluminum and other alloys.Research revealed that residual
stressesare functions of peaktemperature and flow stressdistribution ofthe various regions of the
jointswhich may be influencedby process variantslike properties of materials being welded, welding
speeds, feeds and tool geometry. Since unwanted stresses are not favorable to the integrity,
fatigue properties, soundness, dimensional stability, fracture toughness and service life of
fabricated articles, appraisal becomes imperative to tease out recent trends and progress in this
field. The present review gives comprehensive insightto this significantissue in view of; reasons
for development, various methods of evaluation and some common fashions of their distributions.
Finally the outcomes due to presence of stress have been elaborated and few novel approaches to
restrain development of stress are addressed. Last but not least need , application areas and future
scope are also addressed.
Keywords: Friction Stir Welding (FSW),Aluminium alloys, Residual Stress

(RS),NeutronDiffraction,Hole-drilling
1223 ISBN: 978-93-5351-069-5

PCE108
A LITERATURE REVIEW ON PLANT LAYOUT OPTIMIZATION

USING CRAFT IN MANUFACTURING INDUSTRY
Rajnikant R. Pandya Krunal T. Tandel

PG Studant SVMIT- Bharuch Assistant Professor
prrp959@gmail.com SVMIT-Bharuch
9662230861 krunaltandel07@gmail.com
9408625909
ABSTRACT
There are number of competitors in the global market, it is very important for industry to
reduce different expanses and improve performance in order to be a sustainable competitor. There
are many factors affect on finished products, one of the main factor affect the costs of the
finished goods is material handling cost. Material handling cost increase due to poor facility
design layout. The optimum facility layout reduces the materialhandling cost, reduce effort and
manufacturing lead time of the product. The aim is to redesign the new plant layout based on
some defined criteria and area limitation. The redesign of facility layout involves the placement
of equipment, department and their support system in such a way that reduce material travel
time, material handling cost. Computerized Relative Allocation of Facilities Technique which
used for plant layout optimization. CRAFT algorithm will help to redesign of facility plant layout.
Keywords: CRAFT, Plant Layout, Optimization, Material handling, Manufacturing Industry
ISBN: 978-93-5351-069-5 1224

PCE118
DRAG REDUCTION BY ACTIVE FLOW CONTROL FOR SIMPLIFIED

MODEL VEHICLES BY LITERATURE STUDY
Meetkumar K. Patel Mr. Krishna Kumar

ME student Assistant Professor
Shri sad vidya mandal institute of Shri sad vidya mandal institute of technology,
technology, Bharuch. Bharuch
pmeet16@gmail.com krishnaaero@gmail.com
8866353082 9586131649
Abstract
Drag reduction especially in road vehicle has major concern in recent time for reducing fuel
consumption. This can be effectively reduced by synthetic actuator through momentum resistance
in flow separation. And the flow separation control is done by various techniques, so this study
give the overview of by which method has effective on flow control. Though flow separation
also can be reduced by the passive techniques this paper surveys the recent trends to reduce
drag for simplified model vehicle for active and passive control that reduce the fuel consumption
and energy. So the objectives of this study are: 1) To study active flow control by synthetic jet and
2) To study how active flow control use for vehicles.
Keywords: Drag reduction, Active flow control, Simplified model vehicle
1225 ISBN: 978-93-5351-069-5

PCE121
MACHINING OF METAL METRIX COMPOSITE (MMC)

MATERIALS BY ULTRASONIC ASSISTED ELECTRIC DISCHERGE
MACHINING (UAEDM): A RESEARCH REVIEW
Mr Niravkumar Jayantibhai Prajapati Prof. Bharat C. Khatri

Lecturer in Mechanical Engg. Dept. Associate Professor in Mechanical Engg.
K. D. Polytechnic, Patan Dept
niravlcit153@gmail.com GEC, Modasa
9924723342 khatribharat752@gmail.com
9427450822
Abstract
Metal matrix composites (MMCs) are advanced materials having the properties of light weight,
low thermal expansion coefficient, good wear resistance, high specific strength and also Greater
hardness. Reinforcement makes it difficult to machine using traditional techniques, which has
impeded the development of MMCs. The use of traditional machinery to machine MMCs causes
serious tool wear due to the abrasive nature of reinforcement. Hybrid electric discharge machining
is a promising and the most reliable nonconventional machining process for MMCs. It exhibits
higher competence for machining complex shapes with greater accuracy. Ultrasonic Assisted
Electric Discharge Machining (UAEDM) is hybrid EDM process of Ultrasonic Machining and
Electrical Discharge Machining (EDM) Processes, which improves limitation of EDM process.
UAEDM is widely used to machine Metal Matrix Composite (MMC) material like Ceramic,
Aluminum Alloy, Titanium alloy, etc. This review article represent machining characteristic of
UAEDM process for MMC materials. Review has been carried effects of Input Parameters like
gap current, pulse on time, pulse off time, capacitance, vibration power etc., on Output
Parameters like Material Removal Rate, Tool/Electrode Wear Rate, Surface Roughness, Aspect
Ratio, Crack Propagation, etc., on different MMC like Nickel base alloy, Titanium Base alloy,
Ceramics, Alumina Base alloy, etc. and Tool Material like Alumina, Copper, Brass etc. Based on
review of different literature, future research has been identified to improve productivity and
machinability by strengthen UAEDM process.
Keywords: Metal matrix composites (MMCs), Electric Discharge machining (EDM), Ultrasonic
Assisted Electric Discharge Machining (UAEDM), Material Removal Rate (MRR), Tool Wear
Rate (TWR), Relative Wear Rate (RWR).
ISBN: 978-93-5351-069-5 1226

PCE126
CAVITATION IDENTIFICATION AND PREVENTION IN

CENTRIFUGAL PUMP USING CFD
Dharmadip P. Raj Sumit D. Rathod

PG Student, Assistant Professor
S.V.M.I.T S.V.M.I.T
Dharmadip1796@gmail.com sumit.rathod@svmit.ac.in
9924596014 9924366235
Abstract
Centrifugal pump is a machine that use rotation to impart velocity to a liquid and then convert
velocity in to the flow. The centrifugal pumps are the most common type of pumps used in industries
now days due to its high performance compared to other pumps. There are many factors that affects
the performance of centrifugal pump. Cavitation is one of the most important factor, which reduces
the performance of the pump during the operating phase. Cavitation is a process of formation of
vapour bubbles within a liquid at low pressure region which occurs in a region where liquid has
been accelerated to high velocity. In this study the objective is to totally study about cavitation and
try to determine an impeller blade design using CFD which prevents the cavitation.
Key words: Centrifugal pump performance, Cavitation , lmpeller blade system
1227 ISBN: 978-93-5351-069-5

PCE128
DESIGN OF UNIQUE LANDINNG GEAR BY SIMULATION OF

BIRD’S LEG
Gajera Darshit Anand Darji Jigneshkumar R. Vala

Mathurbhai Assistant Professor Assistant Professor
M.Tech Student S.V.I.T Vasad, S.V.I.T Vasad, Anand(Guj.)
I.I.T Bombay Anand(Guj.) jigneshkumarvala.aero@svitv
darshitgajera20@gm ananddarji.aero@svitva asad.ac.in
ail.com sad.ac.in
Abstract
Many inventions in past has revealed by mimicking the nature. A Bird uses inverted pendulum type
legs to land and perch for long time without active control of muscles while sleeping on tree.
Inspired from that capability of bird, this paper presents study of designing such a passive leg
mechanism which enable rotorcrafts to perform perch and stare maneuver makes it effective in
surveillance and reconnaissance mission.
Using design of bird’s leg type landing mechanism with supportive structural analysis, it is tried to
show that rotorcrafts can be used with such a mechanism. Rather controlling of successful
maneuvers is not discussed. Attachment of this mechanism allows UAVs to make landing more
flexible and perching possible even on non-flat surface. In designing, collapsing leg is accompanied
by under actuated, compliant gripping claw. Use of collapsing leg mechanism is to convert
rotorcraft weight into tendon tension which actuate passive foot claw indirectly makes perch
possible. Initially design and stability issues are discussed then structural need of the present
mechanism is captioned with supportive analyzed results. Results of analysis show that this design
can sustain enough structural loading. Moreover, proper optimization in weight will enable
rotorcrafts to perch like birds. Problems of passing tendon also mentioned at end of paper.
Keywords: VTOL, Landing Gear, UAV, Bird’s leg grip, Perching
ISBN: 978-93-5351-069-5 1228

PCE129
ENERGY AND EXERGY ANALYSIS OF BIO FUEL BLENDS USED IN

INTERNAL COMBUSTION ENGINES
Turlapati Siva Krishna Kamal Tej Malineni

Gudlavalleru Engineering College Gudlavalleru Engineering College
sivak346@gmail.com kamalmalineni@gmail.com
Abstract
Thermodynamics permits the behaviour, performance and efficiency to be described for systems
for the conversion of energy from one form to another. Conventional thermodynamic analysis is
based primarily on the First Law of Thermodynamics, which states the principle of conservation
of energy. An energy analysis of an energy conversion system is essentially an accounting of
the energies entering and exiting. The exiting energy can be broken down into products and
wastes. Efficiencies are often used to assess and compare various systems. However energy
efficiencies are often misleading in that they do not always provide a measure of how nearly the
performance of a system approaches ideality. Exergy analysis helps to overcome many of the short
comings of exergy analysis.Exergy analysis is based on the second law of Thermodynamics and is
useful in identifying the causes, locations, and magnitudes of the process inefficiencies. In this
work energy and exergy analysis are done with Bio diesel blends. Performance tests are conducted
on Computerised single cylinder variable compression ratio diesel engine. Results shows the
variation of Brake power(BP), Indicated power (IP), Brake thermal Efficiency, Indicated Thermal
efficiency, volumetric efficiency with variation of Fuel consumption and compression ratio. Exergy
analysis is done to know the pin pointing losses occurs in IC engines.
Keywords: Energy, Bio diesel, Exergy, Fuel consumption, Brake Thermal Efficiency
1229 ISBN: 978-93-5351-069-5

PCE136
ACTIVATED TIG WELDING – A SYSTEMATIC REVIEW OF ITS

PROCESS AND PARAMETERS
Joel V. Daniel Tharaken Shashank J. Thanki Jaykumar J. Vora

ME student Associate professor Assistant Professor
Shri S’ad Vidya Mandal Shri S’ad Vidya Mandal Pandit Deendayal
Institute of Technology, Institute of Technology, Pretrolrum University,
Bharuch. Bharuch. Gandhinagar.
joeldaniel4391@gmail.com shashankthanki@yahoo.com jay.vora@sot.pdpu.ac.in
8980181614 9096690094 9099962298
Abstract
The needs for the strong welds with no defects lead to the invention of the TIG welding process. The
TIG welding was invented by Russell Meredith of Northrop Aircraft in 1941. Activating fluxes being
used to improve the performance of the TIG process were first reported by the Paton Welding
Institute (PWI), Ukraine, in the 1960's. Activated TIG welding is an evolving welding technique and
many research are being done in this field. This paper’s main contribution is the offering of a
systematic review of the existing literature on the effect of various process and its parameters of
Activated TIG welding. This paper looks at the review on Activated TIG welding process, various
welding variables like type of flux used, current applied, travel speed and electrode gap for the
welding of alloy steel or various types of steel. This paper’s aim is to contribute by simulating scholars
for further study this area in depth, which will lead to a better understanding of the impact of the
various fluxes and better welding results. It also holds for important implications for industrialists
who can develop a deeper and richer knowledge in Activated TIG welding for different materials.
Keywords: Activated TIG welding, Type of flux used in welding, Change in microstructure,
etc.
ISBN: 978-93-5351-069-5 1230

PCE137
COMPARISON OF AN EVACUATED TUBE SOLAR COLLECTOR

AND PARABOLIC TROUGH SOLAR COLLECTOR USING TRNSYS
SIMULATION SOFTWARE FOR WEATHER CONDITION OF
AHMEDABAD AND CHERRAPUNJI
Mohsin J. Dadi Dr. D.B.Jani

Mechanical Department, Research Scholar Mechanical Department, Associate Professor
Gujarat Technological University, Government Engineering College, Dahod
Ahmedabad Gujarat Technological University,
Assistant Professor Ahmedabad
Faculty of Engineering & Technology dbjani@rediffmail.com
Parul University, Vadodara
dadi.mohsin@gmail.com
Abstract
TRNSYS software provides the possibility to simulate various solar collectors. In this study, A
TRNSYS simulations were carried out for Evacuated Tube Solar Collector (ETC) and Parabolic
Trough Solar Collector (PTC). Simulations had compared for weather condition of Ahmedabad
and Cherrapunji for four different time stipulations as January to December, November to
December, January and April to July. Collector surface area is taken as 4.44 m2, mass flow rate of
fluid as 105.394 kg/hr and fluid inlet temperature is taken as an ambient temperature. Evacuated
Tube Solar Collector had achieved maximum temperature of 210 ºC and 200 ºC for outlet fluid
in weather condition of Ahmedabad and Cherrapunji respectively while Parabolic Trough Solar
Collector had achieved maximum temperature of 390 ºC and 385 ºC for outlet fluid in weather
condition of Ahmedabad and Cherrapunji respectively for same collector area and mass flow rate.
It is also found for Parabolic Trough Solar Collector that during mid-November to January
outlet temperature is in the range of 30 – 50 ºC and 25 – 50 ºC in weather condition of
Ahmedabad and Cherrapunji respectively while in Evacuated Tube Solar Collector outlet
temperature is in the range of 136 – 175 ºC and 112 – 172 ºC in weather condition of Ahmedabad
and Cherrapunji respectively.
Keywords: TRNSYS, PTC, ETC, Solar Collector, Evacuated Tube Solar Collector, Parabolic
Trough Solar Collector
1231 ISBN: 978-93-5351-069-5

PCE141
PRODUCTION OF BIO-ETHANOL FROM SWEET SORGHUM FOR

UTILIZATION AS ALTERNATIVE FUEL IN SPARK IGNITION
ENGINE
Hitarth Surati Dipak Gosai

Mechanical engineering Mechanical engineering
SVMIT, Bharuch SVMIT, Bharuch
surati346@gmail.com dipak.gosai@svmit.ac.in
Abstract
"Today world facing conventional fuel precise. Country like India about 70% fuel imported & due
to of that most of Indian renewal goes to foreign country. For the outcome this problem petroleum
fuel replace by bio-fuels. A number of benefits are claimed for bio-fuels. Among the various bio-fuels
ethanol most suitable fuel for S.I engine. Sweet sorghum is an one of the alternative feed-stoke
for ethanol production. Sweet sorghum has shown potential as a raw material for fuel grade ethanol
production due to its rapid growing growth rate & early maturity. The most attractive properties
of ethanol as a S.I. engine fuel are high octane number, evaporation heat & flammability
temperature , therefore it has positive influence on engine performance & reduction exhaust
emissions. Experimental investigation carried out for gasoline & gasoline-ethanol blends on
engine performance & exhaust emissions in a single cylinder four strokes spark ignition engine.
many researchers reported that when adding petrol blend in IC engine significantly reduce HC ,
PM , NOx and exhaust emission but slightly increased specific fuel consumption."
Keywords renewable energy, sorghum, bio-ethanol, S.I engine, ethanol-petrol blend
ISBN: 978-93-5351-069-5 1232

PCE144
A REVIEW ON PARAMETRIC INVESTIGATION OF TUBE

HYDROFORMING PROCESS USING FEA & NUMERICAL ANALYSIS
Nusaratjahan A. Raj Vijaykumar R. Parekh

ME student Assistant professor
Shri sad vidya mandal institute of Shri sad vidya mandal institute of technology,
technology, Bharuch. nusaratraj@gmail.com Bharuch. parekhvijay001@gmail.com
7227087213 9723271802, 8487067624
Abstract
Hydroforming process has a wide variety of application in the fabrication industry,

automotive, aerospace and manufacturer is able to generate complex shape part with light weight
and fewer welds than conventional metal forming process. Tube hydroforming is an
unconventional metal forming process which is used to produce different type of tubular
components. In tube hydroforming process, tube is form in to different shape using internal
pressure, axial compressive load simultaneously to force a tubular blank to conform to the
shape of a given die cavity. The main fields of tube hydroforming application is the light weight
construction of automobiles. Most of the paper reviewed here relate to modelling and simulation
of the process and the various issues such as process parameter and experimental study of
different alloys. The review of various aspects of researcher on tube hydroforming process has
been presented in this paper. The current study aims to investigate parametric variation on
tube hydroforming process particularly on tube bulge height and percentage of tube thinning
for various configuration of T, Y and X shape using Finite element analysis.
Keywords: Hydroforming, Tube hydroforming, Finite element method
1233 ISBN: 978-93-5351-069-5

PCE160
A REVIEW ON CRACK ANALYSIS
Jayesh kumar S. Patil Vishal B. Sukhadia

S.V.M.I.T S.V.M.I.T
Jayesh4364@gmail.com vishalsukhadia@gmail.com
7359774364 9033369639
Abstract
Fracture is possibly one of the most common forms of damage occurring in the engineering
application. It is related to propagation of cracks, leading to the failure of the material or
component. Fracture Mechanics is the subject of study, wherein the materials, resistance to
fracture is characterized. Elements of machines and structures are often subjected to variable,
multiaxial loading during service life. Materials used to manufacture those structural components
often contain defects and flaws, which affect durability. Cyclic damage progression at the fatigue
crack tip plays a crucial role in fatigue crack growth. Therefore, the ability to predict the initiation
and the evolution of fatigue cracks as a function of time history loads is important. Hence, it
useful to estimate the life cycle of ‘real life’ practice component under fatigue loading using crack
analysis techniques (Strain- gauge technique, Shear lip size measurement, Microhardness
measurement and etching technique etc.).
Keywords: crack analysis, fatigue fracture, fatigue fracture in a different mode, etc.
ISBN: 978-93-5351-069-5 1234

PCE161
STUDY AND DEVELOPMENT OF GREEN ELASTOMERIC

COMPOUNDS
Akash Limbani Riyaz Y. Modan

Rubber Technology Rubber Technology LDCE, GTU
LDCE, GTU riyazmodan@gmail.com
akashlimbani4@gmail.com 9662490913
7874323411
Abstract
Natural rubber chemically consists essentially of cis-1, 4-polyisoprene, produced as latex. It

constitutes a valuable indigenous renewable resource. Waste recycling has been the subject of
numerous scientific researches regarding the environmental care. Bagasse is a vegetable fiber
mainly constituted by cellulose, which is a glucose-polymer with relatively high modulus, often
found as febrile component of many naturally occurring composites (wood, sugarcane straw and
bagasse) in association with lignin. Sugarcane bagasse is a residue left after crushing the
sugarcane, which is widely produced and contains cellulose, hemicelluloses, lignin, fat, waxes,
ash, silica and other elements. On using this bagasse into boilers as fuel, it produces a large
amount of ash, termed as Sugarcane Bagasse Ash (SBA). SBA when left and simply dumped
creates lot of environmental pollutions due to its particulate sizes. This work focused on utilization
of sugarcane bagasse ash, an important agricultural residue, by employing it as a bio-filler in the
Natural Rubber matrix. Further mainly cure characteristics and mechanical properties were studied
Keywords: Bio filler, Compounding, Natural Rubber, Sugarcane Bagasse Ash, Waste Utilization
1235 ISBN: 978-93-5351-069-5

PCE164
CHANGE IN DESIGN OF NON-PNEUMATIC TIRE WITH USE OF

POLYURETHANE ELASTOMER
Mr. Raviraj Patel Mr. Gnanu Bhatt

ME-Student Assistant professor LDCE, GTU
LDCE, GTU bhattgnanu007@gmail.com
ravirajsurani07@gmail.com
Abstract
Flexible wheel suspension concept has been recently proposed and regarded to be on of the
novel technologies. The polyurethane tire assembly’s inner hub connects to flexible polyurethane
spokes which are used to support an outer rim and there engineered compliant components. A
non-pneumatic tire for supporting a load by working in tension comprising a generally annular
inner surface, a generally annular outer ring and an interconnected web having a plurality of
web elements and comprising a plurality of generally polygonal openings. Flexible wheel concept
generally integrates stiffness, damping components within airless tires and wheel unit. Web
elements are sized, oriented and comprised of a material that facilitates buckling when subjected
to compressive load. Assume the shock- absorbing role provided by the compered air in a traditional
tire.
Keywords: Polyurethane Tire, Airless Tire, Non Pneumatic Tire, Tweel Tire, Tire Structure, Spoke
ISBN: 978-93-5351-069-5 1236

PCE168
INVESTIGATING EFFECT OF ULTRASONIC DRILLING

PARAMETERS ON DRILL HOLE DIAMETER OF GFRP
COMPOSITES
Ketan S. Vaghosi Dr. G. D. Acharya

Research Scholar, Principal
Gujarat Technological University Atmiya Institute of Technology & Science,
Mechanical Engineering Department Rajkot.
Government Engineering College, Bhavnagar +91-9824566946
+91-9824865890 gdacharya@rediffmail.com
vaghosiketan@gmail.com
Abstract
Glass Fiber Reinforced Plastic (GFRP) composite material is widely used for the application like
Aerospace industry, Automobile industry, Wind turbine blades, Sports equipment, Electrical
applications. Machining of GFRP is a complex task because of its heterogeneity, anisotropy and high
abrasiveness of fibers. There are considerable problems in machining GFRP sheets like delamination.
In this paper non conventional machining method, Ultrasonic machining is used to carry out machining
a hole in GFRP sheet of different thickness. In order to conduct experiments a set up is prepared, and
using Taguchi method set of experiments were conducted with combination of different parameters as
amplitude of vibration, pressure, thickness of GFRP sheet, abrasive material, its size and concentration
as control factors. The results show that using ultrasonic machining method reduces the delamination
significantly.
Keywords: Ultrasonic machining, GFRP, Delamination, amplitude of vibration, abrasive material
1237 ISBN: 978-93-5351-069-5

PCE175
LIQUID 𝑵𝒂𝟏−𝑿𝑲𝑿 ALLOY: A THERMODYNAMICAL

INVESTIGATION
Rajesh C. Malan Aditya M. Vora

Government Engineering College, Department of Physics
Valsad Gujarat University, Ahmedabad.
rcmgecv@gmail.com voraam@gmail.com
Abstract
Thermodynamical investigation of the liquid 𝑁𝑎1−𝑋 𝐾𝑋 binary alloys using pseudopotential theory
has been reported in the current article. The potential suggested by Fiolhais et al.with its
individual parameters is used for entire calculation. A transferability of the potential from the solid to
liquid medium is achieved for the presently reported binary alloy. The internal energy
components, Helmholtz free energy, entropy and total energy at various proportions of the
participating metals are included in the study. The comparison with the other data has been shown
in the present article. Exchange and correlation effect is also tested with the help of various local
field correction functions.
Keywords: Liquid metal alloy, pseudopotential, thermodynamical properties
ISBN: 978-93-5351-069-5 1238

PCE179
DESIGN, ANALYSIS AND MODIFICATION OF RIGID CURVED KITE

WING
Naisargi A. Belani Jigneshkumar Vala Anand P. Darji

GTU Student Ass.Professor Ass.Professor
SVIT,Vasad SVIT,Vasad SVIT,Vasad
naisargi15beaem008@gmail.co jigneshkumarvala.aero@svit.ac. ananddarji.aero@svit.ac.
m in in
7226043058 9998979336 89802123
Abstract
A primarily designing, modification and analysis of aerodynamics of a rigid curved kite wing
is proposed. Tethered wings are used to generate airborne wind energy using innovative
technology. Paper has results of different aerodynamic parameters related to rigid curved kite
wing. For the analysis NACA 0012 and Clark Y Airfoils are used. Aerodynamic characteristics of
different coefficients (life and drag) and pressure distribution as well as velocity analysis at different
Angle of Attack for the given airfoils are proffered.
Keywords: Aerodynamics, kite wing, energy generation, flow analysis
1239 ISBN: 978-93-5351-069-5

PCE188
A REVIEW PAPER ON SOLAR DRYER USE FOR DRYING FRUITS,

VEGETABLS AND OTHER FOOD
Harshit Prakashbhai Bhavsar Chetankumar M Patel

Research Scholar Associate Professor
RK university RK university, Rajkot
Assistant Professor chetan.patel@rku.ac.in
Sal College of engg 9879002288, 9662966613
harry.bhavsar@gmail.com
9662966613, 9725022042
Abstract
The solar drying system utilizes solar energy to heat up air and to dry any food substance loaded,
which is beneficial in reducing wastage of agricultural product and helps in preservation of
agricultural product. Drying reduces the bacterial growth in the products. It will helpful for
preserving the products for long time. Solar drying is the oldest method of products drying. Open
air solar drying method is used frequently to dry the agricultural products. But this method has
some disadvantages. Therefore to avoid disadvantages it is required to use the other solar drying
methods. Different solar drying methods are direct solar drying, indirect solar drying, and mixed
mode solar drying. This paper presents the literature review, application, types of solar dryer and
classification of dryer for food preservation. This paper also shows the different nutrition level in
food required. Shows the Selection criteria for different solar Dryer. The purpose of drying an
agricultural product is to reduce its moisture content to a level that prevents its deterioration. In the
dryer, the heated air from a separate solar collector is passed through a grain bed, and at the same
time, the drying cabinet absorbs solar energy directly through the transparent walls and roof. In
Solar drying process drying time reduces compare to open sun drying and quality of food also
remain good.In short, we conduct a comprehensive review of review the research and development
work for solar drying. It is hoped that this review work maybe valuable and appropriate for
further development work.
Keywords: solar collector, solar drying, solar rays, moisture
ISBN: 978-93-5351-069-5 1240

PCE191
REVIEW ON TOOLS FOR DESIGN OF SUSTAINABLE

MANUFACTURING SYSTEM FRAMEWORK FOR CERAMIC TILES
INDUSTRY
Prof. Harshad D. Santoki Dr. G. D. Acharya

L. E. College, Morbi A. I. T. S., Rajkot
hdsantoki@yahoo.co.in gdacharya@rediffmail.com
Abstract
In this era of ever increasing competition in business, rapidly depleting resources and
increasing economic, environmental and social concerns; enhancing sustainability is an
important issue for manufacturers from all across the world. Ceramic tiles manufacturing is
highly material and energy intensive process and industry has witnessed significant growth in
last decade in rapidly developing country like India. With these facts, it becomes essential to
enhance manufacturing sustainability for improving performance and long term sustainable
growth of ceramic tiles industry. In this paper, various tools for enhancing sustainability in
manufacturing have been reviewed and research gap has been identified with a view to design
sustainable manufacturing system framework for ceramic tiles industry.
Keywords: Sustainable Manufacturing, Material Flow Cost Accounting (MFCA), Life Cycle
Assessment (LCA), Environment Management System (EMS) , Green Manufacturing,
Ceramic tiles manufacturing
1241 ISBN: 978-93-5351-069-5

PCE209
SCOPE OF 3D PRINTED PATTERN IN THE FIELD OF SAND

CASTING - A REVIEW
Jigar R Patel Dr. Shailee G Acharya

jigarrpatel2013@gmail.com shaileeacharya.mech@svitvasad.ac.in
9725245351 9428494601
Abstract
Casting is a manufacturing process in which a liquid material is poured into a mould, which contains
a hollow cavity of the desired shape, and then allowed to solidify. This, cavity is created by
the utilization of a pattern, generally made of wood or metal that is of the same shape and
dimensions as the actual part. Making pattern with the use of conventional materials is being
expensive, manual, time consuming and requires skilled-labour. Newly developed, 3D printing
technology for pattern making using rapid prototyping technique gives the solution to above
challenges due to its greater dimensional accuracy and reduced lead time. 3D printing creates
3D objects by depositing material layer by layer using object’s 3D digital model. 3D printed
objects have found their applications in industrial tool making processes, particularly in metal
casting. This paper, deals with the possibilities of the application of three-dimensional printing
(3DP) technology for making sand casting patterns. Paper reviews the major 3D printing systems
available in the market as to their potential for application with respect to sand casting. It also
discusses advantages, disadvantages and applicability of 3D printed pattern. This work will give
further solutions to the challenges in the field of 3D printed pattern for sand casting application.
Keywords: PLA, ABS, Fused Deposition Modelling, Sand casting, 3D printed pattern, Rapid
Prototyping,3D printing
ISBN: 978-93-5351-069-5 1242

PCE212
STATE OF THE ART OF PROCESS PARAMETERS ON GEOMETRIC

ACCURACY, SURFACE ROUGHNESS AND ENERGY CONSUMPTION
IN INCREMENTAL SHEET FORMING
Abhi K.Shah Prof. Hardik R Dodiya

Dept. of Mechanical Engineering Dept. of Mechanical Engineering
Sardar Vallabhbhai Patel Institute of Sardar Vallabhbhai Patel Institute of
Technology, Vasad, India Technology, Vasad, India
abhi.130410119089@gmail.com er.hardik09@gmail.com
Abstract
Single Point Incremental Forming fulfills the demand for small and batch sized batches due
to its flexibility and simplicity. It is a manufacturing process which produces any shape (symmetric,
asymmetric or axisymmetric) and can form at room temperature without any dedicated die. As
the name suggests “incremental”, it has the capability of producing a shape in sheet metal locally
and progressively along a predefined tool path through MATLAB or any CAM software. Compared
to conventional forming process, the formability of Incremental Sheet Forming is higher. This
article considers the various methods, present state-of-art and potential applications for
incremental sheet forming. An extensive study has been carried out to study the influence of
various process parameters like sheet thickness, tool diameter, lubrication, Tool type, Tool path
strategies, step size, wall angle, spindle speed, feed rate, etc. on various responses like surface
roughness, forming forces, geometrical accuracy, forming time, energy consumption, etc. for various
materials included in incremental sheet forming process.
Keywords: Incremental Sheet Forming, Process Parameters, Energy Consumption, Surface

Roughness, Formability, Geometrical Accuracy.
1243 ISBN: 978-93-5351-069-5

PCE214
A REVIEW ON POCKET MACHINING: USED TOOL PATH AND

FEED RATE OPTIMIZATION TECHNIQUE CONSEQUENCES
Bavaramanandi Dodiya Hardik. R. Patel Divyangkumar. D.

Swetangkumar Krushnads Assistant Professor Associate Professor
PG Student at SVIT vasad Sardar Vallabhbhai Patel Shroff SR Rotary Institute of
Sardar Vallabhbhai Patel Institute of Technology, Chemical Technology
Institute of Technology, Vasad Vataria, Ankleshwar
Vasad er.hardik09@gmail.com dd.divyang@gmail.com
swetang786@hotmail.com 9725204739 9427836451
7698288495
Abstract
Use of computer in manufacturing excavates many closed doors in manufacturing industries.
The efficiency of tool path generated by CAM software for pocket machining has become the vital
subject of investigation. Pocket milling involves removing of material from the flat surface layer by
layer to a fixed depth. Pocket machining is greatly used in machining of most of the aerospace
parts, die cavities, etc. 80% industrial operations of milling are done with pocket machining. In
the last few years, High Speed Machining (HSM) tools have been commonly used for large-scale
pocket milling operations, especially in manufacturing industries due to the reduction in
machining time without compromise in part quality. While performing high-speed machining,
some critical factors must be considered like; selection of tool path in such a way that tool
path has a minimum sharp turn, avoiding high curvature tool path. As the curvature of tool
path increases, the tool load and fluctuations increase. Also, during a sharp turn, the cutter
engagement angle will change which leads to an intensification of tool wear. In this paper, an
extensive review is carried out for the different toolpath used for pocket machining operation and
the methods used to generate the same. This paper also covers the numerous techniques available
for optimization of feed rate.
Keywords: Pocket Machining, High Speed Machining (HSM), Feed Rate, Toolpath, Computer
Aided Manufacturing (CAM), Offset Curve, Voronoi Diagram, Force-based Feed Rate Scheduling
(FFS), Feed Rate Scheduling Strategy (FSS), Adaptive Control (AC)
ISBN: 978-93-5351-069-5 1244

PCE216
A REVIEW ON INFLUENCE OF WELDING CHARACTERISTICS ON

RESPONSES OF ULTRASONIC ASSISTED LASER BEAM PROCESSES
Abhi K.Shah Ajaykumar M Solanki

Dept. of Mechanical Engineering Dept. of Mechanical Engineering Sardar
Sardar Vallabhbhai Patel Institute of Vallabhbhai Patel Institute of Technology,
Technology Vasad, India Vasad, India
abhi.130410119089@gmail.com ajaykumarsolanki.mech@svitvasad.ac.in
Abstract
Laser Beam Welding (LBW) is a welding technique used to join pieces of metals or
thermoplastics through the use of laser. Laser Engineered Net Shaping (LENS) are widely used in
aerospace, marine, automotive, medical instrument, tool manufacturing. Various materials are used
in LENS and laser beam welding process. Ultrasonic Vibrations are applied to laser beam welding
and LENS Process and micro structural study is carried out. The influence of welding
characteristics on various responses like micro hardness, mechanical properties, penetration
height, weld shape, etc. had been studied in this review work.
Keywords: Laser Beam Welding, Laser Engineered Net Shaping, Ultrasonic vibration, Materials,
Microstructure
1245 ISBN: 978-93-5351-069-5

PCE221
DESIGN AND DEVELOPMENT OF LUG USING MICROCELLULAR

INJECTION MOLDING-A REVIEW
CHIRAG PATEL PROF. V.S. BALI

MASTER STUDENT ASST. PROF.
SVIT, VASAD SVIT, VASAD
Patelchirag1094@gmail.com viswabali@gmail.com
9601918964 7016539772
Abstract
Microcellular injection moulding is the manufacturing method used for producing foamed plastic part
based on physical blowing agent and chemical foaming agent. Microcellular injection moulding
offers many advantages such as weight reduction of part, energy saving, optimal dimensional
stability, reduce cycle time. There are several defects like gas flow, swirl mark, cell radius, rough
surface. This paper deals with possibilities of the application of microcellular injection moulding
method for making a plastic part and review a some of recent development of microcellular injection
moulding. It is also discussing advantages, disadvantages and applicability of microcellular injection
moulding. This work will give further solution of challenges in field of microcellular injection
moulding.
Keyword: Microcellular injection moulding, super critical fluids, physical blowing agent, chemical
foaming agent
ISBN: 978-93-5351-069-5 1246

PCE223
MODAL ANALYSIS OF FACE MILL TOOL WITH DIFFERENT SHIM

MATERIAL
Nayana Gandhi Dr.Divyang H.Pandya

Assistant Professor Professor and Head-ME
SAL Education Campus LDRP-KSV University
gandhi.nayana@gmail.com divyang_me@ldrp.ac.in
9428601192 9426284914
Abstract
This paper presents the conception, design, and development of a shim (Passive damper)
of face mill tool to improve the stability of structural modes of a high-speed machine tool.
The design of the face mill tool with shim and the development of the control strategy are
described. In this paper the3-D model of face mill tool with shim was used which was prepared
in creo2.0, Then it was imported into the workbench of FEM analysis software Ansys version
14.1.in the workbench the Modal analysis and Harmonic response analysis of face mill tool
with shim of different material like aluminium, brass and carbide implemented. Here face mill
tool with aluminium, Brass, Carbide shim is discussed in detail. By modal analysis different mode
shape and natural frequency for each mode shape found out. During harmonic response analysis
of face mill tool natural frequency obtained in processing based on modal analysis used.
Then the natural frequency resonance amplitude for all shim material explored further. By using
resonance amplitude Damping Ratio of all shim materials are found out. Damping Ratio of
carbide shim has lowest amplitude and aluminium has highest amplitude. It is verified that the
carbide shims have improved the surface finish about 30–40% compared with other shim.
Keywords: Ansys, Face mill, Modal analysis, Harmonic analysis, shim, FEM, damping ratio
1247 ISBN: 978-93-5351-069-5

PCE239
A REVIEW ON EFFECT OF FUSED DEPOSITION MODELING

PROCESS PARAMETER ON RESPONSE PARAMETER
Jaimin V Thakkar Saurabh A Ban Akash B Pandey
P.G. Student Assistant Professor Assistant Professor
Depart.of Depart.of Mechanical Engg.SVIT, Faculty of Technology Engg.
Mechanical Engg, Vasad MSU, Vadodara
SVIT, Vasad. saurabhban.mech@svitvasad.ac.in a.b.pandeymed@msubaroda.ac.in
erjvt3@gmail.com 7990033419 9426500485
7069386021
Abstract
Fused deposition modeling (FDM) is one of the most popular additive manufacturing technologies
forvarious engineering applications. FDM process has been introduced commercially in early 1990s
by Stratasys Inc.,USA. Now a days FDM is rapidly developed and widely used additive manufacturing
technique. FDM is low cost and easy to used fused filament fabrication method. In this method
thermoplastic materials used to build the object which is extracted from the nozzle orifice according
to CAD model layer by layer manner. The purpose of this study to investigate the effect of various
process parameters of FDM on response parameters by reviewing various research work done by
the researchers in this field. Also this paper gives basic information about FDM process and
how the individual output parameters affected by various input parameters
In this paper, an extensive review is carried out for different methods used to optimize the input
process parameters to get desired output results. This paper also covers the numerous techniques
available for optimization of surface quality. There are several statical optimization techniques and
microscopic observations are considered
Keywords: Fused deposition modeling (FDM), Additive manufacturing, Process parameters,
Mechanical properties, Part quality
ISBN: 978-93-5351-069-5 1248

PCE289
PERFORMANCE ANALYSIS OF A SINGLE CYLINDER DIESEL

ENGINE FUELLED WITH WATER DIESEL EMULSION FUEL
Bhupendra S. Patil Dr. Rajesh C. Iyer Dr. Dipak C. Gosai

Research Scholar, GTU Professor, GTU Associate Professor, GTU
bhupendrapatil.mech@gmail.com rajesh_c_iyer@yahoo.com dip_gosai@yahoo.co.in
9825587323 9737702529 8780818907
Abstract
Recently, the emphasis on fuel conservation and reduction of undesirable emissions has generated
larger interest in utilizing water-in-oil emulsions in conventional liquid fuelled combustors.
Emulsified Fuels are emulsions composed of water and diesel fuel. As, emulsions are inherently
unstable, they tend to separate into distinct phase of water and diesel, that is why surface active
agents, i.e. surfactants are needed to stabilize and keep them bonded together. In this work,
the performance of an engine is tested when engine powered by both pure diesel and emulsified
fuel with various quantities of water content in the diesel fuel. The amount of water quantities added
is ranged from 0% to 10% by volume in a direct injection diesel engine. The properties of diesel
fuel and stable water-diesel emulsion such as density, calorific value, viscosity etc. are studied. The
aim of this work is to study the effect of water emulsified diesel on the performance characteristics
FC, SFC, BTE, ITE, Mechanical Efficiency and Volumetric Efficiency for varying loads and
constant speed. From the results obtained, it is noted that the 5% WDE shows higher indicated
thermal efficiency, brake thermal efficiency and lower SFC than pure diesel which seems to be good
replacement for the diesel.
Keywords: Diesel engine; Engine performance; Emulsified fuel; Diesel fuel
1249 ISBN: 978-93-5351-069-5

PCE291
MATHEMATICAL MODELING OF A ROTOR-BEARING SYSTEM

FOR TRANSIENT ANALYSIS USING MATLAB CODE AND
DyRoBeS©_ROTOR DYNAMICS SOFTWARE
M. J. HOTA DR. V. D. DHIMAN

Mechanical engineering department Mechanical engineering department
Dr. S & S SGhandhy Govt. Engg. College, Dr. S &S SGhandhy Govt. Engg.College,
Surat Surat
Research scholar Gujarat Technological University,
Gujarat Technological University, Ahmedabad, India
Ahmedabad, India vddhiman@gmail.com
milihota.mh@gmail.com
Abstract
The main objective of the paper is to understand basis phenomenology related to transient vibration
and stability of rotating machines through FEM modeling and DyRoBeS©_Rotor application.
Rotating machinery is found in applications from small pumps to large turbines and aircraft
engines. The rotor dynamics study plays a very important role in both preventive as well as
productive maintenance of complex rotating machines. Many rotor dynamic phenomena are hidden
and arise all off a sudden while working at high speed. These phenomena not only lead to
uncontrollable vibration being induced but also lead tocatastrophic failure of such big structures.
This makes the designers tocarry out rigorous rotor dynamics analysis. This paper attempts to
present mathematicalmodeling of a simple shaft rotor system with a disk supported with bearings.
It attempts to describe a theoretical transient lateral vibration model which is further MATLAB
coded (five node FEM model). The same shaft and rotor system is modeled in DyRoBeS©_Rotor
application (with limited five stations).DyRoBeS©_Rotor is a powerful rotor dynamics program
based on Finite Element Analysis (FEA). This program has been developed for the analysis of free
and forced vibrations (Lateral, Torsional, and Axial) of multi-shaft and multi-branch flexible rotor-
bearing-support systems. This windows friendly application helps to validate the results of the
mathematical model. The paper helps to determine the lateral vibration frequency of the given
rotor system which is extremely important for the stable and safe operation of the machine. The
frequency of five node model is compared form MATLAB code to DyRoBeS©_Rotor application.
Keywords: Rotor dynamics, Transient Vibration, FEM, Campbell Diagram, Critical Speed
ISBN: 978-93-5351-069-5 1250

PCE298
Improvement of a structural framework to improve sustainable supply

chain acceptance- An ISM-fuzzy MICMAC approach
Ashish Patel Dr.T.N.DESAI Hiral Desai

Research scholar Professor Assistant Professor
Laxmi vidhyapidh sarigam SVNIT surat Laxmi vidhyapidh sarigam
Abstract
Supportable store network the executives depicts solid commitment in the monetary profits of
assembling associations. Instating the adaptability in the current production network will
coordinate influence the authoritative execution. The principle goal of this investigation is to
distinguish the key drivers that solid impact the reception of maintainable production network the
board. The present research work recognizes 20 extraordinary drivers that have solid effect on
supportable production network selection. Afterward, a specialist board is shaped and a cross
breed ISM-fluffy MICMAC approach is utilized for displaying of maintainable production network
the executives’ drivers. The use of ISM approach will help in building the basic progression to
encourage feasible store network the board reception; while, the fluffy MICMAC approach will
help with figuring the driving and reliance intensity of supportable inventory network the board
drivers. The basic progressive system created in this examination can be considered as a guide
for fruitful supportable production network the board appropriation. Be that as it may, the fluffy
MICMAC examination will help the professionals in profoundly understanding the bits of knowledge
of economical production network the board drivers through group graph. The present investigation
is similarly advantageous for experts and analysts as it shows a superior comprehension of
supportable inventory network the executives’ drivers and its power of effect on its selection.
Keywords Sustainable supply chain organization, drivers, interpretive structural modeling

(ISM), MICMAC analysis, enablers
1251 ISBN: 978-93-5351-069-5

PCE325
LITERATURE REVIEW ON AIR/NON-NEWTONIAN TWO PHASE

FLOW IN MINI RECTANGULAR CHANNEL
Brijeshkumar R. Patel Mr. Krishna kumar

ME Student Assistant Professor
Shri S’ad Vidya Mandal Institute of Shri S’ad Vidya Mandal Institute of
Technology, Bharuch Technology, Bharuch
pbrijesh848@gmail.com krishnaaero@gmail.com
9662644356 9586131649
Abstract
In recent years research on mini/micro liquid flow has obtained great attention due to rapid
transformation of mini/micro processing technologies in various sectors. A numerical investigation
of Gas/non-Newtonian two phase flow in mini rectangular channel is to be carried out to
obtain flow pattern, void fraction and pressure drop. The different solutions of liquid carboxyl
methyl cellulose (CMC) will use as non-Newtonian; whose viscosity with increasing the shear rate.
The numerical solution data by using ANSYS FLUENT is compared with the previous experiment
work.
Keywords: Two phase flow, Non-Newtonian fluids, Mini channel, Numerical work
ISBN: 978-93-5351-069-5 1252

PCE326
DIFFERENT TESTMETHODS FOR OPTICAL AND THERMAL

PERFORMANCEOF SOLAR CONCENTRATORS: A REVIEW
Thakor Yogeshwari Pravinsinh Mr. Hardik M Patel

ME student Assistant Professor
Shri sad vidya mandal institute of technology Shri sad vidya mandal institute of technology
Bharuch yoga1187@gmail.com Bharuch hardik.patel@svmit.ac.in
99097 32536, 9265974592 9033170982
Abstract
All over the world, In current centuries the limited energy sources are available due to cost and
environmental problems. These problems became one of the most pressing problems. Because of the
huge amount of energy received by the earth from the sun, Solar energy is play an important role for
overcome these problems. Solar energy utilization is a promising renewable energy source which
is easily available and less negative impact on environment. Solar energy has more potential
that contribute in various need for energy than any other renewable sources. Solar concentrator
has maximum ability to concentrating the solar energy over a large surface area on a small surface.
To know performance and predict the design of the solar concentrator or entire CST system, optical
and thermal performance is essential. This paper observes that the optical and thermal performance
of solar concentrators by different test methods. In literature, It is observed that most of the methods
are very expensive and have specific applications. This review is helpful in the design of CST
system, components shape and size and choice of their material.
Keywords: Solar energy, Renewable energy, Solar concentrator, CST system, Renewable sources
1253 ISBN: 978-93-5351-069-5

PCE327
ADDITIVE MANUFACTURING OF COMPOSITE MATERIALS IN

FUSED DEPOSITION MODELLING: A REVIEW
Parth B. limchiya Jaydeep R. Shah

S.V.M.I.T S.V.M.I.T
plimbachiya369@gmail.com jaydeep.shah@svmit.ac.in
Abstract
Additive manufacturing technologies have been successfully applied in various applications. Fused
deposition modeling, one of the most popular AM techniques, is the most widely used method
for fabricating thermoplastic parts those are mainly used as rapid prototypes for functional testing
with advantages of low cost, minimal wastage. Due to the functionalities and mechanical
properties of printed genuine polymer parts, there is a critical need to develop printable polymer
composites with high performance. The 3D printing offers many advantages in the fabrication of
composites, including high precision, cost-effective and customized geometry. The 3D printing
techniques of polymer composite materials and the performance and properties of 3D printed
composite parts as well as their potential applications in the fields of biomedical and aerospace
engineering. The 3D printing techniques such as fused deposition modeling, selective laser
sintering, inkjet 3D printing, stereolithography, and 3D plotting are introduced. The formation
methodology and the performance of particle, fiber, and nanomaterial-reinforced polymer
composites are emphasized. Finally, extensive limitations are identified to motivate future research
of 3D printing.
Keywords: Additive manufacturing, Composites material, 3D printing
ISBN: 978-93-5351-069-5 1254

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About Conference Proceeding:
Emerging issues in Engineering, Pharmacy and Management studies aims to bring together the faculties, re-
searchers, scientists, engineers, stakeholders and practitioners of the industry, community and university profes-
sionals and students from all above disciplines to exchange and share their experiences, new ideas and research
results. This proceeding is the compilation of selected full text and papers presented during the conference under
various themes and sub-themes. All the papers have been blind reviewed and only selected have been published
in this proceeding. This proceeding will prove to be an excellent source of literature for the research community.
About GTU
Gujarat Technological University is relatively a new technology University established in the year 2007 by the
Government of Gujarat vide Gujarat Act No. 20/2007. The University caters to the entire field of Engineering,
Pharmacy, Business & Management Studies and Computer Applications in Gujarat State. Today, the University
has more than 4,00,000 students, a large number of Master's Programs and a robust Doctoral Program. It has
about 440 Colleges affiliated to it. Today it is the largest University of Gujarat.
GTU offers an ideal modern educational infrastructure that offers a space not only for the administrative work of
the university but also to conduct workshops and conferences with all the modern amenities. The University will
also offer a Research laboratory building and PG Research Centres building very soon. GTU wishes to build an
asset of students who can build a new India, which would stand for a more harmonious and more humane world,
with a better quality of life for all.
To encourage Research, Innovation & Globalization, GTU is continuously involved in organizing seminars,
workshops and conferences at national and international level. Centres like Curriculum Development Centre, In-
novation Council, Integrated Training and Placement Cell, PG Research Centres are setup for the constant devel-
opment and upgradation of the education at the University. GTU has won several awards for such initiatives. The
State government brought all the colleges (except constituent units of other universities in the State) imparting
education in Engineering, Pharmacy, MBA and MCA of the state under one roof with the following objectives:
To create institutes and centres of excellence to impart state-of-the-art education, training and research in the
fields of Science, Technology, Pharmaceuticals and Management in general.
 To create capabilities to develop knowledge, skill and competence at various levels.
 To create capabilities to upgrade infrastructure of global standard for education, training and research
 To provide inter-relationship for national and international participation
 To establish close linkages with industries to make teaching, training and research at the University rele-
vant to the needs of industries at the national and international levels.
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Price : INR 1200/-

Book Designed, Organized and Compiled by: Mr Hitesh Gujarati

ISBN issued on: 05-February-2019

Compilation of Selected papers presented during the Multi- Disciplinary International

Copyright © Gujarat Technological University

Segment II – Management - Part I – Full Papers 17

A Study on Corporate Governance & CSR –The Mr Virang Kishorchandra Shukla

Sr. No. Paper ID Paper Title Author Name Page No.

Surface solid dispersion approach for solubility and

Prof DHAVAL A PATEL

Scope of 3d printed pattern in the field of sand Dr Shailee Ghanshyambhai Acharya

Mr. Hitesh Gujarati

Dr. Sarika Srivastava

Dr. Keyur Darji

KEY NOTE SPEAKERS

Ms. Rama Moondra

Dr. Zdzislaw Polkowski Mr. Sanjay Chakraborty

Dr. Ketan R. Patel,

Prof. Saranjit Singh – Professor

Prof. (Dr.) Suresh M. Deshpande

ADVISORY COMMITTEE MEMBERS

Dr. Sunita Goswami

PAPER REVIEW COMMITTEE MEMBERS

Dr Vijay Pithadia Dr. PGK Murthy,

Dr. Narayan Baser

Dr. Jigna Shah Dr. Tejal Soni

Dr. Jayeshkumar S. Patel Prof. Darshan Jayeshbhai Mehta

Rachit Adhvaryu Rohit kumar Singh

Dr. Dipesh Kamdar Rajnikant Natubhai Rathod

Hakani Raj Arvindkumar Dr. Vijayendra Desai

Govind Prabhudas Gagrani Megha C. Karia

Vratraj Kaladhar Joshi Manojkumar V Sheladiya

CONFERENCE ORGANIZING COMMITTEE

TECHICAL SESSION CHAIR

Dr. Narayan Baser Dr. Mamta Brahmbhatt

ADMINISTRATIVE COMMITTEE MEMBERS

Ms. Chitrali Parmar, CA Mr. Mahesh Patel

Mr. M. N. Parmar Dr. Chirag Nagda

WEB DEVELOPMENT AND DESIGN

Ms. Rina Thakkar

DESIGN & GRAPHICS

Mr. Pankaj Sharma

PURCHASE COORDINATION COMMITTEE

Mr. Yuvrajsinh Raol

Theme of Management : Managing Global Enterprises

3. HR and Governance Policy

5. International Business, Strategy and Entrepreneurship

• Entrepreneurial Skills to compete in Global Market

Theme of Pharmacy: Quality Medicine for Patient Care

Theme of Engineering: Scientific Revolution through Engineering and Technical Research

Managing Global Enterprises

inadequate implementation of occupational safety standards and environmental standards

The specific objectives were as follows

1. To understand the level of occupational health of employees in the hospitals

THE SPECIFIC HYPOTHESIS WHICH WAS TESTED WERE AS FOLLOWS

ANALYSIS AND DISCUSSION

A. Personal and demographic information

C. Compensation and Benefits related information

ANALYSIS OF THE HYPOTHEIS

F df1 df2 Sig.